Process III – Agency Coordination Process

For Bridge Replacement Projects that are processed as Categorical Exclusion

A process flow chart that outlines the coordination process for bridge replacement projects that are processed as Categorical Exclusions is attached (Process III). This flow chart depicts the major milestones in the process but does not include all of the many activities that NCDOT must complete in the project development process. These other activities will be completed by NCDOT and input provided into the process at the appropriate time. For example, public involvement may be a critical component of the project development activities and could be ongoing throughout the process.

Information developed through public involvement will be made available to Project Team members for consideration in the decision making process. Projects that are included in this process should normally require the preparation of a Categorical Exclusion. Programmatic Categorical Exclusions will not be done for projects that follow this process. The Categorical Exclusion for a specific project should provide sufficient information to address all applicable federal and state laws and regulations.

The Project Team will review each project at its initial meeting to determine the appropriate Merger Process that the project should follow. For example, a Bridge Replacement/CE project that needs Project Team concurrence on Purpose and Need would follow Process I or Process II instead of Process III.

Team meetings will be held at each of the concurrence points in the Agency Coordination Process. Additional meetings may be held as determined necessary by the teams. NCDOT’s Project Development Engineer should coordinate closely with the appropriate USACE, FHWA, and NCDENR team member in scheduling any meetings and clearly defining the purpose of the upcoming meeting. The Project Development Engineer or Hydraulics Project Engineer will send the package of information for the meeting to team members so that they will have it in hand at least two weeks prior to the meeting. The transmittal to each team member should clearly state the purpose and objective of the meeting. This will allow team members time to review the information and be prepared to discuss any issues or concerns they have at the meeting.

At the end of each meeting, the Project Development Engineer, with the team’s help, should summarize the results of the meeting, including agreements or concurrence points achieved. If agreement or concurrence is not obtained the next steps or action should be clearly identified. If additional information or action is required, the type of information or action needed and the responsible agency(s) or team member(s) should be clearly noted. The Project Development Engineer or Hydraulics Project Engineer is responsible for preparing minutes of all meetings for distribution to all team members.

On-site project field reviews can be very beneficial in helping to understand a project’s purpose and need, human and natural environmental features and alternative analysis. Project Teams are encouraged to hold combined field reviews/meetings as needed to assist in the decision making process.

The following discussion is intended to provide more detailed guidance and explanation on the various steps and concurrence points in the attached flow chart. The numbered paragraphs correspond to steps or blocks in the chart.

The Project Development Engineer will collect all available information and background data. The project study area will be established and photogrammetric and topographic data will be collected. Typical data necessary for the project include: shell mapping, traffic forecast, utility locations, accident analysis and preliminary comments on the project from NCDOT Division Personnel, County School Bus Coordinator, County EMS Director, and County or City Planning staff.

The Project Scoping Meeting is held by NCDOT to discuss background data, engineering and environmental inventories and substantial project issues. Resource agencies will be invited to attend and provide input. Agencies should provide written input in response to the scoping letter or attend the scoping meeting.

The project will need to go through the screening process after the scoping meeting to determine if a Project Team is needed. This decision will be made, by the NCDOT, USACE, FHWA, and NCDENR.

At the project scoping meeting, NCDOT will provide the proposed project schedule. The meeting attendees will present any issues that may impact the proposed schedule. Needed revisions to the project schedule will be identified and adjusted appropriately by NCDOT.

If a Project Team is needed, then the Project Development Engineer will consult with the appropriate USACE, FHWA, and NCDENR representative to identify specific Project Team members prior to Step 6 (Concurrence Point 2/2A). NCDOT will provide a written verification of the team roster to all the team members. If an agency declines to participate on the team, its decision will be documented in writing to NCDOT, NCDENR, USACE, and FHWA. If an agency drops from the Project Team during the process, its self-removal will also be documented in writing.

Note:

Notices of Intent and Purpose and Need Statements [Concurrence Point 1] are not required on typical Bridge Replacement Projects. If either an EIS is planned for the project or the purpose and need for the project is in question; the project should be processed through Process I or II.

