Project Delivery Network
(PDN)
Version 1.0
October 2020
Project Delivery Network (PDN)
October 2020
NCDOT
(This Page Intentionally Left Blank)
Project
Initiation
Alignment
Defined
PlaninHand
PS&E
Letting
Preface i
October2020
NCDOT
Preface
The NCDOT Project Delivery Network (PDN) is a scalable
support document for those involved with delivery and
managementofprojects.Thisprefaceanswerssomeofthe
typical questions regarding purpose and use of the PDN,
alongsidedefiningtheco mmontermsusedthroughout.
WhatisthepurposeofthePDN?
The PDN was developed to provide consistency and
transparency throughout the project delivery process,
enablingprojectteamstoimprovereliabilityandefficiency.
ThePDNoutlinesthestages,activities,tasks,deliverables,
andreferencestoaccomplishtheseends.
Specifically, thePDNis to assisttechnicalteam members,
led by a Project Manager (whether
a project is led by
NCDOTora privateengineeringfirm[PEF]),torealizethe
following:
Maintain consistency via a logical progression of
activities throughout the project initiation,
environmental,anddesignphases.
Streamlineprocessesandproceduresthroughouttheprojectdevelopmentprocess.
Identify team integration points to promote
multidisciplinary collaboration at each stage of the
process.
Provideasystematicqualitycontrol/qualityassurance(QC/QA)process.
DefinekeyprojectdeliverablesandactivitiestobuildanMSProjectschedulethataProjectManager
andprojectteamusetoadvanceprojectdelivery.
HowisaprojectdeliveredwithinthePDN?
ThePDNtakesaprojectthroughthefollowingfivestages(witheachstagedefinedintermsofhighlevel
goalsthatcanbeaccomplishedatanypointinthestage):
Stage1:ProjectInitiation
Goal:Developaninitialvisionsufficientlytocommencetheenvironmentalanddesign
process.
Stage2:Alignment
Defined
Goal:Completeallanalysesanddesignworktoestablishahorizontalandvertical
roadwayalignment,completetheenvironmentaldocument,andprogressdesignto
developthefieldinspectionplanset.
Stage3:PlaninHand
Goal:Completealldesignandfi nalizetherightofwaypackagetocontinueacquisition
and
relocationactivities.
PDNCommonTerms
Stage:Amajorstepoftheproject
developmentprocessthatconcludeswith
amilestone.
Activity:Theoverallaction(s)completed
byatechnicalUnittomovetothenext
stageofthePDN.Anactivityis
representedbyanidentifier(e.g.,1FS1,
2HY2)asshownonthePDNActivity
Diagram(discussedfurther
below).
Task:Thestep(s)andprocess(es)
necessarytocompleteanactivity.
Detail:Thetaskdescriptiontoexplain
whatandwhyofatask.
PDNActivityDiagram: A“map”ofall
PDN’sactivitiesthatcouldbeusedto
deliveraproject.
Project
Initiation
Alignment
Defined
PlaninHand
PS&E
Letting
Preface ii
October2020
NCDOT
Stage4:Plans,Specifications,&Estimate(PS&E)
Goal:Finalizeallplans,specifications, andestimatestobepackagedforletting.
Stage5:LettingandPostLetting(Indevelopment)
Goal:Preparetheproject’sdesigns,plans,anddocumentsforadvertisementand
completenecessarypostlettingactivities.
Eachstageconcludeswithamilestone
toassessthestatusoftheprojectandreviewtheprojectschedule
andprogression(seediamondsinthePDNActivityDiagram).
WhatroledoescoordinationplayinthePDN?
Coordination is essential for project success. Led by the Project Manager, team integration and
communicationamongdisciplinesontheprojectteamandwithoutsidestakeholdersandconsultantsare
necessarytodeliverasuccessfulprojectthatmeetsprojectgoalsonscheduleandwithinbudget.Oneof
thefoundational elementsofthePDN
isthatitcanbeusedby multipleaudiences(Divisions,Technical
Units,privateengineeringfirms[PEFs],orcon tractors)tounderstandtherolesandresponsibilitiesofeach
teammember.
Wherewilltheprojectdocumentationbestored?
Alldocumentsrelatedtotheprojectwillbestoredelectronicallyontheapplicableproject SharePointsite,
followingSharePointGuidanceand namingconventions.Allfinal keydocumentsfor theprojectwillbe
savedusingtheATLASWorkbenchtoensuretheyaretaggedandnamedappropriatelyandcanbefound
easilymovingforward.
AllNCDOTand/orprivateengineeringfirm(PEF)team memberswillhaveaccess
totheprojectSharePointsite.Teammemberscanchoosetobenotifiedwhendocumentspertainingto
theirtasksareuploaded.
HowisthisPDNupdated?
The PDN is intended to be dynamic and continually improved upon, and over time, the processes
described herein are going to be updated to ensure process refinement and best practices. As such,
NCDOT encourages suggestions and comments from users to improve the process or identify
opportunitiesforfurtheraccelerationorstreamlinin g.
TheIntegratedProject Delivery(IPD)teamhasset
upa formalprocessforsubmittingcommentsandsuggestionsasquestions,markups, orliveeditsin a
formlinkednearthelocationthisPDNisavailablefordownload.
Submittedcommentswill bereviewedonaregularbasisforincorporationintothedocument.
Whilean
updatetothePDNcantakeplaceatanytimedependingonthecriticalnatureofthechange,updatesare
plannedtwiceforthisfirstyearofpublication.Afterthat,theIPDteamwillsendoutanannualrequestto
eachdisciplineareaforreviewoftheirportionof
thedocument.Thiswillalsobe anopportunityforall
userstoreviewandupdateanyotherprocesses.
HowareprojectstagesandactivitiespresentedinthePDN?
Eachstageconsistsofmultipleactivities,consistingoffiveparts:
Project
Initiation
Alignment
Defined
PlaninHand
PS&E
Letting
Preface iii
October2020
NCDOT
1) Activityidentifierandbriefheading(definedfurtherbelow)
2) Briefoverviewoftheactivity
3) Referencelistandlinkstocommonlyuseddocumentsthatguideauseroncompletingtheactivity
4) Responsibility table that list all deliverables that may need to be developed/completed (defined
furtherbelow)
5) Details for
each task that provide a further description on how to apply the steps, processes, and
referencematerialstocompletetheactivity
Figure1:ExamplePDNActivityBreakdown
ActivityIdentifier
AsidentifiedonFigure1,eachactivityhasauniqueActivityIdentifier”fortrackingpurposesinMSProject
andforscopingpurposesastheprojectevolves.Theactivityidentifiersconsistofthefollowing:
(StageNumber)(UnitDesignation)(IdentifyingNumber)
UsingFigure1asanexample,theidentifieris“2CS1”.
The“2”indicatestheactivityistobecompletedintheAlignmentDefinedStage(Stage2).
The“CS”identifiestheContractStandards&DevelopmentUnitastheleadforthisactivity.
The“1”representsthisasthefirstactivityforthatUnitinStage2.
Activity
Identifier
Responsibility
Table
Taskand
Details
Project
Initiation
Alignment
Defined
PlaninHand
PS&E
Letting
Preface iv
October2020
NCDOT
ResponsibilityTable
The Responsibility Table for each activity identifies the deliverables, associated task(s), and the
responsibleparty(ies)foreachtask(s).Thelistedorderoftasksisnotnecessarilythechronologicalorder
forcompletion.
TheActivityLeaderisthememberoftheprojectteamresponsibleforensuringthatthetaskiscompleted
successfully,
andtheAdditionalSupportisanyoneotherthantheActivityLeaderwhohasaresponsibility
for the task. The table is not intended to list all team members i nvolved, and the Activity Leader may
delegatethecompletionofspecifictaskstootherteammembers.
WhatisthePDNActivityDiagram?
Fromthefirstprojecti nitiationactivitiesthroughletting,thefollowingfigure(seenextpage)illustratesa
“map” of all the PDN’s activities that could apply when delivering a project. The figure includes many
uniquefeaturestoguidetheuser.
TheUnitLegenddenotesanindividualcolorforeachdisciplinethat
hasanactivitytocomplete.
Majormilestonesinitiateandconcludeeachstage,denotedbydiamonds.
Eachstagerepresentsaseriesofactivitiesthatmayneedtobecompletedbeforemovingontothe
nextstage.
Theactivitiesarenotlaidoutchronologicallybutaregroupedbydiscipline.As
such,thenetwork
requires collaboration, led by the Project Manager, to determine what activities apply and to
definethelogicalrela tionshipsandorderofactivitiesforaspecificproject.
Of note, it may be advantageous to advance certain activities within a stage earlier or even
advanceactivitiesinlaterstages
tothecurrentstage,ifitismoreefficienttodelivertheproject.
EachactivityboxisinteractivelylinkedtoitsassociatedsectioninthePDN.
Byclickingonanactivitybox,auserisdirectedtothatsectionforfurtherdetails.
Theheaderofeachsection
includesa“BacktoPDNOverview”linkthattakestheuser backto
thediagram.
Project Initiation (Stage 1)
Alignment Defined (Stage 2)
Plan-In-Hand (Stage 3)
Plans, Specifications, &
Estimates (PS&E) (Stage 4)
Environmental
Analysis (EN)
Post-Letting
Activities
Long-Range
Transportation
Planning
Feasibility
Studies (FS)
Environmental Policy
(EP)
Hydraulics (HY)
Transportation Signals
and ITS Design (SG)
Location and
Surveys (LS)
Pavement Design
(PD)
Photogrammetry
(PH)
Public
Involvement (PI)
Railroad (RR)
Right-of-Way
(RW)
Roadway (RD)
Roadside
Environmental (RE)
Signing and
Delineation (SD)
Structures
Design (ST)
Strategic Prioritization
Office (SP)
Utility Coordination
and Design (UT)
Traffic Systems
Operations (TO)
Value
Management (VM)
Contract Standards
& Development (CS)
Traffic
Management (TM)
Geotechnical (GT)
Traffic Safety
(TS)
Unit Legend
October 2020
Integrated
Mobility (IM)
State Transportation
Improvement Program (SI)
Transportation
Planning (TP)
NCDOT Project Delivery Network
Conduct Candidate
Project Analysis
(1FS1)
Complete Traffic
Analysis (1TM1)
Complete Express
Design (1FS2)
Complete Geotechnical
& GeoEnvironmental
Screening (1GT1)
Initiate Structures
Investigation (1ST1)
Initiate Traffic System
Operations Scoping
(1TO1)
Complete Traffic
Forecast (1TP1)
Review for Complete
Streets (1IM1)
Initiate Roadway
Coordination (1RD1)
Complete Project
Prioritization (1SP1)
Complete Project
Scoping Report
(1FS3)
Develop STIP (1SI1)
Prepare Conceptual
ROW Cost Estimate
(1RW1)
Prepare Conceptual
Construction
Estimate (1CS1)
Draft
STIP
Review Project
Scoping Report and
Merger Process (1EP1)
Develop Utility
Relocation Estimate
(1UT1)
Provide
Photogrammetric
Control & Initiate
Surveys (1LS1)
Initiate Public
Engagement Tasks
(1PI1)
Complete Final
Surveys (2LS1)
Prepare
GeoEnvironmental
Phase I Report (2GT1)
NTP
Complete Pavement
Design (2PD1)
Advance Natural
Environment Tasks
(2EN1)
Initiate Railroad
Review (2RR1)
Initiate Advance
Acquisition ROW
Tasks (2RW1)
Initiate Roadway
Design (2RD1)
Complete Safety
Analysis & Operational
Review (2TS1)
Develop Preliminary
Hydraulic
Recommendations (2HY1)
Continue Public
Engagement (2PI1)
Initiate Utility
Coordination (2UT1)
Prepare Initial Design
Estimates (2CS1)
Initiate Signal &
ITS Design (2SG1)
Initiate Signing &
Delineation Design
(2SD1)
Initiate Erosion and
Sediment Control
Plans (2RE1)
Initiate Structures
Design (2ST1)
Initiate Transportation
Management Plan
(2TM1)
Initiate Transportation
Operations Plan
(if SP*) (2TO1)
Prepare for Field
Inspection (2RD2)
Field
Inspection &
Environ. Document
Complete
Complete Additional
Surveys, Sue Level A,
and ROW Advanced
Acquisition Surveys
(3LS1)
Prepare
GeoEnvironmental
Phase II Report (3GT1)
Complete Roadway
Design (3RD1)
Verify Pavement
Design (3PD1)
Complete Hydraulic
Design (3HY1)
Complete Structures
Design (3ST1)
Complete Signing &
Delineation Design
(3SD1)
Complete Signal &
ITS Design (3SG1)
Complete Erosion
and Sediment Control
Plans (3RE1)
Complete
Transportation
Management Plan
(3TM1)
Advance Utility
Coordination (3UT1)
Prepare Plan-in-Hand
Estimates (3CS1)
Complete Railroad
Design & Agreements
(3RR1)
Complete ROW
Authorization
Package (3RW1)
Complete Permits,
Commitments, and
Design Noise Report
(3EN1)
Design
Complete & All
Permit
Applications
Submitted
Finalize Contract
Package (4RD1)
Complete ROW
Acquisition Surveys
(4LS1)
Complete ROW Acquisitions &
Relocations (4RW1)
Complete Utility
Coordination (4UT1)
Complete Railroad
Coordination (4RR1)
Prepare
GeoEnvironmental
Phase III Reports
(4GT1)
Secure
Environmental
Permits (4EN1)
Complete Any Open
Hydraulic Tasks
(4HY1)
Complete Transportation
Operations Plan-Related
Tasks
(if SP*) (4TO1)
PS&E
Submittal
Advance Transportation
Operations Plan
(if SP*) (3TO1)
Identify Railroad
Impacts (1RR1)
Review Project
Scoping (1CG1)
Schedule Value
Engineering Study
(1VM1)
Compile Aerial
Photography &
Mapping (1PH2)
Initiate Utility
Investigations
(1UT2)
Assist with Public
Engagement (2CG1)
Initiate Signal
System Timing
(if not SP*) (2SS1)
Signal System Timing
Operations (SS)
Initiate Drainage Design
for Field Inspection
(2HY2)
Develop Preliminary
General Drawings
(2ST2)
Signal Timing Model
& Analysis (if not SP*)
(3SS1)
Prepare Construction
Communications
Activities (4CG1)
Finalize Structures
Design PS&E (4ST1)
Complete Utility
Relocation by Owner
(4UT2)
Advance Human
Environment Tasks
(2EN2)
Complete CS&D
Project Review
(4CS1)
*SP = Significant
Pr
oject (see 1TO1)
Final
STIP
Initiate Environmental
Analysis (1EN1)
Conduct Subsurface
Investigations &
Provide Roadway
Recommendations (2GT2)
Complete Pavement &
Subgrade Investigations &
PDI Report (2GT3)
Conduct Subsurface
Investigations & Provide
Structures
Recommendations (3GT2)
Verify Complete
Streets (2IM1)
Complete Value
Engineering (3VM1)
Conduct Risk
Management (3VM2)
Complete Value
Engineering (2VM1)
Conduct Risk
Management (2VM2)
Communication
Group (CG)
Merger Assistance
and Environmental
Document Review
(2EP1)
Complete
Constructability
Review (2VM3)
Best Available
Geospatial Data
(1PH1)
Initiate Safety
Planning Assessment
(1TS1)
Conduct Risk
Management
(1VM2)
Determine Affected
Coordinated Corridors
(if not SP*) (1SS1)
Determine Final Noise
Abatement (3EN2)
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1CS1 Prepare Conceptual Construction Estimate 1
October 2020
NCDOT
1CS1 Prepare Conceptual Construction Estimate
Overview
Develop conceptual construction cost estimates for all alternatives/alternates under consideration for a
project.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Construction Estimating Guide
Preliminary Estimate Request Form
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Lead
Conceptual Construction Estimate
Provide Conceptual Design Stage Quantities
X
Review Conceptual Estimates
X
Verified Conceptual Construction
Cost Estimate
Provide Conceptual Design Stage Quantities
Selected Alternative
X
Review Conceptual Estimates Selected Alternative X X
Cost Verification Letter
Request Cost Verification Letter
X
Provide Conceptual Design Stage Quantities
For conceptual design stage quantities, the Project Lead:
Requests a cost estimate from the Preliminary Estimates Section.
Submits the conceptual design stage quantities for each alternative on the Preliminary Estimate
Request Form to the Preliminary Estimates squad leader in the Contracts Standards and
Development Unit.
Review Conceptual Estimates
The Preliminary Estimates Section prices the estimate, and the Project Lead reviews the conceptual
estimates for each alternative, considering the following:
Costs for each pay item are determined using historical bid data and backup projects of similar work
in the market area.
Estimates are available as the project moves forward and can be part of the considerations for
selecting the Least Environmentally Damaging Practical Alternative (LEDPA).
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1CS1 Prepare Conceptual Construction Estimate 2
October 2020
NCDOT
Provide Conceptual Design Stage QuantitiesSelected Alternative
The Project Lead provides the most current conceptual stage quantities for the selected alternative to the
Preliminary Estimates Section on the Preliminary Estimate Request Form. This is to ensure one is working
with the most up-to-date estimate, considering that:
Quantities/cost may have changed depending on 1) the amount of time that has passed and 2) the
number of design changes that may have been implemented since the last estimate request.
Estimates are to be updated by submitting the Preliminary Estimate Request Form to the
Preliminary Estimates Section any time new quantities are available or every two years, whichever
occurs first.
Review Conceptual EstimateSelected Alternative
For the selected alternative, the Preliminary Estimates Section prices the estimate, and the Project Lead:
Reviews the conceptual estimates to ensure there are no obvious errors in quantities or items.
Includes a copy of the most recent estimate within the appendix of the Project Scoping Report.
Request Cost Verification Letter
After satisfactory review, the Project Lead requests that a Cost Verification Letter be sent out for the
estimate by the Preliminary Estimates Section.
The Cost Verification Letter is generated through the Enterprise Business Services (EBS) portal and
distributed via e-mail to the State Transportation Improvement Program (STIP) Regional Manager.
The distribution of this letter automatically updates the ‘Latest Estimate TIP Construction’ cost field
in SAP, which is displayed on the 12-month let list. This allows the construction costs to remain
current and is used for STIP planning, budgeting, and strategic letting purposes.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
2CS1 Prepare Initial Design Estimates 3
October 2020
NCDOT
2CS1 Prepare Initial Design Estimates
Overview
Develop the construction cost estimates for the Alignment Defined Stage, occurring just prior to the Field
Inspection Review Meeting.
References
Construction Estimating Guide
Preliminary Estimate Request Form
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Preliminary
Estimates Section
Project Manager
Construction Cost Estimate
Provide Design Stage Quantities
X
X
Review Estimate
X
X
Cost Verification Letter
Request Cost Verification Letter
X
X
Provide Design Stage Quantities
The Project Manager provides the most current design stage quantities for the selected alternative to the
Preliminary Estimates Section on the Preliminary Estimate Request Form.
Review Estimate
The Preliminary Estimates Section prices the estimate, and the Project Manager:
Reviews the estimate for the selected alternative to ensure there are no obvious errors in quantities
or items.
Includes a copy of the most recent estimate within the appendix of the NEPA document.
Request Cost Verification Letter
After satisfactory review, the Project Manager requests that a Cost Verification Letter be sent out for the
estimate by the Preliminary Estimates Section.
The Cost Verification Letter is generated through the EBS portal and distributed via e-mail to the
STIP Regional Manager.
The distribution of this letter automatically updates the ‘Latest Estimate TIP Construction’ cost field
in SAP, which is displayed on the 12-month let list. This allows the construction costs to remain
current and is used for STIP planning, budgeting, and strategic letting purposes.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
3CS1 Prepare Plan-in-Hand Estimates 4
October 2020
NCDOT
3CS1 Prepare Plan-in-Hand Estimates
Overview
Develop Construction Cost Estimates for the Plan-in-Hand Stage, occurring just prior to the Plan-in-Hand
Review Meeting.
References
Construction Estimating Guide
Preliminary Estimate Request Form
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Manager Design Lead
Construction Cost Estimate
Provide Design Stage Quantities
X
X
Review Estimate
X
X
Cost Verification Letter
Request Cost Verification Letter
X
X
Not for Construction Plans
Upload Not for Construction Plans
X
X
Provide Design Stage Quantities
The Project Manager provides the most current design stage quantities to the Preliminary Estimates
Section on Preliminary Estimate Request Form.
Review Estimate
The Preliminary Estimates Section prices the estimate, and the Project Manager reviews the estimate to
ensure there are no obvious errors in quantities or items.
Request Cost Verification Letter
After satisfactory review, the Project Manager requests that a Cost Verification Letter be sent out for the
estimate by the Preliminary Estimates Section.
The Cost Verification Letter is generated through the EBS portal and distributed via e-mail to the
STIP Regional Manager.
The distribution of this letter automatically updates the ‘Latest Estimate TIP Construction’ cost field
in SAP, which is displayed on the 12-month let list. This allows the construction costs to remain
current and is used for STIP planning, budgeting, and strategic letting purposes.
Upload Not for Construction Plans
After the plans have been approved for release, the Project Manager:
Places “Not for Construction” stamp on all sheets.
Uploads the plans to NCDOT and Association of General Contractors websites for contractor review
of upcoming projects.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
4CS1 Complete CS&D Project Review 5
October 2020
NCDOT
4CS1 Complete CS&D Project Review
Overview
Review the PS&E package for the Advertisement and Letting Process after the PS&E review meeting and
prepare the package for letting.
References
Roadway Standard Drawings
Standard Specifications
Plans Checklist
APLUS
12 Month Let List
Let Plans Preparation SharePoint Guidance
Project Flow Chart Generator
Deliverables
Deliverable Task
Responsible Party
Activity
Leader
Additional Support
Plan Review
Engineer
State
Proposal
Engineer
Contract
Time
Engineer
Provisions
Engineer
Estimating
Engineer
State Plans and
Standards
Engineer
Final Plans Review Plans X X
Establish Contract Times X
Facilitate Goal Setting
Meeting
X
Proposal
Generate Special
Provisions
X
Generate Final Pay Items
and Quantities
X
Assemble Proposal X
Advertise Project X
Prepare Addendums X X
Review Plans
To complete the plan review, the Plan Review Engineer:
Reviews the plans and quantities.
Sends plan checking comments to the Project Manager, who post, sign, and date Final Plan files to
the Let Preparation area.
Passes the PS&E package to the State Proposals Engineer.
Establish Contract Times
The Contract Time Engineer reviews the temporary traffic control plans, Utilities by Others (UBO) Plans,
environmental documents, and pay items and quantities to establish any intermediate contract times and
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
4CS1 Complete CS&D Project Review 6
October 2020
NCDOT
the overall contract times. (This includes the Completion Dates.) This task runs concurrent with the Goal
Setting Meeting, Generate Roadway Special Provisions, and Engineer’s Final Estimate tasks noted below.
Facilitate Goal Setting Meeting
The State Proposals Engineer facilitates a meeting to establish the DBE participation goals based on
federal and state regulations.
Generate Special Provisions
The Provisions Engineer reviews the plans and compiled Transport estimate to provide special provisions
for pay items not covered by the Standard Specifications (APLUS program initiated).
Generate Final Pay Items and Quantities
The Estimating Engineer reviews final pay items and quantities to generate the Confidential Engineer’s
Estimate and to generate the percentage breakdown cost for work activities.
Assemble Proposal
The Provisions Engineer assembles the standard special provisions, the project special provisions, and
item sheets into the final proposal.
Advertise Project
The electronically signed and sealed plan files and the electronically signed and sealed proposal are posted
to the NCDOT Central Highway Letting web page (4 weeks prior to the letting date and 8 weeks prior to
the letting date for special projects).
Prepare Addendums
The State Plans and Standards Engineer and the State Proposals Engineer field questions about projects
currently advertised from contractors. Addendums to the plans and proposal are processed as needed.
Letting Date
All bids are received, verified as valid, and read aloud by State Contract Officer (Central Highway Letting
Date is the 3
rd
Tuesday of each Month).
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1EN1 Initiate Environmental Analysis 1
October 2020
NCDOT
1EN1 Initiate Environmental Analysis
Ensure that all projects, federal or state funded, comply with relevant environmental laws, including the
Clean Water Act, National Environmental Policy Act (NEPA), State Environmental Policy Act (SEPA), Section
4(f), Section 106, the Endangered Species Act, Section 6(f), Title VI of the Civil Rights Act, and Farmland
Protection Policy Act. It is important to note that all requests for Environmental Analysis Unit action start
with the Project Manager submittal via the Environmental Tracking & Coordination System (ETRACS). Any
ground disturbing project are to be reviewed by Division and/or Environmental Analysis Unit staff.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Programmatic Agreement Manual for Minor Transportation Projects in North Carolina
Tribal Coordination Protocol
ETRACS System and Tutorial
NRTR Scope Template and Guidance
NCDOT Traffic Noise Policy
NCDOT Traffic Noise Manual
NCDOT Air Quality Handbook
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Lead
Environmental
Analysis Unit
Completed ETRACS Requests
Receive Initial ETRACS Request for Human
and Natural Environment Studies
X X
Comments on Draft Project Scoping Report Review Draft Project Scoping Report
X
Natural Resources Technical Report (NRTR)
Scope of Work and Fee
Receive a Natural Resources Technical Report
(NRTR) ETRACS Request
X X
Receive Section 7 Survey ETRACS Request
X X
Prepare/Review NRTR Scope of Work and Fee
X
Landowner Letters
Prepare and Send Landowner Notification
Letter
X
Programmatic Agreement Cultural Resources
Screening Checklist
Complete Cultural Resource Screening
X X
Traffic Noise and Air Quality (TNAQ)
Notification
Determine Noise/Air Analyses Needs X X
Community Studies Plan Determine Community Analyses Needs
X
BSG Request Form Assign Biological Surveys
X
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1EN1 Initiate Environmental Analysis 2
October 2020
NCDOT
Receive Initial ETRACS Request for Human and Natural Environment Studies
The Environmental Analysis Unit (EAU) receives ETRACS requests from the Project Lead to begin human
and natural environment studies as part of the Project Scoping Report (see 1FS3).
For projects that are scheduled to receive Notice to Proceed within the next 12 months, the requests
are to be prioritized.
For projects scheduled for Notice to Proceed at a later date, ETRACS requests are to be scheduled
to begin 12 months before Notice to Proceed is anticipated.
The Project Lead ensures that, as appropriate, ETRACS requests are sent to the following EAUs human and
natural environmental groups:
Environmental Coordination and Permitting (ECAP)
Biological Surveys Group (BSG)
Cultural Resources (Historic Architecture and Archaeology)
Traffic Noise and Air Quality
Public Involvement, Community Studies, and Visualization (PICSViz)
Review Draft Project Scoping Report
Upon request of the Project Lead relevant groups of the EAU review the draft Project Scoping Report and
provide comments to the project team (see 1FS3).
Receive a Natural Resources Technical Report (NRTR) ETRACS Request
The Project Lead submits an ETRACS request to ECAP to develop the Natural Resources Technical Report
(NRTR). ECAP determines whether the NRTR is to be developed in-house or if development is assigned to
an on-call consultant.
Receive Section 7 Survey ETRACS Request
As ECAP receives the initial ETRACS request, the ECAP Project Manager adds a Section 7 Survey Request
to the project in ETRACS, which notifies BSG and populates all the threatened and endangered (T&E)
species for the county(ies) in which the project is located.
BSG assigns the review of the terrestrial and aquatic T&E species listed (except for red cockaded
woodpecker (RCW), which is reviewed by the resident RCW specialist) to a biologist. If BSG determines
Section 7 surveys are needed, a separate scope of work and fee is prepared. The Landowner Letter is
submitted to the Consultant for distribution prior to field work.
Prepare/Review NRTR Scope of Work and Fee
If ECAP determines that the NRTR it to be developed by an on-call consultant, then the ECAP Project
Manager coordinates the scope of work and fee necessary for the NRTR in accordance with NRTR Scope
Template and Guidance. This includes delineation of waterbodies that are potentially jurisdictional (a
surveyed MicroStation file or shapefile called a WEX file). Once the WEX file is prepared, the Location and
Surveys Unit or Private Engineering Firm coordinates with the US Army Corps of Engineers (USACE) to
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1EN1 Initiate Environmental Analysis 3
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develop a delineated file of waters determined jurisdictional for the purposes of Clean Water Act
permitting (WET file). Overall work includes:
Field work for stream and wetland delineations, T&E preliminary surveys, Cultural Resources, etc.
Preparation of the draft and final NRTR
Preparation of the WEX/WET file
Preparation of the draft and final Preliminary Jurisdictional Determination
The scope of work and fee is negotiated and approved by prior to Notice to Procced, and the NRTR is
developed during the Alignment Defined Stage. If BSG determines a Section 7 Survey is needed, a separate
scope of work and fee is prepared. Once the scope of work and fee for the NRTR work has been approved,
ECAP initiates natural environment studies.
Prepare and Send Landowner Notification Letter
ECAP coordinates approval of the landowner notification area (based on the project study area) with the
involved EAU groups. When approved, the ECAP or its consultant prepares a landowner notification letter,
which is sent to all landowners within the landowner notification area.
The landowner notification letter is sent out prior to commencing field work.
The letter notifies landowners that NCDOT is beginning a project, and personnel may be on their
property.
If the project study area changes, a new landowner letter may be required.
Complete Cultural Resource Screening
The Project Lead completes the Programmatic Agreement Cultural Resources Screening Checklist
provided in the Programmatic Agreement Manual for Minor Transportation Projects in North Carolina.
Using the results of the checklist, or other requirements under state and federal environmental laws
and regulations, the Project Lead can then determine if the project is subject to further historic
preservation review.
If additional review is required, the requester completes an ETRACS request for a Historic
Architecture and/or Archaeology Culture Resources Screening Survey.
The ETRACS request is assigned to an appropriate Culture Resource Specialist and investigations
begin.
Identification of Cultural Resources may be finalized during the Project Initiation stage or during the
Alignment Defined stage.
Determine Noise/Air Analyses Needs
The Project Manager reviews the NCDOT Traffic Noise Policy and the NCDOT Traffic Noise Manual and the
NCDOT Air Quality Handbook to determine if a project may need a traffic noise or air quality analysis. The
Project Lead notifies Traffic Noise and Air Quality Group Leader when the Project Scoping Report is being
developed with the preliminary determination and seek concurrence or revise as appropriate.
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1EN1 Initiate Environmental Analysis 4
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NCDOT
Determine Community Analyses Needs
The Project Lead submits an ETRACS request for the any required Community Analyses. Community
Studies reviews the project and determines the level of Community Analyses appropriate for the project
(Community Characteristics Report, Community Impact Assessment, Land Use Scenario Assessment, etc.)
and develops a Community Studies Plan for completing analyses.
Assign Biological Surveys
BSG assigns one of the following groups to complete T&E species surveys:
On-call biological consultants
In-house BSG biologists
Environmental document consultants
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2EN1 Advance Natural Environment Tasks
Overview: Natural Resources Technical Report (NRTR) and WEX/WET File
Coordinate review of the draft and final Natural Resources Technical Report (NRTR), WEX (a MicroStation
file or shapefile of delineated, potentially jurisdictional waterbodies)/WET (a MicroStation file or shapefile
of delineated, jurisdictional waters) files, and Preliminary Jurisdictional Determination. Review the
NEPA/SEPA document to ensure that material in the NRTR is pertinent for NEPA/SEPA compliance,
including avoidance and minimization measures and relevant project commitments.
References
NRTR Template and Guidance
NES Procedures Manual
Wetlands Mapping Policy (Consultant GPS CADD Guidance)
NRTR QAQC Tracking Sheet
Preparing Natural Resource Technical Reports
Jurisdictional Determination Package
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
ECAP
Project Manager
ECAP
Team Leader
NRTR Complete NRTR and WEX file X
WEX File Complete NRTR and WEX file X
Draft Preliminary Jurisdictional
Determination and Buffer Package
Complete Preliminary Jurisdictional
Determination and Buffer Package
X
Signed Preliminary Jurisdictional
Determination and Buffer Package
Conduct Agency Field Review and Create WET File X
Location and
Surveys
WET File Conduct Agency Field Review and Create WET File X
Comments on NEPA/SEPA
Document
Review NEPA/SEPA Document X X
Complete NRTR and WEX File
The NRTR and the WEX file are developed using the NRTR Template and Guidance in conjunction with the
NRTR Procedures Manual and Consultant GPS CADD Guidance.
The draft NRTR and the WEX file are submitted to ECAP Project Manager (if done by a consultant)
for review.
A final report is submitted within two weeks of receiving ECAP comments on the draft report.
If the NRTR is done in-house, the ECAP Regional Supervisor reviews the report.
The final NRTR and WEX file are placed on the ATLAS Workbench, with the Project Manager, Hydraulics
Unit, Locations/Surveys Unit, Structures Management Unit, Rail Division, and Roadway Unit (and others
as appropriate) being notified.
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Complete Preliminary Jurisdictional Determination and Buffer Package
The Preliminary Jurisdictional Determination and Buffer (if applicable) Package are part of the deliverables
for an NRTR.
When a consultant is contracted to do the NRTR work, this package is submitted to the ECAP Project
Manager for review and comment at the same time as the NRTR submittal.
A final package is to be submitted within two weeks of receiving ECAP comments on the draft
package.
The final package is placed on ATLAS Workbench and the ECAP Project Manager submits the
package to the US Army Corps of Engineers (USACE) for review.
Conduct Agency Field Review and Create WET File
The ECAP Project Manager coordinates the scheduling of a field review with the USACE, North Carolina
Division of Water Resources (NCDWR), and consultant (if applicable). The Project Manager is notified of
this meeting but is not required to attend. Typically, the EAU or Private Engineering Firm staff lead the
field meeting.
During this field review, the USACE and NCDWR evaluate streams, wetlands, ponds, and other
surface waters delineated during the NRTR field work and determine what is jurisdictional.
At the end of the field review the consultant updates the WEX file to only include features
determined jurisdictional. The updated WEX file is then renamed as the WET file.
The Preliminary Jurisdictional Determination and Buffer (as appropriate) Package are updated and
resubmitted to the USACE for signature.
The signed Preliminary Jurisdictional Determination is placed in ATLAS Workbench by the ECAP Project
Manager.
Review NEPA/SEPA Document
The Project Manager submits an ETRACS request for the ECAP Project Manager, or team lead, to review
the natural resources section(s) of NEPA/SEPA documents. This review is to:
Focus on the accuracy of the information in the document.
Ensure that avoidance and minimization measures have been captured.
Ensure the Project Special Commitments (Green Sheets) agreements made with the agencies have
been captured.
The EAU team lead uploads comments made on the NEPA/SEPA document to the project SharePoint site.
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Overview: Biological Surveys
When necessary, complete surveys for federally listed threatened and endangered (T&E) species in areas
of suitable habitat in the project study area and obtain a biological conclusion to ensure compliance with
the Endangered Species Act of 1973 and Marine Mammal Protection Act.
References
USFWS Section 7 Consultation
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
BSG Project Manager BSG Team Leader
Biological Surveys Initiate and Complete BSG Survey X X
BSG Concurrence on Biological Conclusions Review Biological Conclusions and NRTR X X
Request USFWS or NMFS Concurrence on
Species Determination
Review Biological Conclusions X X
Complete Surveys for T&E Species Complete Surveys for T&E Species X X
Biological Assessment Initiate Section 7 Consultation X X
USFWS or NMFS Biological Opinion Complete for Section 7 Consultation X X
Comment on NEPA/SEPA Document Review NEAP/SEPA document X X
Initiate and Complete Biological Surveys
The BSG Project Manager assigns one of the following groups to conduct T&E surveys:
On-call biological consultants
In-house BSG biologists
Environmental document consultant
Review Biological Conclusions and NRTR
To complete this task, the BSG Project Manager is to:
Reviews the T&E survey results in the draft NRTR.
Review the biological conclusions and determine if they agree with the assessment.
Meet to discuss if there is a disagreement with biological conclusions.
If a determination other than Unresolvedor No Effectis recommended for a federally listed T&E
species, BSG sends a request for concurrence letter to the US Fish and Wildlife (USFWS) or the National
Oceanic and Atmospheric Administration (NOAA) National Marine Fisheries Service (NMFS) to determine
if consultation under Section 7 of the Endangered Species Act (ESA) or the Marine Mammal Protection
Act is required. The USFWS has primary responsibility for terrestrial and freshwater organisms, while the
responsibilities of the NMFS are mainly marine wildlife such as whales and anadromous fish such as
salmon. However, the agencies share responsibility for some species that occur in both marine
environments and freshwater or terrestrial habitats, such as sea turtles and Atlantic salmon.
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Initiate Section 7 Consultation
BSG Project Manager coordinates with USFWS or NMFS to determine if formal or informal Section 7
Consultation is required.
If it is determined that a project “May Affect but is Not Likely to Adversely Affect” a listed species,
Information Consultation is required.
If it is determined that a project “May Affect and is Likely to Adversely Affector would “Adversely
Affect” a listed species, Formal Consultation is required, which includes the development of a
Biological Assessment by NCDOT and a Biological Opinion by USFWS or NMFS. The team develops
the Biological Assessment with review and acceptance from BSG.
Complete Section 7 Consultation
Based on the Biological Assessment, USFWS or NMFS determines if any additional information is needed.
Upon receipt of all required information, the agency develops their Biological Opinion. The service has 45
days to render the Biological Opinion once formal consultation is completed (90 days after initiation).
The Biological Opinion may contain conditions that are required during and after construction.
The BSG Project Manager ensures these commitments are included in the Project Commitments
when they review the environmental document.
Review NEPA/SEPA Document
The Project Manager submits an ETRACS request for the BSG Project Manager to review the T&E species
discussions in the NEPA/SEPA documents as needed. This review is to:
Focus on the accuracy of the information in the document.
Ensure that avoidance and minimization measures have been captured.
Ensure the Project Special Commitments (Green Sheets) agreements made with the agencies have
been captured.
The BSG Project Manager uploads comments made on the NEPA/SEPA document to the project
SharePoint site.
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2EN2 Advance Human Environment Tasks
Overview: Community Studies
Complete the Community Characteristics Report and the Indirect and Cumulative Effects report (if scoped)
for the delineated study area or study corridors to inform project decision-making, design, and permitting.
A Community Characteristic Report is only needed if community impacts influence alternative selection.
Review Indirect and Cumulation Effect only if screening indicates an assessment is needed. Complete the
Community Impact Assessment or Direct and Indirect Screening Tool of the preliminary design for the
preferred alternative, as well as the Land Use Scenario Assessment (if indicated), and document project
decisions, commitments, recommendations, outstanding direct impacts, and potential future
development areas.
References
Community Characteristics Report / Community Impact Assessment
Indirect and Cumulative Effects / Land Use Scenario Assessment Folder
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Consultant
Project
Manager
PICSViz Team
Member/
On-call Staff
Community Characteristics Report Develop Community Characteristics Report X X
Indirect and Cumulative Effects Report Develop Indirect and Cumulative Effects Report X X
Community Impacts Assessment Develop Community Impact Assessment X X
Land Use Scenario Assessment Develop Land Use Scenario Assessment X X
Comments on NEPA/SEPA Document Review NEPA/SEPA Document X X
Develop Community Characteristics Report (if scoped)
When understanding community resources and potential impacts can help in the development of project
alternatives, particularly for projects in developed areas, a Community Characteristic Report is developed.
If scoped for the project, a consultant is assigned and develops a Community Characteristics Report based
on current templates, guidance, and tools maintained by Community Studies, and refines direct impact
and demographic study areas based on the current project study area. For more complex or potentially
controversial projects, the Project Manager may request that Community Studies direct on-call staff to
develop the Community Characteristics Report and coordinate with Public Involvement. All generated
materials are reviewed and approved by Community Studies with activities that include:
Download the latest templates, guidance, and tools
Develop Demographic Study Area (DSA) and Direct Community Impact Area (DCIA) in accordance
with guidance
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Coordinate with Community Studies to approve DSA and DCIA
Prepare and email input forms to area planners, schools, and emergency management personnel,
and conduct telephone or in-person interviews as appropriate
Assess project area demographics, ATLAS maps, satellite images and other data sources prior to
conducting interviews and field visit
Conduct field visit according to guidance
Prepare draft CCR and submit via ETRACS request to Community Studies for review and comment
Revise CCR based on Community Studies comments and submit via email to Community Studies for
final review
Finalize CCR and submit via email to Community Studies for distribution, ATLAS upload and posting
to ATLAS Workbench
Develop Indirect and Cumulative Effects Report (if scoped)
An Indirect and Cumulative Effects Screening Report (ICE) is often developed based on the findings of
Transportation Impact Causing Activities (TICAs) in the Direct and Indirect Screening Tool (DIST),
Community Characteristics Report (CCR), or the Short Form Community Impact Assessment (CIA). If
scoped for the project, a consultant is assigned and develops an Indirect and Cumulative Effects report
based on current templates, guidance, and tools maintained by Community Studies, and refines the
Future Land Use Study Area (FLUSA) based on the current project study area. For projects in high growth
areas or for Merger projects, the Project Manager may request that Community Studies direct contract
staff to develop the ICE and coordinate with Mitigation and ICI. All generated materials are reviewed and
approved by Community Studies, with activities that include:
Download the latest templates, guidance, and tools
Develop the Future Land Use Study Area (FLUSA) in accordance with guidance
Coordinate with Community Studies to approve the FLUSA
Prepare and email input forms to area planners, utilities staff and other personnel, and conduct
telephone or in-person interviews as appropriate
Assess project area demographics and growth trends, ATLAS maps, satellite images and other data
sources prior to conducting interviews and field visit
Conduct field visit according to guidance
Prepare draft ICE and submit via ETRACS request to Community Studies for review and comments
Revise ICE based on Community Studies comments and submit via email to Community Studies for
final review
Finalize ICE and submit via email to Community Studies for distribution, ATLAS upload and posting
to ATLAS Workbench.
Community Studies coordinates the ICE Matrix finding with Mitigation and ICI, and scopes a Land
Use Scenario Assessment if warranted by permitting needs
Develop Community Impacts Assessment
To document the avoidance, minimization, and mitigation of impacts of a project alternative on
community resources, as well as of any unresolved impacts remaining at preliminary design, a Community
Impacts Assessment is prepared. As assigned, the consultant develops a Community Impact Assessment
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based on current templates, guidance, and tools maintained by Community Studies, and using the DCIA
and DSA from the Community Characteristics Report (CCR), if one was prepared, or developing these areas
if not. Projects following a standard schedule incorporate data from the CCR by reference. Projects that
have experienced delays coordinate with Community Studies to determine if any CCR data is to be
updated. For more complex or potentially controversial projects, the Project Manager may request that
Community Studies direct contract staff to develop the Community Impact Assessment and coordinate
with Public Involvement and Office of Civil Rights. All generated materials are reviewed and approved by
Community Studies, with activities that include:
Download the latest templates, guidance, and tools
If no CCR was done, develop Demographic Study Area (DSA) and Direct Community Impact Area
(DCIA) in accordance with guidance
If newly developed, coordinate with Community Studies to approve the DSA and DCIA
Prepare and email input forms to area planners, schools and emergency management personnel,
and conduct telephone or in-person interviews as appropriate and when determined necessary by
Community Studies
Assess project area demographics, ATLAS maps, satellite images and other data sources prior to
conducting interviews and field visit in accordance with guidance
Conduct field visit according to guidance
Prepare draft CIA and submit via ETRACS request to Community Studies for review and comments.
Revise CIA based on Community Studies comments and submit via email to Community Studies for
final review
Finalize CIA and submit via email to Community Studies for distribution, ATLAS upload and posting
to ATLAS Workbench.
Section 4(f) (recreational, not historic) and Section 6(f) resource presence are identified during
Community Studies screening or by the CCR. If potential resource impacts to public parks, recreation
areas, waterfowl and/or wildlife refuges are identified as part of the Community Impact Assessment, the
project manager coordinates with Federal Highway Administration about resources protected under
Section 4(f) of the Department of Transportation Act (applies to federal projects only) or with NC
Department of Environmental Quality about resources protected under Section 6(f) of the Land and Water
Conservation Fund Act (applies to all projects), and cooperate with other stakeholders, as appropriate.
Develop Land Use Scenario Assessment
If indicated by findings of the Indirect and Cumulative Effects matrix, or at the request of a permitting or
resource agency (e.g., USACE, NCDWR, USFWS, etc.) a consultant is assigned and develops a Land Use
Scenario Assessment (LUSA) report based on current templates, guidance, and tools maintained by
Community Studies, and develops one or more Potential Development Areas (PDAs) within the Future
Land Use Study Area (FLUSA). The purpose of a LUSA is to map and compare existing conditions within
PDAs with future projections based on Build and No Build scenarios. For projects in high growth areas or
for Merger projects, the Project Manager may request that Community Studies direct contract staff to
develop the LUSA and coordinate with Mitigation and ICI. All generated materials are reviewed and
approved by Community Studies, with activities that include:
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Download the latest templates, guidance, and tools
Develop Potential Development Areas (PDAs) in accordance with guidance
Coordinate with Community Studies to approve the PDAs
Prepare and email input forms to area planners, development review staff and other personnel, and
conduct telephone or in-person interviews as appropriate
Assess project area development trends, development approvals and permits, ATLAS maps, satellite
images and other data sources prior to conducting interviews and field visit
Conduct field visit according to guidance
Prepare draft LUSA and submit via ETRACS request to Community Studies for review and comments
Revise LUSA based on Community Studies comments and submit via email to Community Studies
for final review
Finalize LUSA and submit via email to Community Studies for distribution, ATLAS upload and posting
to ATLAS Workbench.
Community Studies coordinates the LUSA findings with Mitigation and ICI as needed for permitting
Review NEPA/SEPA Document
The Project Manager submits an ETRACS request for Community Studies to review the relevant sections
of NEPA or SEPA documents, as needed.
This review is to:
Focus on the accuracy of the information in the document.
Ensure that avoidance, minimization measures have been captured, and that any outstanding issues
are document and adequality explained.
Ensure the Project Special Commitments (Green Sheets) agreements made with stakeholders have
been captured.
Community Studies uploads the comments on the NEPA/SEPA document to the project SharePoint site.
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Overview: Complete Cultural Resource Tasks
Determine the potential effects of projects to cultural resources, historic architecture and archaeology,
as required by Section 106 of the National Historic Preservation Act and Section 4(f) (applies to federal
projects only). Section 4(f) resources may also include publicly owned public parks and recreation lands
and waterfowl and wildlife refuges, in addition to historic resources. These additional resource types are
identified and discussed in the Community Impact Assessment.
References
Programmatic Agreement Manual for Minor Transportation Projects in North Carolina
Historic Architecture Group Procedures and Work Products
Archaeology Work Products
Tribal Coordination Protocol
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Cultural
Resource
Specialist
Project Manager
Historic Architecture and Landscapes No Survey
Required Form
Complete Cultural Resource Screening
X
No Archaeological Survey Required Form Complete Cultural Resource Screening X X
Historic Architecture and Landscapes Survey
Required Form (if needed)
Complete Cultural Resource Screening X X
Archaeological Survey Required Form (if
needed)
Complete Cultural Resource Screening X X
Archaeology Report Complete Archaeology Report
X X
No National Register of Historic Places Eligible
or Listed Archaeological Sites Present Form
Complete Archaeology Report X X
Archaeology Assessment of Effects Required
Form
Complete Archaeology Report X X
Historic Architecture Building Inventory
Complete Historic Architecture Building
Inventory
X X
No Historic Architecture and Landscapes Effects
Required Form (if needed)
Complete Historic Architecture Building
Inventory
X
X
Historic Architecture Eligibility Evaluation
Report
Complete Historic Architecture Eligibility
Evaluation Report
X X
Historic Architecture and Landscapes Effects
Required Form
Complete Historic Architecture Eligibility
Evaluation Report
X X
No National Register of Historic Places Eligible
or Listed Historic Properties Present Form
Complete Historic Architecture Eligibility
Evaluation Report
X X
No National Register of Historic Places Eligible
or Listed Archaeological Sites Affected Form
Conduct Cultural Resource Effects
Determination (Archaeological)
X X
No National Register of Historic Places Eligible
or Listed Archaeological Sites Adversely
Affected Form
Conduct Cultural Resource Effects
Determination (Archaeological)
X X
Archaeological Adverse Effect Determination
Form
Conduct Cultural Resource Effects
Determination (Archaeological)
X X
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Deliverable Task
Responsible Party
Activity Leader Additional Support
Cultural
Resource
Specialist
Project Manager
National Register of Historic Places Eligible or
Listed Historic Properties Effects Determination
Form
Conduct Cultural Resource Effects
Determination (Historic Architecture and
Landscapes)
X
X
No National Register of Historic Places Eligible
or Listed Historic Properties Present Form
Complete form
Upload to SharePoint
X
No National Register of Historic Places Eligible
or Listed Historic Properties Affected Form
Complete form
Upload to SharePoint
X
Draft Finding of Adverse Effect Develop Section 106 MOA
X
X
MOA Develop Section 106 MOA
X
X
Comments on NEPA/SEPA Document Review NEPA/SEPA Document
Identify Section 4(f) and6(f) Resources (if needed)
The Cultural Resource Specialist reviews the study area to determine if Section 4(f) or Section 6(f)
resources are present. The Project Manager determines if Section 6(f) resources are present and
coordinates with PICSViz if present. Cultural Resources is involved if the Section 6(f) qualified to be
included in the National Register of Historic Places (NRHP)
If present, the Project Manager and the Cultural Resources Specialist coordinate to determine if the
project has the potential to impact these properties.
