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Project Delivery Network

(PDN)

Version 1.1

April 2021

Project Delivery Network (PDN)

October 2020

NCDOT

(This Page Intentionally Left Blank)



Project

Initiation

Alignment

Defined

Plan‐in‐Hand

PS&E

Letting



Preface i

October2020



 NCDOT



Preface

The NCDOT Project Delivery Network (PDN) is a scalable

support document for those involved with delivery and

managementofprojects.Thisprefaceanswerssomeofthe

typical questions regarding purpose and use of the PDN,

alongsidedefiningtheco mmontermsusedthroughout.

WhatisthepurposeofthePDN?

The PDN was developed to provide consistency and

transparency throughout the project delivery process,

enablingprojectteamstoimprovereliabilityandefficiency.

ThePDNoutlinesthestages,activities,tasks,deliverables,

andreferencestoaccomplishtheseends.

Specifically, thePDNis to assisttechnicalteam members,

led by a Project Manager (whether

 a project is led by

NCDOTora privateengineeringfirm[PEF]),torealizethe

following:

 Maintain consistency via a logical progression of

activities throughout the project initiation,

environmental,anddesignphases.

 Streamlineprocessesandproceduresthroughouttheprojectdevelopmentprocess.

 Identify team integration points to promote

multidisciplinary collaboration at each stage of the

process.

 Provideasystematicqualitycontrol/qualityassurance(QC/QA)process.

 DefinekeyprojectdeliverablesandactivitiestobuildanMSProjectsche dulethataProjectManager

andprojectteamusetoadvanceprojectdelivery.

HowisaprojectdeliveredwithinthePDN?

ThePDNtakesaprojectthroughthefollowingfivestages(witheachstagedefinedintermsofhigh‐level

goalsthatcanbeaccomplishedatanypointinthestage):

Stage1:ProjectInitiation

Goal:Developaninitialvisionsufficientlytocommencetheenvironmentalanddesign

process.

Stage2:Alignment

Defined

Goal:Completeallanalysesanddesignworktoestablishahorizontalandvertical

roadwayalignment,completetheenvironmentaldocument,andprogressdesignto

developthefieldinspectionplanset.

Stage3:Plan‐in‐Hand

Goal:Completealldesignandfi nalizetheright‐of‐waypackagetocontinueacquisition

and

relocationactivities.

PDNCommonTerms

Stage:Amajorstepoftheproject

developmentprocessthatconcludeswith

amilestone.

Activity:Theoverallaction(s)completed

byatechnicalUnittomovetothenext

stageofthePDN.Anactivityis

representedbyanidentifier(e.g.,1FS1,

2HY2)asshownonthePDNActivity

Diagram(discussedfurther

below).

Task:Thestep(s)andprocess(es)

necessarytocompleteanactivity.

Detail:Thetaskdescriptiontoexplain

whatandwhyofatask.

PDNActivityDiagram: A“map”ofall

PDN’sactivitiesthatcouldbeusedto

deliveraproject.



Project

Initiation

Alignment

Defined

Plan‐in‐Hand

PS&E

Letting

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Preface ii

October2020

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

Stage4:Plans,Specifications,&Estimate(PS&E)

Goal:Finalizeallplans,specifications, andestimatestobepackagedforletting.

Stage5:LettingandPost‐Letting(Indevelopment)

Goal:Preparetheproject’sdesigns,plans,anddocumentsforadvertisementand

completenecessarypost‐lettingactivities.

Eachstageconcludeswithamilestone

toassessthestatusoftheprojectandreviewtheprojectschedule

andprogression(seediamondsinthePDNActivityDiagram).

WhatroledoescoordinationplayinthePDN?

Coordination is essential for project success. Led by the Project Manager, team integration and

communicationamongdisciplinesontheprojectteamandwithoutsidestakeholdersandconsultantsare

necessarytodeliverasuccessfulprojectthatmeetsprojectgoalsonscheduleandwithinbudget.Oneof 

thefoundational elementsofthePDN

isthatitcanbeusedby multipleaudiences(Divisions,Technical

Units,privateengineeringfirms[PEFs],orcontractors)tounderstandtherolesandresponsibilitiesofeach

teammember.

Wherewilltheprojectdocumentationbestored?

AlldocumentsrelatedtotheprojectwillbestoredelectronicallyontheapplicableprojectSharePointsite,

followingSharePointGuidanceand namingconventions.Allfinal  keydocumentsfor  theprojectwillbe

savedusingtheATLASWorkbenchtoensuretheyaretaggedandnamedappropriatelyandcanbefound

easilymovingforward.