NCDOT will develop a map illustrating resource areas of concern as well as topographic or photogrammetric mapping. The purpose of this mapping is to provide a means for identifying alternatives that warrant study. Such features on the mapping will include but are not limited to:

• Infrastructure and topography
• Community features (i.e., boundaries, schools, churches, community centers, hospitals, transit dependent populations, demographics, etc.
• Floodplains
• Historic properties and possible areas of archaeological concern
• Wetlands, streams, buffers, river basins, and water supply watersheds (GIS level information)
• Wildlife refuges and game lands
• Recreational areas and parks
• Hazardous material sites
• Existing land use map and locally adopted land use plan
• Threatened and Endangered Species information
• Significant Natural Heritage Program Areas
• Utilities within project study area using best available information

The intent of the Concurrence Point 2/2A meeting is to obtain consensus from the Project Team on which replacement options will be fully evaluated as alternatives in the Categorical Exclusion. Options to consider include: closure without replacement [“no build”], rehabilitation, replace in-place with off-site detour, replace in-place with on-site detour [either side of existing bridge], replace on new alignment [either side of existing bridge] and others as determined by project situation and the Project Team.

Information which should be presented at the Concurrence Point 2/2A meeting may include: Natural Systems Technical Report, Phase 1 historic property evaluation and boundaries of known listed and potentially eligible historic sites, community profile including existing and future land use, comments from the local government, traffic flow/access concerns, safety concerns, potential utility impacts, aerial photography and digital terrain mapping. Wetland and stream delineations, NCDWQ wetland ratings and wetland type, and any CAMA areas of environmental concern will be identified.

Also, if recommended by the NCDOT, USACE, NCDENR and FHWA, then the concurrence meeting shall be held on site to:

• Review preliminary design alternatives
• Review any potential mitigation sites including causeway removal opportunities that may be noted during the delineation effort and coordinate with the EEP
• Review recommendations for bridging decision, including bridge length

During the Concurrence Point 2/2A meeting, the Project Team will discuss Federal, state and local environmental statutes and regulations that may apply to each of the detailed study alternatives. Within NCDOT, the Office of the Natural Environment (ONE) is responsible for ensuring that the specific required steps are followed for each of the environmental permits, certifications, consultations, reviews and determinations that may be required throughout the project’s life. The Hydraulics Unit will ensure the FEMA flood insurance program regulations are followed where applicable.

NCDOT will provide the current schedule. Any changes made to the schedule will be presented along with the reasons for the change. The agencies will present any issues that may impact the project schedule. Needed revisions to the project schedule will be identified and adjusted appropriately by NCDOT.

The NCDOT will request formal concurrence at this meeting by asking the team members to sign the Concurrence Point 2/2A Form. If additional documentation or revisions to the provided information are necessary, the NCDOT will incorporate the additions or revisions and redistribute the information packet. If necessary, an additional team meeting will be scheduled to resolve outstanding concerns.

After receipt of the delineations and necessary preliminary mapping, the Design Engineer will begin to develop the preliminary designs for the replacement alternatives developed at the Concurrence Point 2/2A meeting. If typical section or structure-type alternatives were identified at Concurrence Point 2/2A, the preliminary designs will be developed for these alternatives as well. During the development of the design, care will be taken to avoid where practicable, impacts to the natural and human environment. The Design Engineer will coordinate the preliminary design for each detailed study alternative with the Utilities Section. The Utilities Section will identify areas where utilities are impacted. Where it is not practicable to avoid impacts, minimization measures will be employed.

The USACE will review the project impacts to determine if the project can be authorized by a General Permit or whether an Individual Permit will be required. If the determination is for an Individual Permit, then NCDOT will submit a merger permit application to USACE, and USACE will issue a public notice on the proposed project.