Complete Cultural Resource Screenings (if needed)
The Cultural Resources Specialists for Historic Architecture and Archaeology shall determine and
document the discipline-specific Area of Potential Effects for the project based on the study area. Using
the best available information, the Cultural Resources Specialists determine if there are any known or
potential historic property(ies) or archaeological sites that exist in the Area of Potential Effect and
determines the need for further field surveys.
The Cultural Resources Specialists may issue a No Survey Required Form or a Survey Required Form
for historic architecture and archaeology and posts the forms to the project SharePoint site. The
Historic Architecture Culture Resource Specialist may issue a Survey Required Form, and the
Archaeological Culture Resource Specialist may issue a No Survey Required form or vice versa. The
two Specialists may also issue the same form.
If there is a known historic property(ies) or archaeological site(s) and the Cultural Resources
Specialist can reasonably predict that the scope of the undertaking does not have the potential to
effect the resource(s), the Cultural Resources Specialist may issue a No National Register of Historic
Places Eligible or Listed Historic Properties Present or Affected Form or a No National Register of
Historic Places Eligible or Listed Archaeological Sites Present or Affected Form.
If the known historic property or archaeological site may be affected, the Cultural Resources
Specialists issue an Historic Architecture and Landscapes Assessment of Effects Form or an
Archaeology Assessment of Effects Required Form .
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The Cultural Resources Specialists uploads the applicable form(s) to the project SharePoint site.
Complete Archaeology Report (if needed)
If the Cultural Resources Screening for archaeology determines that a survey is required, the Cultural
Resources Specialist initiates a survey to identify any currently unknown archaeological sites in
accordance with applicable guidelines, standards, and regulations. If archaeological sites are identified,
the Cultural Resources Specialist evaluates the eligibility for listing on the National Register of Historic
Places. The Cultural Resources Specialist incorporates information provided by consulting parties and
Native American Tribes when evaluating the site’s eligibility.
If the Cultural Resources Specialist determines that no sites are listed or eligible for listing in the
National Register of Historic Places, a No National Register of Historic Places Eligible or Listed
Archaeological Sites Present Form is issued.
If the Cultural Resources Specialists determines that sites are listed or eligible for listing in the
National Register of Historic Places, an Archaeology Assessment of Effects Required Form is issued.
The Cultural Resources Specialist uploads the applicable Cultural Resource Form to the ATLAS Workbench
site, notifying the Project Manager.
Complete Historic Architecture Building Inventory (if needed)
If the Cultural Resources Screening for historic architecture determines that a survey is required, the
Cultural Resources Specialist for historic architecture initiates a survey to identify historic properties in
accordance with the Historic Architecture Group Procedures and Work Products Manual and applicable
guidelines, standards and regulations.
If potential historic properties are identified, the Cultural Resources Specialist evaluates the
eligibility for listing on the National Register of Historic Places. The Cultural Resources Specialist
incorporates information provided by consulting parties and Native American Tribes when
evaluating the properties eligibility.
If properties are identified as being potentially eligible for listing on the National Register of Historic
Places, the Cultural Resources Specialists has a full Evaluation Report completed.
If no properties are identified as being potentially eligible for listing on the National Register of
Historic Places, the Cultural Resources Specialists issues the No National Register of Historic Places
Eligible or Listed Historic Properties Present or Affected Form.
The Cultural Resources Specialist uploads the applicable historic architecture form to the ATLAS
Workbench site, notifying the Project Manager.
Complete Historic Architecture Eligibility Evaluation Report (if needed)
If historic properties that are potentially eligible for listing on the National Register of Historic Places are
identified during the Building Inventory, an Evaluation Report is completed. This report is submitted to
the Historic Preservation Office and consulting parties for comments.
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If the Historic Preservation Office concurs that there are historic properties eligible for listing on the
National Register of Historic Places, the Cultural Resources Specialist issues a Historic Architecture
and Landscapes Assessment of Effects Form.
If the Historic Preservation Office concurs that there are no historic properties eligible for listing on
the National Register of Historic Places, the Cultural Resources Specialist issues a No National
Register of Historic Places Eligible or Listed Historic Properties Present Form.
The Cultural Resources Specialist uploads the applicable historic architecture form to the ATLAS
Workbench site, notifying the Project Manager.
Conduct Cultural Resource Effects Determination (if needed)
Archaeological Effects
The Cultural Resources Specialist determines if the National Register of Historic Places listed or eligible
sites are affected by the project.
If National Register of Historic Places listed or eligible archaeological sites are present but not
affected, the Cultural Resources Specialist issues a No National Register of Historic Places Eligible or
Listed Archaeological Sites Present or Affected Form.
If National Register of Historic Places eligible or listed archaeological sites are affected, Cultural
Resources Specialist issues the Archaeological Adverse Effect Determination Form and follows the
stipulations outlined in the Programmatic Agreement, including data recovery if needed.
The Cultural Resources Specialist uploads the applicable archaeological form to the ATLAS Workbench
site, notifying the Project Manager.
Historic Architecture and Landscapes Effects (if needed)
The Cultural Resources Specialist determines if National Register of Historic Places listed or eligible historic
architecture sites are affected by the project. After an Historic Architecture and Landscapes Assessment
of Effects Form is issued, the Project Manager ensures that the historic boundary is included on the design
plans and requests an Effects meeting with the lead Federal Agency and Historic Preservation Office to
request concurrence on affects to historic properties.
Following the meeting, the Cultural Resources Specialist issues a Historic Architecture and Landscapes
Assessment of Effects Form and follows the stipulations outlined in the Programmatic Agreement.
The Cultural Resources Specialist uploads the applicable Cultural Resource Form to the ATLAS Workbench
site, notifying the Project Manager.
Develop Section 106 MOA (if needed)
After consultation has concluded with all appropriate parties and it is determined that an Adverse Effect
cannot be avoided, the Cultural Resources Specialist(s), for the affected resource(s), prepares a draft
Finding of Adverse Effect for the lead federal agency so that the Advisory Council on Historic Preservation
can be notified of the adverse effect finding. The lead federal agency reviews and distributes the Finding
of Adverse Effect document to applicable parties.
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2EN2 Advance Human Environment Tasks 17
October 2020
NCDOT
The Cultural Resources Specialist(s) then works with the Historic Preservation Office, the lead federal
agency, and other applicable parties to negotiate the terms of a Memorandum of Agreement (MOA) and
uploads it to the ATLAS Workbench site.
Review of NEPA/SEPA Document
The Project Manager submits an ETRACS request Cultural Resources Specialist(s) to review the relevant
cultural resources discussions of NEPA/SEPA documents as needed. This review is to:
Focus on the accuracy of the information in the document.
Ensure that avoidance and minimization measures have been captured.
Ensure the Project Special Commitments (Green Sheets) agreements made with the agencies have
been captured.
Cultural Resources Specialist(s) uploads comments on the NEPA/SEPA document to the project SharePoint
site, notifying the Project Manager.
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Project
Initiation
Alignment
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Plan-in-Hand
PS&E
Letting
2EN2 Advance Human Environment Tasks 18
October 2020
NCDOT
Overview: Traffic Noise and Air Quality
Complete the traffic noise analysis, Traffic Noise Report, Air Quality Reports, and any prerequisite
deliverables and tasks, once alternatives have been developed.
References
NCDOT Traffic Noise Policy
NCDOT Traffic Noise Manual
NCDOT Air Quality Handbook
Air Quality Handbook Appendix A
Air Quality Handbook Appendix B
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Traffic Noise and Air
Quality Project
Manager
Traffic Noise and Air
Quality Group
Team Member/
On-call Consultant
Traffic Noise Work Plan
Develop Traffic Noise Work Plan X X
Right of Entry Letter
Traffic Noise Report
Complete the Traffic Noise Report X X
Perform Noise Model Validation
Air Quality Report
Prepare Air Quality Report X X
Develop Traffic Noise Work Plan
The consultant or Traffic Noise and Air Quality team member develops a draft Traffic Noise Work Plan
based on current templates and guidance included in the Traffic Noise Manual maintained by Traffic Noise
and Air Quality group as defined in above references. The draft Traffic Noise Work Plan identifies items
such as noise study areas, noise-sensitive receptors, and potential noise measurement locations.
With the submission of the draft Traffic Noise Work Plan, a Traffic Noise and Air Quality team
member submit a draft right of entry letter using the standard template.
The work plan and right of entry letters are approved by the Traffic Noise and Air Quality Project
Manager prior to any noise measurements or noise modeling.
The Traffic Noise and Air Quality Project Manager then issues a right of entry letter.
Complete the Traffic Noise Report
The consultant or Traffic Noise and Air Quality specialist develops a draft Traffic Noise Report based on
current templates and guidance maintained by Traffic Noise and Air Quality group and in accordance with
the Traffic Noise Manual. The draft Traffic Noise Report evaluates the existing and no-build conditions,
and the build conditions for each detailed study alternative. Mitigation is considered for all impacted
receptors.
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2EN2 Advance Human Environment Tasks 19
October 2020
NCDOT
If the draft Traffic Noise Report is prepared by an on-call consultant, the Project Manager submits
an ETRACS request to Traffic Noise and Air Quality group to review the draft Traffic Noise Report.
The on-call consultant revises the draft Traffic Noise Report based on Traffic Noise and Air Quality
group comments.
The revised Traffic Noise Report and a memo describing the response to each comment is submitted
via ETRACS.
Additional reviews and rounds of comments are prepared as necessary to finalize the Traffic Noise
Report.
Perform Noise Model Validation
An on-call consultant or Traffic Noise and Air Quality Project Manager conducts validation of project
models using the noise measurement results in accordance with the Traffic Noise Manual.
The Project Manager uploads the final Traffic Noise Report to the ATLAS Workbench. Traffic Noise and Air
Quality group supplies streamlined text for the environmental document, Noise Study Areas, and the
location of long-term measurement sites to the Project Manager for use in the environmental document.
Prepare Air Quality Report
The consultant completes the Air Quality Template to perform a Project-Level Air Quality Analysis, if
required based on the type and extent of the project.
Once Notice to Proceed has been issued, perform the air analysis and submit the draft Air Quality
Report, as described in the 2020 NCDOT Air Quality Handbook, to the Traffic Noise and Air Quality
group for review and comment.
After the Traffic Noise and Air Quality group comments are received, prepare a final Air Quality
Report.
The Traffic Noise and Air Quality group provides a draft of the Streamlined Project-Level Air Quality
Text for use in the environmental document.
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Project
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Plan-in-Hand
PS&E
Letting
3EN1 Complete Permit, Commitments, and Design Noise Report 20
October 2020
NCDOT
3EN1 Complete Permit, Commitments, and Design Noise Report
Overview
Apply for the required project permits once drawings have been completed and impacts are calculated.
Prepare the Design Noise Report and compile obligations from the environmental document, avoidance
and minimization measures, Project Special Commitments, and completed Section 106 Memorandum of
Agreement (MOA) and Section 7 consultation, as appropriate.
References
Permit Application Timeline
Permit Types and Due Dates
Individual Permit Application Template
e-PCN
NCDOT Traffic Noise Policy
NCDOT Traffic Noise Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Permit Applications Prepare Permit Applications
ECAP Project Manager or
Division Environmental Officer
ECAP Team Lead or
NCDOT Project Management Unit/
Division Project Manager
Design Noise Report Develop Design Noise Report
Traffic Noise and
Air Quality Group
Project Manager or
On-call Consultant
Prepare Permit Applications
The ECAP Project Manager receives draft permit drawings for review of completeness, avoidance and
minimization measures, and accurate capturing of impact type and location. Based on this information,
the ECAP Project Manager submits applications for the following permits and others, as appropriate:
Section 404: Nationwide, Regional General, or Individual Permit (USACE)
Section 401: Water Quality Certification (NCDWR)
Buffer Permit (NCDWR)
Coastal Area Management Act (CAMA) Permit (NC Division of Coastal Management)
Section 10 Permit (USACE and US Coast Guard)
Federal Energy Regulatory Commission (FERC) Permit
Once the permit applications have been submitted to the appropriate agency(ies), the ECAP Project
Manager notifies the Project Manager and the applicable units/disciplines.
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3EN1 Complete Permit, Commitments, and Design Noise Report 21
October 2020
NCDOT
Develop Design Noise Report
The consultant or Traffic Noise and Air Quality specialist develops a draft Design Noise Report based on
current templates and guidance maintained by Traffic Noise and Air Quality group and in accordance with
the Traffic Noise Manual. The Design Noise Report evaluates the entire preferred/selected alternative,
considers mitigation for all impacted receptors and creates a noise wall envelope(s) in MicroStation for
any noise wall(s) found to be feasible and reasonable.
If the Design Noise Report is prepared by a consultant, the Project Manager submits an ETRACS
request to the Traffic Noise and Air Quality group to review of the draft Design Noise Report.
The consultant revises the draft Design Noise Report based on the Traffic Noise and Air Quality
group comments.
The revised Design Noise Report and a memo describing the response to each comment is
submitted via ETRACS.
Additional reviews and rounds of comments are prepared as necessary to finalize the Design Noise
Report.
When a draft Design Noise Report is submitted, the Traffic Noise and Air Quality group is responsible for
circulating the Design Noise Report to all appropriate parties for inter-disciplinary review to identify
feasibility concerns. This includes Division, Utilities, Signing and Delineation, Geotech, Structures, Rail, and
other appropriate parties to review for hydraulics and roadway.
If feasibility concerns are identified, Traffic Noise and Air Quality group works with the consultant team
and the reviewing party to resolve.
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PS&E
Letting
3EN2 Determine Final Noise Abatement 22
October 2020
NCDOT
3EN2 Determine Final Noise Abatement
Overview
Complete this step when noise abatement is found feasible, reasonable, and recommended for a project.
If applicable, conduct the balloting process (detailed in the Traffic Noise Manual) to determine who is for
or against the noise wall construction. Prepare a memorandum that summarizes the public balloting
process, results, and final determination of noise wall installation.
References
NCDOT Traffic Noise Policy
NCDOT Traffic Noise Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
Traffic and Air
Quality Project
Manager
Traffic and Air Quality
Team Member/
On-call Consultant
Benefited Receptor Mailing List Conduct Noise-Related Public Ballot Process X X
Notice of Upcoming Ballot and/or
Public Noise Meeting
Conduct Noise-Related Public Ballot Process X
Noise Ballots Conduct Noise-Related Public Ballot Process X X
Memorandum on final determination
of noise abatement
Prepare Memorandum on Final Determination of
Noise Abatement
X X
Conduct Noise-Related Public Ballot Process
The Traffic Noise and Air Quality group conducts the noise-abatement public ballot process detailed in
the Traffic Noise Manual. The process determines the preferences of noise barrier construction (for or
against) of property owners and tenants of all benefited receptors (including properties represented by
equivalent receptors).
Prepare Memorandum on Final Determination of Noise Abatement
To prepare this memorandum, the Traffic Noise and Air Quality group:
Documents the final determination on which noise abatement measures are to be implemented for
a project and then notifies the Project Manager, FHWA, and other appropriate parties.
Prepare the Memorandum on the Final Determination of Noise Abatement.
Uploads it to ATLAS Workbench and provides it to the Project Manager for distribution to the
appropriate parties (e.g., the Roadway Design Lead, Structures Lead, and Geotechnical Design
Geotechnical Engineer).
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Letting
4EN1 Secure Environmental Permits 23
October 2020
NCDOT
4EN1 Secure Environmental Permits
Overview
Coordinate with the agency representative for any additional information that is needed to issue the
permit(s). Once the agency(ies) issues the permit(s), update the Project Special Commitments (Green
Sheets) to include any special permit conditions and prepare the permit package for distribution.
References
Project Special Commitments (Green Sheets) Guidance
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
ECAP
Project Manager
ECAP
Team Leader
Permit Package
Finalize Permit Package and Address
Agency Comments
X X
Project Special Commitments (Green Sheets) Update Project Commitments X
Finalize Permit Package and Address Agency Comments
The ECAP Project Manager coordinates with the agency representative as necessary to finalize the needed
permits for the project. These permits may include:
Section 404 - Nationwide, Regional General, or Individual Permit (USACE)
Section 401 - Water Quality Certification (NCDWR)
Buffer permit (NCDWR)
Coastal Area Management Act (CAMA) (NC Division of Coastal Management)
Section 10 Permit (USACE and US Coast Guard)
Federal Energy Regulatory Commission (FERC) Permit
When the permits are received, the ECAP Manager reviews them for any additional permit conditions
required by agencies. If there are additional permit conditions, the ECAP Project Manager ensures they
are included in the Project Special Commitments (Green Sheets). The ECAP Project Manager also develops
and uploads a permit package that includes all project permits and notifies the Project Manager, Contract,
Preconstruction Unit Heads, and Division.
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Project
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PS&E
Letting
1EP1 Review Project Scoping Report and Merger Process 1
October 2020
NCDOT
1EP1 Review Project Scoping Report and Merger Process
Overview
Assist with the development and/or review of Merger Pre-Screening, Merger Screening (if needed),
Merger Concurrence Point 1 (CP 1) (if needed), Project Scoping Report, and Project Initiation forms in
accordance with NCDOT Merger Pre-screening Guidance and NCDOT Merger Guidance.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
NCDOT Merger Pre-Screening Guidance
NCDOT Project Scoping Report
NCDOT Project Initiation Form
NCDOT Merger Guidance
Merger Calendar
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Lead
Environmental Policy
Unit
Merger Pre-ScreeningReview Pre-
Screening Form
Review Pre-Screening Form
Schedule Merger Screening Meeting
X X
Merger Plan Coordinate and Review Merger Plan X X
Comments on Project Scoping Report Review Project Scoping Report X
Merger CP1 Procedure and Packet
Setup Merger CP1 Meeting
Review Merger CP1 Meeting Packet
Host Merger CP1 Pre-meeting
Distribute Merger CP1 Meeting Materials
and Conduct Meeting
X X
Comments on Merger CP1 Meeting
Summary
Distribute Merger CP1 Meeting Materials
and Conduct Meeting
X
Merger CP1 Meeting Video
Distribute Merger CP1 Meeting Materials
and Conduct Meeting
X X
Review Pre-Screening Form
The Environmental Policy Unit reviews each Merger Pre-Screening Form to ensure that the form has been
completely and accurately filled out. The Project Lead sends a request via ETRACS for the Environmental
Policy Unit to assign a reviewer to the completed draft form. The Environmental Policy Unit conducts the
review within one week of receipt.
After reviewing the form, the Environmental Policy Unit leads the following activities:
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1EP1 Review Project Scoping Report and Merger Process 2
October 2020
NCDOT
If a project pre-screens out of the Merger Process and the Environmental Policy Unit agrees,
approve and upload the form to ATLAS.
If a project pre-screens into the Merger Process and the Environmental Policy Unit disagrees,
schedule a Merger Screening meeting and revise and file the form.
If a project pre-screens out of the Merger Process and the Environmental Policy Unit disagrees,
schedule a Merger Screening meeting and revise and file the form.
If a project pre-screens into the Merger Process and the Environmental Policy Unit agrees, schedule
a Merger Screening meeting and file the form.
The Environmental Policy Unit task lead places completed the Merger Pre-Screening form on the ATLAS
Workbench.
Schedule Merger Screening Meeting
If needed, the Environmental Policy Unit schedules and attends the Merger Screening meetings. The
Environmental Policy Unit provides assistance with regards to:
Environmental regulations
Merger process
Facilitation if issues arise during the meeting
Review of the draft Merger Plan, if the project proceeds into the Merger Process
Coordinate and Review Merger Plan
If a project screens into the Merger Process, the Project Lead develops the Merger Plan in coordination
with the Environmental Policy Unit. Plan development is to be discussed during the Merger Screening
Meeting to streamline and customize the Merger Process to benefit the project.
The Project Lead sends an ETRACS request to the Environmental Policy Unit to review the draft Merger
Plan. The Environmental Policy Unit reviews the Merger Plan prior to finalization and distribution to the
Merger Team, posting the Plan to the project SharePoint site. The Merger Plan is a living document,
updated at each concurrence point. Upon completion of the Merger Process, the final Merger Plan is
posted to the ATLAS Workbench.
Review Project Scoping Report
The Project Lead develops an ETRACS request for the Environmental Policy Unit to review the Project
Scoping Report. The Environmental Policy Unit reviews and provides comments for each Project Scoping
Report to ensure the document is complete and accurate, completing the review within one week of
receipt. The completed review is placed on the project SharePoint site.
Attend Project Initiation Meeting
The Environmental Policy Unit attends the Project Initiation Meeting and is available to assist as the
Project Manager takes over the project from the Project Lead at the time of Notice to Proceed and the
Alignment Defined Stage. The Environmental Policy Unit assists the Project Manager in establishing the
type of National Environmental Policy Act (NEPA) and State Environmental Policy Act (SEPA)
documentation to be prepared for the project.
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Letting
1EP1 Review Project Scoping Report and Merger Process 3
October 2020
NCDOT
Setup Merger CP1 Meeting
In general, the formal Merger Screening Meeting and Merger CP1 is a combined meeting. If to be held
separately, the Project Manager sends an ETRACS request to the Environmental Policy Unit to set a time
for a Merger CP1 meeting on the Merger Calendar. The Project Manager consider the following when
requesting a meeting:
The request take place at least two months in advance of the requested date.
Dates have been reserved each month for in-person Merger meetings in Raleigh.
A calendar is posted each year with selected dates for western and eastern projects.
While it is expected that all Merger meetings be held in Raleigh on the selected dates so Merger Team
members can plan accordingly, it is possible to have meetings on other dates or in other locations. For
instance, some meetings may require a field visit and are held at a location near the project (e.g., Division
office) and/or on-site.
Review Merger CP1 Meeting Packet
The Project Lead provides the draft Merger CP1 meeting packet to the Environmental Policy Unit for
review. This packet is to include:
Meeting purpose
Project description, vicinity map, and study area figure
Nearby State Transportation Improvement Program (STIP) projects
Project schedule
Identified needs
Proposed purpose
Proposed Purpose and Need Statement
Proposed study area
Avoidance and minimization measures to date
The Environmental Policy Unit reviews the meeting packet within one week of receipt. For a Purpose and
Need statement that involves safety, the Environmental Policy Unit is to collaborate safety data with the
Traffic Safety Unit (see 1TS1 for related information).
Host Merger CP1 Pre-Meeting
Current policy requires a pre-meeting prior to the Merger CP1 meeting. As part of setting up the meeting,
the Environmental Policy Unit is to host a pre-meeting with members of the Merger Team to solicit any
questions or concerns the agencies might have.
Pre-meetings include, at a minimum, NCDOT, Federal Highway Administration (FHWA) (for federal
projects), US Army Corps of Engineers (USACE), and the North Carolina Division of Water Resources
(NCDWR).
All pre-meetings are scheduled a minimum of three weeks in advance of the respective Merger
meeting to allow adequate time to modify the Merger packet, if necessary.
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1EP1 Review Project Scoping Report and Merger Process 4
October 2020
NCDOT
The project team is prepared to address any concerns expressed at the pre-meeting prior to or at the
Merger meeting (i.e., in the Merger packet or in the meeting presentation).
Distribute Merger CP1 Meeting Materials and Conduct Meeting
The Environmental Policy Unit ensures that the completed Merger CP1 meeting packet and relevant
logistical information (e.g., meeting invitation, videoconference link, and/or teleconference number) is
circulated to Merger Team members at least two weeks prior to the scheduled meeting date. The
Environmental Policy Unit is to also secure audio and visual equipment, a telephone conference number,
and video meeting link, starting these at the beginning of the meeting. The Environmental Policy Unit
attends the meeting and can provide a recording of the meeting video upon request.
After the meeting, the Environmental Policy Unit reviews the draft meeting summary and provides
comments within one week.
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Project
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Letting
2EP1 Merger Assistance and Environmental Document Review 5
October 2020
NCDOT
2EP1 Merger Assistance and Environmental Document Review
Assist with helping projects navigate the Merger Process (if applicable for the project), review all
environmental documents, and conduct annual reviews of environmental documents to ensure
consistency and compliance.
References
NCDOT Merger Guidance
FHWA NCDOT CE Agreement
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Environmental
Policy Unit
Project Manager
Comments on Merger CP
Packet
Review Merger CP Meeting Packet X
X (The Project Manager develops
and submits the packet to the
Environmental Policy Unit)
Comments on Merger Public
Engagement Materials
Review Merger Public Engagement Materials X X
Merger CP Meeting Video
Recording (as requested)
and/or Meeting Minutes
Distribute Merger CP Meeting Materials and
Conduct Meeting
X
Merger CP Meeting Video
Recording (as requested) and/or
Meeting Minutes
Comments on Environmental
Documents
Review Environmental Documents
Review Section 4(f) Documentation
X X
Annual CE Review and Report
Provide Categorical Exclusions (CE) Compliance
Review
X
The following tasks are required for all Merger Concurrence Point (CP) meetings (i.e., CP2, CP2A, CP3, and
CP4A), unless specifically noted below.
Setup Merger CP Meeting
All merger meetings can be in person, online/teleconference, or coordinated via email. The Environmental
Policy Unit’s activities begin when the Unit receives an ETRACS request to place a Merger CP meeting on
the Merger Calendar. This request takes place at least two months in advance of the requested date.
Dates have been reserved each month for in-person Merger meetings in Raleigh. A calendar is posted
each year with selected dates for western and eastern projects.
While it is expected that all Merger meetings are held in Raleigh on the selected dates so Merger Team
members can plan accordingly, it is possible to have meetings on other dates or in other locations. For
instance, some meetings may require a field visit and are held at a location near the project (e.g., Division
office) and/or on-site.
For the Merger CP2A meeting, the project team may elect to schedule a field meeting to review the
proposed major crossing structure locations and get a better idea of the quality of the impacted
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2EP1 Merger Assistance and Environmental Document Review 6
October 2020
NCDOT
resources. If needed, the Project Manager is to coordinate the meeting date, time, and location with
the Merger Team, notifying the Environmental Policy Unit as a courtesy.
Review Merger CP Meeting Packet
The Project Manager provides the draft Merger CP meeting packet to the Environmental Policy Unit for
review, which minimally includes the following for each Merger CP:
Meeting purpose
Project description, vicinity map, and study area figure
Summary of Merger Process decisions to date
Nearby STIP projects
Project schedule
Summary of public engagement (as applicable)
Avoidance and minimization measures to date
For Merger CP2, the packet also includes:
Summary of alternatives considered
Summary of proposed detailed study alternatives
For Merger CP2A, the packet also includes:
Water resources summary
Major Hydraulic Crossings and Alignment Review
For Merger CP3 and CP4A, the packet also includes:
Cost Estimates
Impact summary
Recommended least environmentally damaging practicable alternative (LEDPA)
Avoidance and minimization measures summary for each concurrence point and for any activities
that have taken place since Merger CP3
The Environmental Policy Unit reviews the draft Merger CP meeting packet within one week of receipt.
Host Merger CP Pre-Meeting
Prior to a scheduled Merger meeting, the project team may host a call with the Merger Team to solicit
any questions or concerns the agencies might have.
Pre-meetings include, at a minimum, NCDOT, Federal Highway Administration (FHWA) (for federal
projects), US Army Corps of Engineers (USACE), and the North Carolina Division of Water Resources
(NCDWR).
All pre-meetings are scheduled a minimum of three weeks in advance of the respective Merger
meeting to allow adequate time to modify the Merger packet, if necessary.
Pre-meetings are required at Merger CP3 and are encouraged at Merger CP2, CP2A, and CP4A for complex
projects. The project team is prepared to address any concerns expressed at the pre-meeting prior to or
at the Merger meeting (i.e., in the Merger packet or in the meeting presentation).
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2EP1 Merger Assistance and Environmental Document Review 7
October 2020
NCDOT
Distribute Merger CP Meeting Materials and Conduct Meeting
The Environmental Policy Unit ensures that the completed packet and relevant logistical information (e.g.,
meeting invitation, videoconference link, and/or teleconference number) is circulated to Merger Team
members at least two weeks prior to the scheduled meeting date. The Environmental Policy Unit is to also
secure audio and visual equipment, a telephone conference number, and video meeting link, initiating
each at the beginning of the meeting. The Environmental Policy Unit attends the meeting and can provide
a recording of the meeting video upon request.
After the meeting, the Environmental Policy Unit reviews the draft meeting summary and provides
comments within one week.
Review Merger Public Engagement Materials
Public engagement (e.g. public meeting, newsletter) for a project in the Merger process includes items
found in the Merger Guidance to meet USACE regulations. The Environmental Policy Unit reviews the
draft public engagement materials for Merger projects to ensure compliance with USACE regulations.
Review Environmental Documents
The Environmental Policy Unit is responsible for providing quality control reviews for all National
Environmental Policy Act (NEPA) (Environmental Assessments [EAs]/Findings of No Significant Impact
[FONSIs], Environmental Impact Statements [EISs], and Records of Decision [RODs]) and State
Environmental Policy Act (SEPA) documents. Upon request of the Project Manager via ETRACS, the
Environmental Policy Unit may also provide quality control reviews of Categorical Exclusions (CEs) and
Minimum Criteria Determination Checklist (MCDCs). Once an ETRACS request is received, the
Environmental Policy Unit:
Reviews the environmental documents (draft and final versions) and provides comments back to
the preparer within three weeks of receipt.
Aids the Project Manager with lead federal agency review.
Ensures the final environmental document is uploaded to the ATLAS Workbench.
Review Section 4(f) Documentation
The Environmental Policy Unit is available to help coordinate and complete Section 4(f) documentation,
as needed.
Often completed with the draft environmental document and is necessary when a project is
impacting a Section 4(f) recreational resource. (The Environmental Analysis Unit [Cultural
Resources] staff generally coordinates Section 4(f) documentation for historic resource impacts.)
May involve de minimis or “programmatic use” coordination with FHWA and the local official with
jurisdiction, or it may involve more complex Section 4(f) use evaluations.
This documentation is very project specific. More information on this task is detailed on the Environmental
Policy Unit resource page.
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Project
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2EP1 Merger Assistance and Environmental Document Review 8
October 2020
NCDOT
Provide Categorical Exclusion (CE) Compliance Review
Under the terms of the NCDOT and FHWA Categorical Exclusion (CE) Programmatic Agreement, the
Environmental Policy Unit conducts an annual Compliance Review and Report of CEs completed by the
various Units and Divisions. The review includes at least one CE from each Unit or Division that developed
a CE within the calendar year and a total of at least 10 percent of all completed CEs.
As part of the Report, the Environmental Policy Unit develops a list of CEs completed by Type, which is
provided to FHWA. The Environmental Policy Unit develops and finalizes the Compliance Review Report,
making it available to NCDOT staff and FHWA. NCDOT and FHWA then meet to review areas of
improvement and best practices noted in the CE review and report, determining if trainings or other steps
are needed to ensure continued improvement in CE development.
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Project
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PS&E
Letting
1FS1 Conduct Candidate Project Analysis 1
October 2020
NCDOT
1FS1 Conduct Candidate Project Analysis
Overview
Determine the universe of projects being considered for submission in the next two cycles of project
prioritization.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Express Design Project Scoping Report Process
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
Feasibility
Studies/Corridor
Development Unit
Corridor Study/Feasibility Study
Evaluate Need for a Feasibility Study or
Corridor Study
X
Division Staff, MPO/RPO,
Transportation Planning
Candidate Projects List Develop Candidate Projects List
Provide System Planning Studies
It is anticipated that System Planning Studies are to be provided to the Corridor Development Engineer,
Metropolitan and/or Rural Planning Organizations (MPOs/RPOs), or Division staff (as appropriate) for
consideration of candidate projects.
The Feasibility Studies/Corridor Development Unit is available to assist with Systems Planning Studies, but
this Unit’s role occurs outside the normal Project Delivery Network process.
The results are compiled when developing the Candidate Projects List (see below).
Evaluate Need for a Feasibility Study or Corridor Study
Feasibility studies or corridor studies are a critical part of the Unit’s mission. The Feasibility
Studies/Corridor Development Unit leads these studies, but this effort occurs outside the normal Project
Delivery Network process. Feasibility studies and corridor studies are shared with the Divisions,
MPOs/RPOs, and the Corridor Development Engineers.
The results of these studies are used to develop the Candidate Projects List (see below).
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1FS1 Conduct Candidate Project Analysis 2
October 2020
NCDOT
Compile Corridor Study/PEL Study (TP/MPO/RPO)
The Feasibility Studies/Corridor Development Unit provides information on completed Systems Planning,
Feasibility, or Corridor Studies to the Corridor Development Engineer, MPOs/RPOs, or Division staff for
their use in developing candidate projects. Responses to these requests are anticipated to take five
business days from receipt.
The Feasibility Studies/Corridor Development Unit is available to assist as the project is being evaluated
prior to development of Express Designs as needed (see 1FS2 for related information).
Develop Candidate Projects List
In development.
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1FS2 Complete Express Design 3
October 2020
NCDOT
1FS2 Complete Express Design
Overview
As the first in-take of projects from external sources like Metropolitan Planning Organizations (MPOs),
Rural Planning Organizations (RPOs), and Division offices, produce a consistent and reliable description of
projects that includes a cost estimate, purpose and need statement, and high-level environmental
screening.
References
Express Design Project Scoping Report Process
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Feasibility Studies/Corridor
Development Unit
Assigned Private
Engineering Firm
Receive Project Express Design Evaluation
Request
X
Express Design Evaluation Conduct Express Design Evaluation X X
Package Finalize Express Design Deliverables X X
Submit the Express Design Evaluation X
Receive Project Express Design Evaluation Request
If the Project Lead determines that additional information is needed to fully evaluate a potential project,
he/she sends a request to the Feasibility Studies/Corridor Development Unit to conduct an Express Design
Evaluation.
Note: It is anticipated that all projects have an Express Design evaluation. As this process is being
implemented, the Feasibility Studies/Corridor Development Unit focuses on ensuring that all candidate
projects needing an Express Design Evaluation are developed and supplied to the Corridor Development
Engineer to allow for the project to be reviewed using SPOT On!ine and reviewed to determine if the
project is ready of prioritization submittal (see 1SP1 for related information).
If a project is submitted to the Strategic Prioritization Office (SPOT) and has not already had an Express
Design Evaluation initiated, then SPOT submits a Project Evaluation Request to the Feasibility
Studies/Corridor Development Unit for inclusion into the Express Design Evaluation program.
Conduct Express Design Evaluation
The Feasibility Studies/Corridor Development Unit performs Express Design Evaluations on candidate
projects as capacity permits.
To evaluate the candidate projects, the Feasibility Studies/Corridor Development Unit is to:
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1FS2 Complete Express Design 4
October 2020
NCDOT
Obtain the Long Range Transportation Plan (LRTP) (Metropolitan Transportation Plan [MTP] or
Comprehensive Transportation Plan [CTP]).
Coordinate with Metropolitan and/or Rural Planning Organizations (MPOs/RPOs)/Division
Engineer/Project Lead and possibly the impacted municipality or county.
Obtain existing traffic data (TPD) and perform appropriate level of capacity analysis in coordination
with the Transportation Planning Division (see 1TP1 for related information).
Coordinate with the Traffic Safety Planning Engineer to complete an Express Design traffic safety
screening (see 1TS1 for related information).
Coordinate with Traffic Management Unit (Congestion Management), as appropriate.
Conduct high-level environmental screening using ATLAS.
Conduct highway stormwater screening.
Prepare conceptual designs based on the Express Design.
Prepare ITS cost estimates.
Coordinates the conceptual construction cost estimate with the Contract Standards and
Development Unit (see 1CS1 for related information).
Coordinate the preliminary estimate of utility relocation cost with the Utilities Coordinator (see
1UT1 for related information).
Coordinate the conceptual right-of-way (ROW) cost estimate with the Central ROW Office (see
1RW1 for related information).
Finalize Express Design Deliverables
Following the Express Design Project Scoping Report Process, the Feasibility Studies/Corridor
Development Unit compiles a package of information developed during the Express Design Evaluation,
including the conceptual design, cost estimates, and Project Initiation Form (also known as the Express
Design Summary).
The Feasibility Studies/Corridor Development Unit coordinates with the local RPO/MPO to ensure that
the finalized Express Design is compatible with the local vision for the project. The Feasibility
Studies/Corridor Development Unit revises the Express Design, if needed.
The final Express Design is uploaded to the ATLAS Workbench, which copies the document package to the
Scoping Help SharePoint site.
Submit the Express Design Evaluation
The Feasibility Studies/Corridor Development Unit submits the Express Design Evaluation to SPOT,
including the anticipated costs of the improvements. In addition, the Feasibility Studies/Corridor
Development Unit notifies key NCDOT and MPO/RPO partners of the package being complete.
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1FS3 Complete Project Scoping Report 5
October 2020
NCDOT
1FS3 Complete Project Scoping Report
Overview
Begin when a project is programmed in the State Transportation Improvement Program (STIP) to validate
and enhance project information developed in the earlier Express Design Evaluation. To do this the
Feasibility Studies/Corridor Development Unit develops a Project Scoping Report that has more
alternatives, details, and may engage key stakeholders in discussions of those options.
References
Express Design Project Scoping Report Process
Construction Contract Decision Matrix
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Feasibility Studies/Corridor
Development Unit
Assigned Private
Engineering Firm
Project Scoping Report
Package
Review/Update Information from the Express
Design Evaluation
X X
Develop and Complete Project Scoping Report X X
Review/Update Information from the Express Design Evaluation
If, during prioritization (see 1SP1 for related information), a project is selected for programming in the
STIP (see 1SI1 for related information), a review and update (if necessary) of the project data developed
during the Express Design Evaluation is required. The Express Design Project Scoping Report Process is
used to update the Express Design Evaluation information, as appropriate, and provides more in-depth
information in the Project Scoping Report to inform the Project Manager how the project is to proceed in
the Alignment Defined Stage.
Develop and Complete Project Scoping Report
Following review and update (if necessary) of the Express Design Evaluation, the Feasibility
Studies/Corridor Development Unit develops the Project Scoping Report package as detailed in the
Express Design Project Scoping Report Process.
To develop the package, the Feasibility Studies/Corridor Development Unit is to:
Prepare the Project Scoping Screening Checklist
Coordinate with the Traffic Safety Planning Engineer to complete a Project Scoping Report traffic
safety screening (see 1TS1 for related information).
Receive traffic forecast from the Transportation Planning Division (see 1TP1 for related
information).
Develop survey limits and request map (see 1LS1 for related information).
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1FS3 Complete Project Scoping Report 6
October 2020
NCDOT
Coordinate development of SUE level D with the Location & Survey Division Team Lead (see 1LS1
for related information).
Coordinate the best available geospatial data from the Photogrammetry Unit (see 1PH1 for related
information).
Coordinate with the Roadway Design Unit as appropriate (see 1RD1 for related information).
Develop the Project Scoping Technical Report.
Complete the Construction Contract Decision Matrix.
Complete the NEPA/Section 404 Merger Pre-Screening Form (and Merger Screening meeting and
Concurrence Point 1, if appropriate) (see 1EP1 for related information).
Update the Project Initiation Form (Express Design Summary).
Coordinate with the Geotechnical Unit (GeoEnvironmental) to complete the GeoEnvironmental
screening process (see 1GT1 for related information)
Coordinate with the Geotechnical Unit to complete the Geotechnical Report for Planning (see 1GT1
for related information).
Create ETRACS requests to the Environmental Analysis Unit (EAU) and Environmental Policy Unit
(EPU) (see 1EN1 and 1EP1 for related information).
Develop an initial Public Involvement Plan (PIP) in coordination with the Public Involvement Lead
(see 1PI1 for related information).
Initiate railroad coordination, if required for the project (see 1RR1 for related information).
Prepare the Coordination Log.
Create an ETRACS request to the Communications Group when the Project Scoping Report is
complete to request comments (see 1CG1 for related information).
Contact the Value Management Unit when the Scoping Report is complete so that this Unit can
initiate its work (see 1VM1 for related information).
The Feasibility Studies/Corridor Development Unit uploads the Project Scoping Report package to ATLAS
Workbench, which copies the package to the Scoping Help SharePoint site.
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1GT1 Complete Geotechnical and GeoEnvironmental Screening 1
October 2020
NCDOT
1GT1 Complete Geotechnical and GeoEnvironmental Screening
Overview
Identify and complete an accurate depiction of historical and existing facilities within the project limits
and identify geotechnical issues that complicate or lead to unusual construction.
References
Geotechnical Investigation and Recommendations Manual
GeoEnvironmental Product Matrix
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional
Support
GeoEnvironmental
Project
Manager
Project
Geological
Engineer
Design
Geotechnical
Engineer
Geotechnical Input on Express Design Provide Geotechnical Input on Express Design X X X
Geotechnical Report for Planning Develop Geotechnical Report for Planning X X
GeoEnvironmental Scoping Comments
Report
Develop GeoEnvironmental Screening Report X
Provide Geotechnical Input on Express Design
Led by the GeoEnvironmental Project Manager and/or Project Geological Engineer, the geotechnical team
identifies what major Geotechnical/GeoEnvironmental issues in study area are to be avoided. While input
typically is not requested, it may originate from Transportation Planning Division for large projects, known
existing conditions, or projects involving unique features, such as large and/or complex structures.
Develop Geotechnical Report for Planning
In accordance with the Geotechnical Investigation and Recommendations Manual, the geotechnical team:
May provide pre-scoping comments followed by a formal screening report.
Conduct a site visit with possible early borings when a large and/or complex bridge, three-sided
culvert, or other unusual structure is a possibility or complete hand probes of areas of soft/organic
soil in the study area that can be avoided by an alternative/alternate.
Document findings and potential construction issues in the report.
Develop GeoEnvironmental Screening Report
To complete the screening report, the GeoEnvironmental Project Manager is to:
Conduct a desktop review of GIS database files and ATLAS links of the project study area for
GeoEnvironmental sites of concern.
Prepare a report that includes a map and shapefile of the noted sites of concern.
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2GT1 Prepare GeoEnvironmental Phase I Report 2
October 2020
NCDOT
2GT1 Prepare GeoEnvironmental Phase I Report
Overview
Develop the GeoEnvironmental Phase I Report.
References
NCDOT GeoEnvironmental Phase I Scope of Work
NCDOT GeoEnvironmental Phase I Spreadsheet Template
NCDOT GeoEnvironmental Phase I Template
NCDOT GeoEnvironmental Product Matrix
Deliverables
Deliverable Task
Responsible Party
Activity Leader
GeoEnvironmental
Project Manager
GeoEnvironmental Phase I Report
GeoEnvironmental Phase I Spreadsheet Complete GeoEnvironmental Phase I Report and Related Materials X
GeoEnvironmental GIS Shape File
Complete GeoEnvironmental Phase I Report and Related Materials
This task is to develop Phase I products in accordance with the guidelines and references linked above.
For the GeoEnvironmental Phase I Report, the GeoEnvironmental Project Manager identifies sites of
concern within the preferred alternative study limits via field reconnaissance, historical aerial review, and
regulatory review. This information is included in the HazMat section of the environmental document or
checklist.
To complete the GeoEnvironmental Phase I Spreadsheet, the GeoEnvironmental Project Manager
populates the spreadsheet template with details of sites of concern for upload into Geotech database.
The GeoEnvironmental Project Manager develops the GeoEnvironmental GIS shape file, using the GIS
template to populate details of sites of concern and upload into the ATLAS workbench.
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2GT2 Conduct Subsurface Investigations and Provide Roadway Recommendations 3
October 2020
NCDOT
2GT2 Conduct Subsurface Investigations and Provide Roadway
Recommendations
Overview
Conduct subsurface investigation and provide design and construction recommendations to inform the
Design Recommendation Plan Set.
Note: This activity involves field work with equipment, which could be affected by weather, difficulty of
access, property owners, moratoriums, traffic control and conflicts with existing traffic control, etc.
References
Geotechnical Investigation and Recommendations Manual
Deliverables
Deliverable Task
Responsible Party
Activity
Leader
Additional Support
Regional
Geotechnical
Manager
Design
Geotechnical
Engineer
Project
Geological
Engineer
Roadway Subsurface Investigation Inventory
Report with graphics
X X
Roadway Slope Recommendation Memo
Provide Roadway Inventory and
Recommendations
X X
Roadway Recommendation Report possibly
with graphics
X X
Special Provisions X X
Provide Roadway Inventory and Recommendations
This task is to conduct subsurface investigation to inform the Design Recommendation Plan Set (see 2RD1
for related information). In accordance with the Geotechnical Investigation and Recommendation Manual,
the Geotechnical Engineering Unit completes a Roadway Subsurface Investigation Inventory Report (with
graphics). The inventory is initiated when the Project Manager sends a request for recommendations,
with a date information is needed by, and location of electronic plans to the appropriate geotechnical
division: Geo_Pre-let_Div1-6@ncdot.gov, Geo_Pre-let_Div7-8@ncdot.gov or
Geo_Pre-let_Div9-
14@ncdot.gov.
From there, the geotechnical team:
Assigns the work to an in-house field office or Private Engineering Firm.
Holds a kickoff meeting and develops an investigation plan.
Notifies 811 to locate utilities, where needed, and completes a field investigation
Assigns samples for lab testing and compiles results.
Enters field log data into gINT and post bore logs.
Develops stratigraphy and complete graphics.
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2GT2 Conduct Subsurface Investigations and Provide Roadway Recommendations 4
October 2020
NCDOT
The geotechnical team summarizes results in the inventory report and lists soils present in the project
area and geotechnical areas of special interest.
For the Roadway Recommendation Report (possibly with graphics), the Design Engineer or Project
Geological Engineer completes Section I of recommendations, with the Project Geological Engineer
completing Section II thru IV of recommendations.
The Geotechnical Engineering Unit provides a Roadway Slope Recommendations Memo to the Project
Manager, if the Roadway Recommendation Report is not available prior to development of the Field
Inspection Plan Set. Additional report content includes development of:
Recommendation graphics,
Geotechnical quantity summary (attached to report), and
Geotechnical summary of quantities spreadsheet.
For Special Provisions, the Geotechnical Engineering Unit considers:
Special handling of material.
Blasting or vibration requirements in addition to what is in the NCDOT Spec Book Transmit Inventory
and Recommendation Report
The inventory and recommendation report are then uploaded to the project SharePoint site.
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2GT3 Complete Pavement and Subgrade Investigations and Pavement Design Investigation (PDI) Report 5
October 2020
NCDOT
2GT3 Complete Pavement and Subgrade Investigations and Pavement
Design Investigation (PDI) Report
Overview
Conduct subsurface investigation of existing pavement and subgrade and provide recommendations for
proposed pavement designs. Refer to the NCDOT Geotechnical Investigation and Recommendation
Manual linked below.
Note: This activity involves field work with equipment, which could be affected by weather, difficulty of
access, property owners, moratoriums, traffic control and conflicts with existing traffic control, etc.
References
Geotechnical Investigation and Recommendations Manual
Deliverables
Deliverables Task
Responsible Party
Activity Leader Additional Support
Geopavement
Supervisor
Geopavement
Engineer
Pavement Design Investigation (PDI)
Report
Provide Pavement Design Investigation
Report
X X
Provide Pavement Design Investigation (PDI) Report
This task involves conducting subsurface investigation of existing pavement and subgrade, providing
recommendations for proposed pavement designs (see 2PD1 for related information). In accordance with
the Geotechnical Investigation and Recommendation Manual, the Geotechnical Engineering Unit receives
a request from Pavement Design Engineer or Project Manager to begin work.
From there, the Geotechnical Engineering Unit:
Develops an investigation plan and conducts a scoping meeting with the Private Engineering Firm.
Notifies 811 to locate utilities, where needed, and completes a field investigation
Assigns samples for lab testing and compiles results.
Enters field log data into gINT and post bore logs.
Develop graphics with pavement core photos.
The geotechnical team summarizes results that includes recommendations, a geotechnical quantity
summary (attached to report), and geotechnical summary of quantities spreadsheet. The Pavement
Design Investigation (PDI) Report is then provided to the Pavement Design Engineer and Project Manager.
