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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Project
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Alignment
Defined
Plan-in-Hand
PS&E
Letting
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