If it appears at this time that the project can be authorized under a General Permit (GP), then the process will proceed to Step 7 without a permit application to USACE. If, at anytime after Concurrence Point 2, it appears likely that the project will require authorization by an Individual Permit rather than a GP, then the process will return to this point. Any team decisions that have been made following Concurrence Point 2, including Concurrence Point 3, LEDPA/Preferred Alternative selection, will be considered invalid, and NCDOT will submit a permit application to USACE to provide for the necessary public involvement/public interest review. Potential subsequent points in the process where the decisions may be made that an individual permit is required include: at Concurrence Point 4A, after the team members receive copies of the CE, at Concurrence Point 4C, and at the Permit Decision step. After the public notice process has been completed, the Concurrence Point 3 meeting should be scheduled.

If determined appropriate by the Project Development Engineer, a Citizens Informational Workshop or other form of Public Involvement [Newsletter, etc.] should take place at this time. At a workshop, aerial photography showing all replacement alternatives brought forward from Concurrence Point 2/2A will be presented for public review and comments. Newsletters will describe the alternatives under consideration and invite comments. Any typical section or structure-type alternatives identified at Concurrence Point 2/2A should be noted in order to gain public comments and preferences.

A Project Team meeting will be held to determine the least environmentally damaging practicable alternative (LEDPA) [Preferred Alternative under NEPA] among the replacement alternatives selected for study at Concurrence Point 2/2A. At this meeting the Project Team will also review public comments to determine if further refinement of the LEDPA or proposed typical section is necessary. The Project Development Engineer will send the package of information for the meeting to Project Team members so they will have it in hand at least two weeks prior to the meeting. The package will include a matrix illustrating a comparison of impacts for the detailed study alternatives and a brief summary of previous Project Team decisions. The package will also include a summary of substantive comments received from agencies and the public and how these comments were addressed.

At this time, Project Team members will be reasonably certain that the LEDPA will comply with all relevant regulations and permit requirements and can be authorized. Project Team members in agreement with the LEDPA will provide their formal concurrence at this meeting by signing the Concurrence Point 3 Form.

If concurrence is not reached due to a need for additional documentation, NCDOT will develop the additional information and submit it to Project Team members. If necessary, another meeting will be scheduled to address the additional information.

This meeting will also serve as Concurrence Point 4A. This concurrence point should address issues such as alignment shifts, horizontal and vertical alignment, slopes, potential utility conflicts and impacts, and construction techniques. When avoiding and minimizing jurisdictional resource impacts, other resources will be considered. In the event 4A cannot be achieved, an additional meeting may be required. Through minimization efforts achieved by the initial project design and refinements to this stage, no more minimization recommendations should be needed until Concurrence Point 4C, unless the project is to convert a bridge to culvert or an individual permit is required; then a 4B meeting will be appropriate. Refer to Process II, Step 29 for a description of 4B procedures. When a 4B meeting is not conducted, then 4B issues will need to be discussed at the Concurrence Point 3/4A meeting.

During the Concurrence Point 3 meeting, the Project Team will confirm the preliminary determination made during the Concurrence Point 2/2A meeting about the Federal, state and local environmental statutes and regulations that may apply to the LEDPA/Preferred Alternative. This confirmation is required due to changes that may have occurred in the project design and/or in the statutes and regulations since the preliminary determination was made during the Concurrence Point 2/2A meeting. Within NCDOT, the Office of the Natural Environment (ONE) is responsible for ensuring that the specific required steps are followed for each of the environmental permits, certifications, consultations, reviews and determinations that may be required throughout the project’s life. NCDOT will provide the current schedule. Any changes made to the schedule since the last concurrence meeting will be presented along with the reasons for the change. The meeting attendees will present any issues that may impact the project schedule. Needed revisions to the project schedule will be identified and adjusted appropriately by NCDOT.

The Categorical Exclusion will be completed according to appropriate regulations and an identification of impacts will be made for each of the alternatives that were studied in detail. The CE document will discuss the rationale for selection of the LEDPA/preferred alternative. The CE document will include all environmental commitments currently identified for all resources such as wetlands, streams, Section 106, Section 4(f), public access, etc.

NCDOT will address potential on-site compensatory mitigation options. For potential on-site mitigation sites, NCDOT ONE will prepare a feasibility study that includes an environmental evaluation that identifies historic resources, threatened and endangered species, parks, community issues, etc. NCDOT ONE may arrange an agency field meeting to review any potential on-site mitigation opportunities, discuss the environmental evaluation results, and determine which sites are acceptable to the agencies.