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3GT1 Prepare GeoEnvironmental Phase II Report 6
October 2020
NCDOT
3GT1 Prepare GeoEnvironmental Phase II Report
Overview
Develop the GeoEnvironmental Phase II Report.
References
GeoEnvironmental Report Standards
Geotechnical Investigation and Recommendations Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader
GeoEnvironmental
Supervisor
GeoEnvironmental
Project Manager
GeoEnvironmental Phase II Report
Develop GeoEnvironmental Phase II
Reporting
X X
GeoEnvironmental Right-of-Way
Recommendations
X X
GeoEnvironmental Design and Environmental
Conflict Memo
X X
Complete GeoEnvironmental Phase II Reporting
The task of developing the Phase II report involves:
Collecting samples from sites of concern to determine risk and potential impacts to the project.
Completing the GeoEnvironmental right-of-way recommendations, where acquisition
recommendations on sites of concern inform the Right-of-Way Plan Set and Phase II Investigation
results.
The GeoEnvironmental Project Manager then prepares a GeoEnvironmental Design and Environmental
Conflict Memo that is sent to the Project Manager, identifying conflicts discovered during the Phase II
investigation.
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3GT2 Conduct Subsurface Investigations and Provide Structures Recommendations 7
October 2020
NCDOT
3GT2 Conduct Subsurface Investigations and Provide Structures
Recommendations
Overview
Conduct subsurface investigation and recommendations for proposed structures.
Note: This activity involves field work with equipment, which could be affected by weather, difficulty of
access, property owners, moratoriums, traffic control and conflicts with existing traffic control, etc.
References
Geotechnical Investigation and Recommendations Manual
Temporary Shoring Standard Provision
Standard Temporary Shoring Detail 1801.01
Standard Sound Barrier Wall Foundations
GeoEnvironmental Report Standards
Deliverables
Deliverables Task
Responsible Party
Activity Leader Additional Support
Regional
Geotechnical
Manager
Design
Geotechnical
Engineer
Project
Geological
Engineer
Structure Subsurface Investigation Inventory
Report with graphics
X
Design Scour Report
Provide Structure Inventory and
Foundation Recommendations
X
Foundation Recommendation Report X X
Structure Special Provisions X
Temporary Shoring Recommendations
Provide temporary shoring
recommendation
X
Retaining Wall Subsurface Investigation
Inventory Graphics
X
Retaining Wall Recommendation Report
with Details
Provide Retaining Wall Inventory
and Recommendations
X
Retaining Wall Special Provisions X
Sound Barrier Subsurface Investigation
Inventory Graphics
X
Sound Barrier Recommendations Report
with graphics
Provide Sound Barrier Inventory
and Recommendations
X
Sound Barrier Special Provisions X
Provide Structure Inventory and Foundation Recommendations
In accordance with the Geotechnical Investigation and Recommendation Manual, the process to develop
the necessary recommendations and documentation is initiated when the Project Manager sends a
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3GT2 Conduct Subsurface Investigations and Provide Structures Recommendations 8
October 2020
NCDOT
request for recommendations, date information is needed, and location of electronic plans to:
Geo_Pre-let_Div1-6@ncdot.gov, Geo_Pre-let_Div7-8@ncdot.gov or Geo_Pre-let_Div9-14@ncdot.gov
.
From there, the Geotechnical Engineering Unit:
Assigns the work to an in-house field office or Private Engineering Firm.
Holds a kickoff meeting and develops an investigation plan that includes a review of the theoretical
scour from the Bridge Survey and Hydraulic Design Report (BSR) (see 2HY2 for related information).
Notifies 811 to locate utilities, where needed, and completes a field investigation.
Assigns samples for lab testing and compiles results.
Enters field log data into gINT and post bore logs.
Develops stratigraphy and complete graphics.
Summarizes the results in the inventory, as necessary.
To complete a Design Scour Report, the Design Geotechnical Engineer calculates geotechnically adjusted
scour and develops the report.
For the Foundation Recommendation Report, the Geotechnical Engineering Unit is to:
Determine most appropriate foundation type for each bent or culvert.
Determine point of fixity for drilled shafts or piles.
Obtain structure loads from Structures Management Unit or assigned Private Engineering Firm.
This task also includes developing special provisions, if needed.
The Inventory and Foundation Recommendation Report files are then sent to the originator of the request
and Hydraulics Unit.
Provide Temporary Shoring Recommendations
Initiated by the Project Manager, a request for recommendations, date information is needed, and
location of electronic plans are sent to Geo_Pre-let_Div1-6@ncdot.gov, Geo_Pre-let_Div7-8@ncdot.gov
or Geo_Pre-let_Div9-14@ncdot.gov. The Design Geotechnical Engineer then develops temporary
shoring recommendations in accordance with the Temporary Shoring Standard Provision. This task is
assigned to in-house staff or a Private Engineering Firm and involves:
Reviewing the proposed structures and subsurface information.
Determining if standard shoring is appropriate.
Developing temporary shoring recommendations and providing the recommendations to the
Project Manager.
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3GT2 Conduct Subsurface Investigations and Provide Structures Recommendations 9
October 2020
NCDOT
Provide Retaining Wall Inventory and Recommendations
To complete subsurface investigations and providing recommendations for proposed retaining walls, the
Project Manager initiates the request for recommendations, date information is needed, and location of
electronic plans to Geo_Pre-let_Div1-6@ncdot.gov, Geo_Pre-let_Div7-8@ncdot.gov or
Geo_Pre-
let_Div9-14@ncdot.gov. The Design Geotechnical Engineer, supported by the Project Geological Engineer,
refers to the Geotechnical Investigation and Recommendation Manual when developing the
recommendations and performs, if possible, the investigation during roadway subsurface investigation.
From there, the Geotechnical Engineering Unit:
Assigns the work to an in-house field office or Private Engineering Firm.
Holds a kickoff meeting and develops an investigation plan.
Notifies 811 to locate utilities, where needed, and completes a field investigation.
Assigns samples for lab testing and compiles results.
Enters field log data into gINT and post bore logs.
Develops stratigraphy and complete graphics.
Summarizes the results in the inventory, as necessary.
To complete the Retaining Wall Recommendation Report (with details), the Design Geotechnical Engineer
is to:
Determine the most appropriate retaining wall for cut or fill site.
Confirm no scour issues or recommend countermeasures.
Check bearing capacity of soils as appropriate.
Check global stability.
Develop details.
This task also includes developing special provisions, if needed.
The Inventory and Recommendation Report files are then sent to the Project Manager or the originator
of the request.
Provide Sound Barrier Inventory and Recommendations
To complete subsurface investigations and provide recommendations for proposed sound barrier
foundations, the Project Manager initiates the request for recommendations, date information is needed,
and location of electronic plans to Geo_Pre-let_Div1-6@ncdot.gov, Geo_Pre-let_Div7-8@ncdot.gov
or
Geo_Pre-let_Div9-14@ncdot.gov. In accordance with the Geotechnical Investigation and
Recommendation Manual, the Design Geotechnical Engineer develops the recommendations, including
any sound barrier inventory graphics. This includes:
Assigning the work to an in-house field office or Private Engineering Firm.
Holding a kickoff meeting and developing an investigation plan.
Notifying 811 to locate utilities, where needed, and completing a field investigation.
Assigning samples for lab testing and compiling results.
Entering field log data into gINT and post bore logs.
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3GT2 Conduct Subsurface Investigations and Provide Structures Recommendations 10
October 2020
NCDOT
Developing stratigraphy and completing graphics.
Summarizing the results in the inventory, as necessary.
To complete the Sound Barrier Recommendation Report (with details), the Design Geotechnical Engineer
is to determine the most appropriate retaining wall for cut or fill site.
This task also includes developing special provisions, if needed.
The Inventory and Recommendation Report files are then sent to the Project Manager or the originator
of the request.
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Defined
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Letting
4GT1 Prepare GeoEnvironmental Phase III Reports 11
October 2020
NCDOT
4GT1 Prepare GeoEnvironmental Phase III Reports
Overview
Prepare GeoEnvironmental Sites of Concern for Let by removing buried fuel tanks, contaminated
materials, and environmental monitoring wells in conflict with the project, documenting each in the
GeoEnvironmental Phase III reports. Items that are not practicable to remove prior to project letting are
to be addressed in a project special provision. Project Managers, Division, Geotechnical Offices, and North
Carolina Department of Environmental Quality (NCDEQ) are recipients of these reports. The
Environmental Protection Agengy (EPA) also receive a report if a Superfund site is present.
References
GeoEnvironmental Report Standards
NCDOT GeoEnvironmental Product Matrix
Geotechnical Investigation and Recommendations Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader
GeoEnvironmental
Project Manager
Underground Storage Tank Removal Report X
Environmental Groundwater Monitoring Well and Closure Report Provide GeoEnvironmental Phase III Report X
Contaminated Soil Removal Report X
Contaminated Materials Management Plan X
Provide GeoEnvironmental Phase III Reports
The GeoEnvironmental Project Manager prepares the following reports and/or plans to complete the
GeoEnvironmental Phase III Reporting. Each report is independent and may not be necessary on every
project.
Underground Storage Tank Removal Report
Remove underground fuel tanks after right-of-way has been acquired and buildings have been
demolished.
Document the process, results, and future actions (if necessary) in the report.
Send the report to the Project Manager and NCDEQ.
Environmental Groundwater Monitoring Well Closure Report
Close monitoring wells in conflict with the project.
Document the process, results, and future actions (if necessary) in the report.
Send the report to the Project Manager and NCDEQ.
Contaminated Soil Removal Report
Remove contaminated soil prior to project letting if practical.
Document the process, results, and future actions (if necessary) in the report.
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4GT1 Prepare GeoEnvironmental Phase III Reports 12
October 2020
NCDOT
Send the report to Project Manager and NCDEQ.
Contaminated Materials Management Plan
Remove other contaminated media prior to project letting if practical.
When it is not practical, develop a Materials Management Plan to describe materials handling
during construction.
Develop project special provision(s) to be included in the contract that describe material
handling, personal protective equipment (if needed), and any other processes necessary to
construct the project.
Send the plan to the Project Manager and NCDEQ.
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Letting
2HY1 Develop Preliminary Hydraulics Recommendations 1
October 2020
NCDOT
2HY1 Develop Preliminary Hydraulic Recommendations
Overview
Develop preliminary hydraulic recommendations and provide support for Merger meetings (if applicable
for the project).
References
Hydraulics Planning Report Guidance
Guidelines for Drainage Studies
Post-Construction Stormwater Program Post-Construction Stormwater Controls for
Roadway and Non-Roadway Projects
Stormwater Best Management Practices Toolbox
Highway Floodplain Program
U.S. Geological Survey Resources
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Hydraulic Design
Engineer
Project Manager
Hydraulic Planning Report (HPR) Complete Hydraulic Planning Report (HPR) X X
Complete Hydraulic Planning Report (HPR)
The Hydraulic Design Engineer completes the Hydraulic Planning Report in accordance with the Hydraulic
Planning Report Guidance and scope of work. To complete this report, the Hydraulic Design Engineer:
Researches and gather data for the project study area.
Conducts the preliminary hydraulics field review.
Identifies hydraulics-related project commitments that are to be included on the Project Special
Commitments (Green Sheets).
Completes preliminary design calculations and structure sizing.
Identifies any high-risk areas that may require additional effort outside of the original scope or
earlier than when it would usually be completed to make adequate preliminary recommendations
and verify FEMA compliance can be achieved and the project can meet environmental permitting
requirements.
Reviews Post-Construction Stormwater Program workflows for National Pollutant Discharge
Elimination System (NPDES) stormwater requirements.
Prepares the Preliminary Stormwater Management Plan (SMP).
Prepares the Hydraulic Planning Report and delivers an electronic copy of the report to the Project
Manager and the Hydraulics Reviewer.
Revises and resubmits as needed to address the Hydraulics Reviewer’s comments.
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2HY1 Develop Preliminary Hydraulics Recommendations 2
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NCDOT
The Project Manager reviews the report for recommendations that may impact the project’s scope,
schedule, or budget or which may conflict with other disciplines’/Units’ recommendations and is to
initiate further coordination when appropriate.
The Project Manager also provides the report to other technical disciplines/Units and initiates additional
discussions when appropriate.
The Roadway Design Unit is to use the report in the development of the Design Recommendation
Plan Set (see 2RD1 for related information).
The Structures Management Unit is to review and notify the Project Manager of any concerns. If
the report recommends retaining a hydraulic structure, the Structures Management Unit is to notify
the Project Manager and Hydraulic Design Engineer if it recommends replacement of the structure
due to structural deficiencies or other reasons.
The recommendations from the Preliminary Hydraulic Recommendations table included in the
report is to be presented during the Merger CP2A meeting by the Project Manager (see 2EP1 for
related information).
The report provides general hydraulics information to both internal and external stakeholders and
may aid in the development of scopes of work or man day estimates for later project phases.
Provide Hydraulic Support
The Hydraulic Design Engineer provides support to the Project Manager and other technical
disciplines/Units. This support may include:
Attending meetings and offering hydraulic expertise and recommendations related to the project.
Responding to drainage-related questions and concerns.
Coordinating with others to resolve conflicting recommendations among disciplines/Units.
For Merger projects (if applicable), the Hydraulic Design Engineer is to:
Attend the Merger CP2 and CP2A meetings to respond to drainage-related questions or concerns
(see 2EP1 for related information). The Project Manager is to present the recommendations from
the Preliminary Hydraulic Recommendations Table developed in the Hydraulic Planning Report at
this meeting.
Attend other Merger meetings to provide hydraulic information, recommendations, and to identify
potential issues related to the drainage design.
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2HY2 Initiate Drainage Design for Field Inspection 3
October 2020
NCDOT
2HY2 Initiate Drainage Design for Field Inspection
Overview
Review and provide comments on the Design Recommendation Plan Set and complete drainage design to
be shown on the Field Inspection Plan Set.
References
Guidelines for Drainage Studies
Post-Construction Stormwater Program Post-Construction Stormwater Controls for
Roadway and Non-Roadway Projects
Stormwater Best Management Practices Toolbox
Highway Floodplain Program
U.S. Geological Survey Resources
Deliverables
Review Roadway Design Plans for Drainage Issues
The Project Manager sends the Design Recommendation Plan Set to the Hydraulic Design Engineer and
Hydraulics Reviewer for review. The reviewers are to:
Deliverable Task
Responsible Party
Activity Leader Additional Support
Hydraulic Design
Engineer
Project Manager
Roadway Design
Lead
Review Comments on Design
Recommendations Plan Set(s)
Review Roadway Design Plans for Drainage
Issues
Attend Design Recommendations Plan Set
Review Meeting
X
X X
Hydraulics Pre-Design Meeting
Documentation
Prepare for and Conduct Hydraulics Pre-
Design Meeting
X
Hydraulic Survey Reports for
Major Structures
Complete Field Visit and Hydraulic Surveys X
Request Additional Information X X
Prepare Major Structure Reports
X
Draft Flood Resilience Plan Complete Draft Flood Resilience Plan In development In development In development
Drainage Plans for Merger CP4B
Meeting
Conduct Merger CP4B Meeting (if
applicable for the project)
X X
Merger CP4B Meeting Package
and Minutes
Conduct Merger CP4B Meeting (if
applicable for the project)
X
Drainage Plans for Field
Inspection
Complete Drainage Designs for the Field
Inspection Plan Set
X
Review Field Inspection Plan Set and Attend
Field Inspection
X X
Railroad Drainage Submittals
Coordinate Railroad Drainage Design (if
applicable for the project)
X
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2HY2 Initiate Drainage Design for Field Inspection 4
October 2020
NCDOT
Provide comments on the plans, identify potential drainage issues, and make recommendations
that would improve drainage conditions on the project. Minimally, the review is to include the items
listed in Section 4.1 of the Guidelines For Drainage Studies and Hydraulic Design.
Review subsequent roadway plan submittals to make sure comments have been addressed, and no
new concerns have been created.
Attend Design Recommendations Plan Set Review Meeting
After receiving the Design Recommendation Plan Set from the Project Manager, the Hydraulic Design
Engineer is to attend the Design Recommendation Plan Set review meeting, which is further detailed in
2RD1.
Prepare for and Conduct Hydraulics Pre-Design Meeting
Prior to starting the drainage design, the Hydraulic Design Engineer is to:
Complete Page 1 of Checklist for Drainage Study and Hydraulic Design and prepare Drainage Design
Assumptions, Criteria, and Design Question List in preparation for the Hydraulics Pre-Design
Meeting Minutes.
Schedule and conduct the Hydraulics Pre-design Meeting with the Hydraulics Reviewer in
accordance with the Hydraulic Pre-Design Meeting Guidance.
Prepare and submit for review/approval the Hydraulics Pre-Design Meeting Minutes to document
decisions made during the meeting and follow up tasks that need to be completed.
Complete Field Visit and Hydraulic Surveys
The hydraulic field visit and surveys are used to familiarize the Hydraulic Design Engineer(s) with the
project area, identify and document existing drainage patterns and problems, and identify and obtain
additional survey information needed to complete the drainage design.
For this task, the Hydraulic Design Engineer:
Conducts field surveys in accordance with Chapter 5 Field Reconnaissance and Survey of the
Guidelines For Drainage Studies and Hydraulic Design.
Incorporates field notes, photos, and documentation of surveys and data gathered into the drainage
redlines, major structure reports, or separate documentation posted on the project SharePoint site.
Request Additional Information
The Hydraulic Design Engineer identifies and requests any additional information or revisions needed
from other technical disciplines/Units. The Project Manager coordinates the requests, which may include:
Additional survey requests
Subsurface investigation requests
Existing pipe inspections
Corrections to survey or WET/WEX files
Special detail requests
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2HY2 Initiate Drainage Design for Field Inspection 5
October 2020
NCDOT
Prepare Major Structure Reports
Major structure reports include the Bridge Survey and Hydraulic Design Reports (BSRs), Detour Survey and
Hydraulic Design Reports (DSRs), and Culvert Survey and Hydraulic Design Reports (CSRs).
A BSR is generally required for all bridges over stream crossings or other waterways.
A CSR is required for any culvert structure that is on a FEMA-regulated stream or has a hydraulically
effective total waterway opening of thirty square feet or more, excluding any area of the culvert
that is buried below the streambed.
A DSR is required if an on-site detour is proposed for any site that requires a BSR or CSR.
The major structure reports are used to document the hydraulic design and to provide information to
others. For this task, the Hydraulic Design Engineer is to:
Complete field reconnaissance and surveys at each major structure prior to completing the report.
Prepare and Submit draft BSRs to the Project Manager and the Hydraulics Reviewer.
The draft BSR is reviewed by the Hydraulics Reviewer, as coordinate with the Structures
Management Unit to determine if the proposed structure type, length, span arrangement, and
other design information is acceptable.
The Structure Management Unit coordinates with the Regional Bridge Construction Engineer and
the Area Construction Engineer on constructability issues and concerns.
Prepare and submit major structure reports to the Project Manager and Hydraulics Reviewer. Note:
CSR submittals are to include a construction phasing plan.
Revise and resubmit the major structure reports upon receiving comments from the Hydraulics
Reviewer.
Upon notification that the report is approved, send the report to the Hydraulics Reviewer for the
reviewer to sign the front of the report.
The Project Manager is to distribute the approved structure reports (bridge and culverts) together with
any construction phasing plan(s) to the Division Engineer, Area Bridge Engineer, Roadway Design
Unit/Roadway Design Lead, Structures Management Unit/Structures Lead, and Geotechnical Engineering
Unit/Design Geotechnical Engineer. In addition to the above, CSRs are to be distributed with the
construction phasing plan to the Roadside Environmental Unit/Roadside Environmental Engineer.
Complete Draft Flood Resilience Plan
Guidance currently in development.
Conduct Merger CP4B Meeting (if applicable for the project)
If the project is following the Merger Process (see 2EP1 for related information), the Merger CP4B meeting
is held after the CP4A meeting and while the drainage designs are being completed for the Field Inspection
Plan Set. The Hydraulic Design Engineer presents the preliminary drainage design layouts to the agencies
and obtain input, comments, and concerns from the team members.
The Hydraulic Design Engineer is to:
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2HY2 Initiate Drainage Design for Field Inspection 6
October 2020
NCDOT
Notify the Hydraulics Reviewer of the preferred date and amount of time needed for the Merger
CP4B meeting approximately two months prior to the preferred date for central managed projects.
The Hydraulics Reviewer coordinates with the Environmental Policy Unit to schedule the meeting
and notify attendees.
For non-central managed projects, follow the direction of the Project Manager for scheduling
the meeting and inviting attendees.
Prepare and submit Merger CP4B meeting plans for review to the Hydraulics Reviewer, Project
Manager, and Environmental Analysis Unit for central-managed projects or as directed by the
Project Manager for non-central managed projects.
It is recommended the CP4B plans be submitted for review at least five weeks prior to the
scheduled Merger CP4B meeting to allow adequate time for review and revisions, if necessary.
The plans are to be developed in accordance with the Merger CP4B Meeting Guidance.
Review comments are returned to the Hydraulic Design Engineer.
Revise and resubmit the Merger CP4B meeting plans as needed for approval.
Upon approval, the Hydraulic Reviewer provides the final meeting plans to the Environmental
Policy Unit to post for team members to access.
Plans are to be posted at least two weeks prior to the meeting date.
Conduct the Merger CP4B meeting in accordance with the Merger CP4B Meeting Guidance.
Prepare meeting minutes in accordance with the Merger CP4B Meeting Guidance to document
discussion and decisions made during the meeting.
Complete Drainage Designs for the Field Inspection Plan Set
The Hydraulic Design Engineer completes the Redline Drainage Plans in accordance with the project’s
scope of work and Guidelines for Drainage Studies and Hydraulic Design. The field visit and hydraulic
surveys are completed prior to completing the drainage designs. The design is documented on the
hydraulic redline plans.
Once complete, the Hydraulic Design Engineer:
Submits the Redline Drainage Plans along with all supporting documentation and calculations to the
Project Manager and the Hydraulics Reviewer. The Redline Drainage Plans is to include the
following:
Storm drain systems
Culvert and cross-pipes
Channel and ditch designs
Identification of additional right-of-way or easements needed for drainage purposes
Stormwater devices
Outfall analyses
Documentation of existing drainage patterns and other field survey information and notes
Revises and resubmits the Redline Drainage Plans to address comments received from the
Hydraulics Reviewer.
Upon approval of the Redline Drainage Plans, the Hydraulics Reviewer notifies the Project Manager that
the drainage design is ready for incorporation into the Field Inspection Plan Set.
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2HY2 Initiate Drainage Design for Field Inspection 7
October 2020
NCDOT
Review Field Inspection Plan Set and Attend Field Inspection
The Hydraulic Design Engineer reviews the Field Inspection Plan Set prior to the meeting for any drafting
errors or potential conflicts with the drainage design. The Hydraulic Design Engineer attends the Field
Inspection Review Meeting. This task includes:
Responding to questions or concerns relating to the drainage design.
Initiate discussion on drainage items that may need coordination.
Participating in traffic control and phasing discussions as it relates to the drainage design.
Obtaining information needed to complete environmental permit drawings, such as amount and
type of clearing required and construction methods and impacts required for construction of major
structures (e.g., temporary work bridges, causeways, and work pads).
Coordinate Railroad Drainage Design (if applicable for the project)
If railroad drainage submittals are required for the project, the Hydraulic Design Engineer provides
drainage plans, drainage calculations, and other drainage information requested by the Structure
Management Unit or Project Manager, as needed for coordination with the applicable railroads for
approval.
This information is supplied after the drainage design has been advanced. If the project schedule along
with the expected time frame for railroad review and approval allow, it is recommended this coordination
take place after any necessary revisions from the Field Inspection Review Meeting have been
incorporated.
The Hydraulic Design Engineer submits any required information to the Hydraulics Reviewer for
review/comment, and upon approval, the Reviewer provides the information to the requester (Structure
Management Unit or Project Manager).
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3HY1 Complete Hydraulic Design 8
October 2020
NCDOT
3HY1 Complete Hydraulic Design
Overview
Complete the final drainage designs to be shown on the Right-of-Way Plan Set and complete all required
environmental permit drawings and Federal Emergency Management Agency (FEMA) compliance
packages.
References
Guidelines for Drainage Studies
Post-Construction Stormwater Program Post-Construction Stormwater Controls for
Roadway and Non-Roadway Projects
Stormwater Best Management Practices Toolbox
Highway Floodplain Program
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Manager
Final Drainage Design Complete Final Drainage Design X X
FEMA Compliance Packages
(MOA/CLOMR)
Prepare and Submit FEMA Compliance
Packages
X
Final Flood Resilience Plan Complete Final Flood Resilience Plan X
Drainage Summary Sheet(s) Complete Drainage Summary Sheet(s) X
Stormwater Management Plan Prepare Stormwater Management Plan X
Environmental Permit Drawings
Complete/Submit Environmental Permit
Drawings
X
Merger CP4C Meeting Package and
Minutes
Conduct Merger CP4C Meeting (if applicable
for the project)
X X
Complete Final Drainage Design
The final Redline Drainage Plans is completed after the Field Inspection Review Meeting and may require
ongoing incorporation of drainage revisions due to field inspection comments, revisions to the roadway
design plans during the Plan-in-Hand Stage, constructability concerns (notably those coming out of the
Constructability Review), and/or utility conflicts. To complete this task, the Hydraulic Design Engineer is
to:
Revise and resubmit the Redline Drainage Plans as directed by the Project Manager and Hydraulics
Reviewer.
Submit all revisions to the Project Manager and Hydraulics Reviewer.
Revised submittals are to include an updated set of Redline Drainage Plans along with all
supporting documentation and calculations necessary to review and approve the drainage
revisions.
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3HY1 Complete Hydraulic Design 9
October 2020
NCDOT
The Hydraulics Reviewer notifies the Project Manager when the revisions have been approved
and may be incorporated into the current roadway plans under this stage.
Upon final approval, the Hydraulic Design Engineer submits a final record set of updated Redline
Drainage Plans, computations, and supplemental data (including photos) for archiving.
Prepare and Submit FEMA Compliance Packages
To complete this task, the Hydraulic Design Engineer:
Prepares any FEMA compliance packages (MOA, CLOMR, etc.) needed for the project following the
procedures for the type of FEMA compliance required.
Additional information on this process is included on the
Hydraulic Unit’s Highway Floodplain
Program website and in Chapter 15 of the Guidelines For Drainage Studies and Hydraulic Design.
Revises and resubmits documents to address comments from FEMA and/or FMP.
The Hydraulics Unit (Floodplain Management) uploads approval letters to the project SharePoint
site and notifies the Roadway Design Lead, Hydraulics Reviewer, and Project Manager when
approval is received.
Complete Final Flood Resilience Plan
Guidance currently in development.
Complete Drainage Summary Sheet(s)
The Hydraulic Design Engineer completes the Drainage Summary Sheets and provides them to the
Roadway Design Lead for incorporating into the current roadway design plans/Right-of-Way Plan Set.
Prepare Stormwater Management Plan
In accordance with Section 13.4.1.2 of the Guidelines for Drainage Studies and Hydraulic Design, the
Hydraulic Design Engineer prepares a Stormwater Management Plan for any project that adds new built
upon area for inclusion in the Environmental Permit Drawing Package.
The Hydraulic Design Engineer submits the Stormwater Management Plan for review as part of the
Environmental Permit Drawing Package.
Complete/Submit Environmental Permit Drawing Package
The Hydraulic Design Engineer prepares the environmental permit drawing permit package used for the
environmental permit application(s) as follows.
Obtain information needed from others.
The Structures Management Unit provides impact quantities for temporary and permanent
bridge bents.
The Structures Management Unit and Division coordination may be required to determine
impacts due to temporary work pads, work bridges, causeways, etc.
Others are coordinated with depending on project specifics.
Complete environmental permit drawings, including (as applicable to the project):
Wetland and surface water permit drawings
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3HY1 Complete Hydraulic Design 10
October 2020
NCDOT
Buffer permit (NCDWR) drawings
Coastal Area Management Act (CAMA) (NC Division of Coastal Management) permit drawings
Federal Energy Regulatory Commission (FERC) permit drawings
Submit the drawings with the Stormwater Management Plan to the Project Manager and Hydraulics
Reviewer. The Project Manager is to distribute to others, including the Roadway Design Lead and
Environmental Analysis Unit for review and comment.
Revise and resubmit (as needed) to address comments received.
Conduct the Merger CP4C meeting (if required for the project; see Conduct Merger CP4C Meeting
below), incorporate any changes agreed to during the Merger CP4C meeting, and then resubmit the
package to the Hydraulics Reviewer.
Provide CADD files of the impacts.
The Utilities Unit uses these CADD files to complete their own permit drawings showing
additional utility impacts.
The Roadside Environmental Unit uses these files to determine if additional impacts need to be
included to account for erosion control measures, notifying the Hydraulic Design Engineer and
Hydraulics Reviewer if additional impacts are needed.
The Roadway Design Unit uses these files for a consistency review with the current roadway
design plans.
Assist the Environmental Analysis Unit (Environmental Coordination and Permitting), as needed, for
them to complete the environmental permit applications or respond to permitting agencies’
questions or concerns until necessary permits are secured.
Chapter 14 and Appendix P in the Guidelines for Drainage Studies and Hydraulic Design provides additional
information on how to prepare these drawings.
Conduct Merger CP4C Meeting (if applicable for the project)
If the project is following the Merger Process (see 2EP1 for related information), the Merger CP4C meeting
is held after the Merger CP4B meeting to present the approved Redline Drainage Plans and Environmental
Permit Drawing Package to the agencies and allow for discussion of the environmental impacts. Other
items that may be discussed are avoidance and minimization measures and changes from what was
presented during the Merger CP4B meeting. The Merger CP4C meeting is held after approval of the
Redline Drainage Plans and submittal of the Environmental Permit Drawing Package.
The Hydraulic Design Engineer is to:
Notify the Hydraulics Reviewer of the preferred date and amount of time needed for the Merger
CP4C meeting approximately two months prior to the preferred date for central managed projects.
The Hydraulics Reviewer coordinates with the Environmental Policy Unit to schedule the meeting
and notify attendees.
For non-central managed projects, follow the direction of the Project Manager for scheduling
the meeting and inviting attendees.
Prepare and submit Merger CP4C meeting plans (Environmental Permit Drawing Package) to the
Hydraulics Reviewer, Project Manager, and Environmental Analysis Unit for central managed
projects or as directed by the Project Manager for non-central managed projects.
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3HY1 Complete Hydraulic Design 11
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NCDOT
The plans are to be developed in accordance with the Merger CP4C Meeting Guidance.
Review comments are returned to the Hydraulic Design Engineer.
Revise and resubmit the Merger CP4C meeting plans as needed for approval.
Upon approval, the Hydraulic Reviewer provides the final meeting plans to the Environmental
Policy Unit to distribute to team members.
Plans are to be posted at least two weeks prior to the meeting date.
Conduct the Merger CP4C meeting in accordance with the Merger CP4C Meeting Guidance.
Prepare meeting minutes in accordance with the Merger CP4C Meeting Guidance to document
discussion and decisions made during the meeting.
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4HY1 Complete Any Open Hydraulic Tasks 12
October 2020
NCDOT
4HY1 Complete Any Open Hydraulic Tasks
The Hydraulics Unit is to complete any outstanding tasks from the previous stages, continuing work
toward securing FEMA compliance and continuing to provide support to other disciplines/Units as needed
to incorporate plan revisions and secure the permits.
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1IM1 Review Complete Streets 1
October 2020
NCDOT
1IM1 Review for Complete Streets
Overview
Assess the Complete Streets Project Sheet for multimodal facilities and requested exemptions to identify
all planned and existing facilities, in addition to facilities requested by the local municipality.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Complete Streets Policy and Implementation Guide
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Complete Streets Project Sheet
Bicycle and Pedestrian Crash Data
Pedestrian and Bicycle Infrastructure Network GIS Data (ATLAS)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support Additional Support
IM Staff
Complete Streets
Coordinator
Project Lead
Complete Streets Project Sheet Conduct Project Review X
X
Integrated Mobility Division
Review/Scoping Memo
Conduct Project Review X X
Conduct Project Review
To conduct a project review, the Project Lead initiates an Integrated Mobility Division scoping request by
emailing a scoping request to designated Integrated Mobility Division staff using the Complete Streets
Project Sheet. The request is to include the:
State Transportation Improvement Program (STIP) project number
Description and location
Deadline for response
Project contact
Designated Integrated Mobility Division staff prepare a Scoping Memo in response to the request, which
identifies relevant adopted state, regional, and local plans and the specific recommendations of these
plans related to the project location. Specific recommendations may also reference the:
Complete Streets Project Sheet
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1IM1 Review Complete Streets 2
October 2020
NCDOT
Design standards and the source (e.g., American Association of State Highway Transportation
Officials (AASHTO), Federal Highway Administration (FHWA), or National Association of City
Transportation Officials (NACTO)).
The Scoping Memo is transmitted (via email and/or uploaded to the project SharePoint site) to the Project
Lead by the requested deadline. Further coordination and consultation with Integrated Mobility Division
staff may occur over the course of the project as it relates to facility design. The Scoping Memo is included
as a key document in the ATLAS Workbench.
The Project Lead is responsible for reviewing the Scoping Memo to ensure enough detail has been
provided by Integrated Mobility Division staff. Further coordination with Integrated Mobility Division staff
is recommended for projects with significant physical and environmental constraints to ensure the
Complete Streets Policy provisions are carried out consistently and that the Complete Streets Review
Committee is engaged, if required.
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2IM1 Verify Complete Streets 3
October 2020
NCDOT
2IM1 Verify Complete Streets
Overview
Review the roadway design plans to assess if the facility type is appropriate for the project’s design,
matches the facilities from the Complete Streets Project Sheet, and meets the design standards as dictated
by the Complete Streets Policy.
References
AASHTO Bicycle Design Guide
AASHTO Pedestrian Design Guide
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Complete Streets Policy and Implementation Guide
NACTO Urban Design Guide
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
IM Staff
Complete Streets
Coordinator
Integrated Mobility Division
Concurrence Review Memo
Prepare Memo Confirming Review of Roadway
Plans for Compliance with Complete Streets
Policy
X
Prepare Memo Confirming Review of the Roadway Design Plans for Compliance with
Complete Streets Policy
The Project Manager initiates an Integrated Mobility Division concurrence review by submitting a design
review request to designated Integrated Mobility Division staff. The request is to include the:
Current roadway design plans (likely the Design Recommendation Plan Set)
Description and location
Deadline for response
Project contact
Integrated Mobility Division staff review the roadway design plans and returns an Integrated Mobility
Division Concurrence Review Memo to the Project Manager:
Concurring with Complete Streets elements reflected in the plans,
Recommending changes if the plans do not meet the Complete Streets Policy, or
Providing guidance for initiating a project review by the Complete Streets Review Team.
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1LS1 Provide Photogrammetric Control and Initiate Surveys 1
October 2020
NCDOT
1LS1 Provide Photogrammetric Control and Initiate Surveys
Overview
Provide photogrammetric control in support of the Photogrammetry Unit, preliminary utility mapping in
support of long-range transportation planning, and initiate base mapping surveys once project mapping
limits have been completed and reviewed.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several
different NCDOT groups. Any person who has overall responsibility for a project during this Stage is
referred to as the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor
Development Engineer, the Division Planning Engineer, or someone in a similar role as tasked by a state
or local agency.
References
Location & Surveys DTM Manual
Location & Surveys GPS Guidelines
Location & Surveys Hydro Manual
Location & Surveys Baseline Guidelines
Location & Surveys Traffic Signing Diagrams
Location & Surveys SUE Guidelines
Location & Surveys Procedure Memos
Location & Surveys PropCon
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Location & Surveys
Division Team Lead
Location & Surveys Assistant
Division Team Lead
Photogrammetric Control for
Preliminary/Planning Mapping
(NC Grid Datum)
Complete Photogrammetric Control for
Preliminary/Planning Mapping (NC Grid
Datum)
X X
SUE Level D Mapping Complete SUE Level D X
X
Final Mapping Limits Polygon
Perform Independent Review of Mapping
Limits Polygon
X X
Photogrammetric Control for
Final Survey Mapping (Local
Datum)
Complete Photogrammetric Control for Final
Survey Mapping (Local Datum)
X X
Complete Photogrammetric Control for Preliminary/Planning Mapping (NC Grid
Datum)
Photogrammetric control is critical to orient aerial photography onto the North Carolina State Plane
Coordinate System. To complete this task, the Location & Survey Division Team Lead, with support from
the Assistant Division Team Lead, is to:
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1LS1 Provide Photogrammetric Control and Initiate Surveys 2
October 2020
NCDOT
Contact all property owners where aerial targets are placed, or those properties crossed to place
an aerial target. Contacts are to be made by letter, phone, or in person and is to be documented
using the Location and Surveys PropCon Database found at the Location & Surveys PropCon.
Conforming to Field Procedures, 6B.3-3 in the Location & Surveys GPS Guidelines, perform panel
control target surveys where panel targets are placed according to a panel plan provided by the
Photogrammetry Unit.
Process and develop panel control in accordance with Office Procedures, 6B.3-4 from the Location
& Surveys GPS Guidelines.
Provide panel control to the Photogrammetry Unit, considering:
Panel control text file (Grid Datum) for the Photogrammetry Unit to orient aerial photography.
Include northing, easting, and elevation projected onto the North Carolina State Plane
Coordinate System.
Complete SUE Level D
Being that SUE Level D mapping may be useful for long-range planning and early design development,
the Location & Survey Division Team Lead, with support from the Assistant Division Team Lead, is to:
Research and/or obtain existing utility records by contacting and coordinating with project utility
owners in accordance with the Location & Surveys SUE Guidelines.
Develop and provide a SUE Level D CADD file (NC Grid Datum) that maps existing utility records
using the latest approved NCDOT MicroStation version.
Provide the SUE LOS D CADD file to the Feasibility Studies Unit.
Note: Ensure this deliverable conforms to the NCDOT CADD Mapping Standards, Procedure Memo
PROC 2018-6, and Location & Surveys File Naming Convention.
Perform Independent Review of Mapping Limits Polygon
The mapping limits polygon defines the boundary for mapping and surveys that are needed for project
development. To complete this task, the Location & Survey Division Team Lead, with support from the
Assistant Division Team Lead, is to:
Review the m
apping limits polygon.
Review and evaluate mapping limits to confirm they are adequate for the proposed design and
analysis, but not excessive to overburden resources. Further coordination with the
Photogrammetry Unit and the Project Lead Lead may be needed for this task.
Revise and provide a mapping limits polygon that involves:
Mapping final mapping limits using the latest approved NCDOT MicroStation version.
Providing the final mapping limits CADD file to the Photogrammetry Unit and Project Lead.
Complete Photogrammetric Control for Preliminary/Planning Mapping (Local
Datum)
With photogrammetric control being critical to orient aerial photography onto a localized North Carolina
State Plane Coordinate System, the Location & Survey Division Team Lead, with support from the
Assistant Division Team Lead:
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1LS1 Provide Photogrammetric Control and Initiate Surveys 3
October 2020
NCDOT
Develops a local project control network by establishing horizontal and vertical survey control
using the current Nation Spatial Reference System (NSRS) projected onto the North Carolina State
Plane Coordinate System. This process is to conform to the Location & Surveys GPS Guidelines and
Location & Surveys Coordinate Systems White Paper.
Contact all property owners where aerial targets are placed, or those properties crossed to place
an aerial target. Contacts are to be made by letter, phone, or in person and is to be documented
using the Location and Surveys PropCon Database found at the Location & Surveys PropCon.
Conforming to Field Procedures, 6B.3-3 in the Location & Surveys GPS Guidelines, perform panel
control target surveys where panel targets are placed according to a panel plan provided by the
Photogrammetry Unit.
Process and develop panel control in accordance with Office Procedures, 6B.3-4 from the Location
& Surveys GPS Guidelines.
Provide panel control to the Photogrammetry Unit, considering:
Panel control text file (Local Datum) to the Photogrammetry Unit to orient aerial photography.
Include northing, easting, and elevation projected onto the North Carolina State Plane
Coordinate System.
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2LS1 Complete Final Surveys 4
October 2020
NCDOT
2LS1 Complete Final Surveys
Overview
Provide complete surveys and mapping, including wetlands and jurisdictional streams, for the projects
mapping limits in support of the design, right-of-way acquisition, and construction phases of the project.
References
Location & Surveys DTM Manual
Mobile and Terrestrial LiDAR Guidelines
Location & Surveys GPS Guidelines
Location & Surveys Hydro Manual
Location & Surveys Baseline Guidelines
Location & Surveys Traffic Signing Diagrams
Location & Surveys SUE Guidelines
Location & Surveys Procedure Memos
Location & Surveys PropCon
Location & Surveys Connect Site
Location & Surveys Project Review Checklist
Location & Surveys Wetland Procedures
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Location & Surveys
Division Team Lead
Location & Surveys Assistant
Division Team Lead
Final Surveys Complete Field Surveys and Project Mapping X X
Surveyed Wetlands
Complete Wetland/Jurisdictional Stream Field
Surveys and Mapping
X X
Complete Field Surveys and Project Mapping
With accurate field surveys and mapping being the critical foundation for all subsequent design, right-of-
way acquisition, and construction phases for a project, the Location & Survey Division Team Lead, with
support from the Assistant Division Team Lead, is to:
Contact all property owners impacted by the mapping limits and those properties accessed to
perform required surveys. Contacts are to be made by letter, phone, or in person and is to be
documented using the Location and Surveys PropCon Database found at the Location & Surveys
PropCon.
Establish the project’s primary control (Azimuth Pairs), secondary control (Baseline), and
benchmarks (Vertical) in accordance with the Location & Surveys GPS Guidelines, Location &
Surveys Baseline Guidelines, and Location & Surveys Coordinate Systems White Paper.
Conforming to the NCDOT CADD Mapping Standards, complete planimetric classification that
includes field classifying and labeling existing planimetric features in the Final Survey CADD File
(2D) and map per the latest approved NCDOT MicroStation version.
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2LS1 Complete Final Surveys 5
October 2020
NCDOT
Perform and/or obtain pavement and ground DTMs in accordance with the Location & Surveys
DTM Manual and Mobile and Terrestrial LiDAR Guidelines. This includes developing the final DTM
and TIN CADD file (3D) using the latest approved NCDOT MicroStation version and NCDOT CADD
Mapping Standards.
Perform hydrographic surveys in accordance with the Location & Surveys Hydro Manual that
obtain field hydrographic features and are included in the Final Survey CADD file (2D) using the
latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
In accordance with the Location & Surveys SUE Guidelines, perform subsurface utility surveys (SUE
LOS B) by:
Obtaining subsurface utility LOS B data and including in the Final Survey CADD file (2D) using
the latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
Providing the subsurface Utility LOS B CADD file (2D) using the latest approved NCDOT
MicroStation version and NCDOT CADD Mapping Standards to obtain linear footage.
Develop property mapping by performing courthouse research, recon, and locating
monumentation, requesting the Right-of-Way Abstract, and investigating as-builts and maps
according to records and monumentation. Incorporate into the Final Survey CADD file (2D) using
the latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
Develop right-of-way sheets (C-Series Only) by computing existing alignments (ELN) and compiling
C-Series right-of-way sheets using the latest approved NCDOT MicroStation version and NCDOT
CADD Mapping Standards. Complete in conformance with the Location & Surveys Baseline
Guidelines, Location & Surveys Procedure Memos, and Location & Surveys Connect Site.
Complete the Location & Surveys Project Review Checklist (PRC) found at the reference listed
above.
Deliver final survey package to the Project Manager that:
Compiles and delivers all scoped project specific geo-referenced MicroStation base mapping
files and deliverables in accordance with Location & Surveys Standard Procedures.
Note: Ensure this deliverable conforms to the Location & Surveys File Naming Convention and
Location & Surveys Procedure Memo PROC 2018-6.
Complete Wetland/Jurisdictional Stream Field Surveys and Mapping
Required Wetland/Jurisdictional Stream Field Surveys and Mapping are critical for obtaining necessary
agency permitting. For this task, the Location & Survey Division Team Lead, with support from the
Assistant Division Team Lead, is to:
Perform the wetland/jurisdictional stream field surveys in accordance with the Location & Surveys
Wetland Procedures to obtain field flag and/or nail locations delineating wetland boundaries and
for identifying jurisdictional streams established by the project biologist.
Develop wetland/jurisdictional stream mapping that conforms to the Location & Surveys Wetland
Procedures and includes:
A compiled field flag and/or nail locations and development of a surveyed WEX or WET CADD
file (2D) using the latest approved NCDOT MicroStation version and NCDOT CADD Mapping
Standards.
Identified jurisdictional streams in the Final Survey CADD file (2D) using the latest approved
NCDOT MicroStation version and NCDOT CADD Mapping Standards.
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2LS1 Complete Final Surveys 6
October 2020
NCDOT
Deliver the wetland/jurisdictional stream mapping to the Project Manager, which includes:
All scoped project-specific, geo-referenced microStation wetland/jurisdictional stream mapping
files that conform to the Location & Surveys Standard Procedures.
Note: Ensure this deliverable conforms to the Location & Surveys File Naming Convention,
Location & Surveys Procedure Memo PROC 2018-6, and Location & Surveys Wetland
Procedures.
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Letting
3LS1 Complete Additional Surveys, SUE Level A, and ROW Advanced Acquisition Surveys 7
October 2020
NCDOT
3LS1 Complete Additional Surveys, SUE Level A, and ROW Advanced
Acquisition Surveys
Overview
Provide additional surveys and base mapping for the project’s revised mapping limits in support of the
design, right-of-way acquisition, and construction phases, including SUE LOS A investigation for utility
conflict resolutions. Provide field delineation and acquisition exhibits and/or descriptions in support of
right-of-way (ROW) advanced acquisitions.
References
Location & Surveys DTM Manual
Location & Surveys GPS Guidelines
Location & Surveys Hydro Manual
Location & Surveys Baseline Guidelines
Location & Surveys Traffic Signing Diagrams
Location & Surveys SUE Guidelines
Location & Surveys Procedure Memos
Location & Surveys Project Review Checklist
Location and Surveys Unit Property Survey Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Location & Surveys
Team Lead
Location & Surveys
Assistant Team Lead
Additional Surveys
Complete Additional Field Surveys and Revise
Project Mapping
X X
SUE Level A Complete SUE Level A and Revise Mapping X X
ROW Advanced Acquisition
Surveys
Complete ROW Advanced Acquisition Field
Surveys
X X
Complete ROW Advanced Acquisition Mapping X X
Complete Additional Field Surveys and Revised Project Mapping
Building on the work done in 2LS1 and as need for the project, the Location & Survey Division Team
Lead, with support from the Assistant Division Team Lead, is to:
Collaborate with the Photogrammetry Unit for readily available mapping and/or additional flight
control to fly and compile shell plan sheets.
Coordinate with the Project Manager to obtain the final survey file currently being used by the
technical disciplines/Units.
Contact all property owners impacted by the updated mapping limits and those properties
accessed to perform required surveys. Contacts are to be made by letter, phone, or in person and
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3LS1 Complete Additional Surveys, SUE Level A, and ROW Advanced Acquisition Surveys 8
October 2020
NCDOT
is to be documented using the Location and Surveys PropCon Database found at the Location &
Surveys PropCon.
Establish additional primary control (Azimuth Pairs), secondary control (Baseline) and benchmarks
(Vertical) in accordance with the Location & Surveys GPS Guidelines, Location & Surveys Baseline
Guidelines, and Location & Surveys Coordinate Systems White Paper.
In accordance with the NCDOT CADD Mapping Standards, update the planimetric classification
that includes field classifying and labeling existing planimetric features in the updated Final Survey
CADD file (2D) and map per the latest approved NCDOT MicroStation version.
Perform and/or obtain additional pavement and ground DTMs in accordance with the Location &
Surveys DTM Manual and Mobile and Terrestrial LiDAR Guidelines. This includes developing an
updated final DTM and TIN CADD file (3D) using the latest approved NCDOT MicroStation version
and NCDOT CADD Mapping Standards.
Perform additional hydrographic surveys in accordance with the Location & Surveys Hydro Manual
that obtain field hydrographic features and are included in the Final Survey CADD file (2D) using
the latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
In accordance with the Location & Surveys SUE Guidelines, perform additional subsurface utility
surveys (SUE LOS B) by:
Obtaining subsurface utility LOS B data and including in the Final Survey CADD file (2D) using
the latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
Update property mapping by performing additional courthouse research, recon, and locating
monumentation, requesting the Right-of-Way Abstract, and investigating as-builts and maps
according to records and monumentation. Incorporate into the Final Survey CADD file (2D) using
the latest approved NCDOT MicroStation version and NCDOT CADD Mapping Standards.
