Permits

What is the role of the Natural Environment Unit in acquiring environmental permits?

The Natural Environment Unit's Project Management Group is the group primarily responsible for supporting the environmental permitting needs of the Transportation Improvement Program (TIP). This group (in conjunction with various other groups) is charged with ensuring that the Department designs and builds projects that are in compliance with all pertinent environmental regulations. The NEPMG Project Manager (PM) will manage the review of all natural environment components of the project. The PM will participate in projects that are in the "Merger Process" (see Section 2.4). They will identify regulated resources such as buffers, streams, and wetlands. The PM will advise design engineers on avoidance and minimization requirements. The PM will identify and obtain the required permits.

What is a permit and what does it do?

A permit is an authorization from a regulatory agency to carry out a specific activity within a regulated area. For the NCDOT, regulated areas most often take the form of buffers, wetlands, surface waters, or Areas of Environmental Concern. A permit verifies that a project is consistent with current regulations and gives the permitee legal authorization to impact a regulated resource. It does not authorize a project. It only authorizes a particular activity pertaining to a project.

Permit Scheduling and Forecasting

Permit applications should be submitted on a schedule based on the official Review dates published monthly in the TIP 24-month Let list. The Let list is the most accurate scheduling tool currently available. It provides Let dates and Review dates for all of the projects that will be Let to construction in the next two years. It should be noted that the Let date and the Review date are different. The Let date is the actual date that contracts are awarded to the winning bidder. The Review date is the deadline for completion of all pre-construction work. The permits must be in, the right-of-way must be purchased, and all design must be complete. At this point, everything is done except putting the contract out for bid and awarding the contract. The Review date is the deadline that you should be most concerned about. The Let date is often used and is the dominant date of reference for NCDOT as a whole, but permitting activities in the Natural Environment Unit, should be scheduled based on the Review date.

The Review date is typically four to six weeks prior to the Let date. The separation between the Let date and Review date gives the NCDOT Proposals and Contracts Unit time to get the bid package assembled, reproduced, and advertised to the contracting community so that qualified bidders may prepare and submit bids. It is essential to have all permits in hand and design finalized so that the bid package will contain everything needed for a contractor to formulate a bid. Permit conditions such as in-water work moratoriums can significantly affect the construction schedule of a project and have a significant affect on bid prices. Without the permits, the bid package is incomplete and a contractor cannot accurately formulate a bid.

Identification of Permit Needs / Permit Types

How do you know when you need a permit? If you do need a permit, which one(s) do you need?

You need a permit if you answer yes to any of the following questions:

Is your project impacting a Water of the United States? Is your project impacting a Water of the State? Is your project impacting an Area of Environmental Concern (AEC) as defined by the NC Coastal Area Management Act (CAMA)? Is your project impacting Navigable Waters as defined in 33 CFR Part 329? Is your project impacting one of the designated riparian buffer protection areas? Is your project going to impact or otherwise infringe upon land owned or controlled by the US Department of the Interior, National Park Service or any National Wildlife Refuge? Does your project involve de-watering of a borrow pit in one of the 15 counties within the Central Coastal Plain Capacity Use Area (CCPCUA)? Is the project in one of the twenty coastal counties and/or the project drains to an Outstanding Resource Water (ORW) or a High Quality Water (HWQ), you may need a NCDENR Stormwater Management Permit? See appendix 2 for definitions of ORW and HQW.

Table 1 provides information relative to types of permits needed and application due dates.

Table 1.

Permit Type	Application due	If you answered yes to these question(s) you may need this type of permit
USACE Nationwide Permit	5 months prior to review date	1, 4
USACE Individual Permit	7 months prior to review date	1, 4
CAMA Major Development	7 months prior to review date	3
Stormwater	7 months prior to review date	3, 8
Special Use Permit	7 months prior to review date	6
Coast Guard	12 months prior to review date	4
CCPCUA	7 months prior to review date	7
NCDWQ General Water Quality Certification	5 months prior to review date	1, 2, 4
NCDWQ Individual Water Quality Certification	7 months prior to review date	1, 2, 4
Riparian Buffer Certification	7 months prior to review date	5

Regulations

§ 404 CWA

Section 404 of the Clean Water Act requires authorization from the Secretary of the Army, acting through the Corps of Engineers, for the discharge of dredged or fill material into all waters of the United States, including wetlands. Discharges of fill material generally include, without limitation: placement of fill that is necessary for the construction of any structure, or impoundment requiring rock, sand, dirt, or other material for its construction; site-development fills for recreational, industrial, commercial, residential, and other uses; causeways or road fills; dams and dikes; artificial islands; property protection or reclamation devices such as riprap, groins, seawalls, breakwaters, and revetments; beach nourishment; levees; fill for intake and outfall pipes and sub-aqueous utility lines; fill associated with the creation of ponds; and any other work involving the discharge of fill or dredged material. A Corps permit is required whether the work is permanent or temporary. Examples of temporary discharges include dewatering of dredged material prior to final disposal, and temporary fills for access roadways, cofferdams, storage and work areas. http://www.saw.usace.army.mil/wetlands/authority.html

The 404(b)(1) Guidelines govern the review of proposed discharges of dredged or fill material. All applications for authorization to discharge pollutants into Waters of the United States must comply with the 404(b)(1) guidelines prior to being authorized by the USACE.