Pursuant to the Memorandum of Agreement among the NCDOT, NCDENR, and USACE, signed July 22, 2002, the Ecosystem Enhancement Program (EEP) will provide all compensatory mitigation that is not satisfied by acceptable on-site mitigation. The FHWA and NCDOT will review the environmental document for adequacy as it relates to appropriate requirements.

Preliminary determinations about the Federal, state and local environmental statutes and regulations that may apply to the LEDPA/preferred alternative will be included within the final environmental document. If the project is within the 20 CAMA counties, then potentially relevant CAMA land use plan policies that may apply to the LEDPA/preferred alternative will also be included within the final environmental document.

NCDOT and FHWA will sign the title page of the environmental document. Project Team members will be provided a copy of the CE.

NCDOT may hold a Design Public Hearing. Team members are encouraged to attend the public hearing to fully understand the public concerns. The USACE and other team members will be invited to attend the public hearing.

After selection of the LEDPA /preferred alternative, the Location and Surveys Unit and the Photogrammetry Unit perform the final surveys and prepare the plan sheets needed for the development of the right of way plans. Upon receiving the plan sheets, the Design Engineers begins to develop the right of way plans for the project. After the Design Engineers complete the horizontal and vertical alignment refinement, the Hydraulics Unit begins the development of the proposed drainage design and the Geotechnical Unit begins the detailed Geotechnical investigations for the project. The drainage plans will depict the boundaries of the affected environmental areas (wetlands, perennial and intermittent streams, buffers, Coastal Area Management Act Areas of Environmental Concern (CAMA AEC), etc.) (The Design Engineers will develop the right of way plans following the alignment that was agreed upon at Concurrence Point 3/4A). The Utilities Section will coordinate the determination of the utility conflicts and the development of the utility relocation preliminary designs with the utility owners and the Design Engineers.

Upon receiving the completed hydraulic design for the project, NCDOT Design Engineers incorporate the hydraulic design and establish the proposed right of way limits for the project. The Structure Design Engineers begin to develop the designs for bridges and culverts. The project is then reviewed with construction, the Utilities Section, and right of way personnel to note any additional changes that may be required. The right of way plans are completed and sent to the Right of Way Branch to begin purchase of land required for the project.

For projects within the 20 CAMA counties that require a CAMA major permit, NCDOT staff will request an on-site pre-application meeting with the appropriate NCDCM Field Representative. The purpose of this meeting is to review the plans and/or permit drawings and information that will be submitted with the CAMA permit application. This will ensure that when the CAMA major permit application is formally submitted, it contains all of the information necessary for processing. The purpose of this meeting is not to make changes to the project design, construction methodology or construction timeframe. Any potential changes to the project identified at this on-site pre-application meeting will be discussed with the full Project Team at the 4C meeting prior to approval.

At the time the hydraulic design is 100 percent complete and the permit drawings for the project are finalized, the Hydraulics Unit will hold a 4C meeting.

At the 4C meeting, the Hydraulics Project Engineer will present copies of the stormwater management plan to the Project Team members. A stormwater management plan is a narrative, project-specific, stormwater design report. It outlines project involvement, river basins, classifications of the involved water bodies, selected structural and non-structural best management practices, best management practice devices, and major structures (bridges and box culverts). The final permit drawings for the permit application will also be reviewed and revised based on comments received at this meeting. Any area where utility relocations affect additional environmental resources beyond the footprint of the roadway will be shown on the permit drawings and will be included in the impacts presented in the application. In addition, if the project is within a CAMA county(ies) and a CAMA Major Permit is required, then all utility locations that are not included in the permit drawings will be described within the CAMA Major Permit application either in narrative form or in a separate spreadsheet. The level of detail of utility relocation information required with the CAMA Major Permit application will be determined on a project-by-project basis at the NCDCM on-site pre-application meeting.

The Hydraulics Engineer will record minutes of the meeting and will address the team’s comments. Changes will be made based on the team’s comments. The changes will be made in the permit drawings before the permit application is sent. The Concurrence Form indicates that the Project Team agrees that the drawings as presented are satisfactory to be submitted with the application. (This does not supercede the regulatory review process.)