Update the right-of-way sheets (C-Series Only) by computing existing alignments (ELN) and
compiling C-Series right-of-w
ay sheets using the latest approved NCDOT MicroStation version and
NCDOT CADD Mapping Standards. Complete in conformance with the Location & Surveys Baseline
Guidelines, Location & Surveys Procedure Memos, and Location & Surveys Connect Site.
Complete the Location & Surveys Project Review Checklist (PRC) found at the reference listed
above.
Deliver an updated final survey package to the Project Manager that:
Compiles and delivers all scoped project specific geo-referenced MicroStation base mapping
files and deliverables in accordance with Location & Surveys Standard Procedures.
Note: Ensure this deliverable conforms to the Location & Surveys File Naming Convention and
Location & Surveys Procedure Memo PROC 2018-6.
Complete SUE Level A and Revise Mapping
Accurate SUE Level A data is needed to minimize utility conflicts and avoid unnecessary costs and delays
when relocating utilities. For this task, the Location & Survey Division Team Lead, with support from the
Assistant Division Team Lead:
Performs/obtains subsurface utility LOS A data and includes this data in the updated Final Survey
CADD file (2D) using the latest approved NCDOT MicroStation version and NCDOT CADD Mapping
Standards.
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3LS1 Complete Additional Surveys, SUE Level A, and ROW Advanced Acquisition Surveys 9
October 2020
NCDOT
Compile and deliver the SUE LOS A Certification Sheets to the Project Manager in accordance with
NCDOT Location & Surveys Standard Procedures.
Note: Ensure this deliverable conforms to the Location & Surveys SUE Guidelines, Location &
Surveys File Naming Convention, Location & Surveys Procedure Memo PROC 2018-6, and Location
& Surveys Baseline Guidelines.
Complete ROW Advanced Acquisition Field Surveys
Accurate field delineation of proposed right-of-way and easements allows the Right-of-Way Agents and
property owners to visualize impacts to affected parcels. To complete this task, the Location & Survey
Division Team Lead, with support from the Assistant Division Team Lead, is to:
Collaborate with the Project Manager and Division Right-of-Way Agent to identify and prioritize all
Advance Acquisition Parcels.
Verify with the Project Manager and/or Division Right-of-Way Agent that all affected property
owners have been contacted and Right-of-Entry has been granted.
Complete field delineation of proposed right-of-way and easements across all affected project
parcels in accordance with the Location & Surveys Baseline Guidelines.
Complete ROW Advanced Acquisition Mapping
Accurate advance acquisition exhibits and/or descriptions allow NCDOT to acquire property necessary
for timely project construction. To accomplish this, the Location & Survey Division Team Lead, with
support from the Assistant Division Team Lead, is to:
Collaborate with the Project Manager and Right-of-Way Unit to identify and prioritize all advance
acquisition parcels requiring an exhibit and/or description.
Compile and prepare an advance acquisition exhibit (PDF) and/or description (txt) using the latest
approved NCDOT MicroStation version and NCDOT CADD Mapping Standards. This exhibit and/or
description is to conform to the Location & Surveys Procedure Memo PROC 2018-6 and Location
and Surveys Unit Property Survey Manual.
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4LS1 Complete ROW Acquisition Surveys 10
October 2020
NCDOT
4LS1 Complete ROW Acquisition Surveys
Overview
Provide right-of-way field delineation, metes and bounds descriptions, and eminent domain exhibit
maps in support of right-of-way acquisitions. Prepare final right-of-way (ROW) CADD file for the final
ROW Series Plan Set.
References
Location & Surveys Baseline Guidelines
Location & Surveys Deed Description Memo
Location & Surveys Row Procedure Memo
Location and Surveys Unit Property Survey Manual
Location & Surveys Procedure Memo PROC 2018-3
Location & Surveys Project Review Checklist
Location & Surveys Procedure Memo PROC 2018-6
Location & Surveys Procedure Memo PROC 2018-5
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Location & Surveys
Team Lead
Location & Surveys
Assistant Team Lead
ROW Field Delineation Complete ROW Field Delineation X X
ROW Metes and Bounds
Descriptions
Complete ROW Metes and Bounds Descriptions X X
Eminent Domain Exhibit Maps Complete Eminent Domain Exhibit Maps X X
ROW Reference File Complete ROW Reference File X X
Final ROW Series Plan Set Complete Final ROW Series Plan Set X X
Complete ROW Field Delineation
Accurate field delineation of proposed right-of-way and easements allows the ROW Agents and property
owners to visualize impacts to affected parcels. For this task, the Location & Survey Division Team Lead,
with support from the Assistant Division Team Lead, is to:
Verify that ROW authorization has been granted by the Board of Transportation and collaborate
with the Project Manager and Division Right-of-Way Agent to prioritize staking of parcels.
Contact all property owners identified in the ROW file for property acquisition and those
properties that may need to be accessed to perform ROW surveys. Contacts are to be made by
letter, phone, or in person and is to be documented using the Location and Surveys PropCon
Database found at the Location & Surveys PropCon.
Perform field right-of-way delineation in accordance with the Location & Surveys Baseline
Guidelines and R-W Monumentation Verification. This work includes:
Computing and verifying plan locations of proposed right-of-way and easement monuments.
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4LS1 Complete ROW Acquisition Surveys 11
October 2020
NCDOT
Completing field delineation of proposed right-of-way and easements across all affected
parcels in accordance with the set of plans used for acquisition.
Complete ROW Metes and Bounds Descriptions
Accurate right-of-way metes and bounds descriptions allow NCDOT to acquire necessary property to
construct the project. To do this, the Location & Survey Division Team Lead, with support from the
Assistant Division Team Lead, is to:
Collaborate with the Project Manager and Division Right-of-Way Agent to prepare and provide
ROW metes and bounds descriptions for the entire project.
Provide ROW metes and bounds descriptions and sketch maps in PDF format to Project Manager
and Division Right-of-Way in accordance with Location & Surveys Deed Description Memo.
Complete Eminent Domain Exhibit Maps
NCDOT uses eminent domain exhibits in the condemnation process for both mediation and as a
courtroom exhibit. Exhibits are to be prepared in accordance with North Carolina General Statutes §136-
106 and are on a strict schedule mandated by this statute. To support the preparation of these exhibits,
the Location & Survey Division Team Lead, with support from the Assistant Division Team Lead:
Compiles and prepares an Eminent Domain Map using the latest approved NCDOT MicroStation
version and NCDOT CADD Mapping Standards. Location and Surveys Unit (Project Data &
Condemnation) modifies the Eminent Domain Map to produce an Eminent Domain Exhibit used
by the Attorney General’s Office attorney to present NCDOT’s case.
Collaborates with North Carolina Attorney General’s Office and Location and Surveys Unit (Project
Data & Condemnation) to revise the Eminent Domain Map and/or Exhibit as required.
Note: Ensure these deliverables conform to the Location & Surveys Procedure Memo PROC 2018-
6 and Location and Surveys Unit Property Survey Manual.
Complete ROW Reference File
The final ROW Reference CADD file (2D) is an accurate depiction of as-staked field monumentation. This
CADD file is referenced as part of the Final Roadway Design Plans and is the basis of the Final ROW
Series Plan Set. In accordance with the Location & Surveys ROW Procedure Memo, the Location &
Survey Division Team Lead, with support from the Assistant Division Team Lead, is to:
Receive the ROW Reference CADD file (2D) from the Project Manager via the project SharePoint
site.
Modify the ROW Reference CADD file (2D) when the ROW revision letter is received.
Revision(s) may be requested by the Division Right-of-Way Agent as part of right-of-way
negotiations, by the Project Designer resulting from a design revision, by the Resident Engineer
resulting from a constructability issue, or by the surveyor in responsible charge during right-of-
way delineation.
All right-of-way revisions are to be documented with a ROW Revision Memorandum by the
Project Manager or Division Right-of-Way Agent.
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4LS1 Complete ROW Acquisition Surveys 12
October 2020
NCDOT
Collaborate with the Project Manager and Division Right-of-Way Agent on all right-of-way
revisions and the ROW Reference CADD File (2D) modifications.
Complete Final ROW Series Plan Set
The Final ROW Series Plan Set provides information necessary for reestablishment of all permanent
right-of-way and easement monumentation by NCDOT or private surveyors. The plan set is prepared in
accordance with North Carolina General Statutes §136-19.4A to address concerns of the North Carolina
Board of Examiners for Engineers and Surveyors and the private surveying community. To complete the
Final ROW Series Plan Set, the Location & Survey Division Team Lead, with support from the Assistant
Division Team Lead, is to:
Prepare the Final ROW Series D, E, and RW Series Sheets using the latest approved NCDOT
MicroStation version and NCDOT CADD Mapping Standards.
Modify the C-Series Right-of-Way Sheets if required. The C-Series Right-of-Way Sheets are located
under the projects “Let Preparation” topic on the NCDOT Connect Preconstruction Site.
Complete the Final ROW Series D, E, and RW Series Sheets using the Final Roadway Design Plans
and ROW Reference CADD file (2D).
Include the PLS seal of the surveyor in responsible charge of Right-of-Way Field Delineation on the
Final ROW Series Plan Set sheets.
Create a PDF version of all final ROW Series Plan Set sheets with the electronical signature of the
surveyor in responsible charge.
Upload the PDF version of the signed and sealed Final ROW Series Plan Set under the projects “Let
Preparation150 Folder” on the project’s SharePoint site.
Ensure this deliverable conforms to the Location & Surveys ROW Procedure Memo, Location &
Surveys Creating NCDOT Right-of-Way Plans, Location & Surveys Right-of Way Connect Site,
Location & Surveys Procedure Memo PROC 2018-3, and Location & Surveys File Naming
Convention.
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2PD1 Complete Pavement Design 1
October 2020
NCDOT
2PD1 Complete Pavement Design
Overview
Coordinate Geotechnical Pavement Design Investigation (PDI) with the Geotechnical Engineering Unit;
evaluate condition of existing pavement; and produce the Final Pavement Design Memo that includes
pavement designs for all roads, ramps, and loops (including minimum overlay requirements).
References
NCDOT Pavement Design Procedure
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
Pavement Design
Engineer
Final Pavement Design Memo
Coordinate Geotechnical Pavement Design
Investigation (PDI)
X Geopavement Engineer
Evaluate Condition of Existing Pavement X
Review Traffic Forecast X Traffic Forecast Engineer
Determine Alternative Pavement Designs for
New Locations and Widenings
X Roadway Design Engineer
Determine Treatment of Existing Pavement and
Minimum Overlay Requirements
X Roadway Design Engineer
Perform Life-Cycle Cost Analysis on Pavement
Alternatives
X
Prepare Pavement Review Package Presenting
Alternatives
X
Select Pavement Design Alternatives at
Pavement Review Committee Meeting
X
Pavement Review
Committee
Determine if Shoulder Drains are Required X
Prepare Final Pavement Design Memo X Project Manager
Coordinate Geotechnical Pavement Design Investigation (PDI)
The Pavement Design Engineer meets with the Geotechnical Engineering Unit to determine if a PDI is
required for the project.
If so, ensure the project has a PDI scheduled.
If no PDI is scheduled, request that the Geotechnical Engineering Unit adds this to the list of PDIs
to be performed.
Determine the estimated completion date of the PDI.
Determine if supplementary or preliminary PDI activities should be performed by the Materials
& Tests Unit and/or a consultant to help accelerate the pavement design prior to receiving the
full PDI from the Geotechnical Engineering Unit or to augment the data acquired during the PDI.
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2PD1 Complete Pavement Design 2
October 2020
NCDOT
If no PDI is required, determine if a pavement investigation (a simplified PDI performed by the
Materials & Tests Unit) is required.
If yes, schedule the Materials & Tests pavement investigation.
If no, use historical data (obtained from the pavement management system database, as-built
construction drawings, old pavement design files, or conversations with Division personnel) for
the pavement design.
Evaluate Condition of Existing Pavement
The Pavement Design Engineer reviews the pavement condition information contained in the pavement
management system. This review includes:
Reviewing historical imagery of the roadway.
Reviewing as built and letting plans of previous projects (if available.)
Performing a site visit to verify the pavement condition and review pavement drainage and other
considerations.
If required, performing Materials & Tests pavement investigation, including additional coring and/or
dynamic cone penetration (DCP) testing and/or falling weight deflectometer (FWD) testing.
Review Traffic Forecast
To review the traffic forecast for reasonableness and completeness, the Pavement Design Engineer:
Obtains the most updated traffic forecast diagrams. These documents are produced by
Transportation Planning Division/Technical Services Unit and are typically available on the
respective project SharePoint site.
Determines if any supplementary traffic information is required.
If required, work with the Project Manager and/or the Division to obtain additional information
not contained within the traffic forecasts or the Traffic Survey Group’s website.
Determine Alternative Pavement Designs for New Locations and Widenings
The Pavement Design Engineer follows the Pavement Design Procedure to produce alternate pavement
designs (as required) depending on project type, project length, traffic level, and complexity.
Determine Treatment of Existing Pavement and Minimum Overlay Requirements
Based on the information from the roadway design plans (in support of developing the Design
Recommendation Plan Set; see 2RD1), traffic forecast, PDI, and pavement condition evaluations, the
Pavement Design Engineer determines the minimum treatments required to ensure structural adequacy
of the existing pavements.
The minimum treatments are included in the Pavement Review Package and in the Final Pavement
Design Memo, as discussed below.
In cases of significant overlays, the Pavement Design Engineer coordinates with the Project Manager
and Roadway Design Lead to verify if this is acceptable, or if other options need to be considered in
order to meet roadway profile elevation/overhead clearance requirements.
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2PD1 Complete Pavement Design 3
October 2020
NCDOT
Perform Life-Cycle Cost Analysis on Pavement Alternatives
Using the alternative pavement designs and existing treatment options proposed, the Pavement Design
Engineer then:
Calculates quantities,
Obtains unit cost information from the Estimating Management Unit, and
Calculates life-cycle costs per NCDOT’s Life-Cycle Cost policy.
Prepare Pavement Review Package Presenting Alternatives
The Pavement Design Engineer combines the current roadway design plans, traffic forecast, pavement
condition, pavement design, geotechnical, and life-cycle cost information into a simplified package for
review by the Pavement Review Committee. To ensure timely review, the Pavement Design Engineer is to
consider the following:
The Pavement Review Committee meets monthly.
Email the Pavement Review Package to the committee one week before the meeting.
Committee membership is defined in the NCDOT Pavement Design Procedure.
Select Pavement Design Alternatives at Pavement Review Committee Meeting
The Pavement Review Committee follows the NCDOT Pavement Selection policy to select the chosen
alternative(s), considering all information in the pavement review package, as well as additional
information brought up by Pavement Review Committee members.
Determine if Shoulder Drains are Required
The Pavement Design Engineer is to determine if shoulder drains are required for the project based on
current roadway design plans (e.g., profile and cross section), project size, traffic level, and geotechnical
information. For unique situations, the Pavement Design Engineer is to reach out to the Geotechnical
Engineering Unit for input.
Prepare Final Pavement Design Memo
To complete the Pavement Design Memo, the Pavement Design Engineer summarizes all final pavement
design determinations to include:
The selected pavement designs for all alignments on the project.
The selected treatment for existing pavement for all alignments on the project.
Shoulder drains requirements, if needed for the project.
The Pavement Design Engineer also provides the Project Manager any additional information, such as
additional geotechnical information and quantities if available in the PDI. The Project Manager
coordinates this information with the Roadway Design Lead for use in developing the typical sections and
quantity calculations.
If design is provided by a Division, a Division representative is required to seal the plan sheets.
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3PD1 Verify Pavement Design 4
October 2020
NCDOT
3PD1 Verify Pavement Design
Overview
Verify that the Final Pavement Design Memo is still valid, review typical sections, and establish shoulder
drain details, drain locations, and outlet locations.
References
NCDOT Pavement Design Procedure
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Pavement Design Engineer Project Manager
Final Pavement Design Verification
Memo
Review Pavement Design and Current
Pavement Conditions
X X
Prepare Verification Memo X X
Typical Section Review Email Prepare Email on Typical Section Issues X
Shoulder Drain Memo Prepare Complete Shoulder Drain Memo X X
Review Pavement Design and Current Pavement Conditions
For the initial step in verifying the Final Pavement Design Memo, the Pavement Design Engineer is to:
Review the pavement design to verify adequacy based on current NCDOT specifications, current
NCDOT pavement design procedures, updated traffic information (if any), current roadway design
plans (including changes to the alignment configuration, profile, or cross section; the addition or
removal of Y lines) and additional geotechnical information (if any).
Review the updated pavement condition information contained in the pavement management
system, which involves a:
Review of any historical imagery of the roadway taken after the final pavement design was
completed in 2PD1.
Review as built and letting plans of projects that have taken place on the roadway since the
completion of the final pavement design (if any).
Perform a site visit to verify pavement condition, if required.
Work with the Project Manager, and other relevant parties, to adjust the design as necessary.
In these cases, options that do not change the roadway elevation or cross slope as currently set
in the Design Recommend Plan Set are to be used.
Prepare Verification Memo
The Pavement Design Engineer provides a memo that verifies the final pavement design as previously
provided and/or includes any necessary modifications and updates. This includes:
Providing pavement designs for newly added Y lines or temporary pavements.
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Letting
3PD1 Verify Pavement Design 5
October 2020
NCDOT
Adjusting pavement thicknesses to match curb and gutter elevations if paved shoulders were
changed to curb and gutter by the Roadway Design Lead.
Changing mix type due to an increase in traffic from an updated traffic forecast, etc.
Changing treatment of existing pavement.
Prepare Email on Typical Section Issues
For the Pavement Design Engineer to seal the typical sections and confirm that the pavement can be
constructed to provide reliable and cost-effective performance, the Pavement Design Engineer:
Reviews the typical sections to ensure accuracy/compliance to the Final Pavement Design Memo
and the verification memo.
Prepare email documentation on issues, coordinating with relevant parties to correct issues with
the typical sections, if any.
Complete Shoulder Drain Memo
For shoulder drains required on the project as determined under 2PD1, the Pavement Design Engineer is
to:
Select or develop the appropriate shoulder drain details by obtaining the most recent pavement
profile, cross section, and plan information from the Roadway Design Unit.
Determine shoulder drain locations and outlet locations based on the roadway’s geometry.
Determine outlet locations based on the project topography and the locations of existing and/or
proposed drainage structures.
Prepares the Shoulder Drain Memo for the Project Manager to present as recommendations for the
shoulder drain details, summarizing the locations of shoulder drains and outlet locations.
The Pavement Design Engineer and Project Manager coordinate this information to the Roadway Design
Lead for use in developing the roadway design plans.
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Letting
1PH1 Best Available Geospatial Data 1
October 2020
NCDOT
1PH1 Best Available Geospatial Data
Overview
Upon request, obtain, analyze, and provide best available orthoimagery, elevation data, and county GIS
property data for the project area. If needed, provide more current data by flying the project area and
delivering either an orthophoto with elevation data or small-scale topographic mapping with elevation
data and an orthophoto or train customers who wish to obtain the data on their own.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Photogrammetry Resource Page
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Lead
Photogrammetry
Assistant Unit Head
Orthoimagery Obtain Orthoimagery X X
Elevation Data (NCDOT login) Obtain Elevation Data (NCDOT or Custom) X X
County GIS Property Data Obtain County GIS Property Data X X
Small-Scale Topographic Mapping Provide More Current Mapping Product X X
Obtain Orthoimagery
The Project Lead can access orthoimagery (3-band RGB Color imagery at 0.5-foot GSD) on his/her own
through the instructions provided on the Photogrammetry Resource Page or submit a request to the
Photogrammetry Unit.
Obtain Elevation Data (NCDOT or Custom)
The Project Lead can obtain Quality Level 2 (QL2) Aerial LiDAR elevation data (Bare Earth or DEM) on
his/her own or submit a request to the Photogrammetry Unit for LiDAR elevation data on the
Photogrammetry Resource Page. Output from the tool is an ASCII formatted file with an *.DAT extension
for use with Bentley MicroStation and Bentley Connect/ORD.
Obtain County GIS Property Data
The Project Lead submits a request to the Photogrammetry Unit for County GIS Property Data in a
MicroStation or ArcGIS format. Alternatively, he/she can download County GIS Property Data in an ArcGIS
format from NCOneMap. The Photogrammetry Resource Page details the process used by
Photogrammetry Unit staff to convert ArcGIS County Property Data to a MicroStation format.
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Letting
1PH1 Best Available Geospatial Data 2
October 2020
NCDOT
Provide More Current Mapping Product
If the Project Lead determines that the best available geospatial data is obsolete, he/she submits a request
to the Photogrammetry Unit to obtain current mapping. The Photogrammetry Resource Page includes
instructions on how to request photogrammetric mapping and the process used by Photogrammetry Unit
to produce mapping. This work includes:
Obtaining controlled aerial photography
Compiling elevation data
Creating the orthoimagery
Compiling topographic mapping
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Plan-in-Hand
PS&E
Letting
1PH2 Compile Aerial Photography and Mapping 3
October 2020
NCDOT
1PH2 Compile Aerial Photography and Mapping
Overview
Upon request, obtain controlled aerial photography that covers the project mapping limits to ensure
horizontal and vertical mapping accuracies are achieved. Use in-house staff or a Private Engineering Firm
to perform aerotriangulation using ground survey control provided by the Location and Surveys Unit and
airborne GNSS-IMU control, compiling planimetric and digital terrain mapping data, and creating a digital
mosaic.
References
Photogrammetry Resource Page
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
Photogrammetry
Assistant Unit Head
Aviation
Controlled Aerial Photography Schedule and Fly Project X X
Large Scale Planimetric Mapping
Elevation Data
Providing Mapping Product X
Digital Mosaic
Airborne Survey reports
Schedule and Fly Project
Controlled aerial photography requires coordination with both the Location and Surveys Unit and the
Aviation Unit. This involves the following steps:
Create a Flight and Ground Control Survey Plan that shows the proposed flight lines for the project
with specific flying heights, forward overlap, and side overlap that optimally facilitates
aerotriangulation to ensure horizontal and vertical mapping accuracies are achieved.
Obtain ground control survey.
The Photogrammetry Unit creates a ground control plan that shows the approximate location of
proposed ground control targets (panels).
The panel plan is submitted to the Location and Surveys Unit to layout out the panels and to
survey coordinates for each panel point.
The Location and Surveys Unit localizes the control coordinates to the project control network.
Upon notification of completion of the panels, the Photogrammetry Unit coordinates with the
Aviation Unit to fly the project to obtain the aerial photography.
After the project has been flown, the Photogrammetry Unit completes post-processing for both the
aerial photography and the GNSS-IMU data that was collected during the flight.
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1PH2 Compile Aerial Photography and Mapping 4
October 2020
NCDOT
Provide Mapping Product
Once the aerial photography is obtained and all data posted processed, the Photogrammetry Unit either
uses in-house staff or a Private Engineering Firm to complete the mapping product. The Photogrammetry
Unit is to localize all ancillary support data to the project control network. Aerotriangulation using the
ground surveyed panel coordinates is performed next to establish accurate exterior orientation
parameters for each photograph.
An Aerotriangulation Report is completed, sealed and certified by an NC PLS, if the work is contracted
with a Private Engineering Firm. The planimetric mapping and ground elevation data is also compiled, and
a digital mosaic completed, while the mapping is compiled.
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PS&E
Letting
1PI1 Initiate Public Engagement Tasks 1
October 2020
NCDOT
1PI1 Initiate Public Engagement Tasks
Overview
Required as part of the environmental process, ensure stakeholder input is received and the public is
informed on the project, providing transparency in the public engagement process.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Public Involvement Guidelines
Practitioners Guide
Public Engagement Toolkit
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Public Involvement
Lead
Public Involvement Team
Member/Communications
Public Involvement Officer
RPO/MPO CTP/LRTP Outreach
Documentation
Outreach Before/During State
Transportation Improvement Program
(STIP) Development
X
Public Involvement Plan (PIP)
Develop the Public Involvement Plan
(PIP)
X X
Outreach Before/During State Transportation Improvement Program (STIP)
Development
The Project Lead develops an Environmental Tracking and Coordination System (ETRACS) request to solicit
Public Involvement support. The Public Involvement Lead then documents the following related to this
task:
Document and upload to project files both process- and project-specific Metropolitan and/or Rural
Planning Organization (MPO/RPO) or local government public outreach efforts for NCDOT use and
Title VI documentation.
Document and upload to project files both process- and project-specific Strategic Prioritization
Office (SPOT) outreach efforts
Preliminary screenings prior to the Project Scoping Report that includes Community Studies’
Community Screenings for areas of potential concern and Public Involvement’s initial
recommendations as part of the Public Involvement Plan (PIP). The PIP is to be scaled to the project
and is reviewed prior to Notice to Proceed to determine if updates are needed.
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Letting
1PI1 Initiate Public Engagement Tasks 2
October 2020
NCDOT
Conduct STIP Outreach
The Public Involvement Lead assists in the development of the State Transportation Improvement
Program (STIP), including:
Coordination on projects included at each level of the STIP.
Communicating project schedules and specific public outreach needs.
Develop the Public Involvement Plan (PIP)
The Project Lead sends an ETRACS request to Public Involvement to develop a draft Public Involvement
Plan (PIP). The purpose of a PIP is for NCDOT staff, local and regional partners, and
consultants/contractors to work in concert throughout a project when developing an understanding of
community resources and demographics, what information is to be exchanged between the stakeholders
and NCDOT, and the best ways to engage and inform the public and stakeholders for decision making.
The Public Involvement Lead develops the draft PIP, which become a part of the Project Scoping Report
(see 1FS3 for related information). At this stage, the draft PIP is to initially address the following project
details, all of which are finalized as part of 2PI1.
Project overview
Goals and objectives for outreach on the project, in part based on findings in the Community
Understanding Report and Project Sheet
Key messages to be communicated to the public
Project-specific or potentially controversial issues from local knowledge, the Community
Understanding Report, project sheets, or Community Screening
Potential for Environmental Justice, Limited English Proficiency, or other Title VI considerations
Stakeholders and interested groups, including special populations such as the elderly, college
students, or business owners
Public engagement roles and responsibilities
Commitments made to stakeholders in previous project phases
Potential communication methods/outreach tools
Preliminary schedule for public engagement activities
Measures for evaluating the success of the public outreach program
As a dynamic document, the Public Involvement Lead, in collaboration with the Project Lead, updates the
PIP throughout the design development process to reflect changes in the project’s scope, schedule or
from stakeholder comments.
Participate in the Project Initiation Meeting
In collaboration with the Project Manager (when the project is transitioned to him/her from the Project
Lead), the Public Involvement Lead participates in the Project Initiation Meeting to address any future
public engagement strategies, so that input on the stakeholder process is identified early. The level of
public engagement and outreach needed on a project depends on several factors, including:
Type, size, and duration of the project
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1PI1 Initiate Public Engagement Tasks 3
October 2020
NCDOT
Complexity of the project and project area
Significance of direct, indirect, cumulative, recurring, and disproportionate impacts
Resource notability and sensitivity
Number of partners and sources of potential funding
Anticipated controversy
The availability of the Community Screening (see 1EN1 for related information) is foundational for the
Public Involvement Lead to reference when identifying the level of public outreach and to further develop
the PIP.
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PS&E
Letting
2PI1 Continue Public Engagement 4
October 2020
NCDOT
2PI1 Continue Public Engagement
Overview
During this phase, assist with project-specific public engagement activities to ensure a transparent process
is followed as required under the National Environmental Policy Act (NEPA) and the State Environmental
Policy Act (SEPA).
References
Public Involvement Guidelines
Practitioners Guide
Public Engagement Toolkit
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Public Involvement
Lead
Public Involvement
Team Member/
Communications Public
Involvement Officer
Public Involvement Plan (PIP) Finalize Public Involvement Plan (PIP) X X
Scoping Letter Develop Project Scoping Letter X
Mailing List Compile Mailing List X
Public Outreach Materials Coordinate Public Outreach Event Notifications X
Newsletter/Postcard Approval Develop/Update Newsletter/Postcards X
Environmental Document
Comments
Review Environmental Document X X
Public Meeting/Public Hearings Conduct Public Meetings and/or Public Hearing X
Finalize Public Involvement Plan (PIP)
The Project Manager sends an Environmental Tracking and Coordination System (ETRACS) request to
Public Involvement to complete the final Public Involvement Plan (PIP). Based on the Project Scoping
Report and Community Screening, as well as discussions with the Project Manager, Communications Lead
and/or project team, Public Involvement update the PIP to include:
Potential outreach methods best suited to the project
Public meetings
Local and elected public officials’ meetings
Additional Public Involvement needs for Merger Projects
Small group meetings to inform the public about the project for review and approval by the Project
Manager and Environmental Analysis Unit (Public Involvement, Community Studies, and
Visualization [PICSViz])
These activities build upon the work to incorporate the PIP in the Project Initiation Stage.
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Letting
2PI1 Continue Public Engagement 5
October 2020
NCDOT
Develop Project Scoping Letter
The Project Manager sends an ETRACS request to Public Involvement. In accordance with the Public
Involvement Guidelines, the Private Engineering Firm/consultant prepares the project scoping letter and
submits the letter, where it is reviewed to determine if updates are needed to the PIP and to assist with
scheduling.
Compile Mailing List
Upon receipt of an ETRACS request for support, the Public Involvement Lead completes the following in
accordance with the Public Involvement Guidelines.
Provide the draft mailing list to the assigned Private Engineering Firm or other consultant, who
updates the mailing list through project duration.
Review the project study area map and project mailing area
Ensure approved mailing list is detailed on the project SharePoint site
Coordinate Public Outreach Event Notifications
Upon receipt of an ETRACS request for support, the Public Involvement Lead:
Arranges meeting locations and facilities.
Ensures the public is notified as to where and when the public meeting(s) is to occur.
Collaborates with the Communications Office to release a press notice regarding each meeting.
Note: The Communications Office also notify citizens of the public meetings using social media
outlets (e.g., Facebook and Twitter) (see 2CG1 for related information).
Uploads the project map and available documents to the NCDOT Public Meeting webpage.
Develop/Update Newsletter/Postcards
The Project Manager sends an ETRACS request to Public Involvement. During the project the Private
Engineering Firm, or other consultant, may prepare a newsletter/postcard for distribution to persons on
the project mailing list and to State officials. Public Involvement approves the newsletter/postcard prior
to distribution; the Private Engineering Firm, or other consultant, is responsible for printing and
distributing the newsletter.
Review Environmental Document
If a Project Manager determines that Public Involvement’s review of the environmental document is
necessary, an ETRACS request is sent.
Conduct Public Meeting and/or Public Hearing
For all public meetings and/or public hearings, the Project Manager and Public Involvement Lead
references the NCDOT’s public meeting process.
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Plan-in-Hand
PS&E
Letting
Complete Any Open Public Engagement Tasks 6
October 2020
NCDOT
Complete Any Open Public Engagement Tasks
While there are no specific public engagement activities or tasks in the Plan-in-Hand and PS&E stages,
Public Involvement remains an available resource if any meetings are required during final design or the
construction stage, all in coordination with the Communications Group and the Project Manager.
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PS&E
Letting
1CG1 Review Project Scoping 1
October 2020
NCDOT
1CG1 Review Project Scoping
Overview
As part of Project Initiation Stage, evaluate the project’s communication needs.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
NCDOT Programmatic Agreement Cultural Resources Screening Checklist
Tribal Coordination Protocol
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Communications Lead
Project Scoping Report Review Comments Review Project Scoping Report X
Review Project Scoping Report
Upon receipt of an Environmental Tracking and Coordination System (ETRACS) request from the Project
Lead for any project with an offsite detour or strong potential for controversy (or likelihood of complexity),
the Communications Lead reviews the current Project Scoping Report and notifies the Feasibility Studies
Unit (and Public Involvement Lead as applicable) of any issues or needs regarding outreach and
communication for a project (see 1FS3 and 1PI1 for related information).
The Communications Lead additionally helps on this task, if needed.
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Project
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Plan-in-Hand
PS&E
Letting
2CG1 Assist with Public Engagement 2
October 2020
NCDOT
2CG1 Assist with Public Engagement
Overview
Help to facilitate public meetings, assist with media interview requests, develop visualizations, create and
administers webpages, and review project notification needs or requirements.
References
NCDOT Programmatic Agreement Cultural Resources Screening Checklist
Tribal Coordination Protocol
Project Special Commitments (Green Sheet) Guidance
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Communications Lead Public Involvement Lead
Various Outreach Materials
Create or Administer Outreach Materials
Environmental Document Review
X X
Create or Administer Outreach Materials
Upon request of the Project Manager via Environmental Tracking and Coordination System (ETRACS), the
Communications group is available to provide media outreach or other public engagement work as
needed. The Communications Lead can help facilitate several activities related to public outreach on the
project, including:
Assisting Public Involvement with newsletters, public meetings, and interview requests.
Creating and administering web pages and social media outreach.
Developing project-specific visualizations and video production in coordination with EAU (Public
Involvement, Community Studies, and Visualization (PICSViz)).
Environmental Document Review
Upon request of the Project Manager via ETRACs, the Communications group is available to review the
draft environmental document to determine if there are, or needs to be, any public outreach-related
Project Special Commitments (Green Sheets) during the project’s construction phase.
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Project
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Plan-in-Hand
PS&E
Letting
4CG1 Prepare Construction Communications Activities 3
October 2020
NCDOT
4CG1 Prepare Construction Communications Activities
Overview
Because outreach during construction is critical for safety and informing the public of road or lane
closeures, if a traffic pattern is to change, and if detours are needed, prepare for construction outreach
and develop a Construction Public Information Plan in coordination with the Project Manager and
stakeholders (e.g., schools and Emergency Medical Services providers). The Project Manager notifies the
Communications Office via Environmental Tracking and Coordination System (ETRACS) prior to the start
of construction.
References
None
Deliverables
Deliverables Task
Responsible Party
Activity Leader Additional Support
Communications
Lead
Project Manager
Construction Outreach Material
(varies by need)
Identify Construction Outreach Needs X X
Construction Public Information Plan Develop the Construction Public Information Plan X X
Identify Construction Outreach Needs
The Communications Lead works with the Project Manager and the Traffic Management Unit (Work Zone
Traffic Control) to ensure the necessary public outreach occurs during the construction phase. This
involves a pro-active identification of outreach needs when the Communications Lead receives notice
from the Project Manager that the project has been placed on the letting list.
Some items to consider include:
Send notice on letting when road closures and/or lane shifts occur for projects with road closures
and/or work zone issues.
Outline when to use social media, Public Service Announcements, local media, and other means to
push communications out to interested parties.
Develop/update/review the project website for accuracy.
Provide legislative liaison support that communicates with state and federal legislative bodies.
Receive notice from the Project Manager if a problem occurs in the field.
Circulate notice once construction is complete.
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Letting
4CG1 Prepare Construction Communications Activities 4
October 2020
NCDOT
Develop the Construction Public Information Plan
In coordination with the Project Manager, the Communications Lead develops a plan to formalize
outreach to stakeholders during construction. This is a formal or informal deliverable, depending on the
scale of the project.
Lead Interviews (if needed)
In coordination with the Project Manager, the Communications Lead may:
Provide on-camera interviews, especially for Division projects.
Hold news media briefings.
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Project
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PS&E
Letting
1RD1 Initiate Roadway Coordination 1
October 2020
NCDOT
1RD1 Initiate Roadway Coordination
Overview
Ensure that the Express Design is both consistent with the vision established for the corridor by internal
and external stakeholders and represents sound roadway design principles and practices.
References
American Association of State Highway Transportation Officials (AASHTO) A Policy on
Geometric Design of Highways and Streets
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Mapping & Surveys for Planning and Design Activities Guide
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadway Design
Engineer
Comments on Express Designs Provide Roadway Input on Express Design X
Roadway Design
Engineer
or appropriate Division
personnel
Division Location and
Surveys Engineer and/or
Photogrammetric Engineer
Comments on Mapping Limits
Perform Independent Review of Mapping
Limit Polygon
X X
Provide Roadway Input on Express Design
Considering the need for early coordination as an Express Design is developed, the Roadway Design
Engineer is to engage as follows:
Review the roadway design elements of the Express Design as provided by the Feasibility Studies
Engineer by:
Evaluating the design to ensure design elements are in alignment with the AASHTO A Policy on
Geometric Design of Highways and Streets and NCDOT’s Roadway Design Manual and Complete
Streets Memo/Policy.
Evaluating the design to ensure it reflects any multimodal accommodations coordinated with
municipalities, metropolitan or rural planning organizations, and/or that which is recommended
by the NCDOT.
Generate comments on the Express Design, considering that:
Comments are to focus on any issues that could adversely affect decision-making as they are
being evaluated in the prioritization process.
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Letting
1RD1 Initiate Roadway Coordination 2
October 2020
NCDOT
Comments are submitted to Feasibility Studies Engineer in written format with any necessary
accompanying documentation that would assist in the comments being understood.
In all, the Roadway Design Engineer provides roadway design technical expertise during this activity that
involves:
Responding verbally or in writing, as appropriate, to any questions or concerns that may arise about
roadway design policies, practices, and/or procedures as the Express Design is being developed.
Participating in any meetings in which the Roadway Design Unit or Roadway Design Engineer is
requested to attend.
Perform Independent Review of Mapping Limits Polygon
To perform this review task, the Roadway Design Engineer reviews mapping limits polygon as provided by
the Feasibility Studies Engineer to:
Evaluate limits to ensure the limits are adequate for design, but not so excessive that it overburdens
resources.
There are times where further coordination with Location and Surveys and/or Photogrammetry
may be needed.
Provide comments to the Feasibility Studies Engineer in written format with any necessary
accompanying documentation that would assist in the comments being understood.
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Alignment
Defined
Plan-in-Hand
PS&E
Letting
2RD1 Initiate Roadway Design 3
October 2020
NCDOT
2RD1 Initiate Roadway Design
Overview
Complete the project’s Design Recommendation Plan Set and associated roadway tasks to establish the
essential roadway design elements that facilitate multiple activities across multiple disciplines early in this
stage. This activity provides needed data that is incorporated into the environmental document, serves
as a visual aid during public engagement activities, and sets a foundation for coordination activities with
other technical units, so that these units can develop and advance their design recommendations and
plans early.
References
American Association of State Highway Transportation Officials (AASHTO) A Policy on
Geometric Design of Highways and Streets and Errata
American Association of State Highway Transportation Officials (AASHTO) Roadside
Design Guide 4
th
Edition and Errata
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Roadway Standard Drawings
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual)
Subregional Tier Guidelines (In Development: The design guidance will ultimately be
housed in the updated NCDOT Roadway Design Manual)
Resurfacing, Restoration, and Rehabilitation (R-R-R) of Highways and Streets
Roadway Design Consultant Coordination Guidelines (In Development: Part or all of
this may be incorporated into the updated NCDOT Roadway Design Manual or remain
a separate guidance)
Public Involvement and Mapping Guidelines (In Development: This will ultimately be
housed in the updated Roadway Design Manual.)
Design Exception Guidelines (In Development: The guidelines are being updated and
will ultimately be housed in the updated Roadway Design Manual.)
American Association of State Highway Transportation Officials (AASHTO) Roadway
Lighting Design Guide
Roadway Lighting Policy (In Development: This will ultimately be housed in the updated
Roadway Design Manual.)
National Cooperative Highway Research Program (NCHRP) Report 152 “Warrants of
Highway Lighting
Location and Design Approval Procedures
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Project
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Plan-in-Hand
PS&E
Letting
2RD1 Initiate Roadway Design 4
October 2020
NCDOT
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadway Design Plan
Review Group Leader
or Division Personnel
Roadway Design Lead
Approved Design Criteria and
Associated Typical Sections
Complete Design Assumptions and Typical
Sections
X X
Roadway Design Lead
Design Public Meeting Maps Complete Design Recommendation Plan Set X
Roadway Design Lead
Engineers from Various
Technical Disciplines
and Division
Design Recommendation Plan
Set
Complete Design Recommendation Plan Set X
X
(Roles noted in the
descriptions below)
Technical Services
Director or
Division Engineer
Roadway Design
Lead/State Roadway
Design Engineer
or Division Personnel
Approved Design Exception Formalize Design Exceptions X X
Roadway Lighting
Design Engineer
Division Engineer
Initial Lighting Assessment Determine Lighting Needs and Owner X
Lighting Evaluation Report Determine Lighting Needs and Owner X
Agreement with Municipality
for Lighting Ownership
and Maintenance
Determine Lighting Needs and Owner
X
Technical Services
Director or
Division Engineer
State Roadway Design
Engineer or
Division Team Lead
Location and Design
Approval Support Document
Issue Location and Design Approval (LADA)
X
Location and Design
Approval Letter (LADA)
Issue Location and Design Approval (LADA) X X
Complete Design Assumptions and Typical Sections
With coordination of the inclusion of Complete Streets elements occurring during the Project Initiation
Stage, the Project Manager provides the results of that coordination to the Roadway Design Lead for
inclusion in the design assumptions. While the Roadway Design Lead may not perform all operations
associated with the development of the roadway designs, the Roadway Design Lead ultimately seals the
final plans and, as such, has responsible charge for the roadway designs and documentation of design
decisions. To determine design assumptions and typical sections, the Roadway Design Lead completes the
design criteria package and submits for approval.
The design criteria and typical sections are generated in accordance with the AASHTO A Policy on
Geometric Design of Highways and Streets, AASHTO Roadside Design Guide, Roadway Design
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Manual, and NCDOT Standards. Decisions made about elements that are considered non-standard
are documented in written format.
The design criteria and typical sections are submitted to the Project Manager, who engages the
Roadway Design Unit or Division designee for review and comment.
The Roadway Design Review Engineer or Division designee then reviews the design criteria package to
ensure the appropriate references are used and values for each element are correct based on those
references. The reviewer also confirms consistency between the design criteria and typical sections.
The reviewer provides comments and any associated documents to the Project Manager for dissemination
to the Roadway Design Engineer. Once complete, a meeting can be requested to discuss concerns or gain
clarity on statements.
Note: An NCDOT representative is ultimately responsible for any comments developed by a Private
Engineering Firm operating on the NCDOT’s behalf.
The Roadway Design Plan Review Group Leader or appropriate Division personnel then issues design
criteria approval, and once comments have been adequately resolved, the Roadway Design Plan Review
Group Lead or appropriate Division personnel provides documentation of approval to the Project
Manager.
Complete the Design Recommendation Plan Set
The development of final surveys is a coordinated effort between the Locations and Surveys and
Photogrammetry units, which begins in the Project Initiation Stage. The final survey product is then
delivered to the Roadway Design Lead prior to initiating the Design Recommendation Plan Set. The designs
developed for this plan set is also be used to facilitate the completion of the environmental document.
To develop this plan set, the Roadway Design Lead develops the horizontal and vertical alignments for all
affected roadways that involves:
Developing the horizontal and vertical alignments to be reflective of the approved design criteria,
the AASHTO A Policy on Geometric Design of Highways and Streets and NCDOT’s Roadway Design
policies, procedures, and practices as defined in the Roadway Design Manual.
Coordinating with the other technical disciplines/units (e.g., Hydraulics, Utilities, Geotechnical,
Structures Management, etc.) and Division staff to verify that no new issues presented themselves
based on the delivery of the final surveys.
Evaluating the horizontal and vertical alignments to ensure each fits the context of the subject
roadways. Design decisions deviating from the guidance in the previous bullet is to be thoroughly
documented in written format.
Additionally, as part of this task, the Roadway Design Lead is to:
Layout roadway and structural design elements, basing both on the layout of:
Roadway design elements on the approved design criteria and recommendations from the
Traffic Management Unit.
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Structural design elements on the approved design criteria, recommendations from the
Hydraulic Design Engineer (if bridging a body of water), the Rail Division and Structure
Management Units (if bridging a railroad), and coordination with the Structures Lead on the
bridge type.
Layout superelevation transitions that involve:
Verifying that the superelevation transitions conform to the current AASHTO Policy on Geometric
Design of Highways and Streets and NCDOT Standard Drawings.
Coordinating with the hydraulic engineer to identify areas where hydroplaning concerns exist.
Efforts are made to ensure the concerns are adequately resolved.
Calculate vertical clearance, if applicable, and document the vertical clearance calculations in a
format that is easy to understand and verify.
Note: The minimum clearances for each structure over a roadway or railroad are provided in the
approved design criteria.
Vertical clearance calculations are generated to confirm they have been met.
Develop gore calculations, if applicable, and document the calculations in a format that is easy to
understand and verify.
Note: The gore calculations are generated to ensure the rollover limitations are not violated as
detailed in the Roadway Design Manual.
Perform sight distance calculations as prescribed in the Roadway Design Manual documenting the
calculations in a format that is easy to understand and verify.
3D Model Development
The Roadway Design Lead also generates a 3D Model of the proposed design for all construction proposed
by the project and layout cross sections and limits of construction (slope stakes), considering:
The cross sections and limits of construction are to be reflective of the 3D model.
Design elements shown in the plan view are to be the same as the 3D model.
The appropriate version of software to be used is to be detailed in the scope of work.
Right-of-Way and Easement Layout
The Roadway Design Lead is to also layout initially proposed right-of-way and easements generated based
on guidance in the Roadway Design Manual and in coordination with the appropriate Division personnel.
Station and offset labels are not required for the Design Recommendation Plan Set.
Maintenance of Traffic Narrative
The Roadway Design Lead coordinates the development of the maintenance of traffic narrative, which is
meant to be:
A viable plan for maintenance of traffic conveyed in written format to demonstrate the project can
be constructed as designed.
The Work Zone Traffic Engineer is engaged early in the design process to discuss potential traffic
management challenges and solutions.
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Public Involvement Engagement
For public engagement at this stage, the Roadway Design Lead develops design public meeting maps to
conform with the Public Involvement and Mapping Guidelines. The Project Manager is to then set up a
review meeting to evaluate the maps to ensure they accurately portray the project.
Attendees at the meeting are the Roadway Design Lead and representation from each of the
following: the Division, Public Involvement Unit, Environmental Analysis Unit (Community Studies
and Visualization), experts representing the technical disciplines/units (Hydraulics, Utilities, Work
Zone Traffic Control, Structures Management, etc.), and any other relevant stakeholders.
The technical experts for centrally managed projects are to be representatives from the respective
central units.
Once all comments from the review meeting are addressed and the maps updated, the Project Manager
is notified so that the Public Involvement Officer and/or Communications Group can update their website.
After the Design Public Meeting has been held and the comment period closed, the Project Manager
schedules a Post-Public Meeting Resolution Meeting to determine the best path forward to address the
comments.
Attendees to the meeting include those invited to the map review and anyone else who can provide
feedback on the concerns from the public.
The resolutions requiring revisions to the designs as presented to the public are incorporated into
the plans.
Potential Retaining Wall Location Evaluation
To complete this subtask, the Roadway Design Lead evaluates roadway design information for potential
locations where retaining walls are a cost-effective solution to reduce impacts. The evaluation includes
coordination efforts with the Hydraulics Design Engineer, Design Geotechnical Engineer, Structures Lead,
Utility Coordinator, and appropriate Division personnel. Of note:
Where considered viable, the retaining wall locations are incorporated in the typical sections, plan
sheets, and cross section sheets.
Retaining wall envelopes are developed for each retaining wall location.
The Roadway Design Lead notifies the Project Manager when this is complete. The Project Manager then
requests the retaining wall investigations and design recommendations from the Geotechnical
Engineering Unit (see 3GT2 for related information).
Design Recommendation Plan Set Preparation
The Roadway Design Lead is to lay out the title sheet, plan and profile sheets, and cross section sheets to
include a title sheet that:
Encompasses all the work proposed by the project,
Contains an accurate description of the project limits and type of work, and
Provides the design data used to establish the design criteria for the mainline.
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2RD1 Initiate Roadway Design 8
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The horizontal and vertical alignment data, along with the 3D model information, are transferred into
plan, profile, and cross section sheets as prescribed in the Roadway Design Manual.
The Roadway Design Lead also incorporates the final pavement design into the typical sections upon
receipt of the final pavement design recommendations in the final Pavement Design Memo (see 2PD1 for
related information). Of note:
The designs are evaluated to determine if any are incompatible with the proposed designs.
If any concerns arise or the recommendations are incomplete, the Pavement Design Engineer is
contacted for further discussion.
The final pavement designs are to be accurately reflected in the pavement schedule, typical
sections, and paving details per the guidance in the Roadway Design Manual.
The Roadway Design Lead also develop an earthwork summary, which is all to be provided in the plans
per the guidance in the Roadway Design Manual.
Design Recommendation Plan Set Review and Finalization
Once the plans are complete, the Roadway Design Lead notifies the Project Manager, so that the Project
Manager can schedule the Design Recommendation Plan Set Review Meeting. The Project Manager
distributes the plans to the technical disciplines/Units and/or appropriate Division personnel ahead of the
meeting.