AllNCDOTand/orprivateengineeringfirm(PEF)team memberswillhaveaccess

totheprojectSharePointsite.Teammemberscanchoosetobenotifiedwhendocumentspertainingto

theirtasksareuploaded.

HowisthisPDNupdated?

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

opportunitiesforfurtheraccelerationorstreamlinin g.

TheIntegratedProject Delivery(IPD)teamhasset

upa  formalprocessforsubmittingcommentsandsuggestionsasquestions,markups, orliveeditsin a

formlinkednearthelocationthisPDNisavailablefordownload.

Submittedcommentswill bereviewedonaregularbasisforincorporationintothedocument.

Whilean

updatetothePDNcantakeplaceatanytimedependingonthecriticalnatureofthechange,updatesare

plannedtwiceforthisfirstyearofpublication.Afterthat,theIPDteamwillsendoutanannualrequestto

eachdisciplineareaforreviewoftheirportionof

thedocument.Thiswillalsobe anopportunityforall

userstoreviewandupdateanyotherprocesses.

HowareprojectstagesandactivitiespresentedinthePDN?

Eachstageconsistsofmultipleactivities,consistingoffiveparts:



Project

Initiation

Alignment

Defined

Plan‐in‐Hand

PS&E

Letting

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Preface iii

October2020

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 NCDOT



1) Activityidentifierandbriefheading(definedfurtherbelow)

2) Briefoverviewoftheactivity

3) Referencelistandlinkstocommonlyuseddocumentsthatguideauseroncompletingtheactivity

4) Responsibility table that list all deliverables that may need to be developed/completed (defined

furtherbelow)

5) Details for

 each task that provide a further description on how to apply the steps, processes, and

referencematerialstocompletetheactivity



Figure1:ExamplePDNActivityBreakdown



ActivityIdentifier

AsidentifiedonFigure1,eachactivityhasaunique“ActivityIdentifier”fortrackingpurposesinMSProject

andforscopingpurposesastheprojectevolves.Theactivityidentifiersconsistofthefollowing:

 (StageNumber)(UnitDesignation)(IdentifyingNumber)

UsingFigure1asanexample,theidentifieris“2CS1”.

 The“2”indicatestheactivityistobecompletedintheAlignmentDefinedStage(Stage2).

 The“CS”identifiestheContractStandards&DevelopmentUnitastheleadforthisactivity.

 The“1”representsthisasthefirstactivityforthatUnitinStage2.

Activity

Identifier

Responsibility

Table

Taskand

Details



Project

Initiation

Alignment

Defined

Plan‐in‐Hand

PS&E

Letting

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Preface iv

October2020

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 NCDOT



ResponsibilityTable

The Responsibility Table for each activity identifies the deliverables, associated task(s), and the

responsibleparty(ies)foreachtask(s).Thelistedorderoftasksisnotnecessarilythechronologicalorder

forcompletion.

TheActivityLeaderisthememberoftheprojectteamresponsibleforensuringthatthetaskiscompleted

successfully,

andtheAdditionalSupportisanyoneotherthantheActivityLeaderwhohasaresponsibility

for the task. The table is not intended to list all team members i nvolved, and the Activity Leader may

delegatethecompletionofspecifictaskstootherteammembers.

WhatisthePDNActivityDiagram?

Fromthefirstprojecti nitiationactivitiesthroughletting,thefollowingfigure(seenextpage)illustratesa

“map” of all the PDN’s activities that could apply when delivering a project. The figure includes many

uniquefeaturestoguidetheuser.

 TheUnitLegenddenotesanindividualcolorforeachdisciplinethat

hasanactivitytocomplete.

 Majormilestonesinitiateandconcludeeachstage,denotedbydiamonds.

 Eachstagerepresentsaseriesofactivitiesthatmayneedtobecompletedbeforemovingontothe

nextstage.

 Theactivitiesarenotlaidoutchronologicallybutaregroupedbydiscipline.As

such,thenetwork

requires collaboration, led by the Project Manager, to determine what activities apply and to

definethelogicalrela tionshipsandorderofactivitiesforaspecificproject.

 Of note, it may be advantageous to advance  certain activities within a  stage earlier or even

advanceactivitiesinlaterstages

tothecurrentstage,ifitismoreefficienttodelivertheproject.

 EachactivityboxisinteractivelylinkedtoitsassociatedsectioninthePDN.

 Byclickingonanactivitybox,auserisdirectedtothatsectionforfurtherdetails.