After the changes are incorporated, the Hydraulics Project Engineer will ask for a signature of the Concurrence Form. The Concurrence Form will be detailed enough to document and identify changes. Any changes to impacts to wetlands, streams, buffers, or CAMA AECs that occur after the 4C document is signed will require the Resource Agencies to revisit the design, and may require a new 4C meeting. The NCDOT Permit Specialist will contact the agencies via email, letter, phone call, or scheduling a meeting as appropriate to facilitate review of these changes.

NCDOT will provide the current schedule. Any changes made to the schedule since the last concurrence meeting will be presented along with the reasons for the change. The agencies will present any issues that may impact the project schedule. Needed revisions to the project schedule will be identified and adjusted appropriately by NCDOT.

Compensatory mitigation requirements will be identified based on final project impacts.

In those events where on-site mitigation opportunities are available and determined acceptable and/or necessary by the Project Team, the mitigation plan and design will be developed in concert with the overall project design. Removal of existing causeway fills is strongly encouraged to offset project impacts and/or create mitigation credits for future project impacts. The on-site mitigation will be developed and implemented by NCDOT in collaboration with the Project Team and EEP. Under no circumstances will the project be permitted until such time that the detailed on-site mitigation plan is complete and approved by the permitting agencies.

Pursuant to the Memorandum of Agreement among the NCDOT, NCDENR, and USACE, signed July 22, 2002, the Ecosystem Enhancement Program (EEP) will provide all compensatory mitigation that is not satisfied by acceptable on-site mitigation.

ONE submits permit application(s) as appropriate to all of the agencies for which permits are required. Permit application(s) will be submitted within two months after the 4C meeting. The permit application package will vary according to each agencies specific requirements.

Upon receiving the permit application from NCDOT, the permitting agency(ies) will review the application for completeness. If the permit application is determined to be incomplete, then the permitting agency(ies) will return the application to NCDOT for additional information, and/or inform NCDOT of the additional information that is required.

After the permitting agency(ies) determine that the permit application is complete, then the permitting agency(ies) will assemble and distribute the application package for comment to any designated review agencies. This process varies according to the permit being requested. If the permit application is found to be incomplete or inaccurate after processing has begun, or if additional information from NCDOT is necessary to adequately assess the project, then the permitting agency(ies) that have permit processing deadlines may place an application on hold. NCDOT may also request in writing that its permit application be placed on hold at any time. If the permit application is placed on hold by the permitting agency(ies), then the processing shall be resumed upon receipt of the necessary changes or necessary information from NCDOT. If NCDOT requested that the permit application be placed on hold, then the processing shall be resumed upon receipt of a written request from NCDOT to resume processing.

During the permit application review and processing period, additional discussions and/or meetings may be conducted between NCDOT and the environmental agency(ies) to resolve any outstanding issues. The goal of the agency coordination process, however, is to resolve all of these issues before the permit application is submitted in order to prevent delays in construction letting.

If required by law or otherwise determined to be appropriate, the permitting agency(ies) will issue a Public Notice requesting comments from the public on the permit application. For example, USACE is required to issue a Public Notice for any project that requires an Individual Permit. The USACE Public Notice is normally issued for a 30-day review and comment period. In such a case, the Public Notice would have been issued after Step 6, Concurrence Point 2/2A. However, if, in the opinion of the USACE, an additional public notice is warranted due to changes in the project or new information, a second Public Notice will be issued. NCDCM is required to issue a 30-day Public Notice after a permit application is accepted as complete for any project that requires a CAMA Major Permit. NCDWQ generally is not required to issue a separate Public Notice.