For roadway designs developed by a Private Engineering Firm, the Roadway Design reviewer or Division
designee is to use appropriate means including the Roadway Design Manual, Roadway Design Consultant
Coordination Guidelines, and plan review checklists to complete a quality assurance review.
This review ensures the plan set is complete and in compliance with current NCDOT and Roadway
Design Unit guidance, policies, and procedures.
An NCDOT representative is ultimately responsible for any comments developed by a consultant
operating on the NCDOTs behalf.
From there, the Roadway Design Lead updates the plans based on comments from the Design
Recommendation Plan Set Review Meeting, considering the following.
Comments and recommendations from the review meeting are analyzed to determine if they are
feasible.
If results of the analyses do not provide a clear resolution, results are circulated to all relevant
designers and Division personnel for a final determination.
The designs and plans are updated to include all final recommendations.
The Roadway Design Lead notifies the Project Manager once the plans are complete so that the Project
Manager can distribute the plan set to the disciplines/technical units and/or appropriate Division
personnel through the project SharePoint site.
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Formalize Design Exceptions
During the development of the Design Recommendation Plan Set, it may not be feasible to meet all the
required design criteria. If it is determined that design element identified in the design exception checklist
cannot be met, a formal design exception is required.
To complete this task, the Roadway Design Lead completes the design exception package and submit the
package to State Roadway Design Engineer as follows:
The design exception checklist is completed per the design exception guidance in the Roadway
Design Manual.
All pertinent data in the design exception request letter is completed and includes responses to all
questions on the “Basis of the Exception”.
The letter, checklist, and location of the design plans is submitted to the State Roadway Design
Engineer or Division designee for review.
The State Roadway Design Engineer or Division designee then reviews the design exception package for
accuracy and completeness, considering that:
Written comments and associated documents are provided to the Project Manager for
dissemination to the Roadway Design Lead.
If deemed necessary, a meeting is held to ensure clarity of comments and responses.
Once comments have been adequately addressed, the State Roadway Design Engineer signs the
document and forwards it to the Technical Services Director, who reviews the package and provides
additional comments, if needed. If there are no comments, the Technical Services Director approves the
design exception by signing the document.
Determine Lighting Needs and Owner
NCDOT-owned and maintained lighting systems are typically installed inside full control of access facilities.
The exceptions are complex intersections, such as a roundabout or continuous flow intersection (CFI).
Prior to preparing a lighting evaluation, the Roadway Lighting Design Engineer is to refer to the Roadway
Lighting Policy and NCHRP Report 152 as part of determining the warrant for an evaluation that assess:
The access control of the interchange or corridor,
If complex intersections (continuous flow, roundabout, etc.) are in the design and/or
If the night-to-day accident ratio for existing conditions at the interchange or along the corridor is
met.
When a lighting evaluation is warranted, the Roadway Lighting Design Engineer is to:
Prepare a lighting evaluation for the interchange or corridor in accordance with NCHRP Report 152.
Prepare a Lighting Evaluation Map showing the result of all evaluated interchanges and/or
continuous roadway sections within the project.
The Roadway Lighting Design Engineer provides the lighting evaluation and map to the NCDOT Roadway
Lighting Team Lead for review. The results of the lighting evaluation are discussed at the next quarterly
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Lighting Committee meeting, with the inclusion of lighting in the project determined by the NCDOT
Lighting Committee.
Where the lighting evaluation shows that lighting is not justified, the Division Engineer works with the
impacted municipality to determine if the municipality is interested in partnering with the NCDOT on
including lighting in the project.
Issue Location and Design Approval (LADA)
To review and issue a Location and Design Approval, the State Roadway Design Engineer or designee
performs a consistency review between the environmental document and the roadway design plans in
accordance with the Location and Design Approval procedures. Upon review, a letter is drafted for the
signature of the Technical Services Director, with supporting documentation attached.
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2RD2 Prepare for Field Inspection 11
October 2020
NCDOT
2RD2 Prepare for Field Inspection
Develop a coordinated set of design plans (Field Inspection Plan Set) that can be used for the Field
Inspection Review Meeting and a constructability review, so that all vested parties are able to review and
discuss concerns that could impact how a project is built.
References
American Association of State Highway Transportation Officials (AASHTO) Roadside
Design Guide 4
th
Edition and Errata
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Roadway Standard Drawings
Roadway Design Consultant Coordination Guidelines (In Development: Part or all of
this may be incorporated into the updated NCDOT Roadway Design Manual or remain
a separate guidance.)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadway Design Lead
Engineers from Various
Technical Disciplines
and Division
Field Inspection Plan Set Complete Field Inspection Plan Set X X
Quantities for Construction Estimate Complete Field Inspection Plan Set X X
Complete Field Inspection Plan Set
To complete the Field Inspection Plan Set, the Roadway Design Lead incorporates input from several
sources as follows.
Hydraulic Design Input
The relevant information in the completed major structure reports (e.g., the Bridge Survey and Hydraulic
Design Reports (BSRs), Detour Survey and Hydraulic Design Reports (DSRs), and Culvert Survey and
Hydraulic Design Reports (CSRs)) and the completed drainage plans for field inspection are evaluated to
ensure consistency between the hydraulic design and the roadway design plans (see 2HY2 for related
information). The Roadway Design Lead incorporates the hydraulic design, details, and quantities into the
3D model and the roadway design plan, profile, and cross section sheets per the guidance in the Roadway
Design Manual.
The Roadway Design Lead discusses concerns about the intent and/or accuracy of the hydraulic design
with the Hydraulics Design Engineer to determine possible solutions. If the recommended solution has
the potential to jeopardize the scope, schedule, or budget, the Roadway Design Lead notifies the Project
Manager, so that the Project Manager can determine what further coordination is needed.
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Preliminary General Drawing Input
The preliminary general drawing is reviewed to ensure consistency with how the structure information
relevant to the roadway design plans is shown per guidance in the Roadway Design Manual (see 2ST2 for
related information).
The Roadway Design Lead discusses concerns about the intent and/or accuracy of the preliminary general
drawing with Structures Lead and Hydraulics Design Engineer, if the needed, to determine possible
solutions. If the recommended solution has the potential to jeopardize the scope, schedule, or budget,
the Roadway Design Lead notifies the Project Manager, so that the Project Manager can determine what
further coordination is needed.
Geotechnical Slope and Roadway Input
The geotechnical slope and roadway recommendations are reviewed and incorporated into the roadway
design, plan, profile, and cross section sheets, and the earthwork summary per the guidance in the
Roadway Design Manual (see 2GT2 for related information).
The Roadway Design Lead discusses concerns about the intent and/or accuracy of the geotechnical slope
and/or roadway recommendations with the Design Geotechnical Engineer to determine possible
solutions. If the recommended solution has the potential to jeopardize the scope, schedule, or budget,
the Roadway Design Lead notifies the Project Manager, so that the Project Manager can determine what
further coordination is needed.
Work Zone Traffic Control Input
The maintenance of traffic narrative provided in the Design Recommendation Plan Set is further
developed into concept plans for the traffic control plans. The roadway design plans are updated to reflect
the concepts plans.
The Roadway Design Lead discusses concerns about the intent and/or accuracy of the traffic control
concepts with the Work Zone Traffic Control (WZTC) Project Engineer to determine possible solutions (see
2TM1 for related information). If the recommended solution has the potential to jeopardize the scope,
schedule, or budget, the Roadway Design Lead notifies the Project Manager, so that the Project Manager
can determine what further coordination is needed.
Right-of-Way and Easement Layout Update
The Roadway Design Lead revises the initial right-of-way and easements provided in the Design
Recommendation Plan Set by incorporating the completed drainage design for the field inspection plans
(see 2HY2), geotechnical recommendations (see 2GT2), utility coordination (see 2UT1), temporary or
permanent erosion and sediment control measures (see 2RE1), and signal poles (see 2SG1) per the
guidance in the Roadway Design Manual.
Station and offset information is included in the plan set at this stage.
The appropriate discipline/Unit supplying the information listed in the bullet above and/or the
Division are contacted if there are any concerns with how to contain the impacts.
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Construction Estimate Quantities
The Roadway Design Lead and other associated disciplines/Units develop quantities for pay items
associated with the construction of the proposed designs per guidance in the Roadway Design Manual.
The quantities are provided to the Project Manager, so that the Project Manager can request an updated
construction cost estimate be generated by the Contract Standards and Development Unit (see 2CS1 for
related information).
Plan Set Review and Finalization
Once the plans are complete, the Roadway Design Lead notifies the Project Manager, so that the Project
Manager can schedule the Field Inspection Review Meeting. The Project Manager distributes the plans to
the technical disciplines/Units and/or appropriate Division personnel in advance of the meeting. The
Project Manager provides the Field Inspection Plan Set to the Value Management Office to complete a
Constructability Review (see 2VM3 for related information). The team confirm there is enough time to
allow a thorough review from the Value Management Office prior to the Field Inspection Review Meeting.
For roadway designs developed by a Private Engineering Firm, the Roadway Design reviewer or Division
designee uses appropriate means including the Roadway Design Manual, Roadway Design Consultant
Coordination Guidelines, and plan review checklists to complete a quality assurance review.
This review is to ensure the plan set is complete and in compliance with current NCDOT and
Roadway Design Unit guidance, policies, and procedures.
An NCDOT representative is ultimately responsible for any comments developed by a consultant
operating on the NCDOT’s behalf.
From there, the Roadway Design Lead updates the plans based on comments from the Field Inspection
Review Meeting, considering the following.
Comments and recommendations from the review meeting are analyzed to determine if they are
feasible.
If results of the analyses do not provide a clear resolution, results are circulated to all relevant
designers and Division personnel for a final determination.
The designs and plans are updated to include all final recommendations.
The Roadway Design Lead notifies the Project Manager once the plans are complete so that the Project
Manager can distributed to the Value Management Unit for the Constructability Review (see 2VM3 for
related information).
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3RD1 Complete Roadway Design 14
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3RD1 Complete Roadway Design
Overview
Evaluate and/or incorporate decisions from the field inspection, constructability review, and all remaining
design recommendations from technical disciplines/Units into the plans, resulting in a set of plans with
no major constructability or right-of-way issues.
References
American Association of State Highway Transportation Officials (AASHTO) Roadside
Design Guide 4
th
Edition and Errata
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Roadway Standard Drawings
Roadway Design Consultant Coordination Guidelines (In Development: Part or all of
this may be incorporated into the updated NCDOT Roadway Design Manual or remain
a separate guidance.)
Standard Specifications for Roads and Structures
American Association of State Highway Transportation Officials (AASHTO) Roadway
Lighting Design Guide
Roadway Lighting Policy (In Development: This will ultimately be housed in the updated
Roadway Design Manual.)
National Electrical Code (NEC)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadway Design Lead
Engineers from Various
Technical Disciplines
and Division
Right-of-Way Plan Set w/ Noise Wall
Locations
Complete the Right-of-Way Plan Set X
X (Roles noted in the
descriptions below)
Quantities for Construction Estimate Complete the Right-of-Way Plan Set X
X (Roles noted in the
descriptions below)
Roadway Design Lead Hydraulic Design Lead
Roadway Design Plans Set for Permit
Application
Conduct Permit Drawing Consistency
Review
X X
Roadway Lighting
Design Engineer
Photometric Layout Complete Lighting Layout X
Lighting Plans Prepared in
MicroStation
Complete Lighting Layout X
Voltage Drop Calculations Complete Lighting Layout X
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Roadway Design Lead Pavement Design Lead
Typical Sections for Pavement Design
Review
Submit/Review Typical Sections (Pavement
Management)
X X
Complete the Right-of-Way Plan Set
The other technical disciplines/Units continue to make minor adjustments to finalize their plans, and the
approved design noise report is issued at the beginning of this Plan-in-Hand Stage. The Right-of-Way Plan
Set is then used by the:
Location and Surveys Unit for staking of proposed right-of-way and easements, and
Right-of-Way Unit for appraisal and acquisitions.
Noise Wall Location Incorporation
The Roadway Design Lead incorporates noise wall locations from the Design Noise Report. The Design
Noise Report is generated by the Environmental Analysis Unit (Traffic Noise and Air Quality) or their
designee (see 3EN1 and 3EN2 for related information).
Once the report is provided by the Project Manager, the Roadway Design Lead incorporates approved
noise wall locations into the plan set per guidance in the Roadway Design Manual.
Note: Anticipated revisions to the plans include potential modifications to the typical sections, plan
sheets, 3D model, cross sections, slope stakes, and proposed right-of-way and/or easements.
If required, the Roadway Design Lead participates in coordination to resolve any conflicts the noise wall
locations may present within the designs. Others engaged in this coordination include the Hydraulics
Design Engineer, Design Geotechnical Engineer, Utility Coordinator, Structures Lead, Work Zone Traffic
Control (WZTC) Project Design Engineer, and the appropriate Division personnel. If the recommended
solution has the potential to jeopardize the scope, schedule, or budget, the Project Manager determines
what further coordination is needed to obtain a final resolution.
Plan Set Compilation
The Roadway Design Lead receives final designs, plans, and/or results of coordination efforts from all or
a portion of the following disciplines/Units: Hydraulics, Utilities, Work Zone Traffic Control, Structures
Management, Signing and Delineation, Roadside Environmental, Geotechnical Engineering, and Rail
Division. Their information is reviewed for consistency with the roadway design plans per the Roadway
Design Manual.
If there are concerns that need to be addressed, the appropriate lead is engaged to determine
possible solutions.
If the recommended solution has the potential to jeopardize the scope, schedule, or budget, the
Roadway Design Lead informs the Project Manager, so that the Project Manager can determine
what further coordination is needed.
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Construction Estimate Quantities
The Roadway Design Lead and other associated disciplines/Units update the quantities for pay items
associated with the construction of the proposed designs per guidance in the Roadway Design Manual to
reflect any design revisions and/or updated recommendations from other technical Units or the Division.
The quantities are provided to the Project Manager, so that the Project Manager can request an updated
construction cost estimate be generated by the Contract Standards and Development Unit (see 3CS1 for
related information).
Plan Set Review and Finalization
Once the plans are complete, the Roadway Design Lead notifies the Project Manager, so the Project
Manager can schedule the Plan-in-Hand Review Meeting that involves review of the Right-of-Way Plan
Set. The Project Manager distributes the plans to the technical disciplines/Units and/or appropriate
Division personnel in advance of the meeting. If needed (depending on the complexity of the project or if
significant changes have occurred from the Alignment Defined Stage), the Project Manager determines
the need for an additional Constructability Review. If used, the Project Manager provides the Right-of-
Way Plan Set to the Value Management Office to coordinate this additional Constructability Review.
The Roadway Design Lead updates the plans based on comments from the Plan-in-Hand Review Meeting,
considering the following.
Comments and recommendations from the review meeting are analyzed to determine if they are
feasible.
If results of the analyses do not provide a clear resolution, results are circulated to all relevant
engineers and Division personnel for a final determination.
The designs and plans are updated to include all final recommendations.
The Roadway Design Lead notifies the Project Manager once the plan set is complete.
Conduct Permit Drawing Consistency Review
The development of environmental permit drawings is a critical component for obtaining approval from
the appropriate environmental agencies prior to let. To complete this task, the Roadway Design Lead
compares the draft environmental permit drawings with the current roadway design plans.
Upon receipt of the draft environmental permit drawings from the Project Manager or Hydraulics
Design Engineer, the Roadway Design Lead compares the plans to ensure the impacts are the same.
The elements under review include slope stakes, proposed right-of-way and easement impacts,
clearing methodology, and the data associated with major hydraulic crossings.
The Roadway Design Lead provides written comments on any inconsistencies and provides any associated
documents to the Hydraulics Design Engineer. If needed, the Roadway Design Lead coordinates with the
Hydraulics Design Engineer and any other technical experts to resolve the concern.
Any resolution of inconsistencies requiring revisions to the roadway design are incorporated into the
roadway design plans, and once inconstancies are resolved, the Roadway Design Lead notifies the Project
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Manager, so that the Project Manager can provide the location of the roadway design plans to the
Environmental Analysis Unit (Environmental Coordination and Permitting).
Complete Lighting Layout
If lighting is warranted or existing lighting conflicts with construction, the Roadway Lighting Design
Engineer prepares and provides a photometric layout, including:
Luminaire variables and preliminary light pole locations determinations.
Light Levels calculations.
The Roadway Lighting Design Engineer also prepares a lighting design package, including:
Voltage drop calculations based on the system operating voltage and circuit loads.
A Photometric layout replicated in MicroStation
Determination of underpass lighting requirements.
All of this is done in coordination with the Roadway Design Lead, with the total number of lighting plan
sheets provided to the Roadway Design Lead for inclusion in the roadway design plansindex of sheets.
The Roadway Lighting Design Engineer prepares any special provisions for any lighting item not included
in the Standard Specifications for Roads and Structures.
Submit/Review Typical Sections (Pavement Management)
Once all design has been completed to the point where no more revisions are anticipated to the typical
sections, the Roadway Design Lead provides typical section sheets to the Pavement Design Engineer for
review (see 3PD1 for related information).
In updating the typical sections, the Roadway Design Lead evaluates the comments and/or corrections
from the Pavement Design Engineer when updating to the typical sections.
If there is uncertainty about a comment, the Pavement Design Engineer is engaged to resolve them.
The agreed upon changes to the typical sections are made so that the plans are ready for seals and
signatures in the next stage.
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4RD1 Finalize Contract Package 18
October 2020
NCDOT
4RD1 Finalize Contract Package
Overview
With right-of-way acquisition and utility relocations well underway, compile the Final Roadway Design
Plans, Specifications, and Estimate (PS&E) with any other required documentation to assist the Contract
Standards and Development Unit to develop the contract for the Advertisement and Letting Process.
References
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Roadway Design Consultant Coordination Guidelines (In Development: Part or all of
this may be incorporated into the updated NCDOT Roadway Design Manual or remain
a separate guidance.)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadway Design Lead
Review Set of Final Plans Complete Contract Package X
Roadway Design Lead
Final Construction Quantities
for Roadway Design Plans
Complete Contract Package X
Roadway Design Lead
Engineers from Various
Technical Disciplines
and Division
Sealed Contract Roadway
Design Plans
Submit Contract/Final Plans X
X (Roles noted in the
descriptions below)
Complete the Contract Package
For compiling a complete contract package, the Roadway Design Lead updates the plans, as needed, for
any design changes that occurred after the end of the Plan-in-Hand Stage. The process includes
completing:
The appropriate documentation required by the Contract Standards and Development Unit or
Division Contract Engineer in proper format to either be included in the plans or provided as
standalone documents.
Items include the index of sheets, list of standard drawings, general notes, special provisions,
relevant summary plan sheets summaries, Transport quantities, and key documents.
For roadway designs developed by a Private Engineering Firm, the Roadway Design reviewer or Division
designee is to use appropriate means including the Roadway Design Manual, Roadway Design Consultant
Coordination Guidelines, and plan review checklists to complete a quality assurance review.
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NCDOT
This review is to ensure the plan set is complete and in compliance with current NCDOT and
Roadway Design Unit guidance, policies, and procedures.
An NCDOT representative is ultimately responsible for any comments developed by a consultant
operating on the NCDOTs behalf.
The Roadway Design Lead notifies the Project Manager when the Roadway Design Review Plan Set and
the contract documentation have been placed on the project SharePoint site in the Let Preparation area.
The Project Manager then notifies Plan Review Engineer or the Division Contract Engineer.
The Plan Review Engineer or the Division Contract Engineer provides comments to the Project Manager.
The Roadway Design Lead provides a response to all comments so that the group is aware of what has
changed.
Submit Contract/Final Plans
Plan sheets are uploaded into DocuSign or equivalent software and sent to the Roadway Design Lead,
Hydraulic Design Lead, and Pavement Design Engineer for dated seals and signatures.
Special detail sheets are uploaded to DocuSign and sent to the State Plans and Standards Engineer for
dated seal and signature.
The Project Manager is notified when the final sealed roadway design plan set/PS&E has been uploaded
onto the project SharePoint site in the Let Preparation area. The Project Manager notifies the Plan Review
Engineer or the Division Contract Engineer for final compilation.
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Project
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Plan-in-Hand
PS&E
Letting
2RE1 Initiate Erosion and Sediment Control Plans 1
October 2020
NCDOT
2RE1 Initiate Erosion and Sediment Control Plans
Overview
Begin the preliminary erosion and sediment control plans after or concurrent with advancement of the
drainage design to provide locations for erosion and sediment control (E&SC) measures and to identify
sufficient right-of-way/easement needs for installation, maintenance, and removal of the measures.
Determine additional permit needs.
References
Roadside Environmental - Soil and Water Webpage
Erosion and Sediment Control Design and Construction Manual
NCDEQ Erosion and Sediment Control Planning and Design Manual
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadside
Environmental
Engineer
Erosion Control
Engineering Supervisor
Water Quality Worksheet (Form
ESC-1)
Document Review and Surface Water
Delineation for Design Requirements
X
Environmental Document Review
(Form ESC-2)
Document Review and Surface Water
Delineation for Design Requirements
X
Pre-Design Meeting Minutes Conduct E&SC Pre-Design Meeting X X
Preliminary E&SC Plans Conduct E&SC Project Site Visit X
Determine Outfall Locations and Design
Preliminary E&SC Measures for ROW
X
ROW/Easement Request File Develop ROW/Easement Request File X
Document Review and Surface Water Delineation for Design Requirements
To complete this task, the Roadside Environmental Engineer is to:
Provide a project investigation and watershed analysis by reviewing the project’s environmental
documents for commitments related to E&SC design, mitigation, landscaping, and vegetation re-
establishment.
Complete and submit the Water Quality Worksheet (Form ESC-1) and Environmental Document
Review (Form ESC-2) (both located on the Soil and Water webpage) to verify E&SC design
requirements and to document environmental commitments to be addressed by the E&SC plans
and Roadside Environmental Unit operations.
The Water Quality Worksheet and Environmental Document Review are reviewed by Roadside
Environmental Unit staff and uploaded onto the project SharePoint site when complete.
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PS&E
Letting
2RE1 Initiate Erosion and Sediment Control Plans 2
October 2020
NCDOT
Conduct E&SC Project Site Visit
The Roadside Environmental Engineer performs a site visit to evaluate existing groundcover, soils, and
jurisdictional features for E&SC design. This work includes:
Comparing design file topography with existing field topography for discrepancies.
Evaluating and noting any potential construction and maintenance issues for E&SC measures.
Documenting and photographing current condition of noted jurisdictional streams and wetlands or
other sensitive drainage features.
Distributing the notes and photos to Roadside Environmental Unit reviewer, uploading all onto the
project SharePoint site.
Conduct E&SC Pre-Design Meeting
In conducting the meeting with the Roadside Environmental Unit staff after the site visit, the Roadside
Environmental Engineer is to:
Discuss E&SC design concept for the project, including potential design exceptions, any issues noted
during the site visit, and any current Division preferences or potential constructability conflicts.
Submit draft meeting minutes for review and comment to attendees and other Units, as necessary.
Submit final meeting minutes to attendees and upload onto the project SharePoint site.
Determine Outfall Locations and Design Preliminary E&SC Measures for ROW
For determining outfall locations and when designing the preliminary E&SC measures, the Roadside
Environmental Engineer is to:
Complete preliminary E&SC plans showing locations of excavated basins or other outfall E&SC
measures and the required temporary construction easement for the installation, maintenance, and
removal of the measures.
Preliminary E&SC plans are to be distributed for review prior to the Field Inspection Review
Meeting.
Distribute the preliminary E&SC plans to the appropriate Units (e.g., the Project Manager,
Structures Management, Roadway Design, Division Construction, Utilities, Right-of-Way, Division
Environmental Officer, REU Field Operations, Central Construction).
Determine applicability of other permits or variances (e.g., NC Division of Water Resources Central
Coastal Plain Capacity Use Area (CCPCUA) Permits, NC Department of Environmental Quality Trout
Buffer Variance and High-Quality Waters (HQW) Variance, etc.) and begin application coordination
as required.
Develop ROW/Easement Request File
When developing the ROW/Easement Request file (which may also occur at the beginning of the Plan-in-
Hand stage), the Roadside Environmental Engineer:
Delineates temporary construction easement that are necessary for the construction, maintenance,
and removal of E&SC measures after review and comment from the Field Inspection.
Coordinates with right-of-way, utilities, and other disciplines/Units to identify and resolve noted
conflicts with the planned E&SC measures.
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Letting
2RE1 Initiate Erosion and Sediment Control Plans 3
October 2020
NCDOT
Produces a completed easement request CADD file and distributes to the Right-of-Way team and
the Project Manager.
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Project
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Plan-in-Hand
PS&E
Letting
3RE1 Complete Erosion and Sediment Control Plans 4
October 2020
NCDOT
3RE1 Complete Erosion and Sediment Control Plans
Overview
Complete the erosion and sediment control (E&SC) plans.
References
Roadside Environmental - Soil and Water Webpage
Erosion and Sediment Control Design and Construction Manual
NCDEQ Erosion and Sediment Control Planning and Design Manual
BMP for Construction and Maintenance Activities
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Roadside
Environmental
Engineer
Erosion Control
Engineering Supervisor
Complete E&SC plans for Clearing and Grubbing
Construction Phase
X
Complete E&SC plans for Intermediate and Final
Construction Phases
X
E&SC Plan Set
Calculate Matting Requirements for Ditches and
Slopes
X
Design Pipe/Culvert Construction Sequences
X
Add Details, Notes, and Vegetation
Management Plans
X
E&SC Special Provisions &
Quantities
Calculate Final E&SC Quantities and Develop
Project Specific E&SC Special Provisions
X
Approved Applicable
Permits/Variances
Apply and Receive Approval for other Applicable
Permits Related to the E&SC Plans
X X
Complete E&SC Plans for Clearing and Grubbing Construction Phase
For this portion of the plans, the Roadside Environmental Engineer is to design the clearing and grubbing
E&SC plans in accordance with the Erosion and Sediment Control Design and Construction Manual and
NCDEQ’s Erosion and Sediment Control Planning and Design Manual. This work includes:
Delineating the watersheds that drain through the project and their discharge points based on
existing topography and drainage features.
Designing any basins at existing outfalls and routing runoff with temporary ditches with velocity
controls, as needed.
Identifying and protecting jurisdictional features.
Delineating the ESA, as required.
Designing perimeter protection to contain runoff not conveyed to an E&SC basin.
Designing inlet protection for existing inlets and drainage inflow points.
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PS&E
Letting
3RE1 Complete Erosion and Sediment Control Plans 5
October 2020
NCDOT
Complete E&SC Plans for Intermediate and Final Construction Phases
For this portion of the plans, the Roadside Environmental Engineer designs final phase and any necessary
intermediate phase E&SC plans in accordance with the Erosion and Sediment Control Design and
Construction Manual and the NCDEQ Erosion and Sediment Control Planning and Design Manual. This
work includes:
Delineating watersheds that drain through the project and their discharge points based on proposed
topography and drainage plans.
Designing basins at outfalls using proposed pipes and drainage channels.
Designing temporary ditches, as needed, to convey runoff to E&SC basins.
Designing velocity controls for proposed drainage channels and temporary ditches.
Incorporating clearing and grubbing E&SC plans, as practical.
Designing perimeter protection to contain runoff not conveyed to an E&SC basin.
Designing inlet protection for proposed inlets and other drainage inflow points.
Designing for temporary drainage associated with temporary traffic detours or construction
activities that may not be captured in the clearing and grubbing or final phase E&SC plans.
Calculate Matting Requirements for Ditches and Slopes
To calculate matting requirements, the Roadside Environmental Engineer:
Analyzes flow rates and determines stabilization requirements for channels with erosive velocities
and slopes with potential for erosive failure throughout the project.
Denotes stabilization using matting or other groundcover in a summary table or annotation on the
E&SC plans.
Design Pipe/Culvert Construction Sequences
When designing the pipe/culvert construction sequencing, the Roadside Environmental Engineer is to:
Design construction sequence drawings and narratives, for pipes/culverts carrying jurisdictional
streams sufficient to convey the stream through the project construction site, while maintaining
separation from the work site.
Design temporary drainage (e.g., pipes, channels, etc.) as needed to maintain stream passage during
construction. Include designs for temporary pipes carrying jurisdictional streams that are needed
for work zone traffic control and other construction activities.
Incorporate pipe/culvert construction sequences into the clearing & grubbing phase E&SC plans.
Add Details, Notes, and Vegetation Management Plans
For this task, the Roadside Environmental Engineer:
Completes the E&SC plans by incorporating appropriate title sheet information, needed details, and
notes on the E&SC plan sheets for project-specific environmental information into the plan.
Adds project-specific vegetation management plans (e.g., reforestation, streambank reforestation,
wetland grass or reforestation, etc.) or landscaping as required through permitting or project
commitments to the E&SC plans.
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Letting
3RE1 Complete Erosion and Sediment Control Plans 6
October 2020
NCDOT
Calculate Final E&SC Quantities and Develop Project Specific E&SC Special Provisions
The Roadside Environmental Engineer submits quantity calculations and develops project Special
Provisions (Green Sheets) for all items in the E&SC plans not covered under the NCDOT Standard
Specifications. This task involves calculating quantities for all E&SC items and applying maintenance
factors for final quantities. All related information is uploaded to the project SharePoint site.
Apply and Receive Approval for other Applicable Permits Related to the E&SC Plans
Applications for other project-specific required permits/variances (e.g., NC Department of Environmental
Quality Trout Buffer, NC Division of Water Resources Central Coastal Plain Capacity Use Area (CCPCUA)
Permits, NC Department of Environmental High Quality Waters (HQW), etc.) are to be submitted for
approval by the regulatory agency (see 3HY1 and 3EN1 for related information).
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PS&E
Letting
1RR1 Identify Railroad Impacts 1
October 2020
NCDOT
1RR1 Identify Railroad Impacts
Overview
Determine impacts when the Rail Division Unit is contacted concerning a potential project rail corridor
impact or invite the Rail Division Unit to a scoping or planning meeting.
References
American Railway Engineering and Maintenance-of-Way Association (AREMA) Manual
for Railway Engineering
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
FHWA Highway-Rail Crossing Handbook
CSX Public Projects Manual
Norfolk Southern (NS) Public Projects Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Rail Grade Separation Guidelines
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual)
Guidelines for Median Separations at Highway-Railway At-Grade Crossings
State Maintained Road/Railroad Crossing Closure Procedures
Summary of State Highway-Railroad Grade Separation Policies
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Railroad Coordination
Engineer
Planning Manager
Scoping Response Letter
Determine a Finding of No Rail Impacts
Determine a Finding of One or More Rail Impacts
Submit Scoping Letter
X
X
X
X
X
X
Determine a Finding of No Rail Impacts
To determine a “Finding of No Rail Impacts,the Railroad Coordination Engineer is to:
Examine rail corridor mapping to determine proximity of the project to nearest rail corridor(s) and
determine whether the proposed project is not proximate to a rail corridor.
In the event there is a no rail impact finding, review the project to determine if there is an
abandoned corridor maintained by NCDOT or if there are other rail impacts that are not obvious
(e.g., newly built tracks that only the Rail Division would be familiar with).
If examinations result in a negative (or no) finding, the Railroad Coordination Engineer sends a Finding of
No Rail Impacts to the Feasibility Studies/Corridor Development Unit Lead.
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Letting
1RR1 Identify Railroad Impacts 2
October 2020
NCDOT
Determine a Finding of One or More Rail Impacts
To determine a Finding of One or More Rail Impacts,the Railroad Coordination Engineer, with support
from Rail Division Staff, is to:
Examine rail corridor mapping to determine proximity of the project in relationship to nearest rail
corridor(s).
Describe impacts if the proposed project crosses, shares right-of-way, or operationally impacts one
or more rail corridors.
Impacts may include widening a roadway into railroad right-of-way; a Y-line that has an at-grade
crossing or other improvement that impacts railroad right-of-way; or a new location projects that
are proposed to be grade-separated (preferably over the railroad).
If examinations result in a positive finding, the Railroad Coordination Engineer sends a Finding of One or
More Rail Impactsto the Feasibility Studies/Corridor Development Unit Lead.
Submit Scoping Response Letter
The Railroad Coordination Engineer provides a scoping response letter to the Feasibility Studies/Corridor
Development Unit Lead that is also distributed internally within the Rail Division Unit. Details of the letter
identify the railroad impacts.
Attend Meetings
The Rail Division Staff attends or, in some cases, initiates planning-level meeting with other Units or
stakeholders.
The Rail Division Staff, as requested, reviews the preliminary plans, planning documents, or meeting
summaries, providing written feedback to the Feasibility Studies/Corridor Development Unit Lead
on any rail impacts.
The Rail Division Staff may also be invited to attend follow-up meetings as the project progresses.
Agency Coordination
Apart from meeting and plan reviews, the Rail Division Staff also reaches out to any Class I Railroads and
other partnering agencies to solicit participation, feedback, or other requests for information to support
a project.
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Letting
2RR1 Initiate Railroad Review 3
October 2020
NCDOT
2RR1 Initiate Railroad Review
Overview
Initiate railroad review and design (if necessary) when there are identified rail corridor impacts on a
project.
References
American Railway Engineering and Maintenance-of-Way Association (AREMA) Manual
for Railway Engineering
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
FHWA Highway-Rail Crossing Handbook
CSX Public Projects Manual
Norfolk Southern (NS) Public Projects Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Rail Grade Separation Guidelines
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Guidelines for Median Separations at Highway-Railway At-Grade Crossings
State Maintained Road/Railroad Crossing Closure Procedures
Summary of State Highway-Railroad Grade Separation Policies
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Railroad Coordination
Engineer
Planning Manager
Railroad Design Line and Grade Approve Railroad Design Line and Grade X X
Railroad PE Agreement Establish Railroad PE Agreement X X
Roadway Plans for Rail Review Submit Roadway Plans for Rail Review X X
Crossing Scope for Off-Site
Detour
Define Crossing Scope for Off-Site Detour X X
Approve Railroad Design Line and Grade
The Railroad Coordination Engineer receives the current railroad design plans from the Project Manager
for review and provides initial comments. Once revised, the Railroad Coordination Engineer submit the
revised design to the appropriate railroad. The Railroad Coordination Engineer works with the railroad to
obtain comments and coordinates with the Project Manager on required plan revisions necessary for
railroad approval.
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Letting
2RR1 Initiate Railroad Review 4
October 2020
NCDOT
Establish Railroad PE Agreement
The Railroad Coordination Engineer develops, coordinates, and executes a preliminary engineering
agreement for any railroad encroachments. The exceptions are:
Structures over/under the railroad, which are handled by the Structures Management Unit.
City projects, which are generally handled by the municipality if it is a city project.
Submit Roadway Plans for Rail Review
The Railroad Coordination Engineer reviews the Design Recommendation Plan Set, providing initial
comments at the associated review meeting. The Railroad Coordination Engineer submits the revised
Design Recommendation Plan Set to the appropriate railroad. The Railroad Coordination Engineer works
with the railroad to obtain comments and coordinates with the Project Manager on required plan
revisions necessary for railroad approval.
Define Crossing Scope for Off-Site Detour
For all projects that impact a railroad crossing or contemplate a detour that would divert traffic to another
railroad crossing, the Rail Division is to review the temporary traffic control (TTC) plans (see 2TM1 for
related information). The Rail Division receives the TTC plans from the Project Manager for review and
provides initial comments back.
The Work Zone Traffic Control (WZTC) Project Engineer revises the plans based on Rail Division review,
resubmitting the plans to the Rail Division for submission to the appropriate railroad.
The Rail Division works with railroad to obtain comments and coordinates with the Project Manager on
necessary plan revisions.
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PS&E
Letting
3RR1 Complete Railroad Design and Agreements 5
October 2020
NCDOT
3RR1 Complete Railroad Design and Agreements
Overview
Complete the railroad design and execute all necessary railroad agreements.
References
American Railway Engineering and Maintenance-of-Way Association (AREMA) Manual
for Railway Engineering
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
FHWA Highway-Rail Crossing Handbook
CSX Public Projects Manual
Norfolk Southern (NS) Public Projects Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Rail Grade Separation Guidelines
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Guidelines for Median Separations at Highway-Railway At-Grade Crossings
State Maintained Road/Railroad Crossing Closure Procedures
Summary of State Highway-Railroad Grade Separation Policies
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Railroad Coordination
Engineer
Planning Manager
Railroad Signal Planimetric
Prepare Railroad Signal Planimetric and
Complete Railroad Crossing Signal Design
X X
Railroad Crossing Signal Design
Prepare Railroad Signal Planimetric and
Complete Railroad Crossing Signal Design
X X
Railroad Design Plans
Provide Final Railroad Design Plans to the
Railroad
X X
Relevant Railroad Agreements Complete Railroad Agreements X X
Prepare Railroad Signal Planimetric and Complete Railroad Crossing Signal Design
The Railroad Coordination Engineer receives the Field Inspection Plan Set, which includes advanced
drainage design from the Hydraulics Design Engineer, that is used to prepare a planimetric for railroad
signal locations.
The Railroad Coordination Engineer sends the railroad planimetric and Authorization for Preliminary
Engineering (A4PE) to the railroad to complete their final design for the railroad crossing signal plans. The
Railroad sends the signal design back to the Railroad Coordination Engineer, who complete an Approved
for Construction (A4C) upon completion of the final signal design.
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Letting
3RR1 Complete Railroad Design and Agreements 6
October 2020
NCDOT
Provide Final Railroad Design Plans to the Railroad
The Railroad Coordination Engineer receives the current railroad design plans from the Project Manager
for review, providing initial comments on the plans. Once revised, the plans are resubmitted to the
Railroad Coordination Engineer to be submitted to the appropriate railroad. The Railroad Coordination
Engineer works with the railroad to obtain comments and coordinates with the Project Manager on
required plan revisions to either the railroad design plans and/or the roadway design plans (if necessary)
for railroad approval.
Complete Railroad Agreements
The Railroad Coordination Engineer completes and coordinates a railroad agreement for any railroad
encroachments, except for structures over/under the railroad, which are handled by others.
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Letting
4RR1 Complete Railroad Coordination 7
October 2020
NCDOT
4RR1 Complete Railroad Coordination
Overview
Complete all railroad coordination. The other mechanism for continuing this task is getting involved in
stakeholder meetings and coordination meetings.
References
American Railway Engineering and Maintenance-of-Way Association (AREMA) Manual
for Railway Engineering
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
Federal Highway Administration (FHWA) Highway-Rail Crossing Handbook
CSX Public Projects Manual
Norfolk Southern (NS) Public Projects Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Rail Grade Separation Guidelines
Complete Streets Memo/Policy (In Development: The design guidance will ultimately
be housed in the updated NCDOT Roadway Design Manual.)
Guidelines for Median Separations at Highway-Railway At-Grade Crossings
State Maintained Road/Railroad Crossing Closure Procedures
Summary of State Highway-Railroad Grade Separation Policies
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Railroad Coordination
Engineer
Planning Manager
Railroad Agreements
Receive/Execute Relevant Railroad
Agreements
X X
Project Special Provisions
Provide Project Special Provisions to Contract
Standards
X X
Receive/Execute Relevant Railroad Agreements
The Railroad Coordination Engineer coordinates the execution of the final railroad agreement for the
railroad encroachment (if needed), except for structures over/under the railroad, which are handled by
others.
Provide Project Special Provisions to Contract Standards
The Railroad Coordination Engineer provides any project-specific Special Provisions to the Contract
Standards and Development Unit.
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Letting
1RW1 Prepare Conceptual ROW Cost Estimate 1
October 2020
NCDOT
1RW1 Prepare Conceptual ROW Cost Estimate
Overview
Prepare conceptual right-of-way (ROW) cost estimates (per a request from the Division, Roadway, or
outside consultant firm) early in the planning process and prior to the Project Initiation Meeting.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Right-of-Way SharePoint Site
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Central ROW Office
Division, Roadway, or
Outside Consultant Firm
Conceptual ROW Cost Estimate Develop Conceptual Right-of-Way Cost Estimate X X
Develop Conceptual Right-of-Way Cost Estimate
The Project Lead, Roadway Design Unit, or Private Engineering Firm/consultant sends a conceptual ROW
cost estimate request to the Central ROW Office. The request includes a set of plans showing the ROW to
be acquired (if available), along with a letter requesting the cost estimate, and the due date for the
estimate.
Upon receiving the request, the Appraisal Estimate Coordinator assigns the conceptual ROW cost estimate
request to an in-house staff member or contracts with a qualified fee appraiser to perform the estimate.
If a contracted appraiser is used, the Appraisal Estimate Coordinator sends plans and the request to
the appraiser and requests a signed contract to allow the contracted appraiser to perform the work.
The Appraiser completes the conceptual ROW cost estimate and sends to Appraisal Estimate Coordinator,
who reviews the estimate and adds additional costs and multipliers to the estimate to account for the
possibility of relocation, administrative adjustments, and condemnation/court costs.
The Appraisal Estimate Coordinator sends the completed conceptual ROW cost estimate to the original
requestor.
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Letting
2RW1 Initiate Advance Acquisition ROW Tasks 2
October 2020
NCDOT
2RW1 Initiate Advance Acquisition ROW Tasks
Overview
Begin advanced acquisitions of project right-of-way (ROW) based on hardships, protective purchases, or
complex relocation or utility issues associated with certain parcels.
References
Right-of-Way SharePoint Site
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Division
Engineer’s Office
Division ROW
Office or
PEF/Consultant
Central ROW Office
AARC Committee
Advance Acquisition
Property Owner
Contacts
Review/Approve Advanced Acquisition
Requests
X X X
Setup Funding
Contact Property Owners
X
Advanced Acquisition
ROW Authorization
Request Advanced Acquisition ROW
Authorization
X X X
Request Additional PE Funding X X X
Verify Existing ROW
The Locations and Surveys Unit, along with the Division ROW Office, verify the existing ROW and assist in
determining the acquisition areas on an early/advanced acquisition parcel, so as not to acquire land that
is already in existing ROW limits.
Review/Approve Advanced Acquisition Requests
The Division ROW Office, the Division Engineer, or the Division Construction Engineer sends an Advanced
Acquisition and Advanced Acquisition Hardship Requests to the Advanced Acquisition Review Committee
for review and approval. In accordance with the ROW Manual, the request includes:
A letter from the property owner requesting the hardship acquisition (if available), along with any
documentation provided by the property owner to support the hardship case.
Plans (if available) for review.
An explanation of the issues, if the request is based on a complex relocation or utility issue.
Setup Funding
Once approved, the Advanced Acquisition Review Committee requests funding either through Preliminary
Engineering funding (for costs up to and including requesting an appraisal) or Right-of-Way/Utility (ROW)
funding for one or more parcels. ROW funding must be available in order to settle or condemn an
advanced acquisition parcel.
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Letting
2RW1 Initiate Advance Acquisition ROW Tasks 3
October 2020
NCDOT
Contact Property Owners
The Acquisition Agent assigned to the parcel(s) begins the ROW acquisition process and contacts the
appropriate property owners.
If the parcel(s) in question is assigned to a Private Engineering Firm/ROW consultant, then a contract
is executed by the Division finance section, with the assistance of the Division ROW Office.
However, if this is performed out of the Central ROW Office, then the assigned Private Engineering
Firm/ROW consultant signs a contract through the Consultant Coordinator in order to proceed.
Assignment of parcels to Acquisition Agents is based on the current workload of the agents available
to perform the work.
Request Advanced Acquisition ROW Authorization
If Preliminary Engineering funding was used to make initial contact and request the appraisal, the
Acquisition Agent is to:
Request ROW funding in the amount of the settlement, relocation, and recording fees in order to
close/condemn on the parcel.
This is typically done at settlement of a hardship acquisition and at settlement or condemnation of
other advanced acquisition parcels.
Request Additional PE Funding
The Acquisition Agent requests additional Preliminary Engineering funds or authorized ROW funds for
early/advanced acquisitions from the fiscal unit.
Verify Field Inspection Plans/Revise as Needed
Reviewing the Field Inspection Plan Set provides the project team insight into obvious oversights, such as
missing driveways, missing improvements, etc. The Acquisition Agent, Project Manager, or Division ROW
Office level handles this type of review prior to the Field Inspection Review Meeting.
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Letting
3RW1 Complete ROW Authorization Package 4
October 2020
NCDOT
3RW1 Complete ROW Authorization Package
Overview
Although not solely performed by the ROW Unit, authorize right-of-way (ROW) as informed by letter from
the Project Manager and after the NCDOT Board of Transportation approves the authorization. Prepare
the associated cost estimates for projects.
References
Right-of-Way SharePoint Site
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Division or Resident
Engineer’s Office
Fiscal
Section
Central ROW
Office
ROW Authorization
Letter
Verify ROW Plans/Revise as Needed X
Receive Board Authorization X X
Request ROW Delineation X
Submit ROW Authorization Letter X X X
ROW Cost Estimate Develop ROW Cost Estimate X X
Verify ROW Plans/Revise as Needed
Upon final review of the Right-of-Way Plan Set (see 3RD1 for related information):
Any request for revisions is sent through the Locations and Surveys Unit and the Division office for
approval.
The Project Manager submits the verified plans to the NCDOT Board of Transportation for approval.
Receive Board Authorization
The NCDOT Board of Transportation approves a project to move forward to ROW acquisition, and the
Project Manager issues a formal letter authorizing ROW acquisition to the Locations and Surveys Unit and
Central ROW Office.
Request ROW Delineation
As requested by the Project Manager, the Locations and Surveys Unit typically assists with determining
the location of the ROW (see 4LS1 for related information). The Acquisition Agent can measure from back
of ditch to back of ditch on the other side of the road for an estimate of State-maintained ROW.
Submit ROW Authorization Letter
After the project has been approved by the NCDOT Board of Transportation and the project funding for
ROW is setup, the Project Manager issues a formal letter to the Locations and Surveys Unit and Central
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3RW1 Complete ROW Authorization Package 5
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NCDOT
ROW Office authorizing ROW acquisition. The Central ROW office sends the ROW Authorization Letter to
the appropriate Division ROW Office.
Develop ROW Cost Estimate
The Project Manager sends a ROW cost estimate request to the Central ROW Office.
Upon receiving the request, the Appraisal Estimate Coordinator assigns the conceptual ROW cost estimate
request to an in-house staff member or contracts with a qualified fee appraiser to perform the estimate.
If a contracted appraiser is used, the Appraisal Estimate Coordinator sends plans and the request to
the appraiser and requests a signed contract to allow the contracted appraiser to perform the work.
The Appraiser completes the ROW cost estimate and sends to Appraisal Estimate Coordinator, who
reviews the estimate and adds additional costs and multipliers to the estimate to account for the
possibility of relocation, administrative adjustments, and condemnation/court costs.
The Appraisal Estimate Coordinator sends the completed ROW cost estimate to the original requestor.
Identify Early Acquisitions for Utilities and Displacements
Similar to 2RW1, the Division ROW Office or Central ROW Office reviews the Right-of-Way Plan Set for
complex relocations due to utility relocations or complex displacements (such as a large business with lots
of equipment and people to move) ahead of the ROW authorization to identify possible advanced
acquisition.
Preliminary Engineering funds may be requested, if not already available, and used for everything
up through requesting an appraisal.
The ROW project is to be authorized in order to use ROW funds when settling the claim or moving
displaces or utilities.
Initiate Additional Advanced Acquisition Property Owner Contacts
The Acquisition Agent begins the advanced acquisition process of complex relocation or utility parcels and
contacts the appropriate property owners. 2RW1 and 4RW1 provide additional information on this
process.
Request Additional Advanced Acquisition ROW Authorization
If necessary, the Division ROW Office or the Central ROW Office requests funding to advanced acquisitions
on complex relocation or utility parcels, or in an effort to acquire a property as a protective purchase in
order to keep it from being developed prior to full ROW authorization on a project.
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4RW1 Complete ROW Acquisitions and Relocations 6
October 2020
NCDOT
4RW1 Complete ROW Acquisitions and Relocations
Overview
Acquire right-of-way (ROW), complete the condemnation process for parcels not settled, and assist
occupants through the relocation process.
References
Right-of-Way SharePoint Site
Deliverables
Commence Parcel Negotiation
In accordance with the ROW Manual, the following describes the parcel negotiation process led by either
Central or Division ROW Office.
The first step is to create project parcel files in Division ROW Office or by the Private Engineer Firm/ROW
consultant firm handling the acquisitions, ensuring all parcels are entered into SAP through the ROW
Central Office.
To begin negotiations, an Acquisition Agent calls, mails a letter, or knocks on doors to initiate contacts
with property owners. The formal initial contact where the project is located and its effects on the
property are required to be made in person if the owner lives in the State.