 Theheaderofeachsection

includesa“BacktoPDNOverview”linkthattakestheuser backto

thediagram.

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

April 2021

Integrated

Mobility (IM)

State Transportation

Improvement Program (SI)

Transportation

Planning (TP)

NCDOT Project Delivery Network

Conduct Candidate

Project Analysis

(1FS1)

Complete Express

Design Traffic

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

(2TM2)

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)

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

Project (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)

Incorporate CR-RAVE

Outcomes and Complete

CLEAR Activities

(3VM1)

Complete CR-RAVE

Studies/Reviews

and CLEAR Activities

(2VM1)

Communication

Group (CG)

Merger Assistance

and Environmental

Document Review

(2EP1)

Best Available

Geospatial Data

(1PH1)

Initiate Safety

Planning Assessment

(1TS1)

Initiate CR- RAVE and

CLEAR Activities

(1VM1)

Determine Affected

Coordinated Corridors

(if not SP*) (1SS1)

Determine Final Noise

Abatement (3EN2)

Complete CR-RAVE

and CLEAR

Activities (4VM1)

Analysis (1TM1)

Complete

Traffic Analysis

(2TM1)

Initiate Transportation

Operations Plan

(if SP*) (2TO1)

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

the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,

the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.

References

 Construction Estimating Guide

 Preliminary Estimate Request Form

Deliverables

Deliverable Task

Responsible Party

Activity Leader Additional Support

Preliminary

Estimates Section

Project Lead

Conceptual Construction Estimate



Provide Conceptual Design Stage Quantities



Review Conceptual Estimates

Verified Conceptual Construction

Cost Estimate



Provide Conceptual Design Stage Quantities –

Selected Alternative

 Review Conceptual Estimates – Selected Alternative X X

Cost Verification Letter



Request Cost Verification Letter

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).

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Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

1CS1 Prepare Conceptual Construction Estimate 2

October 2020

NCDOT

Provide Conceptual Design Stage Quantities – Selected 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 Estimate – Selected 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



Review Estimate

Cost Verification Letter



Request Cost Verification Letter

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



Review Estimate

Cost Verification Letter



Request Cost Verification Letter

Not for Construction Plans



Upload Not for Construction Plans

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

Proposal



Generate Special

Provisions



Generate Final Pay Items

and Quantities

 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

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

the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,

the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.

References

 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

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

Landowner Letters



Prepare and Send Landowner Notification

Letter

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

BSG Request Form  Assign Biological Surveys

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

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

1EN1 Initiate Environmental Analysis 3

October 2020

NCDOT

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.

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

1EN1 Initiate Environmental Analysis 4

October 2020

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

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

2EN1 Advance Natural Environment Tasks 5

October 2020

NCDOT

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

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.

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

2EN1 Advance Natural Environment Tasks 6

October 2020

NCDOT

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.

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

2EN1 Advance Natural Environment Tasks 7

October 2020

NCDOT

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 “Unresolved” or “No Effect” is 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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Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

2EN1 Advance Natural Environment Tasks 8

October 2020

NCDOT

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 Affect” or 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.

Back to PDN Overview

Project

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

Letting

2EN2 Advance Human Environment Tasks 9

October 2020

NCDOT

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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October 2020

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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

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

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)

No National Register of Historic Places Eligible

or Listed Historic Properties Present Form



Complete form



Upload to SharePoint

No National Register of Historic Places Eligible

or Listed Historic Properties Affected Form

 Complete form



Upload to SharePoint

Draft Finding of Adverse Effect  Develop Section 106 MOA

MOA  Develop Section 106 MOA

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

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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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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2EN2 Advance Human Environment Tasks 18

October 2020

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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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 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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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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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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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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4EN1 Secure Environmental Permits 23

October 2020

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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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Alignment

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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

the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,

the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.

References

 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-Screening – Review 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

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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Project

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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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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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Project

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Letting

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

Initiation

Alignment

Defined

Plan-in-Hand

PS&E

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

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

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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Project

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Letting

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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Project

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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

the “Project Lead.” This lead could be the Feasibility Studies Engineer, the Corridor Development Engineer,

the Division Planning Engineer, or someone in a similar role as tasked by a state or local agency.

References

 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

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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Project

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Letting

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

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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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 Al

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Fillable NCDOT Project Delivery Network Version1.1 (North Carolina Department Of Transportation)

Fill Online, Printable, Fillable, Blank NCDOT Project Delivery Network Version1.1 (North Carolina Department Of Transportation) Form

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