After the relevant permitting agency(ies) have reviewed the permit application(s) for compliance, and comments have been received and properly considered from the public, as well as relevant state and federal review agencies, a permit decision will be made. The permit decision may be in the form of an approval, approval with conditions or denial. If a permit is issued, it will typically list specific conditions or restrictions on the development. The project must be constructed according to the permit conditions. A permit decision may be in the form of a denial if the outstanding issues have not been resolved satisfactorily. A permit denial is very unlikely for projects that follow the agency coordination process provided that the full Project Team has reached concurrence at each concurrence point. After a permit decision is made by a state permitting agency, then the state agency decision can be appealed by NCDOT or by a third party. If this occurs, then the state permitting agency(ies) will respond according to their specific requirements.

If changes to the project’s design, construction methodology or construction timeframe are needed at any time, then additional coordination with the relevant environmental agency(ies) will be required. This includes the agencies that have permit authority over the project, as well as any other agencies that implement federal, state and local environmental statutes and regulations that apply to the project. If changes occur after the permit decisions are made, then these changes may require the submittal of a request for a modification, amendment, Letter of Refinement or renewal to the relevant permit(s). A primary goal of the agency coordination process is to greatly reduce, and eliminate if possible, the number of changes that may require additional coordination with the environmental agency(ies) after the original permits are issued. Permit modifications, in particular, are very time-consuming and problematic for all concerned parties due to the relatively short timeframe required for resolution.

It is the responsibility of NCDOT, not the Contractor, to conduct any additional coordination that may be required with the relevant environmental agency(ies). Coordination with the relevant environmental agencies, including the submittal of any required permit modification requests, should occur at least 2-3 months before the work in question must be conducted to allow adequate time for processing. When reviewing the request, the relevant environmental agency(ies) may request additional information before making a decision. The decision may be in the form of an approval, approval with conditions or denial.

During the course of the right of way acquisition, the Design Engineers will begin to develop the final plans for the project. The final design is a very detailed design that also includes computing and summarizing the contract quantities required for the project, incorporating right of way revisions, compiling plans from various Units (Traffic Engineering Branch, Roadside Environmental Unit, Utilities Section, etc.) and incorporating them in the project. NCDOT will ensure that construction drawings match the permit plan drawings and permit conditions, including any permit modifications.

The project is advertised so that all interested contractors can bid on the project. The bids are opened on the project letting date. After receiving bids, the project is considered for award by the Board of Transportation. The Board then usually awards the contract to the low bidder and construction will usually start approximately 45 days after the contract is awarded. The contractor will be bound to the permit conditions and any environmental commitments that were developed during the agency coordination process and environmental documentation.

After the contract is awarded, and prior to the initiation of construction, NCDOT and the Contractor will hold a preconstruction meeting. NCDOT will provide all Project Team members with a copy of the final plans at least 2 weeks prior to the preconstruction meeting along with a description of any changes that have been made to the project’s design, construction methodology or construction timeframe. The purpose of this meeting is to review the final plans and the contents of the bid package, including any permit conditions and environmental commitments. The preconstruction meeting will be scheduled for a time when the USACE, NCDWQ and NCDCM (if a CAMA major permit was issued) can attend. All of the Project Team members will be invited to the preconstruction meeting with a minimum of thirty (30) days notice.

The NCDOT Division Engineer will ensure that all permits, permit conditions and associated documents are readily available on site at all times. The Division Engineer is responsible for ensuring that all federal, state and local environmental statutes and regulations are adhered to after the project is let, including any permit conditions and environmental commitments. The Division Environmental Officer will provide assistance to the Division Engineer in meeting these requirements. Representatives from USACE, NCDCM, NCDWQ and other environmental agencies may visit the project site, including any disposal or borrow areas, at any time to conduct compliance inspections.

All work, including compliance with environmental conditions, must be completed prior to the expiration date of the permits. If necessary, a permit renewal may be requested. The decision to renew a permit may be in the form of an approval, approval with conditions or denial depending upon the relevant agency(ies) specific requirements. Renewal (extension) of permits must occur before the permits expire.

Upon completion of all work approved within the 401 Water Quality Certification or applicable Buffer Rules, and any subsequent modifications, NCDOT will return the Certificate of Completion to the NCDWQ 401/Wetlands Unit after obtaining the Division Engineer’s signature. Upon completion of all work, the Division Engineer and Division Environmental Officer will sign and return the USACE compliance form to the USACE.