To order appraisals and title requests, the Acquisition Agent sends an appraisal request to the Area
Appraisal office where its assigned to an Area Appraiser.
The Area Appraiser handles the contract with a fee appraiser to perform the work or delegate the
work to an in-house appraiser.
The Acquisition Agent orders the title opinion through a local attorney’s office.
The attorney researches the title and returns the title opinion back to the acquisition agent.
The Acquisition Agent reviews the title opinion in order to ensure he/she is dealing with the proper
owners of the property.
When submitting/reviewing/approving appraisals, the appraiser assigned to appraise a parcel follows the
appraisal guidelines, and the completed appraisal is transmitted back to the Area Appraisal Office for
Deliverable Task
Responsible Party
Activity Leader Additional Support
Central ROW
Office
Division
ROW Office
Acquisition
Agent
Relocation
Agent
Negotiations Commence Parcel Negotiations X X
Condemnation Initiate Condemnation Activities X X X
Relocations
Relocate Occupants X
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4RW1 Complete ROW Acquisitions and Relocations 7
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NCDOT
review by either an in-house review appraiser or a fee review appraiser. The appraisal is approved by the
Area Appraisal Office or the NCDOT State Appraiser.
An Acquisition Agent handles the step of meeting with property owners and making offers.
If it is a small claim, the Acquisition Agent may be able to make an offer to the property owner upon
initial contact with a claim report without an appraisal.
Otherwise the Acquisition Agent would have received the approved appraisal back from the Area
Appraisal Office and can meet with the property owner again to make the acquisition offer.
The Acquisition Agent has to negotiate at least 30 days prior to requesting condemnation, unless an
amicable settlement is reached, or the property owner asks the agent to go ahead and file the
condemnation prior to the 30-day period ending. An agent can negotiate for longer than the required 30
days as the project time limits allow. If at all possible, a right of entry is obtained in order to allow work
to begin on a parcel prior to the settlement funds or condemnation funds being disbursed to the property
owner.
For settling ROW claims, the Acquisition Agent draws up the Deed and/or Easement agreements,
presenting them to the property owner, or their representation, for the property owner’s signature. Once
the Acquisition Agent has received the signed documents, he/she can put together a final report to send
to their Project Manager or Division ROW Agent for approval. The Division ROW Agent sends the approved
final report to the ROW Central Office Document Auditing section to begin the process of requesting a
check.
Upon requesting a check (payment), the ROW Document Auditing section reviews the final report package
for any errors, and works with the Division ROW office to resolve any errors. After the review is complete,
the proper managerial signatures are obtained, prior to uploading the file into SAP, and requesting the
check from the Fiscal Unit.
Once Fiscal has approved the check in SAP, and have cut the check, the check can be delivered either by
the Acquisition Agent directly to the property owner, or by a closing attorney, depending on the amount
of the check.
In closing a ROW Claim, the ROW deeds and easements are recorded in the Register of Deeds office in
that particular County, either by the Acquisition Agent, or the closing attorney.
To complete relocation, a relocation agent follows 49 CFR 24 to ensure all residential and non-residential
displacees are given every opportunity to claim all eligible relocation benefits under Federal and State
law. Per State law, 49 CFR 24 is followed on all projects, whether they are Federally funded or not.
Recording of ROW typically happens at the closing of the ROW claim. The Acquisition Agent or the closing
attorney can record the deed and easements.
To secure a ROW certification, the Division ROW Agent informs the Project Manager of the need to acquire
additional ROW, if the design and construction improvements are not within existing ROW.
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4RW1 Complete ROW Acquisitions and Relocations 8
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NCDOT
If all construction activities are within the existing ROW, then the Division ROW Agent prepares the
ROW Certification, signs for approval, and submits the ROW Certification to the ROW Central Office,
Division Program Manager, Project Manager, and the Resident Engineer’s Office.
If a project requires additional ROW, the ROW Acquisition Agent collaborates with the Project
Manager and Division ROW Agent to complete the ROW Certification Request (with or without
delays of entry).
In this process, the Division ROW Agent verifies that all parcels have been acquired or that a Right
of Entry has been obtained. Parcels that have NOT been acquired are classified as a delay of entry
parcel.
The Division ROW Agent also verifies that all displacees have been relocated or will be relocate
before the construction begins. If occupants have NOT been relocated, this is a delay of entry
parcel.
The next step is the approval of the ROW Certification, certifying that the project has all parcels cleared
for construction activities.
If all parcels are not cleared for the project to commence construction activities:
The lead Acquisition Agent provides a “Committed” timeline identifying the date each parcel is
to be cleared and provides the Project Manager the delay of entry date for inclusion in the project
specifications.
The Project Manager and Resident Engineer reviews and agrees to the delays of entry and forwards
the ROW Certification request to the Division ROW Agent.
The Division ROW Agent signs the ROW Certification pending the delays of entry.
The Division ROW Agent sends the Certification to the Central ROW Office for approval. The
Certification is then sent to Roadway and Construction.
For projects with ROW delays of entry:
This task is used to track the status and progress of parcels needed for construction that have delays
of entry on them after a project is advertised.
The ROW Lead Agent continues the acquisition process to obtain either a signed ROW deed or
easement, or an agreement for entry. All deadlines provided in the ROW Certification must be
adhered to in order to prevent any and all ROW delay claims.
Once every parcel that was advertised with delays of entry has been cleared for construction, the Division
ROW Agent prepares and submits a revised ROW Certification clearing the project of all delays of entry.
Lastly, the Central ROW Office staff sends the Final ROW Series Plan Set from the Location and Surveys
Unit for recording (see 4LS1 for related information).
Initiate Condemnation Activities
If standard parcel negotiations are unsuccessful, the following condemnation activities are initiated per
Chapter 13 of the NCDOT ROW Manual.
Obtain signed Frm10-F from Area Agent.
Review title report, legal description, and ROW maps.
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4RW1 Complete ROW Acquisitions and Relocations 9
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NCDOT
Submit Final Report for Condemnation.
Request check from the Fiscal Unit.
Submit file and check to Attorney General (AG) Office.
Complete meditation and/or trial, if necessary.
Obtain consent judgment/property deed.
Relocate Occupants
Occupants are relocated per Chapter 15 of the ROW Manual and 49 CFR 24.
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2SD1 Initiate Signing and Delineation Design 1
October 2020
NCDOT
2SD1 Initiate Signing and Delineation Design
Overview
Using the roadway model as a guide, develop a signing and delineation design for the project. Locate
overhead and ground mounted type A and B signs and establish pavement delineation in accordance with
Manual of Uniform Traffic Control Devices (MUTCD), NCDOT Roadway Standard Drawings, and NCDOT
Signing and Delineation Manual.
References
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
FHWA Standard Highway Signs and Markings
Signing and Delineation Unit Website
Signing and Delineation Procedure Manual
Standard Specifications for Roads and Structures
Traffic Engineering Practices, Policies, and Legal Authority (TEPPL)
Roadway Standard Drawings
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Construction Manual
NC Supplement to the Manual on Uniform Traffic Control Devices
Logo Manual
American Association of State Highway Transportation Officials (AASHTO) Roadside
Design Guide
AASHTO A Policy on Geometric Design of Highways and Streets
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Signing and
Delineation
Designer
Regional Signing and
Delineation Engineer
Preliminary Signing and
Delineation Strip Map
Complete Preliminary Signing and Delineation Layout X X
Document Conflicts
Identify Conflicts with Utilities, Right-of-Way, Wall, and ITS
Device Conflicts
X X
Plan Submittals Distribute Plans X X
Complete Preliminary Signing and Delineation Layout
The Signing and Delineation Designer is to develop the plans using NCDOT Roadway Standard Drawings,
the MUTCD, TEPPL, and NCDOT Signing and Delineation Procedure Manual. QC review is required before
distribution for all labels, callouts, notes, and information. In reference to Chapter 4 of the NCDOT Signing
and Delineation Procedure Manual, the
Signing and Delineation Designer is to complete the following:
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2SD1 Initiate Signing and Delineation Design 2
October 2020
NCDOT
Develop Signing and Delineation Strip Map.
Identify Overhead Sign locations (stations).
Identify if a Work Zone Signing Staging plan is needed.
Determine Cantilever or Full Span.
Determine Barrier needs/foundation protection and guardrail.
Determine sign messaging.
Identify sign locations.
Determine simple (guardrail) or break away support.
The Signing and Delineation Designer is to coordinate with the Signing and Delineation Unit, Division
Office for approval of routing and sign messaging in accordance with MUTCD, TEPPL, FHWA, and AASHTO.
Review for safety elements that may cause require roadway modifications.
Review for compliance with MUTCD, TEPPL and Roadway Standard Drawings.
Review lane configuration and complex interchanges, exit only, and lane drops.
Replace, modify, or upgrade existing signs where necessary in accordance with MUTCD and TEPPL.
Send plans and communicate with appropriate Division Traffic Engineer and Regional Traffic
Engineer to acquire and review for combined comments with Signing and Delineation Unit staff (see
2TS1 for related information).
In reference to Chapter 5 of the NCDOT Signing and Delineation Procedure Manual, the
Signing and
Delineation Designer is to complete the following for delineation design:
Acquire a pavement marking recommendation letter from Signing and Delineation Standards
Section.
This letter can be found under the SharePoint site Preconstruction Projects file structure or by
contacting the Signing and Delineation Standards Engineer.
Base the striping plan on the roadway model.
Ensure lane continuity (also see Chapter 2 of the NCDOT Signing and Delineation Manual).
Note lane configurations, such as lane drops and lane reductions (additional signs may be required).
Design lane widths and intersection layouts.
Coordinate with the Signal Lead on stop bar and crosswalk locations.
Locate and determine curb ramps types.
The
Signing and Delineation Designer is to send plans and fully communicate with appropriate Division
Traffic Engineer and Regional Traffic Engineer to acquire and review for combined comments with Signing
and Delineation Unit staff.
For all submittals, the Signing and Delineation Designer is to upload the submittal onto the project
SharePoint site.
Identify Conflicts with Utilities, Right-of-Way, Wall, and ITS Device Conflicts
The Signing and Delineation Designer is to considers placement of signing, considering that regulatory,
warning and guide signs have a higher priority. Of note, the:
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2SD1 Initiate Signing and Delineation Design 3
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NCDOT
Remaining signs shall only be installed where adequate spacing is available between other higher
priority signs.
Other signs shall not be installed in a position where they obscure the road users’ view of other
traffic control devices.
Additionally, the Signing and Delineation Designer is to:
Ensure there are no utility (e.g., gas, fiber), wall (e.g., retaining, noise), ITS device, or drainage (e.g.,
drop inlets) conflicts.
Ensure the sign is visible and not obstructed by other roadway features (e.g., bridge, vertical/
horizontal curvature).
Determine if additional right-of-way is required.
Document if signs are required to be adjusted due to conflicts.
Determine Signing Construction Limits
Signing construction limits can extend past construction limits. When completing this task, the Signing and
Delineation Designer is to:
Account for construction phasing for opening of portions of roadway.
Ensure necessary routing is established throughout the project.
Ensure all signs, including advanced and route continuity, are considered when reviewing overall
signing plan.
Coordinate with the Traffic Management Unit (Work Zone Traffic Control) if signs are located
outside of the construction limits.
Submit Lane Continuity and Merging Recommendations
The Signing and Delineation Designer is to ensure lane continuity in reference to Section 2.7 of the NCDOT
Signing and Delineation Procedure Manual. This includes review of the geometric layout to ensure that
elements such as signing requirements, intersection operation, merging, exit only, lane/route continuity,
end of freeway plans and temporary connection plans are sufficient for the safety of roadway users.
Distribute Plan Submittals
The Signing and Delineation Designer is to submit plans to appropriate Division office and Regional Traffic
Engineer staff for review and comment.
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3SD1 Complete Signing and Delineation Design 4
October 2020
NCDOT
3SD1 Complete Signing and Delineation Design
Overview
Complete the signing and delineation plans in reference to NCDOT Roadway Standard Drawings, the
MUTCD, TEPPL, and NCDOT Signing and Delineation Procedure Manual.
References
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
FHWA Standard Highway Signs and Markings
Signing and Delineation Unit Website
Signing and Delineation Procedure Manual
Standard Specifications for Roads and Structures
Traffic Engineering Practices, Policies, and Legal Authority (TEPPL)
Roadway Standard Drawings
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Construction Manual
NC Supplement to the Manual on Uniform Traffic Control Devices
Logo Manual
American Association of State Highway Transportation Officials (AASHTO) Roadside
Design Guide
AASHTO A Policy on Geometric Design of Highways and Streets
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Signing and
Delineation Designer
Regional Signing and
Delineation Engineer
Approved Strip Map
Complete Unsealed Signing and Delineation
Plans
X X
Overhead Sign Locations
Complete Unsealed Signing and Delineation
Plans
X X
Three Way Check-QC/QA
Final Signing and Delineation Plans
X X
Final Plans X X
Sign Designs and Support Chart X X
Project Special Provisions X X
Quantities X X
Guardrail/Barrier Locations X X
Complete Unsealed Signing and Delineation Plans
The Signing and Delineation Designer is to complete and submit the strip map to the Project Manager (or
responsibility party determined during scoping). This includes steps that involve:
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3SD1 Complete Signing and Delineation Design 5
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NCDOT
Providing approved strip map of the signing concept including labeled and stationed pavement
markings and delineation
Addressing all right-of-way, utility, drainage, retaining/noise wall conflicts, or provide a plan of
action for addressing these conflicts.
Providing one half-size hard copy and PDF in accordance with MUTCD, the NCDOT Signing and
Delineation Procedure Manual, and NCDOT Roadway Standard Drawings (Sections 9 and 12) of the:
Proposed signing plan (including notes, sign and support designs, and stations)
List of guardrail/barrier locations
Compile and provide a list of all overhead sign locations to the Signing Project Engineer
Proposed pavement marking plan, including notes, pavement marking stations, labels and
proposed curb ramp locations and types
Addressing comments by the Signing and Delineation Unit and the applicable Division from the
previous design phase review.
The Signing and Delineation Designer is to upload the submittal onto the project SharePoint site.
Final Signing and Delineation Plans
To finalize the Signing and Delineation plans, the Signing and Delineation Designer is to:
Perform a three-way check and appropriate QC/QA in accordance with Chapter 4 of the NCDOT
Signing and Delineation Procedure Manual. Ensure that the Signing and Delineation Unit and the
applicable Division comments are addressed.
Complete and submit final plans via an unsealed electronic submittal of final plans and sign designs
in both DGN and PDF format.
Complete and submit sign designs and support chart via an electronic copy of the sign designs with
one design per PDF page (if required).
Complete and submit quantities that include:
Electronic submittal of final quantity estimates for signing and pavement marking items.
Uploadable file for pay items in the appropriate format.
Include approved sign and support designs (if revisions were made)
Complete Special Provisions that are project specific and not included within the current NCDOT
Standard Specifications.
Complete and submit guard rail/ barrier locations, if needed, prior to final plans.
Once reviewed and approved by the Singing and Delineation Unit, the Signing and Delineation Designer is
to electronically submit sealed PDFs, using DocuSign (or other esignatures tool acceptable). The Signing
and Delineation Designer is to upload the submittal onto the project SharePoint site. As appropriate,
NCDOT staff would also complete and submit a Private Engineering Firm evaluation at this time.
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2SG1 Initiate Signal and ITS Design 1
October 2020
NCDOT
2SG1 Initiate Signal and ITS Design
Overview
Begin the activity as soon as the Signal Recommendations are received from the Regional Traffic Engineer.
Ensure early coordination of Signal and ITS structures and equipment locations with Utilities to mitigate
issues related to power and overhead/underground conflicts during signal/ITS construction.
References
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
ITS and Signals Unit Design Manual Part 1 - Signal Design
ITS and Signals Unit Design Manual Part 3 - ITS
ITS & Signal Plan Guidelines
Roadway Standard Drawings
Standard Specifications for Roads and Structures
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Signal/ITS Lead
Utility Lead/Utility
Owners
Signal Pole/Cabinet Location
Diagrams
Complete Preliminary Signal Pole Locations X X
ITS Device Location Diagrams Complete Preliminary ITS Device Locations X X
Complete Preliminary Signal Pole/Cabinet Locations
To establish the preliminary signal pole/cabinet locations, the Signal/ITS Lead is to develop signal
pole/cabinet location diagrams following the references noted herein. This includes:
Where possible, locating poles outside the clear zone.
Where clear zone requirements cannot be met due to utility considerations or limited right-of-
way, locate poles as far as is practical from the edge of pavement.
Where mastarms are desired, designing for a maximum of 75-foot arm length.
If the arm length exceeds 75 feet, consult with the ITS and Signals Unit (Signal Design Section).
Avoiding conflicts by coordinating with utility owners and other Units/disciplines, including utilities,
roadway design, and hydraulics.
Providing signal cabinet locations to ensure the availability of power at proposed locations.
For acceptance and transmittal, the Signal/ITS Lead is to:
Submit coordinated pole/cabinet locations to the ITS and Signals Unit (Signal Design Section) and
Utilities Unit for review.
Transmit final accepted pole/cabinet locations to the ITS and Signals Unit (Signal Design Section),
Utilities Unit, and the Project Manager.
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2SG1 Initiate Signal and ITS Design 2
October 2020
NCDOT
Complete Preliminary ITS Device Locations
To establish the preliminary ITS device locations, the Signal/ITS Lead is to develop the ITS Device Location
Diagrams following the references noted herein. This includes:
Avoiding conflicts by coordinating with utility owners and other Units/disciplines, including utilities,
roadway design, and hydraulics.
Providing device cabinet locations to ensure the availability of power at proposed locations.
For acceptance and transmittal, the Signal/ITS Lead is to:
Submit coordinated device locations to the ITS and Signals Unit (Signals Management Section) and
Utilities Unit for review.
Transmit final accepted pole/cabinet locations to the ITS and Signals Unit (Signals Management
Section), Utilities Unit, and the Project Manager.
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3SG1 Complete Signal and ITS Design 3
October 2020
NCDOT
3SG1 Complete Signal and ITS Design
Overview
Following the Signal Recommendations, NCDOT ITS & Signal Plan Guidelines, and other references,
complete signal, signal communications, and ITS designs.
References
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
ITS and Signals Unit Design Manual Part 1 - Signal Design
ITS and Signals Unit Design Manual Part 2 - Signals Management
ITS and Signals Unit Design Manual Part 3 - ITS
ITS & Signal Plan Guidelines
National Electrical Safety Code
National Electric Code
Roadway Standard Drawings
Standard Specifications for Roads and Structures
ITSS Project Special Provisions PSP Current Version
Deliverables
Complete Signal Plans
Deliverable Task
Responsible Party
Activity Leader Additional Support
Signal Lead ITS Lead
Signal Plan and Electrical Detail
Sheets
Complete Signal Plan and Electrical Detail
Sheets
X
Quantity and Cost Estimates Complete Quantity and Cost Estimates X X
Project Special Provisions Develop Project Special Provisions X X
Project Documentation Complete Project Documentation X
Complete Signal Plan and Electrical Detail Sheets
To complete this task, the Signal Lead is to submit the signal designs to the Project Manager and ITS and
Signals Unit (Signal Design Section). This includes:
Using Signal Recommendations (provided by the Regional Traffic Engineer), NCDOT ITS and Signals
Unit Design Manual, and NCDOT ITS & Signal Plan Guidelines, develop and submit the initial signal
design package after completing QC.
Electrical details are not required at this submittal.
To finalize the signal design and in submitting the electrical details, the Signal Lead is to:
Provide a written response to each signal-related comment from the previous submittal.
Revise and QC the design in accordance with the responses.
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3SG1 Complete Signal and ITS Design 4
October 2020
NCDOT
Ensure revisions conform to the Signal Recommendations (provided by the Regional Traffic
Engineer), NCDOT ITS and Signals Unit Design Manual, and NCDOT ITS & Signal Plan Guidelines.
Once all previous comments are addressed, the Signal Lead is to submit plan sheets to the ITS and Signals
Unit (Signal Design Section) and the Project Manager, uploading plans on the project SharePoint site.
Complete Quantity and Cost Estimates
To complete the quantity and cost estimate, the Signal Lead is to:
Perform quantity takeoffs following the NCDOT ITS and Signals Unit Design Manual, NCDOT
Standard Specifications for Roads and Structures, and the most recent ITS and Signals Unit (Signal
Design Section) pay item list.
Use standard pay items when possible and coordinate with the ITS and Signals Unit (Signal Design
Section) when generic pay items are necessary.
Develop cost estimates using recent bid data available on the NCDOT’s website and ITS and Signals
Unit (Signal Design Section) resources.
Submit the cost estimates to the ITS and Signals Unit (Signal Design Section) and Project Manager.
Develop Project Special Provisions
The Signal Lead is to use the ITSS Project Special Provisions-PSP-Current Version and quantity list when
preparing the project-related special provisions, submitting the special provisions to the ITS and Signals
Unit (Signal Design Section) for review.
Once completed and accepted, the Signal Lead is to upload completed documents on the project
SharePoint site.
Complete Project Documentation
The Signal Lead is to do the following concurrently with developing the signal plans and submittals:
Submit Autoturn simulations for left-turning vehicles for all signal designs on the project.
Provide signed clearance time calculations and clearance distances for all signal designs on the
project
Provide metal pole elevations and calculations for metal pole heights.
Design for 17 feet of roadway clearance except when otherwise specified.
Provide standard strain pole selections and justifications.
Provide documentation of latest counts per intersection and justification of phase selection.
Provide copies of signal related email correspondence with the NCDOT or Municipal personnel,
notes from any signal-related phone conversations, and any field notes.
Provide a database or configuration file for each location.
Ensure the file includes all the necessary programming entries to achieve the desired operation
of the signal design for the location.
Ensure the file is compatible with the local controller software that is being used and is able to
be downloaded directly to the controller unit without conversion.
Place all simulations, calculations, and other documentation in the project’s “Intelligent Traffic
Systems and Signalsfolder on the project SharePoint site.
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3SG1 Complete Signal and ITS Design 5
October 2020
NCDOT
Complete ITS Plans
Deliverable Task
Responsible Party
Activity Leader Additional Support
ITS Lead Signal Lead
Signal Communications Plan
Sheets
Complete Signal Communications Plan Sheets X
Utility Make-Ready Plans Complete Utility Make-Ready Plans X
ITS Plan Sheets Complete ITS Plan sheets X
Quantity and Cost Estimates Complete Quantity and Cost Estimate X X
Project Special Provisions Develop Project Special Provisions X X
Complete Signal Communications Plan Sheets
When developing the signal communication plans, the ITS Lead is to submit signal communications
designs to the Project Manager and ITS and Signals Unit (ITS and SM Section). The ITS Lead is to reference
the Signal Recommendations, NCDOT ITS and Signals Unit Design Manual, and NCDOT ITS & Signal Plan
Guidelines when preparing these plans.
To finalize the signal communications design, the ITS Lead is to:
Provide written responses to each signal communications-related comment from the previous
submittal.
Revise and QC the design in accordance with the responses.
Ensure revisions conform to the Signal Recommendations (provided by the Regional Traffic
Engineer), NCDOT ITS and Signals Unit Design Manual, and NCDOT ITS & Signal Plan Guidelines.
Once all previous comments are addressed, the ITS Lead is to submit plan sheets to the ITS and Signals
Unit (ITS and SM Section) and the Project Manager, uploading plans on the project SharePoint site.
Complete Utility Make-Ready Plans
To complete this task, the ITS Lead is to submit the utility make-ready designs to the Project Manager and
ITS and Signals Unit (Signal Design Section). The ITS Lead is to reference the NCDOT ITS and Signals Unit
Design Manual and NCDOT ITS & Signal Plan Guidelines when preparing the design.
To finalize the utility make-ready designs, the ITS Lead is to:
Provide written responses to each related comment from the previous submittal.
Revise and QC the design in accordance with the responses.
Ensure revisions conform to the Signal Recommendations (provided by the Regional Traffic
Engineer), NCDOT ITS and Signals Unit Design Manual, and NCDOT ITS & Signal Plan Guidelines.
Once all previous comments are addressed, the ITS Lead is to submit plan sheets to the ITS and Signals
Unit (ITS and SM Section) and the Project Manager, uploading plans on the project SharePoint site.
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3SG1 Complete Signal and ITS Design 6
October 2020
NCDOT
Complete ITS Plan Sheets
For the ITS Plan Sheets, the ITS Lead is to submit this deliverable to the Project Manager and ITS and
Signals Unit (Signal Design Section). The ITS Lead is to reference the NCDOT ITS and Signals Unit Design
Manual and NCDOT ITS & Signal Plan Guidelines when preparing the plans.
To finalize the plans, the ITS Lead is to:
Provide written responses to each related comment from the previous submittal.
Revise and QC the design in accordance with the responses.
Ensure revisions conform to the Signal Recommendations (provided by the Regional Traffic
Engineer), NCDOT ITS and Signals Unit Design Manual, and NCDOT ITS & Signal Plan Guidelines.
Once all previous comments are addressed, the ITS Lead is to submit plan sheets to the ITS and Signals
Unit (ITS and SM Section) and the Project Manager, uploading plans on the project SharePoint site.
Complete Quantity and Cost Estimate
To complete the quantity and cost estimate, the ITS Lead is to:
Perform quantity takeoffs following the NCDOT ITS and Signals Unit Design Manual, NCDOT
Standard Specifications for Roads and Structures, and the most recent ITS and Signals Unit (Signal
Design Section) pay item list.
Use standard pay items when possible and coordinate with the ITS and Signals Unit (ITS and SM
Section) when generic pay items are necessary.
Develop cost estimates using recent bid data available on the NCDOT’s website and ITS and Signals
Unit (ITS and SM Section) resources
Submit the cost estimates to the ITS and Signals Unit (ITS and SM Section) and Project Manager.
Develop Project Special Provisions
The ITS Lead is to use the ITSS Project Special Provisions-PSP-Current Version and quantity list when
preparing project-related special provisions, submitting to the ITS and Signals Unit (ITS and SM Section)
for review.
Once completed and accepted, the ITS Lead is to upload completed documents on the project SharePoint
site.
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Letting
1SI1 Develop STIP 1
October 2020
NCDOT
1SI1 Develop STIP
Overview
Prepare the State Transportation Improvement Program (STIP) to both communicate projects that NCDOT
intends to work on during the next 10 years and to satisfy federal and state funding requirements.
References
Federal Highway regulation on State Transportation Improvement Program (STIP)
development and regulation on project selection
State Transportation Improvement Program (STIP) Guidance
Federal Transit State Transportation Improvement Program (STIP) Regulations in 49
CFR 613
Federal Transit State Transportation Improvement Program (STIP) Guidance
State Transportation Improvement Program (STIP) requirements136-189.11) and
development of transportation system (§ 136-66.2) around municipalities
Strategic Mobility Formula
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Additional Support
Assistant Director,
Division of Planning,
and Programming
Draft State Transportation Improvement Program Develop Draft STIP Details X STIP Regional Managers
Draft State Transportation Improvement Program
website update, including interactive map
Publish Draft STIP X STIP Unit GIS Lead
Final State Transportation Improvement Program Develop Final STIP X STIP Regional Managers
Final State Transportation Improvement Program
website update, including interactive map
Develop Final STIP X
Program ManagerSTIP
Unit
Final State Transportation Improvement Program
Division Supplements
Develop Final STIP X STIP Regional Managers
Final State Transportation Improvement Program
MPO and RPO Supplements
Develop Final STIP X STIP Regional Managers
The development of the State Transportation Improvement Program (STIP) is closely connected with the
Strategic Project Prioritization Process (see 1SP1).
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1SI1 Develop STIP 2
October 2020
NCDOT
Collect Public Input
As a steward of taxpayer dollars, NCDOT seeks input from the public on projects that the NCDOT intends
to fund over the next 10 years. Prior to the submission of projects for evaluation in the Project
Prioritization Process, NCDOT Divisions hold public input sessions to receive input on projects that are
submitted. The Division Engineers consider this input when submitting projects through the Project
Prioritization Process.
Following the release of the Draft STIP, NCDOT holds additional public comment opportunities to receive
feedback on the Draft STIP. However, since the Strategic Transportation Investments (STI) law directs
NCDOT to select projects for funding based on score, it is important to make sure the correct projects are
submitted for evaluation.
This input process satisfies federal requirements that the public has an opportunity to comment on the
STIP prior to approval by the Board of Transportation (see 1SP1 for related information).
NCDOT Divisions, Metropolitan Planning Organizations (MPOs), and Rural Planning Organizations
(RPOs) submit projects for evaluation in the Project Prioritization Process (managed by the SPOT
office).
Projects are reviewed and scored using the process, criteria, and weights approved the Board of
Transportation (managed by the Strategic Prioritization Office or SPOT office).
Project scores are then provided to the STIP Unit for programming in the STIP.
Develop Draft STIP Details
The STIP Unit develops the draft STIP details, including setting up the Draft STIP database that:
Starts with most recent Board of Transportation-adopted STIP. This is used as the basis for the next
Draft STIP.
Adds 2 or 3 years to the end of the STIP in the STIP database. This accounts for the next 2 or 3 years,
so the STIP remains 10 years in duration.
Attributes all committed projects. Based on the most recent Board of Transportation-adopted `STIP,
all projects classified as committed (i.e., those that do not have to be reprioritized in the next
prioritization cycle) are designated in the STIP database. Similarly, all projects that are subject to
reprioritization in the next prioritization cycle are designated in the STIP database as well.
Next, the STIP Unit determines the STIP budget.
The STIP Unit works with Funds Administration Section within the Financial Management Division
on a 10-year STIP Budget. The Funds Administration Section provides a forecasted 10-year STIP
budget in a MS-Excelspreadsheet.
Discussions occur on estimated expenses for Preliminary Engineering, Congestion Mitigation Air
Quality (CMAQ) projects, bonus allocation projects, Appalachian Development Highway System
(ADHS) projects, and other programs, as these funds are allocated prior to the 40/30/30 split (40
percent Statewide Mobility, 30 percent Division Needs, 30 Percent Regional Impact) STI funding as
documented in the Strategic Mobility Formula.
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1SI1 Develop STIP 3
October 2020
NCDOT
Funds Administration Section also provides variance calculation, which compares previous
authorizations in each of the 22 STI funding buckets (1 Statewide Mobility, 7 Regional Impacts,
14 Division Needs) to previous allocations.
The STIP Unit receives certified county population from the State Demographer. This data is used in
determining Regional Impact budget amounts for the seven funding regions
Add Projects to Draft STIP
Projects placed in the STIP prior to adding high-scoring projects from the prioritization process include:
Interstate Maintenance projects (Statewide Mobility)
Bridge replacement projects (All 22 STI funding buckets)
Highway safety projects (All 22 STI funding buckets)
Committed projects selected/funded from prior prioritization cycles (All 22 STI funding buckets)
STBG-DA and TAP-DA projects selected by MPOs over 200,000 in population (Primarily Division
Needs funding buckets)
Rail-highway crossing projects (Division Needs funding buckets)
Economic development projects (Division Needs funding buckets)
These projects are programmed in the STIP with information on phase (typically right-of-way, utilities,
construction, and sometimes preliminary engineering), funding source and amount, and schedule. The
process for which projects are programmed in the STIP is as follows.
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1SI1 Develop STIP 4
October 2020
NCDOT
Add Alternative Criteria Projects
The STIP Unit works with the:
Chief Engineers Office on Interstate Maintenance Projects over the next 10 years. Projects are
programmed in the Draft STIP. The funding source is initially set to National Highway Performance
Program (NHPP) funds, although may be changed to National Highway Freight Program (NHFP)
funding.
Structures Management Unit on bridge projects over the next 10 years in the STIP. The projects are
programmed in the Draft STIP. Funding source is determined by project location, using the most
restrictive funds first, such as Surface Transportation Block Grant (STBG) Off-System Bridges and/or
STBG less than 5,000 in population.
Mobility and Safety Division, generally on a quarterly basis, for safety projects. These projects are
added to the Draft STIP as received.
Rail Division to add new rail-highway crossing projects to the Draft STIP.
MPOs over 200,000 in population for STBG Direct Assistance (STBG-DA) and Transportation
Alternatives Program-Direct Attributable (TAP-DA) projects that are to be added to the Draft STIP
on a continual basis, as approved by the MPOs.
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1SI1 Develop STIP 5
October 2020
NCDOT
Perform 5/10-Year Analysis
Once all of the alternate criteria and committed projects are entered into the STIP database, the STIP Unit
performs the “5/10-year analysis,” which is a comparison of the STIP budget to the programmed funds.
Over the first 5 years of the STIP, NCDOT can program funds +/- 15 percent of the budget, as defined
in the STI law. Funding for projects in the first 5 years of the STIP is considered committed. Projects
in the last 5 years of the STIP are to be reprioritized in the next round to the STIP, competing with
new projects for funding.
Over the entire 10 years of the STIP, NCDOT can program funds +/- 10 percent of the budget.
The results of this initial analysis are used for determining available funding within the 22 buckets for
projects selected during the latest prioritization cycle.
Select Statewide Mobility Projects
Using the statewide mobility scores provided by the SPOT office for eligible projects (see 1SP1 for related
information), the STIP Unit selects and programs projects based on the scores in descending order, until
the remaining statewide mobility funds in the Draft STIP are assigned.
Project schedules are determined based on:
Available funding,
Prioritization score,
Project delivery estimate (preference is given to projects previously programmed in the STIP),
Local knowledge, and
Input from the Divisions.
Funding sources may initially be set to federal funding, using the most restrictive funding, but switched to
state trust funds, as appropriate. This is meant to be an iterative process. As projects are added to the
STIP, the STIP Unit engineers continually perform the 5/10-year analysis to make sure programmed
projects in the statewide mobility category meet the 15 percent and 10 percent budgetary tests and adjust
schedules, as needed.
In addition, the following constraints are considered as projects are programmed in the statewide mobility
category:
Statewide mobility corridor cap: No more than 10 percent of the funds projected to be allocated to
the statewide strategic mobility category over any 5-year period may be assigned to any project or
group of projects in the same corridor within a Division or within adjoining Divisions.
Aviation projects: No more than $500,000 can be allocated to a single airport project per year.
Select Regional Impact Projects
After Statewide Mobility Projects are programmed, SPOT works with the Metropolitan or Rural Planning
Organizations (MPOs/RPOs) and Divisions to assign points to Regional Impact Projects. SPOT then finalizes
the Regional Impact Scores and the TIP Unit Programs Regional Impact Projects. Using the Regional Impact
total scores provided by the Strategic Prioritization Office for eligible projects (incorporating local input
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1SI1 Develop STIP 6
October 2020
NCDOT
points) (see 1SP1 for related information), the STIP Unit selects and programs projects based on the scores
in descending order for each of the seven funding regions, until the remaining Regional Impact funds in
the Draft STIP are assigned.
The STIP Unit applies “normalization” as projects are selected, which allocates funding between highway
and non-highway projects, based on minimum guarantees of funding (based on percentage).
The normalization process for each Region is as follows:
Step 1: Non-Highway Only (Statewide Competition)
Determine 4 percent of total Regional Impact budget (10-year, adjusted).
Determine how much in the 4 percent Non-Highway bucket is already allocated; the amount
remaining is available for prioritization.
Sort eligible Non-Highway projects by score in descending order.
Select projects until all funding is allocated.
Step 2: Highway Only (Regional Competition)
Within each region, subtract the amount of Non-Highway projects programmed (over 10 years).
Set aside 6 percent of each Region’s allocation (10-year, adjusted).
Determine how much of the remaining funding is already allocated; the amount remaining is
available for prioritization.
Within each Region, sort eligible Highway projects by score in descending order.
Select projects until all funding is allocated.
Step 3: All-Modes (Flex) (Regional Competition)
Determine the amount of funding set aside under Step 2 (10-year, adjusted from step 2).
Within each Region, sort eligible Highway and Non-Highway projects by score in descending order.
Select projects until all funding is allocated.
This is an iterative process. As projects are added to the STIP, the STIP Unit engineers continually perform
the 5/10-year analysis to make sure programmed projects in each Region meet the 15 percent and 10
percent budgetary tests.
In addition, the following constraints are considered as projects are programmed in the Regional Impact
category:
Public Transportation projects: No more than 10 percent of a region’s funds can be allocated to
public transportation projects (over the entire 10-year STIP).
Light Rail and Commuter Rail projects: Total state funding for a commuter rail or light rail project
shall not exceed the lesser of 10
percent of the distribution region allocation or 10 percent of the
estimated total project costs used during the prioritization scoring process.
Aviation project: No more than $300,000 can be spent on any single airport project per year
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1SI1 Develop STIP 7
October 2020
NCDOT
Select Division Needs Projects
After Statewide and Regional Projects are programmed into the STIP, the Divisions provide Local Input
points for Division Needs Projects. Using the Division Needs total scores provided by the SPOT office for
eligible projects (incorporating local input points), the STIP Unit selects and programs projects based on
the scores in descending order for each of the 14 Divisions, until the remaining Division Needs funds in
the Draft STIP are assigned.
The normalization process for each Division is as follows:
Step 1: Non-Highway (Division Competition)
Determine 4 percent of total Division Needs budget (10-year, adjusted), then divide by 14.
Determine for the amount of funding that is already allocated; the amount of funding remaining is
available for prioritization.
Within each Division, sort Non-Highway projects by score in descending order.
Select projects until funding is allocated.
Step 2: Highway Only (Division Competition)
Within each Division, subtract the amount of funding (4 percent) from Step 1 (over 10 years).
Set aside 6 percent of each Division’s allocation (10-year, adjusted).
Determine how much of the remaining funding is already committed to determine the amount
remaining available for prioritization.
Within each Division, sort highway projects by score in descending order.
Select projects until funding is allocated.
Step 3: All-Modes (Flex) (Division Competition)
Determine the amount of funding set aside under Step 2 (10-year, adjusted from step 2).
Within each Division, sort Highway and Non-Highway projects by score in descending order.
Select projects until funding is allocated.
Project schedules are determined based on:
Available funding,
Prioritization score,
Project delivery estimate (preference is given to projects previously programmed in the STIP),
Local knowledge, and
Input from the Divisions.
Funding sources may initially be set to federal funding, using the most restrictive funding, but switched to
state trust funds, as appropriate. This is meant to be an iterative process. As projects are added to the
STIP, the STIP Unit engineers continually perform the 5/10-year analysis to make sure programmed
projects in each Division meet the 15 percent and 10 percent budgetary tests and adjust schedules, as
needed.
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1SI1 Develop STIP 8
October 2020
NCDOT
In addition, the following constraints are considered as projects are programmed in the Division Needs
category:
Aviation projects: No more than $18.5M can be allocated to aviation projects per year.
Bicycle and pedestrians projects: No state funds shall be allocated to independent bicycle and
pedestrian projects.
Publish Draft STIP
Once all levels of STIP projects have been finalized, the Draft STIP is presented to the Board of
Transportation for approval. The STIP Unit works with the Communications Group to publish the Draft
STIP. The Draft STIP is for 11 years (current year plus 10 years). To publish the Draft STIP:
A PDF document from the STIP database is produced.
The Draft STIP is typically released at a Board of Transportation meeting.
The STIP website is updated with the Draft STIP and interactive map in coordination with the
Communications Group (see 1CG1 for related information).
Develop Final STIP
To develop the Final STIP:
Start with Draft STIP.
Update schedules and funding, as needed.
Perform 5/10-year analysis to ensure the Final STIP is within budgetary constraints defined in STI
law.
Add the Prologue to document.
Add the public engagement documentation (see 1PI1 for related information).
The Final STIP is a 10-year document. The PDF document from the STIP database is produced, with minimal
hard copies, and the Final STIP is presented to the Board of Transportation for approval.
Following the Board of Transportation approval:
The STIP website is updated with Final STIP and interactive map.
The STIP Unit sends Division, MPO, and RPO Supplements to respective organizations.
Affected MPOs begin Air Quality Conformity Determination analysis (currently Metrolina region
only).
MPOs approve TIPs, notify STIP Unit as approved.
Upon all MPOs approving TIPs, the STIP Unit packages the Board of Transportation-approved STIP and
MPO TIPs, sending to FHWA and FTA for approval. Once FHWA and FTA approve the new STIP, the new
STIP becomes the official STIP.
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Letting
1SP1 Complete Project Prioritization 1
October 2020
NCDOT
1SP1 Complete Project Prioritization
Overview
Develop a project score for each project and provide the final scores to the State Transportation
Improvement Program (STIP) Unit for use and guidance in developing the STIP.
References
Prioritization Resources SharePoint Page
Prioritization Data SharePoint Page
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Spreadsheet of Final Quantitative Scores
for all Submitted Projects in 6 Modes
Develop Project Prioritization Scores
Release Pn.0 Data Scores and Statewide
Mobility Project List
Complete Regional Impact Project
Public Comment Period
Release Regional Impact Project List
Complete Division Needs Project Public
Comment Period
SPOT Lead
Congestion Management Unit
DIT GIS Unit
Logical Termini Consultant
TPD: NCSTM Consultant
Feasibility Studies Unit
Traffic Safety Unit
ITS/Signals Unit
NC Turnpike Authority
TREDIS (Consultant)
Aviation Division
Ferry Division
Integrated Mobility Division
ITRE
Rail Division
Chief Engineer’s Office
Communications Group
Public Involvement Unit
Map of Evaluated Projects with Scoring
Data (and funded status when applicable)
Develop GIS Map of Evaluated
Projects
SPOT Lead SPOT GIS Support
Develop Project Prioritization Scores
Project prioritization is developed each year in accordance with the Strategic Transportation Investments
(STI) law (GS 126-189.10 and .11). For each prioritization phase (Pn.0, where n equals the phase number),
the Strategic Prioritization Office (SPOT) develops the project prioritization scores. The SPOT Lead follows
the process detailed in the current version of the Prioritization n.0 Submittal Guidance and Resources
found on the Prioritization Data SharePoint site.
Metropolitan Planning Organizations (MPOs), Rural Planning Organizations (RPOs), and Divisions submit
candidate projects during a submittal window into SPOT On!ine. SPOT On!ine captures project data and
processes key scoring components. SPOT staff perform project data verification and calculate scores for
each candidate project. As part of their review of the candidate projects, SPOT staff coordinates with the
following Units, as appropriate:
Photogrammetry
Railroad
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1SP1 Complete Project Prioritization 2
October 2020
NCDOT
Signal System Timing
Structures
Once SPOT staff have verified the scoring data and calculated scores, the final spreadsheet is provided to
the STIP Unit for programming (see 1SI1 for related information). The STIP Unit provides the draft STIP
back to SPOT staff for formatting and sharing with our partners.
While the STIP Unit is programming candidate projects, SPOT organizes a committee to review 51 Local
Input Point Methodologies from every MPO, RPO, and Division on how that organization applies and
assigns their local input points to the Regional Impact and Division Needs categories.
Release Pn.0 Data Scores and Draft STIP
SPOT staff work with the Communications Group to update the www.ncdot.gov website about the release
of the Pn.0 quantitative scores (see 1CG1 for related information). SPOT staff develop a spreadsheet and
map of the draft STIP projects. A mass email is generated and sent to all the MPO/RPO/Divisions who
submitted projects to let them know of the release.
Complete Regional Impact Project Public Comment Period
To complete this task, the SPOT staff:
Work with the Chief Engineer’s Office and Public Involvement Unit to establish each Division’s public
comment period for Regional Impact projects (see 1PI1 for related information).
Assist each Division with spreadsheets and visuals and provide other support during each public
comment period.
Re-initialize the SPOT On!ine portal for the acceptance of Regional Local Input Points.
Export the Regional Local Input Points results, then compile the new Regional Impact scores and
pass the updated spreadsheet to the STIP Unit for draft Regional Impact programming.
Release Regional Impact Project List
SPOT staff work with the Communications Group to update the www.ncdot.gov website about the release
of the Pn.0 regional scores. SPOT staff draft programmed Regional Impact projects into a spreadsheet and
map. SPOT and the Communications Group generate a mass email and send to all the MPO/RPO/Divisions
who submitted projects to let them know of the release.
Complete Division Needs Project Public Comment Period
Similar to the Regional Impact process, SPOT staff:
Work with the Chief Engineer’s Office and Public Involvement Unit to establish public comment
periods for each Division for Division Needs projects.
Assist each Division with spreadsheets and visuals and provide other support during each public
comment period.
Re-initialize the SPOT On!ine portal for the acceptance of Division Needs Local Input Points.
Export the Division Needs Local Input Points results, then compile the new Division Needs scores
and pass the updated spreadsheet to the STIP Unit for draft Division Needs programming.
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1SP1 Complete Project Prioritization 3
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NCDOT
Develop GIS Map of Evaluated Projects
To develop this map with scoring data, the SPOT Lead follows the process detailed in the current version
of the Prioritization Guidance. This GIS map of evaluated projects is provided to all partners.
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1SS1 Determine Affected Coordinated Corridors (if not a Significant Project) 1
October 2020
NCDOT
1SS1 Determine Affected Coordinated Corridors (if not a Significant
Project)
Overview
Beginning the activity as soon as the project limits are set, determine all affected coordinated corridors is
crucial to the scoping, design, and implementation of signal timing plans for the duration and completion
of the project.
Note: For Significant Level 1 or Level 2 projects, follow 1TO1 for Traffic Systems Operations, which includes
signal system timing and operations and traffic operations activities. 1TO1 includes steps to determine a
projects significance level.
References
NCDOT Signals Map
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Signal System
Engineer
List of Affected Signal Systems and Signals
Complete List of Affected Signal
Systems
X
Signal System Number(s) for New System(s)
Complete List of Affected Signal
Systems
X
Complete List of Affected Signal Systems
The Signal System Engineer prepares a list of the affected signal systems, which involves:
Determining which signal systems, if any, are affected along the project corridor using the NCDOT
Signals Map.
Compiling a list of all affected signal system and the signals within those systems. This list includes:
Any new systems being constructed by the project or signals being added to existing systems by
the project.
Identification of the party responsible for traffic operations along the corridor (i.e., NCDOT or
Municipality).
The Signal Systems Engineer assigns a signal system number to any new system(s) being constructed by
the project. The list is used for scoping to determine the number of signals impacted by the project that
need to be retimed.
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2SS2 Initiate Signal System Timing (if not a Significant Project) 2
October 2020
NCDOT
2SS1 Initiate Signal System Timing (if not a Significant Project)
Overview
Determine whether the staging and phasing of the construction necessitates and/or would benefit from
corresponding signal coordination changes.
Note: For Significant Level 1 or Level 2 projects, follow 2TO1 for Traffic Systems Operations, which includes
signal system timing and operations and traffic operations activities.
References
List of Signals and Signal Systems (developed during Project Initiation)
Work Zone Traffic Control (WZTC) Traffic Management Plan
Signal System Timing and Operations Timeline and Process Documents
Traffic Data Request
Travel Time Runs
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Signal System
Engineer
Construction Signal Timing Phases Construction Phasing Analysis X
Summary of Existing Signal System Operations
Develop Summary of Existing Signal
System Operations
X
Existing Synchro and Tru-Traffic files
Develop Summary of Existing Signal
System Operations
X
Construction Phasing Analysis
Based on the timing and phasing of construction, the WZTC Project Engineer coordinates with the Signal
System Engineer to determine how many sets of construction-specific signal coordination phases are
needed, along with the justification for each phase (see 2TM1 for related information). Potential
justification may include:
Long-term road closures and corresponding detours
Long-term capacity reductions
Elimination of high-volume traffic movements
The Signal System Engineer works with the Signal Lead (see 3SG1 for related information) and Work Zone
Traffic Control (WZTC) Project Engineer
(see 3TM1 for related information) regarding temporary traffic
patterns at signalized intersections.
Develop Summary of Existing Signal System Operations
The Signal System Engineer then gathers all available controller data and provides a summary of the
overall existing signal system operations.
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2SS2 Initiate Signal System Timing (if not a Significant Project) 3
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NCDOT
Collect all signal plans including current, construction-specific, and final.
Upload all signal timing databases to verify existing operations.
Gather all available signal controller data, including vehicle detector logs, split monitor logs, and any
high-resolution data and automated traffic signal performance metrics (ATSPM).
Notify relevant engineer of any discrepancies between signal plans and current operation.
Verify existing communications, schedule synchronicity, and overall intended operations are in
place.
The Signal System Engineer prepares a Synchro file and a Tru-traffic file for each existing timing plan. The
traffic volumes from the corridor-wide volume map are coded into the networks.
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3SS1 Signal Timing Model and Analysis (if not a Significant Project) 4
October 2020
NCDOT
3SS1 Signal Timing Model and Analysis (if not a Significant Project)
Overview
Model the corridor using the latest approved version of Synchro. Fine-tune the model based on field
observation.
Note: For Significant Level 1 or Level 2 projects, follow 3TO1 for Traffic Systems Operations, which includes
signal system timing and operations and traffic operations activities.
References
Signal System Timing and Operations Timeline and Process Documents
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Signal System
Engineer
Synchro Microsimulation Model(s) Develop Synchro Microsimulation Model X
Network Volume Overview Map
Develop Network Volume Overview Map
X
Signal Timing Databases Develop Signal Timing Databases X
Summary of Design Cycle Length and Schedules Prepare Signal Timing Summary Report X
Develop Synchro Microsimulation Model
For the purposes of coordination optimization, the Signal System Engineer models the corridor using the
latest approved version of the Synchro microsimulation software.
Model the corridor following the Synchro guidelines in the PEF Project Review Checklist.
Fine-tune the model based on field observations and Tru-Traffic travel time runs.
If there is to be construction phase signal coordination plans, each phase is modeled. Synchro models are
to be reviewed by someone other than the design engineer.
Develop Network Volume Overview Map
The Signal System Engineer requests turning movements counts for critical intersections along the
corridor from the Traffic Safety Unit. The Traffic Safety Unit sends the completed turning movement
counts to the Signal System Engineer when completed (see 2TS1 for related information).
Using the traffic counts, the Signal System Engineer interpolates and volume-balances critical intersection
turning movement counts to develop a corridor-wide volume map.
Develop Signal Timing Databases
To complete this task, the Signal System Engineer is to develop timing databases following the guidelines
in the “PEF Project Review Checklist.”
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3SS1 Signal Timing Model and Analysis (if not a Significant Project) 5
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NCDOT
If there are construction phase signal coordination plans, each phase is modeled. Timing databases shall
be reviewed by someone other than the design engineer.
During the appropriate traffic pattern, the signal timings databases and the summary of design are used
by the Signal System Engineer to implement the timings and perform “after” travel time runs to evaluate
the proposed signal timing plans.
Prepare Signal Timing Summary Report
The Signal System Engineer summarizes the timing plans and schedule for each timing plan according to
the latest guidance from the PEF Project Review Checklist.
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1ST1 Initiate Structures Investigation 1
October 2020
NCDOT
1ST1 Initiate Structures Investigation
Overview
Provide technical input on Express Design, determine preliminary structure cost and evaluate the
condition of each existing bridge, and determine if replacement, rehabilitation, or widening is necessary.
References
NCDOT Spatial Data Viewer
WIGINS Bridge Inspection & Inventory Software
Candidate Project/Express Design
Deliverables
Deliverable Task
Responsible Party
Activity Lead Additional Support
Structure Lead
Structures
Management Unit
(SMU) Field Support
Structures Cost Estimate for Express
Design
Provide Existing Structure Reports and
Plans
X X
Provide Structures Input on Express Design X X
Provide Existing Structure Reports and Plans
If existing structures are within the general project area, the Structure Lead is to identify all bridge and
culvert structures within the area. For existing structures, the Structure Lead collects all related
Bridge/Culvert Inspection Reports and any existing structure plans to determine if replacement or
rehabilitation is necessary. This is all done in coordination with the Division and Structures Management
Unit’s Field Operations Engineer, considering the following.
Obtain existing inspection reports by contacting Structures Management Unit (Inventory &
Appraisal)
Use NCDOT Spatial Data Viewer with the structure layer to obtain the Bridge Number.
Provide Existing Bridge Numbers to Structures Management Unit (Inventory & Appraisal).
Request Bridge Inspection Report from Structures Management Unit (Inventory & Appraisal).
Request structure plans or as-built plans for existing bridge Structures Management Unit (Inventory
& Appraisal).
Provide Structures Input on Express Design
To provide structures input on the Express Design, the Structure Lead is to provide the following for all
identified structures:
Coordinate with the Division and Structures Management Unit’s Field Operations Engineer.
Determine preliminary feasibility for the structure design and preliminary structure depth/
clearance, considering:
Bridge widening may require smaller girder depths.
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1ST1 Initiate Structures Investigation 2
October 2020
NCDOT
For Grade Separations coordinate with the Roadway Design Unit for vertical and horizontal
clearance requirements.
For Stream Crossings coordinate with the Hydraulics Unit for span length and girder height.
Determine the existing Bridge Numbers using the NCDOT Spatial Data Viewer with the structure
layer
Collect data from a field inspection of all structures within project area, which is to include all
bridges, culverts, pipes, and walls.
Investigate and document current condition of all non- NBIS structures.
Consult with the Structures Management Unit’s Field Operations Engineer and the Division to
determine if replacement is necessary or if rehabilitation is required.
The Structure Lead is to provide a summary of the preliminary structure recommendations to the
Feasibility Studies Unit for the Express Design (see 1FS2 for related information).
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2ST1 Initiate Structures Design 3
October 2020
NCDOT
2ST1 Initiate Structures Design
Overview
Following the development of Design Recommendation Plan Set and the Bridge Survey Report, initiate
and finalize structure-related scope and estimating in coordination with the Project Manager.
References
Structures Management Unit Scoping Sheet
Scope & Manday Estimate
American Association of State Highway Transportation Officials (AASHTO) Load and
Resistance Factor Design (LRFD) Bridge Design Manual
Structures Management Unit Design Manual
Structures Management Unit Design Manual Standard Letters/Policy Memos
Structures Management Unit SharePoint Guidelines
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Manager
Priviate Engineering
Firm Project Manager
Preliminary / Final Scoping Sheet
Develop and Finalize Structure Scoping
Sheet
X X
Preliminary / Final Manday Estimate Develop Preliminary Manday Estimate X X
Finalize Manday Estimate X X
Develop and Finalize Structure Scoping Sheet
To develop the structure scoping sheet, the Structures Lead, with support from the Structures
Management Unit’s Private Engineering Firm (PEF) Project Manager (as applicable), is to:
Enter Structure Data for each site.
Develop a delivery schedule.
Coordinate on the Structure Data and Schedule.
Develop Preliminary Manday Estimate
To develop the preliminary manday estimate, the consultant Structures Lead develops and submits an
initial “blank” manday estimate. The Project Manager then requests an initial estimate from the PEF
Project Manager (as applicable). The consultant Structures Lead completes and submits the initial manday
estimate.
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2ST1 Initiate Structures Design 4
October 2020
NCDOT
Finalize Manday Estimate
To finalize the manday estimate, the PEF Project Manager (as applicable) assists in estimate negotiation.
Final estimate for manday and cost are to be within an allowable tolerance (5% hours, 10% cost).
The Structures Management Unit then return the final estimate to the Project Manager, and the
consultant Structures Lead submits a final PEF estimate to the Project Manager. Upon completion, the
Project Manager issues notice to proceed and a purchase order (PO) number to the consultant Structures
Lead.
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2ST2 Develop Preliminary General Drawings 5
October 2020
NCDOT
2ST2 Develop Preliminary General Drawings
Overview
Complete and distribute the Preliminary General Drawings (PGDs) for all structures on the project.
References
Structures Management Unit Scoping Sheet
Structures Management Unit Estimate Sheet
Manday Estimate (kitchen sink)
American Association of State Highway Transportation Officials (AASHTO) Load and
Resistance Factor Design (LRFD) Bridge Design Manual
Structures Management Unit Design Manual
Structures Management Unit Design Manual Standard Letters/Policy Memos
Structures Management Unit SharePoint Guidelines
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Structures Lead
Priviate Engineering
Firm Project Manager
Draft Preliminary General Drawings
(PGDs) for Review
Develop Draft Preliminary General Drawings
(PGDs)
X X
Submit Draft PGDs to Project Manager for
Review (SMU PEF Coordination)
X X
Preliminary Header Elevations
(if required)
Submit Draft PGDs to Project Manager for
Review (SMU PEF Coordination)
X X
Final Preliminary General Drawings
(PGDs) for Distribution
Finalize and Distribute Final PGDs X X
Develop Draft Preliminary General Drawings (PGDs)
When developing the PGDs, the Structures Lead is to reference the current roadway design plans (i.e., the
Design Recommendation Plan Set) and the Bridge Survey and Hydraulic Design Reports (BSR) and
coordinate as needed with the project Design Geotechnical Engineer.
For grade separations, determine bridge length, clearances, and girder type when:
Developing preliminary span lengths
Developing preliminary girder designs
Evaluating potential utility conflicts
For stream crossings, verify span lengths provided in the BSR when:
Developing preliminary span lengths
Developing preliminary girder designs
Evaluating potential jurisdictional impacts
The Structures Lead drafts the profile and plan sheet and typical section and location sketch sheet.
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2ST2 Develop Preliminary General Drawings 6
October 2020
NCDOT
Submit Draft PGD to Project Manager for Review (SMU PEF Coordination)
Following initial draft, the Structures Lead uploads the draft PGDs to the project Sharepoint site for review,
which includes:
Structures Management Unit (SMU)/Private Engineting Firm (PEF) coordination.
Division.
The Structures Lead is to allow up to 10 days for review comments.
If needed, the Structures Lead develops the preliminary header elevations in accordance with Section
6.2.2.9 of the Structures Management Unit Design Manual.
Finalize and Distribute Final PGDs
To finalize the PGD, the Structures Lead reaches concurrence and addresses review comments, submitting
the Final PGD to the Project Manager.
The Project Manager/Structures Management Unit emails the Final PGD using the distribution list that
includes the following:
Area Bridge Construction Engineer
Geotechnical Unit Head, including the Regional Geotechnical Design Engineer
Hydraulic Unit Head
Structures Management Unit Head
Roadway Design Unit Head
Transportation Mobility Unit Head
Utilities Unit
Construction Unit.
The Final PGD package also includes links for the following:
Construction Unit Questionnaire
Google Map of bridge
Structure Inspection Report and existing bridge plans (if available)
Bridge Survey Report
Project Commitments
Design Recommendation Plat Set
The Project Manager/Structures Management Unit requests both the schedule for Geotechnical Unit
foundation recommendations and feedback from Area Bridge Construction. The Structures Lead provides
the preliminary header elevations to the Area Bridge Construction Engineer for review, if needed.
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3ST1 Complete Structures Design 7
October 2020
NCDOT
3ST1 Complete Structures Design
Overview
Complete the structure design and draft plans for all structures, all in coordination with the Hydraulics
Unit and Environmental Analysis Unit (EAU) for environmental impacts and environmental permit
drawings and with the Geotechnical Unit for foundation loads.
References
Structures Management Unit Design Manual
American Association of State Highway Transportation Officials (AASHTO) Load and
Resistance Factor Design (LRFD) Bridge Design Manual
Area Bridge Construction Engineer Questionnaire Response
Request for Foundation Recommendations
Geotechnical Load Request
Structures Management Unit SharePoint Guidelines
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project
Manager
Structures
Lead
Geotechnical
Unit
Construction
Unit
EAU
Hydraulics
Unit
Vertical
Abutment Wall
Envelopes
Provide Vertical
Abutment Wall
Envelopes to
Geotechnical Unit
X X
Access Drawings
Provide Access
Drawings Stream
Crossings
X X X X X X
Permit Impacts
Provide Structure
Permit Impacts
X X X X X X
Geotechnical
Foundation
Loads
Provide Geotechnical
Foundation Loads
X X X
Final Structure
Plans Review
Complete Final
Structure Plans
X X
Provide Vertical Abutment Wall Envelopes to Geotechnical Unit
For structures with vertical abutment walls, the Structures Lead is to develop the wall envelope,
submitting the envelope to the Project Manager. The Project Manager/Structures Management Unit
submits the wall envelope to the Geotechnical Unit for wall design.
Provide Access DrawingsStream Crossings
For stream crossings and in coordination with the Hydraulics Unit and Environmental Analysis Unit, the
Structures Lead is to provide the General Drawing of Site denoting access type (e.g., rock causeway,
temporary work bridge) to the Hydraulic Design Engineer.
For a rock causeway:
Provide area for the causeway.
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3ST1 Complete Structures Design 8
October 2020
NCDOT
Show staging for removal or construction.
Provide the Hydraulics Design Engineer with specific information required for Environmental
Permit Drawings.
For a temporary work bridge:
In most cases, assume 30-foot spans, 30-foot width for mainline, 20-foot width for fingers, and
16-inch pipe piles.
Provide area of piles for temporary impacts.
Show temporary bridge on the General Drawing.
Provide Structure Permit Impacts (Wetlands, Surface Water, etc.)
In order to establish structure permit impacts, the Structures Lead is to coordinate with the Hydraulics
Unit and Environmental Analysis Unit (EAU) in calculating temporary and permanent structure impacts:
For temporary structure impacts for temporary work bridge: calculate area of pipe piles
For permanent structure impacts for bridge: calculate area of piles, shafts, footings
Surface waters
Wetlands
Environmentally sensitive areas
The Structures Lead provides the General Drawing of Site and Impacts to the Hydraulics Design Engineer
Provide Geotechnical Foundation Loads
After the distribution of Preliminary General Drawings (PGDs), the Structures Lead coordinates with the
Project Manager, Structures Management Unit, and Geotechnical Engineering Unit as follows.
The Geotechnical Engineering Unit submits its Request for Loads.
The Structures Lead submits foundation loads to the Geotechnical Engineering Unit.
The Geotechnical Engineering Unit return the Foundation Recommendations.
Complete Final Structure Plans
In accordance with the Structures Management Unit Design Manual, the Structures Lead develops the
final Structure design and associated plans that includes the following.
Structure Design
Superstructure: Deck design (chart) link slabs, integrals
Finalize bridge length and layout
A t
ypical section
Girder design
Steel: studs, BFS, charpy v-notch, deflection, plate sizes, diaphragms
Concrete: stirrups, strand pattern, conc strength, diaphragms
Girder rating
Bearings
Joints
Rails
Substructure
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3ST1 Complete Structures Design 9
October 2020
NCDOT
End Bent, caps, footings, piles
Bent: caps, columns, footings, piles, shafts
Geotech loads/ coordination
Abutment walls
Slopes
Approach slabs
Structure Drawings
General Drawing
(Staging Sequence)
BOM
Rating (LRFR)
Erection Sequence
Typical section &
details
Plan of spans
Closed drainage
Framing plans
Girder sheets
Diaphragm details
Bearings
Deflections/camber
Rail
Sidewalk/median
Guardrail attachment
Joints
Total Super BOM
End bents
Bents
End Bent 2
PS Conc Pile Std
Sign attachments
Electrical conduit
system
Fender system
Navigational lighting
conduit
Slope protection
App slabs
Standard notes
Culvert Design
Culvert length
Culvert design
LRFR rating
Wing design
Culvert Drawings
Location sketch
Total quantities
Rating sheet (LRFR)
Profile along CL culvert
Plans
Guardrail attachment
Section views (including sills if required)
Wing details
Retaining Walls
Envelopes (structure critical walls only)
Sound Barrier Walls
Plans (ref standards)
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4ST1 Finalize Structures Design PS&E 10
October 2020
NCDOT
4ST1 Finalize Structures Design PS&E
Overview
Submit plans, specifications, and estimates (PS&E) to the Structures Management Unit, who submits to
Contract Standards and Development Unit for letting.
References
Structures Management Unit Design Manual
Structures Management Unit SharePoint Guidelines
Roadway Design/Structures Checklist
Structures Working Days Guidelines
Structures PSP Lineup Sheet
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project
Manager
Structures
Lead
Structures
Unit
Geotechnical
Unit
Roadway
Unit
Structures Final Plans
In development X X X
Structures Working Days In development X X
Structures Project Special Provisions In development X X
Structures Quantity Estimate (CSV) In development X X
Structure Design Files
In development X X
Bridge Construction Elevations
In development X X
Roadway Structures Checklist
In development X X X X
Wall Plans
In development
X
X
X
X
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1TM1 Complete Traffic Analysis 1
October 2020
NCDOT
1TM1 Complete Traffic Analysis
Overview
Obtain a traffic operations analysis that evaluates the study area, both with and without the proposed
project.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Traffic Engineering Suite
Capacity Analysis Guidelines
Simulation Guidelines
Guidelines for Determining Work Zone Level of Significance
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Congestion
Management Project
Engineer/Project
Design Engineer
Congestion Management
Regional Engineer
Traffic Operations Analysis
Technical Memorandum
Initiate/Scope Traffic Operations Analysis
X X
Develop Analysis
X
X
Complete the Traffic Operations Analysis
Technical Memorandum
X X
Work Zone Level of
Significance Documentation
Determine Level of Significance
X
Initiate/Scope Traffic Operations Analysis
The traffic operations analysis is to develop the measures of effectiveness (MOEs), typically in the form of
level of service (LOS), and is to support the environmental document’s purpose and need statement for
projects that have congestion or mobility related needs. The traffic operations analysis also includes the
recommended lane geometries, storage lengths, and the design configurations for any alternatives
included in the study.
To initiate this analysis, the Traffic Management Unit (Congestion Management) determines the level of
project complexity based on the levels of traffic operations:
Level 0 - Low traffic volume locations where traffic operations are not critical to the design or
analysis of the project.
Typical projects include low volume bridge replacements and basic maintenance operations.
No detailed traffic analysis is required.
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1TM1 Complete Traffic Analysis 2
October 2020
NCDOT
Level 1 (Basic) - Level 1 analysis involves basic traffic operations that can be reviewed by use of
macroscopic analysis tools.
Typical projects include simple intersection operation (unsignalized, signalized, roundabouts),
basic corridor analysis, and freeway operations (including merge, diverge, weave) that are mostly
under capacity.
Traffic Analysis Software typically used for this analysis include: Synchro, HCS, SIDRA.
Level 2 (Intermediate) - Level 2 analysis involves more complex traffic operations that can be best
evaluated reviewed by use of microscopic analysis tools.
Typical projects may include freeway operations near or above capacity, innovative intersections
and corridors that include designs such as (but are not limited to) Reduced Conflict Intersections,
Continuous Flow Intersections, Diverging Diamond Interchanges.
Traffic Analysis Software typically used for this analysis is TransModeler.
Level 3 (Advanced) Level 3 analysis involves the highest complex traffic operations. These projects
require evaluation by use of advanced methodology involving microscopic analysis tools.
Typical projects may include (but are not limited to) complex freeway system interchanges, new
alignment projects (both freeway and arterial) that involve potential multiple travel routing, and
multi-modal projects.
Traffic Analysis Software typically used for this analysis is TransModeler.
Once a level of analysis is determined, the Traffic Management Unit (Congestion Management) verifies
that the analysis is to be completed by an individual prequalified to perform the analysis. (Note:
Prequalification for Congestion Management work codes is by individual, not by firm.)
Once the project is assigned, the Traffic Management Unit (Congestion Management) develops the scope
of the work. The limits of the analysis and intersections to be included in the analysis are typically to match
those included in the traffic forecast. The traffic analysis also typically includes the following scenarios:
Base Year No-Build (based on existing conditions)
Future Year No-Build (based on existing conditions, without the proposed project but with any other
fiscally constrained project(s) in place)
Future Year Build for each Alternative
Base Year Build may be analyzed for some projects considering:
If determined to be warranted by the Congestion Management Project Engineer or Regional
Engineer.
Typically completed only for the recommended alternative.
The scoping of the analysis is completed in accordance with the Congestion Management Scope
Templates, which is included in the Traffic Engineering Suite under the Scope and Estimate Resources
section.
Level 1 projects are to use the HCS/Synchro/Sidra scope template, and Level 2 and Level 3 projects
are to use the TransModeler scope template.
The scope template is attached to the overall scope for multi-discipline task orders and is not to be
modified or renumbered as the tasks are tied to the inputs in the NCDOT Scope and Manday
Estimate spreadsheet.
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1TM1 Complete Traffic Analysis 3
October 2020
NCDOT
Develop Analysis
The traffic operations analysis is to be completed in the prescribed software package in accordance with
the Congestion Management Guidelines. Level 1 projects are to adhere the Capacity Analysis Guidelines,
while Level 2 and 3 projects are to adhere to the Simulation Guidelines.
The first step in the analysis process is to develop the Base Year and Future Year No-Build scenarios, with
the following considerations.
These may be developed and submitted separately from the Build analysis, if determined to be
appropriate by the project team.
Preliminary review and approval of the No-Build analysis may be helpful in developing the Purpose
and Need for the environmental document. Preliminary review and approval can also be beneficial
for complex projects where the build scenarios expand on the no-build analysis and help reduce re-
analysis by identifying issues earlier in the process.
It is recommended that the Base Year and Future Year No-Build models for all Level 3 projects (and
some Level 2 projects) be reviewed and approved prior to the development of Build scenarios.
The next step is to develop the analysis of the Build alternatives. The Build analysis is typically
accomplished in one of two ways, either the traffic analysis precedes the design, or the design precedes
the traffic analysis.
For projects where the traffic analysis precedes the design, a general design concept is identified
for the traffic analysis and the purpose of the analysis is to develop the details of the design to meet
the goals of the project (typically a level of service/LOS target).
The analysis determines the recommended design layout and provide the required lane
configuration and storage lengths.
The design recommendations are then provided to the design team for incorporation into the
project’s design plans.
If elements of the recommended design cannot be accommodated in the design due to
constraints, then coordination is to occur between the design team and the traffic analysis team
to determine how the design can be revised and still meet the project goals.
At the end of the process a comparison of the traffic analysis and design analysis shall occur to
determine that they match.
For projects where the design precedes the traffic analysis (not as likely to be addressed in the
Project Initiation Stage), a detailed design is developed and provided to the traffic analysis team.
The traffic analysis is developed based on the design provided and any locations where the
design does not meet the project goals is identified and recommendations on design revisions
are provided.
Additionally, any locations where the design provided exceeds what is needed to meet the goals
of the project is noted and provided to the project’s design team (namely the Roadway Design
Lead) to determine, through value engineering, if design revisions are warranted (see 1RD1,
2RD1, and 1VM1 for related information).
At the end of the process, a comparison of the traffic analysis and design analysis is used to
determine that they match.
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1TM1 Complete Traffic Analysis 4
October 2020
NCDOT
Complete the Traffic Operations Analysis Technical Memorandum
After receiving approval from the Traffic Management Unit (Congestion Management), the analysis is to
be finalized through a Traffic Operations Analysis Technical Memorandum.
To finalize the Memorandum, the final version is sealed by the North Carolina Professional Engineer
that was in responsible charge of the analysis.
The final Memorandum is delivered to the Project Lead and uploaded to the project SharePoint
team site by the Congestion Management Project Engineer or Project Design Engineer.
All of the requirements to develop and complete the technical memorandum are described in the Capacity
Analysis Guidelines and Simulation Guidelines.
Determine Level of Significance
Referencing the Guidelines for Determining Work Zone Level of Significance, the Traffic Management Unit
(Work Zone Traffic Control) or Transportation Planning Unit evaluates the following project characteristics
to determine project/work zone level of significance:
Category and project type
Existing volumes and traffic lanes
Total truck traffic (dual & TTST combined)
US or NC route
Project length
The Transportation Planning Unit or Traffic Management Unit (Work Zone Traffic Control) documents the
determination in the planning process and coordinates with the Traffic Operations Engineer (see 1TO1 for
related information).
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2TM1 Initiate Transportation Management Plan 5
October 2020
NCDOT
2TM1 Initiate Transportation Management Plan
Overview
Begin this activity based on the Design Recommendation Plan Set in order to verify the overall
transportation management strategy with the Division, identify any impacts to right-of-way, and identify
all items that require coordination with other disciplines/Units for inclusion in the final Transportation
Management Plan (TMP).
References
American Association of State Highway and Transportation Officials (AASHTO)
Roadside Design Guide 4
th
Edition and Errata
American Association of State Highway and Transportation Officials (AASHTO)
A Policy on Geometric Design of Highways and Streets and all Errata
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
Federal Highway Administration (FHWA) Standard Highway Signs
Federal Highway Administration (FHWA) Rule on Work Zone Safety and Mobility (23
CFR 630 Subpart J and K)
Transportation Research Board (TRB) Highway Capacity Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Standard Specifications for Roads and Structures
Roadway Standard Drawings
Supplement to the Manual on Uniform Traffic Control Devices (NCSMUTCD)
Guidelines for Transportation Management Plan Development
Work Zone Traffic Control (WZTC) Design Manual
Guidelines for the Use of Positive Protection in Work Zones
Temporary Shoring Policies and Procedures
Policy for Providing Temporary Pedestrian Accommodations in Work Zones
Americans with Disabilities Act of 1990 (ADA)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
WZTC Project Engineer
WZTC Project Design
Engineer
Temporary Traffic Control (TTC)
Concept Plans
Complete Concept TTC Plans
X X
Lead TTC Concept Review Meeting
Complete Concept Temporary Traffic Control (TTC) Plans
The WZTC Project Engineer, with support from the Work Zone Traffic Control (WZTC) Project Design
Engineer, develops the conceptual temporary traffic control (TTC) plans to demonstrate how traffic
(motorists, pedestrians, and cyclists) is to be safely maintained during construction activities in a manner
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2TM1 Initiate Transportation Management Plan 6
October 2020
NCDOT
that does not overly degrade mobility, compromise worker safety, or prevent timely and efficient
completion of the project. The plans are to include overview drawings, details, preliminary general notes,
and written construction staging.
For this task, the WZTC Project Engineer is to:
Facilitate resolution of constructability concerns and identify all areas where additional
coordination with other disciplines/Units is needed.
Review with and receive concurrence from Division construction staff and provide action items to
other disciplines/Units responsible for temporary components of the Final TTC Plans (see 3TM1 for
related information).
To prepare the concept plans, the WZTC Project Engineer, with support from the WZTC Project Design
Engineering, is to:
Analyze the Design Recommendation Plan Set (see 2RD1 for related information), Preliminary
General Drawings (see 2ST2 for related information), and current hydraulics design (see 2HY1 and
2HY2 for related information), coordinating directly with the Project Manager and each
discipline/Unit to ensure the WZTC Project Engineer is reviewing the most up-to-date information.
Perform a field review/site investigation.
Determine work zone capacity, obtain hourly traffic counts or Annual Average Daily Traffic (AADT),
and determine lane and road closure restrictions.
Develop a transportation management strategy for vehicles and pedestrians.
The plans also include identifying several items for the plans that include:
Proposed road closures and detours, including need and expected duration.
Proposed temporary alignments and grades.
Location and type of work zone positive protection.
Locations of proposed temporary drainage.
Location of proposed temporary shoring for the maintenance of traffic.
Location and number of temporary signals and signal timing (see 2SG1 and 2SS1 for related
information).
The WZTC Project Engineer is to also develop:
Preliminary general notes, limited to proposed lane and road closure restrictions, as well as hauling
restrictions.
Written construction staging that aligns with the overview drawings and describes in broad terms,
the construction that is taking place in each construction phase and how traffic is maintained in
each phase.
Any Phase/Step intermediate contract times.
Lead TTC Concept Review Meeting
After developing the TTC Concept Plans, the Regional WZTC Engineer, with support from the WZTC Project
Design Engineering, is to schedule and lead a TTC concept review meeting with the following
considerations:
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2TM1 Initiate Transportation Management Plan 7
October 2020
NCDOT
Set up the TTC review meeting with Division construction, Roadway Design Lead, Hydraulics Design
Engineer, Structures Lead, and Regional Traffic Engineer.
For complex, significant projects, this meeting may also include the Construction Unit and
Statewide Transportation Operation Center (STOC).
Depending upon the complexity of the project, it may be beneficial to conduct this meeting as
part of the Field Inspection Review Meeting. Otherwise, conduct a separate meeting prior to the
Field Inspection Review Meeting.
Prior to meeting, provide the TTC Concept Plans and an agenda specifying points of discussion and
items of further coordination.
Submit meeting minutes, including action items and the further coordination required to complete
Final TTC plans.
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Letting
3TM1 Complete Transportation Management Plan 8
October 2020
NCDOT
3TM1 Complete Transportation Management Plan
Overview
Begin this activity after Division concurrence with temporary traffic control (TTC) concept, where early
and effective coordination with other disciplines/Units is needed to deliver a final Transportation
Management Plan (TMP).
References
American Association of State Highway and Transportation Officials (AASHTO)
Roadside Design Guide 4
th
Edition and Errata
American Association of State Highway and Transportation Officials (AASHTO)
A Policy on Geometric Design of Highways and Streets and all Errata
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
Federal Highway Administration (FHWA) Standard Highway Signs
Federal Highway Administration (FHWA) Rule on Work Zone Safety and Mobility (23
CFR 630 Subpart J and K)
Transportation Research Board (TRB) Highway Capacity Manual
Roadway Design Manual (In Development: The manual is in the process of being
updated.)
Standard Specifications for Roads and Structures
Roadway Standard Drawings
Supplement to the Manual on Uniform Traffic Control Devices (NCSMUTCD)
Guidelines for Transportation Management Plan Development
Work Zone Traffic Control (WZTC) Design Manual
Guidelines for the Use of Positive Protection in Work Zones
Temporary Shoring Policies and Procedures
Policy for Providing Temporary Pedestrian Accommodations in Work Zones
Americans with Disabilities Act of 1990 (ADA)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
WZTC Project Engineer
WZTC Project Design
Engineer
Final Transportation
Management Plan (TMP)
Submittal
Complete Final TTC Plans X X
Complete Final TTC Plans
To complete this task, the WZTC Project Engineer, with the support of the WZTC Project Design Engineer,
advance the TMP by incorporating all previously agreed upon transportation management strategies and
recommendations, completing the required coordination with other disciplines/Units and progressing to
final plan format.
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3TM1 Complete Transportation Management Plan 9
October 2020
NCDOT
Upon receiving Division concurrence with the TTC concept, the WZTC Project Engineer is to directly
coordinate with the Project Manager and previously identified disciplines/Units around several specific
elements of design.
Roadway Design Unit/Roadway Design Lead
Temporary shoring for staged embankment construction
Temporary alignments
Temporary pavement
Temporary guardrail, end units, guardrail to portable concrete barrier transitions, re-lapping of
guardrail
Structures Management Unit/Structures Lead
Temporary shoring for substructure construction
Staged bridge construction (construction joint locations)
Girder erection over open roads including need and location of shoring towers
Anchored portable concrete barriers on bridge decks
Hydraulics Unit/Hydraulics Design Engineer and Roadside Environmental Unit/Roadside
Environmental Engineer
Temporary drainage
Staged culvert construction
Geotechnical Engineering Unit/Design Geotechnical Engineer
Temporary shoring
Temporary slopes
ITS and Signals Unit/Signal Lead and Signal System Engineer
Temporary traffic patterns at signalized intersections
Regional Traffic Engineer
Statewide Transportation Operations Center (STOC)
Transportation Operations and Incident Management
The WZTC Project Engineer documents all coordination efforts, completing coordination with the
identified disciplines/Units prior to Plan-in-Hand Review Meeting. Upon request, the WZTC Project
Engineer also provides WZTC pay items, estimated quantities, and estimated cost for use by the Contract
Standards and Development Unit to prepare the project for letting.
Concurrent with the on-going coordination, the WZTC Project Engineer is to progress the TMP for the
PS&E phase, including:
Title Sheet/Legend
Final General Notes
Final Phasing in phase/step format
Detailed long-term temporary traffic patterns that align with final phasing including:
Cut Sections at strategic locations that detail spatial relationship among traffic, traffic control
devices, and construction
Temporary Pavement Marking
Channelization
Delineation
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3TM1 Complete Transportation Management Plan 10
October 2020
NCDOT
Positive Protection
Work Zone Signing, including the location and messaging of Portable Changeable Message Signs
Modifications to existing signing due to temporary traffic patterns
Pedestrian accommodations
Offsite detour details that include both Advance Warning and Trail Blazing Signs
Special Details
Work Zone Speed Reduction Signing
Portable concrete barriers at Temporary Shoring
Special Sign Designs
The WZTC Project Engineer is to also submit the following items with the Final TMP:
Draft version of TMP estimate of WZTC pay items and estimated quantities.
Draft version of Intermediate Contract Times using standard ICT templates.
Draft version of the WZTC Special Provisions generated from the Work Zone Application for Special
Provisions (WASP).
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Project
Initiation
Alignment
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Plan-in-Hand
PS&E
Letting
1TO1 Initiate Traffic Systems Operations Scoping 1
October 2020
NCDOT
1TO1 Initiate Traffic Systems Operations Scoping
Overview
Determine project/work zone category of significance and complete the necessary tasks based on the
identified category.
References
Work Zone Levels of Significance
NCDOT Signals Map
Guidelines for Determining Work Zone Level of Significance
Integrated Corridor Management (ICM) Project Process Outline
Determine Level of Significance
Referencing the Guidelines for Determining Work Zone Level of Significance, the Traffic Management Unit
(Work Zone Traffic Control) or Transportation Planning Unit documents the level of significance
determination, coordinating the findings with the Traffic Operations Engineer (see 1TM1 for related
information).
If a project is a determined to be a significant project (either Category Level 1 or Level 2 or there is a level
of significance after construction), the Traffic Operations Engineer initiates scoping of traffic systems
operations strategies needed during and after construction. Determining all affected intelligent
transportation system (ITS) devices and coordinating corridors are crucial to the scoping, design, and
implementation of comprehensive incident management plans.
If a project is determined to be not significant (either Category Level 3 or Level 4), then Traffic Operations
Engineer, as coordinated with others on the team, minimally ensures the ITS device scoping is included in
the project. Determining all affected coordinated corridors is crucial to the scoping, design, and
implementation of signal timing plans for the duration and completion of the project. Also see 1SS1 for
related information on non-significant projects.
Deliverables (if a Significant Project)
Deliverable Task
Responsible Party
Activity Leader Additional Support
Traffic Operations
Engineer
Signal System
Engineer
Operational Risk Assessment Complete Operational Risk Assessment X
Incident Management
Alternate / Detour Map
Develop Initial Incident Management Alternate and
Detour Options
X
Traffic Operations Strategies
Checklist
Develop Initial Traffic Operation Strategies X
Planning Level ITS Device
Map
Identify New ITS Devices and Incident Management
Signal Equipment Upgrades
X
List of Affected Signal
Systems and Signals
Identify New ITS Devices and Signal Equipment Upgrades X X
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Project
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1TO1 Initiate Traffic Systems Operations Scoping 2
October 2020
NCDOT
Deliverable Task
Responsible Party
Activity Leader Additional Support
Traffic Operations
Engineer
Signal System
Engineer
Signal System Number(s) for
New System(s)
Identify New ITS Devices and Signal Equipment Upgrades X X
Planning Level Estimate of
Traffic Operations Scope
Develop Operational Strategy and ITS Scope Costs X
Complete Operational Risk Assessment
For significant projects, the Operational Risk Assessment of an individual construction project considers
safety, congestion, mobility, commerce (e.g. freight), and influence of other projects on the traffic
operations of the surrounding road network.
The Operational Risk Assessment suggests potential strategies to identified risks, including the order
that construction projects are carried out.
A key objective of the Operational Risk Assessment is to inform the project prioritization process
and identify preferred project schedule from a traffic operations perspective.
The Traffic Operations Engineer sends a completed Operational Risk Assessment to the Feasibility Studies
Unit and Strategic Prioritization Office for preferred phasing of the projects. The Operational Risk
Assessment is also used to internally develop traffic operation strategies.
Develop Initial Incident Management Alternate and Detour Options
To ensure that incident management alternate and detour routes are included in the environmental
document, the Traffic Operations Engineer develops an initial map detailing potential routes to help refine
the project limits (refer to the Integrated Corridor Management Project Process Outline for the alternative
routes and/or detour routes for a project). The Traffic Operations Engineer:
Includes any routes that need updated signal timing.
Coordinates with the Feasibility Studies Unit to include in the project limits.
Ensures the applicable Division(s) review the potential routes.
The Traffic Operations Engineer coordinates with the Environmental Analysis Unit if incident management
alternate / detour routes are required. Typically permanent ITS devices on incident management detour
routes are outside the normal project limits and need to be evaluated as part of the environment
document.
The Signal Systems Engineer prepares the map in accordance with the Integrated Corridor Management
Project Process Outline. After the map is complete, the Traffic Operations Engineer sends the map to the
following units for their reference:
Environmental Analysis Unit
Feasibility Studies Unit
The applicable Division(s)
Traffic Management Unit (Work Zone Traffic Control)
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1TO1 Initiate Traffic Systems Operations Scoping 3
October 2020
NCDOT
Develop Initial Traffic Operation Strategies
The Traffic Operations Engineer could develop the following traffic operation strategies to address
mobility and safety throughout the project limits to support the construction effort.
Tow contracts
Incident management alternate / detour route strategies
Smart work zone technology
Other means to improve the mobility and safety of the work zone or address concerns identified in
the Operational Risk Assessment
The Traffic Operations Engineer coordinates with the applicable Division(s) on potential strategies to be
used during construction, providing a checklist of items that may be feasible for the project.
Identify New ITS Devices and Incident Management Signal Equipment Upgrades
To determine signal equipment upgrades needed for incident management, the Traffic Operations
Engineer:
Determines which signal systems, if any, are affected along the project corridor or identifies/refines
incident management alternate and/or detour routes using the NCDOT Signals Map.
Compiles a list of all affected signal system and the signals within those systems. The list includes:
Any new systems being constructed by the project or signals being added to existing systems by
the project.
The party responsible for traffic operations along the corridor (NCDOT or municipality).
The Signal System Engineer assigns a signal system number to any new system(s) being constructed by
the project.
The Traffic Operations Engineer, in coordination with the ITS and Signals Unit (Signal Design Section and
Regional ITS Section) and the Signal System Engineer, is to:
Determine additional permanent ITS devices and locations.
Provide a planning level map showing new and existing device locations for a corridor.
At this point, the Traffic Operations Engineer also:
Finalizes the map, sending it to the appropriate Units or Sections included in the planning process.
Sends the Planning Level ITS device map to the Environmental Analysis Unit to include in the project
limits.
The Traffic Operations Engineer continues coordination with the Environmental Analysis Unit as the ITS
device strategies are further refined on the incident management alternate / detour routes.
Develop Operational Strategy and ITS Scope Costs
For this task, the Traffic Operations Engineer develops a planning-level cost estimate for any traffic system
operational strategies to be included in the conceptual construction estimate (see 1CS1 for related
information). This could include:
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1TO1 Initiate Traffic Systems Operations Scoping 4
October 2020
NCDOT
Tow contracts
Integrated Corridor Management (ICM)
Incident Management Assistance Patrol (IMAP)
Traffic Management Center (TMC) resources.
The cost could also include:
Incident management signal system upgrades
Signal timing
New permanent ITS devices
NCDOT operational cost post-construction
Any other additional equipment needed
The Traffic Operations Engineer submits the cost estimate to the Feasibility Studies/Corridor Development
Unit Lead.
Deliverables (if not a Significant Project)
Deliverable Task
Responsible Party
Activity Leader
Traffic Operations
Engineer
Planning Level ITS Device Map Identify New ITS Devices X
Planning Level Estimate of Traffic
Operations Scope
Develop ITS Scope Costs X
Identify New ITS Devices
In coordination with the ITS and Signals Unit (ITS Design Section), the Traffic Operations Engineer
determines any additional ITS devices and locations. The Traffic Operations Engineer also provides a
planning level map showing new and existing device locations for a corridor.
Develop ITS Scope Costs
For this task, the Traffic Operations Engineer develops a planning-level cost estimate for any traffic
systems operational strategies to be included in the conceptual construction estimate (see 1CS1 for
related information). This is to include new permanent ITS devices. The Traffic Operations Engineer
submits the cost estimate to the Feasibility Studies/Corridor Development Unit Lead.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
2TO1 Initiate Transportation Operations Plan (if a Significant Project) 5
October 2020
NCDOT
2TO1 Initiate Transportation Operations Plan (if a Significant Project)
Overview
Work with Traffic Management Unit (Work Zone Traffic Control) and ITS and Signals Unit to develop the
traffic operations portion of the Transportation Management Plan (TMP). Work Zone Traffic Control
develops the temporary traffic control (TTC) plans / Maintenance of Traffic Plan and Traffic Systems
Operations develops the plans for Travel Demand Management, signal retiming, integration of ITS devices
supporting incident management alternate / detour routes, and Incident Management Plan.
References
Guidelines for Transportation Management Plan Development
Work Zone Traffic Control Design Manual
Guidelines for the Use of Positive Protection in Work Zones
Integrated Corridor Management (ICM) Project Process Outline
Incident Management Assistance Patrol (IMAP) Resources for Significant Project (In
Development)
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Traffic Operation
Engineer
Updated Operational Risk Assessment Matrix Validate Operational Risk Assessment X
Transportation Operations Planning
Document
Validate Traffic Operations Strategies X
Incident Clearance Requirement List
Initiate Incident Clearance Strategies and Incident
Management Plan
X
Draft Signal Timing Plans
Prepare Signal System Coordination and Upgrades
List
X
Integrated Corridor Management Decision
Matrix
Develop Incident Management Alternate/Detour
Route Response Plan
X
List of Smart Work zone equipment
Determine Level of Smart Work Zone Needs for
Incident Management
X
Updated cost estimate
Prepare Detailed Traffic Operations and ITS Cost
Estimate
X
Initial Stakeholder Meeting Minutes
Hold initial stakeholder meetings about Traffic
Operation Strategies
X
Validate Operational Risk Assessment
After projects are selected and prioritized, the Traffic Operations Engineer determines if there are any
effects that would require changes to the traffic operation strategies. The Traffic Operations Engineer also
updates the Operational Risk Assessment, as needed, to include any updates to the project. The validation
also is to update for changes to the project limits or the phasing of adjacent projects.
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2TO1 Initiate Transportation Operations Plan (if a Significant Project) 6
October 2020
NCDOT
Validate Traffic Operations Strategies
Once the strategies are selected to mitigate the work zone impacts and the project risks are updated, the
Traffic Operations Engineer develops a concept planning document that:
Assigns leads for each strategy.
Establishes the need and purpose of each strategy.
Aligns milestones to ensure synchronization of the strategy development.
Initiate Incident Clearance Strategies and Incident Management Plan
The Traffic Operations Engineer coordinates with the applicable Division to provide a list of the incident
clearance requirements for the project, which are to be administered by NCDOT and the contractor. The
Traffic Operations Engineer:
Determines requirement for type and management of tow contracts (e.g., DOT managed,
contractor managed, etc.).
Determines the expansion of Incident Management Assistance Patrol (IMAP) routes.
Determines if any other means that assists in responding to and clearing incidents quickly are
required for the project.
Prepare Signal System Coordination Plans and Upgrades List
The Signal System Engineer coordinate with the applicable Division to:
Verify with the Signal/ITS Lead (see 2SG1 for related information) if the traffic signals along a
potential incident management detour route may require equipment upgrades for NCDOT to
communicate with the traffic signals.
Develop draft signal timing plans along the incident management detour routes.
Coordinate with the Signal/ITS Lead (see 2SG1 for related information) if updated signal plans are
required to replace equipment or install a new signal.
Coordinate with Signal/ITS Lead (see 2SG1 for related information) if traffic communication plans
are required to include traffic signals in a centralized signal system software.
Develop Incident Management Alternate/Detour Route Response Plan
Using the Alternate/Detour Route Map, the Traffic Operations Engineer:
Coordinates the development of the ITS and Signals plans, signal timing plans, and changeable
trailblazers with the other Units.
Develops response strategies.
Conducts a field inspection to validate the selected incident management routes with Division and
other required stakeholders.
Develops the integration plan for the ITS devices and traveler information with coordinated signal
system timing.
Develops and validates an Integrated Corridor Management Decision Matrix or ruleset summarizing
the responses for each scenario.
Prepares a Integrated Corridor Management Decision Matrix or ruleset in accordance with the
Integrated Corridor Management Project Process Outline.
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2TO1 Initiate Transportation Operations Plan (if a Significant Project) 7
October 2020
NCDOT
Determine Level of Smart Work Zone Needs for Incident Management
If a Smart Work Zone is required, the Traffic Operations Engineer:
Meets with Traffic Management Unit (Work Zone Traffic Control) to discuss options that can be
incorporated into the Incident Management Plan.
Adds the appropriate level of involvement of the State Traffic Operations Center in the operations
and maintenance of smart work zone devices.
Prepare Detailed Traffic Operations and ITS Cost Estimate
Once the strategies are developed, the Traffic Operations Engineer prepares a refined estimate to include
the cost to the NCDOT and the cost to the contractor. The Traffic Operations Engineer may include an
operational cost estimate for the project after construction if items were identified. The estimate may
include:
Portable and temporary ITS devices
IMAP expansion
Tow contract management
Traffic Management Center (TMC) operation
ITS device installation
Some of these pay items are at NCDOT’s cost during and after construction, and others are included in
the contractors construction cost estimate. The estimate is sent to the Project Manager, who reviews the
estimate, and Contract Standards and Development Unit (see 2CS1 for related information).
Hold Initial Stakeholder Meetings about Traffic Operations Strategies
The Traffic Operations Engineer meets with project stakeholders to coordinate associated incident
management efforts that need to occur during construction within their areas. These stakeholders could
include:
Municipal and/or county Law Enforcement
Towing industry
Municipal traffic engineers and/or signal engineers
The Traffic Operations Engineer prepares the meeting minutes and submits these minutes to the Project
Manager and all meeting attendees.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
3TO1 Advance Transportation Operations Plan (if a Significant Project) 8
October 2020
NCDOT
3TO1 Advance Transportation Operations Plan (if a Significant Project)
Overview
Finalize traffic operation plans and start discussions with outside agencies.
References
Integrated Corridor Management (ICM) Project Process Outline
Incident Management Assistance Patrol (IMAP) Resources for Significant Projects (In
Development)
Memorandum of Understanding (MOUs) with Municipalities and Emergency
Responders (In Development)
State Traffic Operations Center (STOC)/Traffic Management Center (TMC) Operator
Training (In Development)
Helping All Work Zones Keep Safe (HAWKS) Process Document (In Development)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Traffic Systems
Operation
ITS and Signals
Management Section
Final Cost Estimate
Update Construction-Phase Operations Cost
Estimate
X X
Requirements of Incident
Management Plan
Submit Requirements for Incident Management
Plan
X
Final Incident Management Alternate
Detour Route Response Plan
Submit Incident Management Alternate / Detour
Route Response Plan
X
Final Demand Management Plan Submit Demand Management Plan X
Draft Tow Contract Documents Submit Tow Contract Documents X
Draft Law Enforcement
Memorandum of Understanding
Initiate Memorandum of Understanding
(MOU)/Agreements with Law
Enforcement/Municipalities
X
Draft Agreement with Municipalities X
Coordination Meeting with NCDOT
Communications
Coordinate with NCDOT Communication on
Public Information Plan
X
Final Transportation Operations Plan Complete Final Traffic Operations Plan X
Final Equipment List
Develop Equipment Purchase Need for
Construction
X X
Update Construction-Phase Operations Cost Estimate
Using the final Transportation Management Plan (TMP), the Operational Plan, and the final equipment
list, the Traffic Operations Engineer develops a final cost estimate for the project in coordination with
other Units/Sections, as needed.
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PS&E
Letting
3TO1 Advance Transportation Operations Plan (if a Significant Project) 9
October 2020
NCDOT
Submit Requirements for Incident Management Plan
The Traffic Operations Engineer:
Prepares and submits the requirements of an incident management plan for the project.
Coordinates with Traffic Management Unit (Work Zone Traffic Control) to include the relevant
information on the temporary traffic control (TTC) plans or the Traffic Operations Plan (see the
Incident Management Plan Guidelines and 3TM1 for related information).
If the project is to be let by the Division, the Traffic Operations Engineer coordinates with the Division to
let equipment, tow contract, and hiring the Incident Management Assistance Patrol (IMAP) drivers. The
Traffic Operations Engineer purchases the trucks and provides training for the IMAP drivers.
Submit Incident Management Alternate / Detour Route Response Plan
The Traffic Operations Engineer coordinates with the following leads regarding equipment and data
required to be included on the respective plans:
ITS Lead
Signal Lead
Signal System Engineer
Signing and Delineation Designer
The Traffic Operations Engineer also coordinates with applicable Division and regional personnel.
The Signal System Engineer develops the signal timing plans for incident management detour routes and
the thresholds for each plan. The Traffic Operations Engineer:
Develops message sets for dynamic signs for each detour for each scenario using ITS device locations
previously approved.
Populates a decision matrix or rulesets for each response plan and plan sheets for device locations.
The information is populated into tool for State Traffic Operations Center (STOC)/Traffic
Management Center (TMC) operators to use during construction.
Provides a list or chart of equipment needed for each scenario impacted by the detour route.
Prepares a final response scenario in accordance with the Integrated Corridor Management Project
Process Outline.
Submit Demand Management Plan
The Traffic Operations Engineer develops a demand management plan for the project regarding strategies
for other alternative modes of transportation during construction (e.g., additional transit routes,
ridesharing).
Submit Tow Contract Documents
The Traffic Operations Engineer prepares the draft tow contract documents based on the level of towing
required for the project. The Traffic Operations Engineer coordinates with the applicable Division as
needed.
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Letting
3TO1 Advance Transportation Operations Plan (if a Significant Project) 10
October 2020
NCDOT
Initiate Memorandum of Understanding (MOU)/Agreements with Law
Enforcement/Municipalities
The Traffic Operations Engineer continues discussions with law enforcement regarding the project. The
Traffic Operations Engineer prepares a draft memorandum of understanding summarizing the project
commitments.
The Traffic Operations Engineer continues discussions with the municipalities regarding the project. The
Traffic Operations Engineer prepares a draft agreement summarizing the project commitments.
Coordinate with NCDOT Communications on Public Information Plan
If a project requires a Public Information Plan by Traffic Operations, the Traffic Operations Engineer
coordinates with applicable Division, Traffic Management Unit (Work Zone Traffic Control), and the
Communications Group using the information from the TMP before, during, and/or after construction.
Complete Final Traffic Operations Plan
The Traffic Operations Engineer prepares and submits the final Traffic Operations Plan for bidding or
internal execution, which includes:
A traffic response plan
A tow contract
A list of additional items to be included
Items the contractor is responsible for
Additional equipment needed for incident management
Develop Equipment Purchase Need for Construction
Using the TMP, the Traffic Operations Engineer determines if any additional equipment is needed to be
purchased and included in the overall contract by outside agencies or the Division prior to construction.
This list is provided to the Project Manager and Contract Letting for bidding and/or to the Division or
region for internal execution. Potential equipment could include:
Changeable message signs
Portable closed caption televisions (CCTVs)
IMAP vehicles
Trailblazer signs
Traffic signal equipment
The Traffic Operations Engineer provides a list to FHWA of any exceptions to procure equipment or
devices that may be used on future projects.
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Project
Initiation
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PS&E
Letting
4TO1 Complete Transportation Operations Plan-related Tasks (if a Significant Project) 11
October 2020
NCDOT
4TO1 Complete Transportation Operations Plan-Related Tasks (if a
Significant Project)
Overview
Finalize the remaining tasks on the Transportation Management Plan (TMP) with outside agencies.
References
Integrated Corridor Management (ICM) Project Process Outline
Incident Management Assistance Patrol (IMAP) Resources for Significant Projects (In
Development)
Memorandum of Understanding (MOUs) with Municipalities and Emergency
Responders (In Development)
State Traffic Operations Center (STOC)/ Traffic Management Center (TMC) Operator
Training (In Development)
Helping All Work Zones Keep Safe (HAWKS) Process Document (In Development)
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Traffic Operations
Engineer
Final Tow Contract Documents Complete Tow Contract Documents X
Final Law Enforcement Memorandum of
Understanding (MOUs)
Complete Law Enforcement Memorandums of
Understanding
X
STOC Operators Training Train STOC Operators X
ATMS Integration into STOC ATMS Integration X
IMAP Procurement Schedule Initiate IMAP Truck Purchases X
Complete Tow Contract Documents
The Traffic Operations Engineer finalizes the details of tow contracts and includes this in the special
provisions.
Complete Law Enforcement Memorandums of Understanding
The Traffic Operations Engineer finishes discussions with law enforcement regarding the terms of the
memorandum of understanding (MOU). The Traffic Operations Engineer completes the MOU and has
NCDOT and the law enforcement agency execute the MOU.
Train STOC Operators
Details regarding the training the State Traffic Operations Center (STOC) operator tasks are still in
development.
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4TO1 Complete Transportation Operations Plan-related Tasks (if a Significant Project) 12
October 2020
NCDOT
Advanced Traffic Management System (ATMS) Integration
Details regarding the Advanced Traffic Management System (ATMS) integration tasks are still in
development.
Initiate IMAP Truck Purchases
The Traffic Operations Engineer coordinates with the applicable Division to prepare a schedule for:
Hiring Incident Management Assistance Patrol (IMAP) drivers
Training IMAP drivers
Purchasing IMAP vehicles for a project
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Project
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Letting
1TP1 Complete Traffic Forecast 1
October 2020
NCDOT
1TP1 Complete Traffic Forecast
Overview
Obtain an approved traffic forecast that provides the traffic data necessary for analysis.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Project Level Traffic Forecasting Resource Page
Traffic Forecasting Manual
Traffic Forecasting - Administrative Procedures Handbook
Travel Demand Model Coverage Map
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
State Traffic
Forecast Engineer
Approved Traffic Forecast
Initiate Traffic Forecast X
Transportation Planning Division
Planning Staff
Scope Traffic Forecast
X
Transportation Planning Division
Traffic Forecasting Group
Produce Traffic Forecast
Complete and Deliver Traffic Forecast
Initiate a Traffic Forecast
To initiate a traffic forecast, the Transportation Planning Division is typically contacted by the Project Lead
from the:
Feasibility Studies Unit for pre-environmental and pre-State Transportation Improvement Plan
(STIP) planning and study (see 1FS2 for related information)
Central Corridor Development Unit for pre-environmental and pre-STIP planning and study (see
1FS2 for related information)
Divisions for the Transportation Improvement Program (TIP) project development
Project Management for TIP project development
Structures Management Unit for bridge replacement projects
Rail Division, Engineering Coordination, and Safety Branch for railroad crossings/safety
improvement projects
A Transportation Planning Division Project Manager and the project team review the project to determine
if a traffic forecast is needed. If a traffic forecast is needed, an inquiry can be made about the current
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1TP1 Complete Traffic Forecast 2
October 2020
NCDOT
status of the project and the availability of a forecast with the State Traffic Forecast Engineer. If a forecast
is not available, or in-progress, one may be requested.
To complete an inquiry:
A standard Traffic Forecast Request Form (available on the Project Level Traffic Forecasting
Resource Page) may be used to request a traffic forecast. However, all that is required is
communicating a need for a traffic forecast with the State Traffic Forecast Engineer. The Traffic
Request Form or the e-mail inquiry is sent to: TrafficForecast@ncdot.gov
.
The State Traffic Forecast Engineer produces a map and traffic forecast scope and coordinates with
the Transportation Planning Division Project Manager and the larger project team regarding all
aspects of the traffic forecast.
Scope a Traffic Forecast
As part of the scoping process, the Transportation Planning Division Project Manager, in coordination with
the project team and State Traffic Forecast Engineer, determines the junctions and scenarios to be
included in a traffic forecast.
Produce a Traffic Forecast
To produce a traffic forecast, the State Traffic Forecast Engineer:
Collects existing and new traffic data needed
Acquires the official Travel Demand Model (if available) in coordination with the Project Lead.
Contact the State Traffic Forecast Engineer (TrafficForecast@ncdot.gov
) for information on the
availability of and how to acquire Official Travel Demand Models.
Also see the Travel Demand Model Coverage Map on the Connect NCDOT site to see what may
be available.
Develops the traffic forecast AADT estimates, truck percentages, and design factors
Traffic forecasts are ideally developed objectively and independently based upon available and
approved data, such as official travel demand models, historic AADT estimates, and new traffic
data collection.
Complete and Deliver a Traffic Forecast
To finalize the traffic forecast, the State Traffic Forecast Engineer obtains traffic forecast approval from
the Transportation Planning Division.
To assure that a traffic forecast provides objective data that reasonably supports the project though
the environmental process without substantial objection, it is provided to the Transportation
Planning Division for TPD review and approval. The Traffic Forecast is sent to:
TrafficForecast@ncdot.gov.
After receiving approval from the Transportation Planning Division, the traffic forecast is delivered
via e-mail to the Project Lead and uploaded to ATLAS.
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Letting
1TS1 Initiate Safety Planning Assessment 1
October 2020
NCDOT
1TS1 Initiate Safety Planning Assessment
Overview
Ensure safety is considered early in the life of the project through screening and subsequent incorporation
of safety data into project scoping and design decisions.
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
theProject Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Traffic Safety Screening Tool for Express Design (In Development)
Traffic Safety Screening Tool for Project Scoping Reports (In Development)
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Safety Planning
Engineer
Project Lead
Traffic Safety Review for Selected
Feasibility Study, Corridor Study, or
Express Design
Conduct Traffic Safety Review for Selected
Feasibility Study, Corridor Study, or Express
Design
X X
Traffic Safety Review for Selected
Project Scoping Reports
Conduct Traffic Safety Review for Selected
Project Scoping Reports
X X
Review of Purpose and Need
Statements Containing Safety
Review Purpose and Need Statements
Containing Safety
X
Conduct Traffic Safety Review for Selected Feasibility Study, Corridor Study, or
Express Design
Once the Project Lead runs the Traffic Safety Screening Tool for a selected study/design (see 1FS2 for
related information), the Safety Planning Engineer:
Gathers available safety data (e.g., crash data, available volumes (including non-motorists), roadway
characteristics data, etc.) in the vicinity of the project limits, as defined in the project description,
but may be extended farther based on specific project considerations.
Summarizes this detail in a report with project safety-related considerations documented to inform
project scoping decisions.
Sends the report to the Project Lead to be included with the study/design.
Conduct Traffic Safety Review for Selected Project Scoping Reports
Once the Project Lead runs the Traffic Safety Screening Tool for a selected Project Scoping Report (see
1FS3 for related information), the Safety Planning Engineer:
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1TS1 Initiate Safety Planning Assessment 2
October 2020
NCDOT
Gathers available safety data (e.g., crash data, available volumes (including non-motorists), roadway
characteristics data, etc.) in the vicinity of the project limits, as defined in the project description,
but that may be extended farther based on specific project considerations.
Summarizes this detail in a report with project safety-related considerations documented to inform
project scoping decisions.
Sends the report to the Project Lead to be included with the Project Scoping Report.
Review Purpose and Need Statements Containing Safety
For validating any Purpose and Need Statement that contains safety, the State Traffic Safety Engineer,
specifically, sends a memo to the Project Manager, who formally approves the statements regarding
safety before it is used as a basis of the environmental documents Purpose and Need.
This step ensures NCDOT has safety data to defend safety as the Purpose and Need for a project.
Purpose and Need Statements with no safety component do not need Traffic Safety Unit approval.
The Traffic Safety Unit is very involved in design concepts and design parameters to ensure improvements
address any safety concerns identified in the project limits.
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2TS1 Complete Safety Analysis and Operational Review 3
October 2020
NCDOT
2TS1 Complete Safety Analysis and Operational Review
Overview
Ensure the project has adequately addressed any existing safety issues and ensure design elements
important to traffic safety are considered.
References
Federal Highway Administration (FHWA) Manual on Uniform Traffic Control Devices
(MUTCD)
American Association of State Highway and Transportation Officials (AASHTO)
Highway Safety Manual (HSM)
Development of Safety Performance Functions for North Carolina
Updated and Regional Calibration Factors for Highway Safety Manual Crash Prediction
Models
Signal Recommendations Guidelines for Regional Traffic Engineers (In Development)
Traffic Safety Analysis Guidelines for NEPA documentation (In Development)
Deliverables
Deliverable Task
Responsible Party
Activity Leader
Regional Traffic
Engineer
Safety Planning
Engineer
Traffic Signal Recommendations Provide Traffic Signal Recommendations X
Traffic Safety Alternatives Analysis Report
Develop Traffic Safety Alternatives Analysis
Report (CP2/ CP3)
X
Safety Data and Analysis for Environmental
Document
Provide Safety Data and Analysis for the
Environmental Document
X
Roadway Plan Comment Memo Review Roadway Plans X
Signing and Delineation Plan Comment
Memo
Review Signing and Delineation Plans X
Comments on the draft Transportation
Management Plan (TMP) and temporary
traffic control (TTC) plans
Review Concept Transportation Management
Plan
X
Comments on the final TMP Review Final Traffic Management Plan X
Provide Traffic Signal Recommendations
The Regional Traffic Engineer reviews the available project information to determine if signalization is
appropriate based on projected traffic volumes. To do this:
The Regional Traffic Engineer consults with the assigned Division Traffic Engineer when making
recommendations.
The Regional Traffic Engineer reviews the traffic forecast and proposed intersection design (i.e., the
most current roadway design plans; likely the Design Recommendation Plan Set) as inputs for
decision making.
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2TS1 Complete Safety Analysis and Operational Review 4
October 2020
NCDOT
Information on pedestrian volumes or activity is important to consider as pedestrian
accommodations are also part of this review.
The Regional Traffic Engineer prepares a memo with signal recommendations that is sent to the Division,
Roadway Design Lead, and the Signal Lead.
Develop Traffic Safety Alternatives Analysis Report (CP2 / CP3)
For merger projects (if applicable), the Safety Planning Engineer or Group prepares an analysis on projects
where safety is in the environmental document’s Purpose and Need, or on projects where value is added
in communicating the anticipated safety impacts of a project.
The inputs needed for this analysis are the traffic forecast, the design criteria file, and the current
roadway design files (likely the Design Recommendation Plan Set).
The analysis uses Highway Safety Manual predictive modeling methodologies to predict the number
of crashes along each alternative being considered, including the “do nothing”/no-build alternative.
NCDOT-specific calibration factors for models found in the Development of Safety Performance
Functions for North Carolina and Updated and Regional Calibration Factors for Highway Safety
Manual Crash Prediction Models are to be used as part of the analysis.
Design parameters (such as lane widths, shoulder widths and types, and curve radius) and projected
traffic volumes are critical inputs. Traffic volumes are used to model the corridor from a safety
perspective to give a sense for how each alternative may perform.
The Safety Planning Engineer summarizes the analysis in a report that outlines how each alternative is
expected to impact safety and to help select the Least Environmentally Damaging Practicable Alternative
(LEDPA). Limitations of the analysis are to be clearly outlined in the report. The Safety Planning Engineer
provides the report to the Project Manager.
Provide Safety Data and Analysis for the Environmental Document
Documentation of the existing safety conditions along the project area is typically required for inclusion
within the Purpose and Need section of the environmental document and organized by the Safety
Planning Engineer. This documentation could include:
A five-year crash history,
An explanation of the patterns of crashes that exist in the project area,
How the project is expected to impact safety, and/or
A high-level summary of the crash history in the project area.
Review Roadway Plans
The Regional Traffic Engineer’s Office reviews the current roadway design plans and traffic forecast,
considering:
General design concerns, such as pedestrian accommodations, lane continuity, typical section, and
median breaks.
Safety-related design recommendations submitted to the Roadway Design Lead and Project
Manager in a memo.
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2TS1 Complete Safety Analysis and Operational Review 5
October 2020
NCDOT
Review Signing and Delineation Plans
The Regional Traffic Engineer’s Office reviews the current Signing and Delineation Plans, considering:
General concerns related to signing and pavement markings/delineation.
Safety-related signing/pavement marking recommendations submitted to the Signal Design Lead
and Project Manager in a memo (see 2SD1 for related information).
Review Concept Transportation Management Plan
The Regional Traffic Engineer’s Office reviews the concept Transportation Management Plan (TMP) and
participates in the temporary traffic control (TTC) concept review meeting. The Regional Traffic Engineer
provides input on the following:
Overall traffic operations and safety
Appropriate temporary traffic control devices
Proposed detours
Proposed phased construction
Safety-related TTC comments are submitted to the Regional Work Zone Traffic Control (WZTC) Engineer
and WZTC Project Design Engineer (see 2TM1 for related information).
Review Final Transportation Management Plan
The Regional Traffic Engineer’s Office Reviews the final TMP, considering:
Overall traffic operations and safety
Temporary traffic control devices
Detours
Phased construction
Safety-related TTC comments are submitted to the Regional WZTC Engineer and WZTC Project Design
Engineer (see 3TM1 for related information).
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1UT1 Develop Utility Relocation Estimate 1
October 2020
NCDOT
1UT1 Develop Utility Relocation Estimate
Overview
Develop a preliminary estimate of utility relocation cost.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities
Coordinator
Preliminary Utility Relocation
Estimate
Develop Conceptual Utilities Cost Estimate X
Develop Conceptual Utilities Cost Estimate
The Utilities Coordinator visits the project site and inventories utility facilities on the project.
Using the inventory of facilities and the standard NCDOT estimating tools, the Utilities Coordinator
provides a preliminary estimate of the cost of possible utility relocations, including a short description of
utilities observed.
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1UT2 Initiate Utility Investigations 2
October 2020
NCDOT
1UT2 Initiate Utility Investigations
Overview
Inventory utility facilities in the project area. Identify utilities that are costly to relocate, have long design
or construction times, or otherwise create risks for project construction or schedule if they are relocated.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities Coordinator Utilities Lead
Utility Risk Analysis and Inventory
Report
Initiate Utility Owner Contacts
Conduct Preliminary Utility Investigations
Submit Utility Risk Analysis and Inventory
X
X
X
X
X
Utility Project Outline Determine Utility Relocations X X
Utility Construction Requests Submit Utility Construction Requests X
Initiate Utility Owner Contacts
The Utilities Coordinator is to meet with the utility owners to discuss utility facilities in the project study
area and vicinity. These meetings are to be with employees of the utility who are familiar with the existing
facilities and with plans for future facilities in the study area. These meetings are likely held individually
with each utility at a location convenient for the utility employees. Other projects may be discussed in
these meetings, if possible and appropriate.
In this meeting, the Utilities Coordinator:
Explains the scope of the project and the location of all alternatives.
Explains the projected schedule and expected project duration.
Requests that the utility:
Provide a description of the type, size, and function of all facilities in the area of the project.
Identify critical facilities that have restrictions on service interruption for relocation or may be
difficult to relocate. A facility may be difficult to relocate because of difficulty in acquiring
property for the relocation of the facility, difficulty in coordination of outages with customers
being served, or for other reasons, as well as difficulty in construction.
Identify facilities with a high cost of relocation.
Provide a description of factors that may affect the project schedule, such as lengthy design
times, need to establish a construction budget, long-lead times when ordering materials, or long
times between construction of the new facilities and abandonment of the old facilities.
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1UT2 Initiate Utility Investigations 3
October 2020
NCDOT
Discusses the expected impact of each of the utility facilities on the project and the impact of the
project on the utility facilities.
This meeting may also involve a site visit to verify and correlate information provided by the utilities and
to search for previously unknown utilities.
Conduct Preliminary Utility Investigations
Using the information collected from the utilities, the Utilities Coordinator analyzes reasonably expected
conflicts between existing and planned utilities and the project. For each alternative, the Utilities
Coordinator is to:
Provide an inventory of utilities encountered.
Provide a preliminary estimate for utility relocation costs.
Analyze risks to the project budget and schedule by identifying:
Facilities that can be relocated without significant burden to the utility.
Facilities that cannot be taken out of service at all or for more than a short period of time.
Facilities that are expensive to relocate because of size or conditions of the construction.
Facilities that have a long design or construction duration.
Any other risk the relocation of the facilities could pose to the project.
Identify facilities to avoid, and facilities that may be relocated, without significant burdens to the
utility or the project.
Identify whether construction of utility relocation may be necessary outside of the study area.
Submit Utility Risk Analysis and Inventory
The Utilities Coordinator provides a Utility Risk Analysis and Inventory Report that:
Provides an inventory of utilities and facilities in the study area.
Includes the information provided by the utilities.
Documents the analysis of budget and risk in each alternative.
Makes recommendations to reduce risk or budget.
The Utilities Lead reviews the report and provides comments to the Utilities Coordinator, who updates
the document.
Determine Utility Relocations
After the alternative to be constructed has been selected, the Utilities Coordinator revises and condenses
the Utility Risk Analysis and Inventory Report into a Utility Project Outline for the selected alternative. The
revised report is to include:
A utility inventory for the alternative.
An analysis of risks for the alternative.
A projected budget.
A preliminary schedule for the utility designs and relocations.
Recommendations to the project designers on utilities to avoid.
A strategy for the possible relocations.
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1UT2 Initiate Utility Investigations 4
October 2020
NCDOT
The Utility Project Outline guides the project’s design team to avoid major utility impacts. The Utilities
Lead reviews the report/outline and provides comments to the Utilities Coordinator, who updates the
document.
Submit Utility Construction Requests
For this request, the Utilities Coordinator:
Identifies utilities that may want construction of their facilities completed by the selected contractor
and included as part of the project’s contract.
Obtains a Utility Construction Request from each of these utilities describing the facilities likely to
be in conflict or that may need early analysis.
Identifies in the Utility Construction Request whether NCDOT is being requested to perform
construction or both design and construction.
These requests are submitted concurrently with the Utility Project Outline.
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2UT1 Initiate Utility Coordination 5
October 2020
NCDOT
2UT1 Initiate Utility Coordination
Overview
Coordinate with utility owners to identify conflicts between their facilities and the project and develop
resolution for those conflicts. Coordinate preliminary utility designs to conform with the Policies and
Procedures for Accommodating Utilities on Highway Rights of Way (Utilities Accommodation Manual),
preventing conflicts among utilities where possible and determining utility easement requirements.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities
Coordinator
Utilities Design
Engineer
Utilities
Coordinator
Utilities Design
Engineer
Utility Coordination Kickoff
Meeting Minutes
Provide plans to Utility Owners
Identify Major Utility Conflicts and
Relocation Impacts
Conduct Utility Coordination Kickoff
Meeting (All Utilities)
X
X
X
X
X
Routing Plan
Initiate Cost Responsibility Analysis
Receive Preliminary Utility Relocation
Plans from Utility Owners
Submit Routing Plan
X
X
X
X
X
Relocation Schedule Create Relocation Schedule X
Preliminary Utility
Construction Plans
Submit Preliminary Utility Construction
Plans
X
Subsurface Utility Engineering
(SUE) Level A Request
Request Subsurface Utility Engineering
(SUE) Level A
X X
Geotechnical Investigation
(Trenchless) Request
Request Geotechnical Investigation for
Trenchless Utilities
X
Utility Easement Request and
Utility Parcel List
Submit Required Utility Easements and
Parcel List
X X
Provide Plans to Utility Owners
The Utilities Coordinator provides a PDF and DGN set of the Design Recommendation Plan Set and the
Utility Project Outline to the utility companies and their designated design representatives. The Utilities
Coordinator requests that the utility companies:
Review the plans for accuracy in the surveyed depiction of their facilities.
Notify the Utilities Coordinator of facilities that are omitted or are inaccurately depicted.
Analyze their facilities for conflicts with the project as designed.
Consider options and schedule for relocation or mitigation of the conflicts.
Notify the Utilities Coordinator of assistance or input required from NCDOT during the project.
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2UT1 Initiate Utility Coordination 6
October 2020
NCDOT
The Utilities Design Engineer reviews the plans provided by the Utilities Coordinator in cooperation with
and on behalf of the utilities whose facilities the Utilities Design Engineer is scoped to design.
Identify Major Utility Conflicts and Relocation Impacts
To complete this task, the Utilities Coordinator is to:
Review the plans to identify likely locations of conflicts.
Document those conflicts on the Utilities Coordination Working Plans.
The Utilities Coordination Working Plans are to contain information on conflicts and proposed
relocations for all utilities.
These plans also contain the information required by NCDOT to manage utilities within the
project and are to be kept up-to-date and available to the project team at all times through the
project SharePoint site.
The Utilities Coordinator consults with the Utilities Lead and Utility Design Lead prior to the Utility
Coordination Kickoff Meeting to agree on potential conflicts and guidance to be given to the utilities.
The Utilities Design Engineer then:
Reviews the plans with the applicable utility companies for the facilities scoped for design.
Identifies conflicts, proposes preliminary relocation designs or a plan to mitigate the conflicts, and
secures approval from the owner.
Provides this information to the Utilities Coordinator prior to the Utility Coordination Kickoff
Meeting.
If a Utilities Design Engineer has not been authorized at this stage, the utility is responsible for providing
this information at the Kickoff Meeting.
Conduct Utility Coordination Kickoff Meeting (All Utilities)
The Utilities Coordinator schedules and conducts a Utility Coordination Kickoff Meeting to share
information and plans with the utilities and to begin coordination among the utilities on relocation issues.
The invite to this meeting is to include all utility company contacts, the Utilities Lead, the Utilities Design
Lead, Division utilities personnel, the Utilities Design Engineer, the Project Manager, the Hydraulics Design
Engineer, and the Signals/ITS Lead.
At this meeting and with assistance from the Utilities Design Engineer, the Utilities Coordinator is to:
Provide information to the utility companies about the project.
Review the presumptive cost responsibility and establish which utility companies believe they have
a compensable interest.
Discuss the project schedule, noting feedback from the utility companies about their design and
relocation timeframes and the schedule they can meet.
Elicit information about the risks the utilities believe they pose to the project.
Discuss preliminary alignments for relocations.
Ask the utility companies to prepare preliminary plans and identify easement needs.
Identify action items for NCDOT and the utility companies.
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2UT1 Initiate Utility Coordination 7
October 2020
NCDOT
Initiate Cost Responsibility Analysis
The Utilities Coordinator uses the information from the survey and information provided by the utilities
to initiate the Cost Responsibility Analysis. To do this, the Utilities Coordinator:
Investigates documents provided by the utility companies.
Prepares opinions on the relevance of those documents to any claims of compensable interest.
Begins preparation of the Cost Responsibility Analysis Report.
It is the responsibility of the utility companies to prove their claims of compensable interest. It is the
responsibility of the Utilities Coordinator to review the claims and provide a recommendation to NCDOT
and the Project Manager on the merits of the claims.
Receive Preliminary Utility Relocation Plans from Utility Owners
To complete this task, the Utilities Coordinator is to:
Receive preliminary relocation plans from the utility companies and from the Utilities Design
Engineer.
Review the plans to ensure compliance with the Utilities Accommodation Manual.
Incorporate the relocation plans into the Utilities Coordination Working Plans.
Preliminary relocation plans from the utilities are not final designs. Instead, these plans are to show the
scope and alignment of the relocation. The design is to be complete enough to determine easement
requirements and environmental impacts from the proposed alignment and construction.
Submit Routing Plan
The Utilities Coordinator submits the Utilities Coordination Working Plans along with a description of
important design decisions as Routing Plans. The purpose of the Utilities Coordination Working Plans is to
plan utility relocations and share information about the relocations with NCDOT and the project team.
The Utilities Lead reviews the plan and provides comments to the Utilities Coordinator, including a review
of the application of the Utilities Accommodation Manual, a constructability review, and a review of
possible alternatives.
Create Relocation Schedule
The Utilities Coordinator creates a Utilities Relocation Schedule (in Microsoft Project) for use in guiding
project scheduling and tracking relocation progress. This schedule is developed in consideration of:
Utility work by others only.
Important milestones in project completion, such as design time, relocation time, moratoria,
acquisition of special materials, permitting, availability of right-of-way and easements, and
construction staging.
Information obtained from the utilities, the Right-of-Way Agents, project documents, and other
sources, as needed.
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2UT1 Initiate Utility Coordination 8
October 2020
NCDOT
The Utilities Coordinator maintains this schedule as conditions change and milestones are completed,
coordinating this with the Project Manager and the larger project schedule.
The Utilities Lead reviews this schedule and provides comments to the Utilities Coordinator. The review
includes the practicality of accomplishing the schedule.
Submit Preliminary Utility Construction Plans
The Utilities Design Engineer submits the Preliminary Utility Construction Plans for review by the Utilities
Design Lead. These plans are to:
Show routing and major design elements.
Identify any needed easements outside of existing right-of-way.
Provide draft Special Provisions, especially including any requested pay items for review.
For utilities designed under the control of the utility owner, but to be constructed as part of the project’s
contract, the Utilities Coordinator coordinates submission of these items to the Utilities Lead for review.
The review of plans and special provisions is to address constructability, risk assessment, compliance with
policy, and contractibility.
Request Subsurface Utility Engineering (SUE) Level A
The Utilities Coordinator requests and compiles subsurface utility engineering (SUE) Level A requests from
the designers of each of the utilities. To do this:
Collaborate with the Utilities Lead to evaluate the need for each location.
Create a final SUE request.
The Utilities Design Engineer submits this request to the Utilities Coordinator.
Request Geotechnical Investigation for Trenchless Utilities
A Geotechnical Investigation is used to identify underground conditions along the trenchless installation
for the purposes of bidding. The Utilities Design Engineer identifies locations for the geotechnical
investigation along the planned location of all trenchless installations of utilities to be constructed. To do
this, the Utilities Coordinator is to:
Identify the expected depth of the utility at each location.
Collaborate with the Utilities Design Lead and the Geotechnical Engineering Unit to create a final
list of requested locations.
For utilities designed under the control of the utility owner, but to be constructed as part of the project’s
contract, the Utilities Coordinator coordinates submission of this request to the Utilities Lead for review.
Submit Required Utility Easements and Parcel List
The Utilities Design Engineer prepares the easement needs for the facilities scoped for design and submits
that request to the Utilities Coordinator.
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2UT1 Initiate Utility Coordination 9
October 2020
NCDOT
The Utilities Coordinator then prepares the Utility Easement Request and Utility Parcel List, which
includes:
Obtaining concurrence from the Utilities Project Manager on the eligibility for each utility to request
easements that are acquired by NCDOT.
Vetting easements requested by the utility companies for compliance with NCDOT policy.
Compiling all eligible easements requested.
Draw the compiled easements on the Utilities Working Plans and submit to the Utilities Project
Manager for concurrence in the request.
After receiving concurrence, submit the easement request for inclusion in the plans.
For utilities relocating in advance of the project’s contract, compiling a list of parcels containing any
of those utilities in easement or right-of-way.
List which utilities are occupying each parcel.
Determine the date each parcel is needed according the schedule of utility construction on each
parcel.
The Utilities Lead reviews the requested easements for compliance with the Utilities Accommodation
Manual for impact on property owners and for possible economizations. The Utilities Coordinator
confirms all of this information is incorporated into the Field Inspection Plan Set (see 2RD2 for related
information).
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3UT1 Advance Utility Coordination 10
October 2020
NCDOT
3UT1 Advance Utility Coordination
Overview
Coordinate the final design of utilities and needs for environmental permitting.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities
Coordinator
Utility Design
Engineer
Utilities
Coordinator
Utility Design
Engineer
Utility Agreement Plans
Submit/Receive Utility Agreement
Plans
Initiate Utility Permits
X
X
X
Utility Environmental Permit Plans
and Narrative
Provide Permit Related Utility Impacts X X
Cost Responsibility Analysis
Report
Submit Cost Responsibility Analysis X
Final Utilities Coordination
Working Plans
Submit Final Utility Coordination Plans X X
Coordinate Service Acquisition for ITS and Signing
The Utilities Coordinator coordinates utility service acquisition for ITS, signing, and lighting along the
project corridor as requested by those disciplines/Units.
Submit/Receive Utility Agreement Plans
The Utilities Design Engineer submits the Utility Construction Plans, Special Provisions, and draft
quantities estimate for review by the Utilities Design Lead. This includes:
Showing routing and major design elements.
After receiving concurrence from the Utilities Project Manager, initiating the NC Department of
Environmental Quality (DEQ) permitting process.
For utilities designed under the control of the utility owner, but to be constructed as part of the project’s
contract, the Utilities Coordinator coordinates submission of these items to the Utilities Lead for review.
The review of plans and Special Provisions is to address constructability, risk assessment, compliance with
policy, and contractibility.
The Utility Design Engineer or utility owner’s engineer is to address any comments and submit a set of
Utility Agreement Plans.
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3UT1 Advance Utility Coordination 11
October 2020
NCDOT
The purpose of these plans is to be an attachment to the Utility Construction Agreement or Use and
Occupancy Agreement.
Special Provisions and agreement estimate are also required.
The Utilities Lead generates the appropriate agreement and submits it to the utility company for
execution.
Initiate Utility Permits
The Utilities Design Engineer prepares the applications and assists the utility owner in submitting the
applications to NC Department of Environmental Quality (DEQ) Public Water Supply Section and Division
of Water Quality.
Provide Permit-Related Utility Impacts
The Utilities Coordinator refences the Utility Construction Plans and Relocation Plans provided by the
utilities to create a set of Utilities Environmental Permit Drawings. These plans consist of an environmental
narrative, plans showing impacts, utility profiles, and impact area charts. As part of the plans, the Utilities
Coordinator is to:
Coordinate areas of utility impacts with areas of roadway impacts.
Not all components are required for all projects.
Submit to the Utilities Lead to obtain concurrence.
After obtaining concurrence, submit to the Project Manager.
The Utilities Lead reviews the proposed construction methods, environmental impacts of the utility
relocations, and consistency with the current roadway design plans. The Utilities Lead consults with the
project’s Environmental Lead about proposed environmental impacts.
Submit Cost Responsibility Analysis
The Utilities Coordinator is to submit the Cost Responsibility Analysis Report, providing the
recommendation for portion of cost responsibility for each utility and NCDOT. To do this, the Utilities
Coordinator:
Supports the recommendation with an analysis of the policy applied and evidence provided.
Provides supporting documentation, including deeds, previous agreements, plans, and other
evidence of compensable interest.
The Utilities Lead reviews the analysis and requests additional information (if needed), comments as
required, and accepts the report when complete. The Utilities Lead files this report on the project
SharePoint site and retains with the agreement documents.
Submit Final Utility Coordination Plans
The Utilities Coordinator submits the Final Utilities Coordination Working Plans, showing the alignments
to be authorized for all utilities and the current Utilities Relocation Schedule with a description of
important design decisions.
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3UT1 Advance Utility Coordination 12
October 2020
NCDOT
The Utilities Lead performs final review of the relocations that includes a review of the application of the
Utilities Accommodation Manual, a constructability review, and a review of the relocation schedule. The
Utilities Coordinator confirms all of this information is incorporated into the Right-of-Way Plan Set (see
3RD1 for related information).
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4UT1 Complete Utility Relocation 13
October 2020
NCDOT
4UT1 Complete Utility Coordination
Overview
Facilitate the relocation of utilities being relocated by the utility owners.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities
Coordinator
Utility Design
Engineer
Utilities
Coordinator
Utility Design
Engineer
Utilities by Others Plans and
Special Provisions
Complete Utilities by Others Plans X
Utility Construction PS&E Complete Utility Construction Plans X X
Water and Sewer Permits Receive Water and Sewer Permits X X
Executed Utility Agreements
Submit Utility Agreements for Authorization
Execute Utility Agreements
X
X
X
X
Utility Authorizations Issue Utility Construction Authorization X
Utility Certification Issue Utility Certification X X
Complete Utilities by Others Plans
The purpose of the Utilities by Others Plans is to convey information to the selected contractor about the
extent and timing of utility relocations and abandonments, performed by others, for use in developing
the bid. The Utilities Coordinator uses the Utilities Coordination Working Plans and Authorized Relocation
Plans to create Utilities by Others Plans and Special Provisions. The Utilities Coordinator:
Creates the plans and special provisions in conformance with templates and guidance provided on
the Utilities Connect site.
Submits these plans and special provisions to the Project Manager.
The Utilities Lead reviews the Utilities by Others Plans and Special Provisions. The review evaluates the
information provided on owner, location, and schedule.
Complete Utility Construction Plans
The Utility Design Engineer submits final Utility Construction Plans, Special Provisions, and quantity
estimates with cost breakdown by responsible party and betterment to the Project Manager and Utilities
Lead. The Utilities Design Engineer also submits an advisory cost estimate. If the utilities are designed
under the control of the owner, but to be constructed as part of the project’s contract, the Utilities
Coordinator is to coordinate submission of these items to the Utilities Lead for review.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
4UT1 Complete Utility Relocation 14
October 2020
NCDOT
The Utilities Lead reviews the plans, estimates, and special provisions and return comments. The Utilities
Lead enters the provided quantity estimates in the estimating system. The Utilities Lead then develops
and enters prices for the estimate.
Receive Water and Sewer Permits
The Utilities Design Engineer receives the Authorizations to Construct from NC Department of
Environmental Quality (DEQ) Public Water Supply Section and Division of Water Quality. After receiving
the Authorizations, the Utilities Coordinator:
Places them on the project SharePoint site.
Notifies the Project Manager and the Utilities Lead.
The same process is used for utilities designed under the control of the owner, but to be constructed as
part of the project’s contract.
Submit Utility Agreements for Authorization
The Utilities Coordinator receives the utility agreements and plans from the utility company. From there,
the Utilities Coordinator:
Reviews the plans for conformity with the Utilities Accommodation Manual.
Reviews the estimates, if needed for the agreement.
Attaches a cover letter stating that the relocations plans and materials were reviewed and complies
with the Utilities Accommodations Manual and other applicable policies or recommends that the
plans be approved with enumerated exceptions.
Justifies recommended exceptions.
Submits to the Project Manager for action.
The Utilities Lead reviews the agreements for compliance with policy.
Execute Utility Agreements
After review, the Utilities Lead submits the utility agreements to the authorized NCDOT official for
signature.
Issue Utility Construction Authorization
After execution of each utility agreement for construction by the utility, the Utilities Lead sends an
authorization to the utility to begin construction.
Issue Utility Certification
The Utilities Lead completes the Utility Certification and submits it to the authorized NCDOT official for
signature. The certification is retained for the project files.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
4UT2 Complete Utility Relocations by Owner 15
October 2020
NCDOT
4UT2 Complete Utility Relocations by Owner
Overview
Support the Project Manager and Resident Engineer by maintaining contact with the utilities, maintaining
the Utilities Relocation Schedule, and continuing coordination to resolve relocation issues until the
relocations by the utilities are complete.
References
Utility Policy Manual
Policies and Procedures for Accommodating Utilities on Highway Rights of Way
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Utilities Project
Engineer
Utility Design
Engineer
Relocation Scheduling Conference
Hold Relocation Scheduling Conference
X
Updated Utilities Relocation Schedule
Maintain Contact with Utilities
Update the Utilities Relocation Schedule
X
X
Hold Relocation Scheduling Conference
After receiving the Utility Authorization, the Utilities Coordinator schedules and holds the Relocation
Scheduling Conference for each utility. The conference is to be attended by the utility company, the
utility’s contractor, the Project Manager and Resident Engineer, and others as required. The Utilities
Coordinator updates the Utilities Relocation Schedule.
Maintain Contact with Utilities
The Utilities Coordinator maintains weekly contact with the utilities during their relocation construction.
The Utilities Coordinator monitors the progress of the relocations and determines if intervention is
needed to keep the utility relocations on schedule. If intervention is needed, the Utilities Coordinator
contacts and involves needed resources or makes recommendations/implements strategies to maintain
the relocations to support the overall project schedule.
Update the Utilities Relocation Schedule
The Utilities Coordinator updates the Utilities Relocation Schedule weekly and distributes the schedule to
the Resident Engineer, Utilities Lead, and Project Manager.
Continued Coordination
The Utilities Coordinator continues coordination with utilities to address issues that arise during the
relocation phase of the project. The Utilities Design Engineer provides input, as necessary, to resolve
issues involving the scoped utilities.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1VM2 Conduct Risk Management 1
October 2020
NCDOT
1VM1 Schedule Value Engineering Study
Overview
Ensure that a Value Engineering (VE) study is completed for state or federal projects that meet or exceed
the following thresholds:
Total cost of $50 million
Total cost of $40 million with a major structure
Projects that intersect or include components of the National Highway System
Federal major projects (Exceeding $500 million)
Note: Actions during the Project Initiation Stage may be led and completed by staff from several different
NCDOT groups. Any person who has overall responsibility for a project during this Stage is referred to as
the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,
the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.
References
Value Management Office
Value Management Guidelines
ArcGIS STIP and NHS maps
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
VMO Project Manager Project Lead
Scoping Report Assessment
Assess the State Transportation Improvement
Program (STIP)
X X
Value Engineering Study
Schedule
Schedule Upcoming Value Engineering Studies X X
Assess the State Transportation Improvement Program (STIP)
Based on the information in the STIP, the Value Management Office (VMO) Project Manager determines
if a Value Engineering Study is needed based on the threshold requirements listed in the above overview.
As identified, the VMO supports the Project Lead by facilitating a Value Engineering Study in accordance
with the Value Management Guidelines.
Schedule Upcoming Value Engineering Studies
The Value Engineering Study is conducted pursuant to FHWA guidance and thresholds to allow a team not
currently involved with the project to provide ideas for cost and process improvements. This study
requires initial input from the project team, but is completed by the VMO.
The VMO Project Manager schedules upcoming VE studies in accordance with the process described in
the Value Management Guidelines and sends this schedule to the Project Lead. For projects that do not
require a formal value management study, the team may request an informal VE review. This may include
a Project Leads review of the project to determine if consultation with VMO may be beneficial.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
1VM2 Conduct Risk Management 2
October 2020
NCDOT
1VM2 Conduct Risk Management
Overview
Conduct an early risk management review to identify potential issues that could jeopardize project
delivery. While a risk assessment is not required for all projects, implementation of these reviews provides
greater assurance that a project can maintain its scope, schedule, and budget goals. If the risk review
reveals potential fatal flaws, reassess the project before a substantial part of the budget is spent.
References
Value Management Guidelines
Value Management Office
Risk Management Guidelines
Risk Assessment Worksheet
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Lead VMO Project Manager
Risk Assessment Worksheet Conduct Risk Management Activities X X
Risk Assessment Study Conduct Risk Management Activities X
Conduct Risk Management Activities
Per the Risk Management Guidelines, risks are captured in the Project Scoping Report and transferred to
the Risk Assessment Worksheet (RAW). Based on the severity of the risk, a Risk Assessment Study may be
necessary. While a Risk Assessment Study is not required for every project, the Project Lead is to
coordinate with the Value Management Office (VMO) to determine if a Risk Assessment Study is
appropriate. The VMO supports the Project Lead by providing guidance for the Risk Assessment Study
and/or facilitating a Risk Assessment Study in accordance with the Value Management Guidelines.
For a Risk Assessment Study, the VMO Project Manager is to:
Gather a team of experts from the applicable technical disciplines/Units.
Develop Risk Response Strategy.
Develop an Implementation Plan.
From there, the Project Lead monitors and controls the identified project risks following the process and
procedures detailed in the Risk Management Guidelines. This responsibility is transferred to the Project
Manager during the Alignment Defined Stage.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
2VM1 Complete Value Engineering 3
October 2020
NCDOT
2VM1 Complete Value Engineering
Overview
Identify and coordinate the Value Engineering (VE) study early in the Alignment Defined Stage and develop
recommendations to be incorporated into both the Design Recommendations Plan Set and Field
Inspection Plan Set as both are developed.
References
Value Management Guidelines
Value Management Office
ArcGIS STIP and NHS maps
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
VMO Project Manager Project Manager
Value Engineering Study Report Complete Value Engineering Study Report X X
Value Engineering Study
Recommendation Forms
Develop and Implement Value Engineering
Recommendations
X X
Complete Value Engineering Study Report
The VMO Project Manager, in coordination with the Project Manager, completes a VE Study Report
following the guidance defined in the Value Management Guidelines. The study is be scheduled as early
after notice to proceed as possible to maximize the opportunity to include recommendations into both
the Design Recommendations Plan Set and Field Inspection Plan Set.
Develop and Implement Value Engineering Recommendations
Referencing the Value Management Guidelines for developing, reviewing, and implementing VE
recommendations, the VMO Project Manager develops recommendations and submits recommendation
forms to the Project Manager.
The Project Manager reviews the recommendations with all applicable technical disciplines/Units leads
and provides final dispositions to the VMO Project Manager.
The VMO Project Manager records the dispositions in the Action Register, and the Project Manager works
with all applicable technical disciplines/Units leads to implement the accepted recommendations into the
projects design documents. The Project Manager confirms implementation of accepted
recommendations prior to let, which is verified by VMO per FHWA requirements.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
2VM2 Conduct Risk Management 4
October 2020
NCDOT
2VM2 Conduct Risk Management
Overview
Conduct an early risk management review to identify potential issues that could jeopardize project
delivery. While a risk assessment is not required for all projects, implementation of these reviews provides
greater assurance that a project can maintain its scope, schedule, and budget goals. If the risk review
reveals potential fatal flaws, reassess the project before a substantial part of the budget is spent.
References
Value Management Guidelines
Value Management Office
Risk Management Guidelines
Risk Assessment Worksheet
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Manager VMO Project Manager
Risk Assessment Worksheet Conduct Risk Management Activities X X
Risk Assessment Study Conduct Risk Management Activities X
Conduct Risk Management Activities
Per the Risk Management Guidelines, a Project Manager begins this step by identifying additional risks
not captured in the Project Scoping Report on the Risk Assessment Worksheet. Based on the severity of
the risk, a Risk Assessment Study may be necessary. While a Risk Assessment Study is not required for
every project, the Project Manager is to coordinate with the Value Management Office (VMO) to
determine if a Risk Assessment Study is appropriate. The VMO supports the Project Manager by providing
guidance for the Risk Assessment Study and/or facilitating a Risk Assessment Study in accordance with
the Value Management Guidelines.
If the project has a substantial change, it is beneficial to review the Risk Assessment Worksheet and
determine if the change elevates or diminishes project risks. The Project Manager initiates the review.
For a Risk Assessment Study, the VMO Project Manager is to:
Gather a team of experts from the applicable technical disciplines/Units.
Develop Risk Response Strategy.
Develop an Implementation Plan.
From there, the Project Manager continually monitors and controls the identified project risks following
the process and procedures detailed in the Risk Management Guidelines.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
2VM3 Complete Constructability Review 5
October 2020
NCDOT
2VM3 Complete Constructability Review
Overview
Complete this review of the Field Inspection Plan Set as part of the Field Inspection Review Meeting and
prior to completing the environmental document to ensure that accepted recommendations are
incorporated into the design document and disclosed in the environmental document.
References
Value Management Guidelines
Value Management Office
Constructability Review Program Website
CLEAR Submission Form
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
VMO Project Manager Project Manager
Constructability Review Minutes Complete Constructability Review X
CLEAR Database Submission Complete Constructability Review X
Complete Constructability Review
Based on project scope and risk assessment data, the Project Manager may request a constructability
review of the Field Inspection Plan Set from the Value Management Office (VMO), which is completed
following the process defined in the Value Management Guidelines.
The VMO can coordinate the review with contractors associated with the Association of General
Contractors (if applicable), leads from other technical disciplines/Units, and/or external stakeholders. The
project team participates in study discussions, and the VMO documents its findings pertaining to the
constructability of the project.
Any lessons learned from the constructability review is submitted into the Communicate Lessons,
Exchange Advice, and Record (CLEAR) database using the reference link above and following the workflow
described in the Value Management Guidelines.
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Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
3VM2 Conduct Risk Management 6
October 2020
NCDOT
3VM1 Complete Value Engineering
Overview
Notify the Value Management Office (VMO) of any changes to scope and/or estimate that would warrant
a Value Engineering (VE) study at this phase in the project (only if there had previously not been one
scheduled in the previous stages).
References
Value Management Guidelines
Value Engineering Study Recommendations
Value Management Office
ArcGIS STIP and NHS maps
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
VMO Project Manager Project Manager
Value Engineering Study Report Complete Value Engineering Study Report X X
Value Engineering Study
Recommendation Forms
Develop and Implement Value Engineering
Recommendations
X X
Complete Value Engineering Study Report
If applicable, the VMO Project Manager, in coordination with the Project Manager, completes a VE Study
Report following the guidance defined in the Value Management Guidelines.
Develop and Implement Value Engineering Recommendations
Referencing the Value Management Guidelines for developing, reviewing, and implementing VE
recommendations, the VMO Project Manager develops recommendations and submits recommendation
forms to the Project Manager.
The Project Manager reviews the recommendations with all applicable technical disciplines/Units leads
and provides final dispositions to the VMO Project Manager.
The VMO Project Manager records the dispositions in the Action Register, and the Project Manager works
with all applicable technical disciplines/Units leads to implement the accepted recommendations into the
project’s design documents. The Project Manager confirms implementation of accepted
recommendations, which is verified by VMO per FHWA requirements.
Back to PDN Overview
Project
Initiation
Alignment
Defined
Plan-in-Hand
PS&E
Letting
3VM2 Conduct Risk Management 7
October 2020
NCDOT
3VM2 Conduct Risk Management
Overview
Continue to monitor and control risks, with the Value Management Office (VMO) available for additional
support if there are any substantive changes to the project at this phase.
References
Value Management Guidelines
Value Management Office
Risk Management Guidelines
Risk Assessment Worksheet
Deliverables
Deliverable Task
Responsible Party
Activity Leader Additional Support
Project Manager VMO Project Manager
Risk Assessment Worksheet Conduct Risk Management Activities X X
Risk Assessment Study Report Conduct Risk Management Activities X
Conduct Risk Management Activities
The Project Manager, with support as needed from the VMO Project Manager, continually revises the risk
register (as needed) and references the Risk Assessment Study Report to continue to monitor and control
project risks, all following the process and procedures detailed in the Risk Management Guidelines.
Complete Risk Assessment Study (if needed)
Based on project scope and risk assessment data, the Project Manager may request an additional Risk
Assessment Study from the Value Management Office (VMO), which is completed following the process
defined in the Value Management Guidelines.