Go to http://www.usace.army.mil/inet/functions/cw/cecwo/reg/33cfr320.htmfor background information regarding the regulatory approach of the USACE.

§ 10 Rivers and Harbors Act

Section 10 of the Rivers and Harbors Act requires authorization from the Secretary of the Army, acting through the Corps of Engineers, for the construction of any structure in or over any navigable water of the United States. Structures or work outside the limits defined for navigable waters of the United States require a Section 10 permit if the structure or work affects the course, location, or condition of the water body. The law applies to any dredging or disposal of dredged materials, excavation, filling, re-channelization, or any other modification of a navigable water of the United States, and applies to all structures, from the smallest floating dock to the largest commercial undertaking. It further includes, without limitation, any wharf, dolphin, weir, boom breakwater, jetty, groin, bank protection (e.g. riprap, revetment, bulkhead), mooring structures such as pilings, aerial or sub-aqueous power transmission lines, intake or outfall pipes, permanently moored floating vessel, tunnel, artificial canal, boat ramp, aids to navigation, and any other permanent, or semi-permanent obstacle or obstruction. http://www.saw.usace.army.mil/wetlands/authority.html

Section 10 permits may be either Nationwide Permits or Individual Permits.

§ 401 CWA

Section 401 of the Clean Water Act delegates authority to the states to issue a 401 Water Quality Certification for all projects that require a Federal Permit (such as a Section 404 Permit). The "401" is essentially a verification by the state that a given project will not degrade Waters of the State or otherwise violate water quality standards.

Waters of the State: Waters of the State are regulated by the North Carolina Division of Water Quality and are defined as "any stream, river, brook, swamp, lake, sound, tidal estuary, bay, creek, reservoir, waterway, or other body or accumulation of water, whether surface or underground, public or private, or natural or artificial, that is contained in, flows through, or borders upon any portion of this State, including any portion of the Atlantic Ocean over which the State has jurisdiction".

For the basics on how the Section 401 Water Quality Certification Program is administered in North Carolina go here. The following text contains excerpts from the North Carolina Division of Water Quality Wetlands Section's web site.

Anytime you need a permit from the USACE, you also need a corresponding Section 401 Water Quality Certification. For Nationwide, Regional or General Permits, a matching General Certification must be issued by DWQ in order for the Permit to be valid. An Individual 401 Water Quality Certification is necessary if an Individual 404 Permit is required. There is one exception in which you do not need a permit from the USACE, but still need a Water Quality Certification from the DWQ. The exception is for isolated wetlands. On January 9, 2001 the U.S. Supreme Court issued a decision, Solid Waste Agency of Northern Cook County (SWANCC) v. United States Army Corps of Engineers. The Court interpreted that USACE jurisdiction is restricted to navigable waters, their tributaries, and wetlands that are adjacent to these navigable waterways and tributaries. In the case of an Isolated Water where the USACE does not have jurisdiction, you may still need a Section 401 Water Quality Certification.

Once you have determined which type of permit you should request, you can read the matching General Certifications here. Please read the applicable Certifications very carefully, and note whether or not written concurrence/notification is required by DWQ. Written notification is a completed Pre-construction Notification (PCN) form and 2 copies of the application package, including the PCN. Written concurrence means that you must receive a written Water Quality Certification. If written concurrence is required, you will forward 7 copies of the PCN and the permit application package to the NCDWQ. If written concurrence/notification is not required, and your project meets all of the conditions of the General Certification, you do not need to submit a formal application or receive a signed 401 Water Quality Certification for your particular project. When no written notification or concurrence is required, the project is considered in compliance with all applicable water quality standards as long as the project can comply with the general conditions. The general conditions must be obtained from the NCDWQ website and a hard copy must be kept on the project site at all times. For instance, if you have a project that qualifies for Nationwide Permit 23 without written notification or concurrence, you will simply print a copy of the general conditions and include it in the final permit package (See Section 5.4 for permit package distribution information).

The North Carolina Coastal Area Management Act - CAMA
North Carolina Coastal Area Management Act (G.S. 113A-100 et seq.)

The North Carolina Coastal Area Management Act (CAMA) is the act that governs development in the 20 coastal counties of North Carolina. In addition, the CAMA establishes the Coastal Resource Commission (CRC) within the Department of Environment and Natural Resources, whose duties include approval of Coastal Habitat Protection Plans and designation of Areas of Environmental Concern (AEC). Visit http://dcm2.enr.state.nc.us/Permits/aecs.htm for an online guide to the CAMA permitting process. CAMA permits are also discussed in more detail in Section 5.2.e.

Clean Water Act Nationwide/General Permits

The Nationwide Permit program was established to reduce the regulatory reporting burden for specific activities that have no more than minimal impacts to the aquatic environment. The thresholds for the impacts and the types of activities allowed under the Nationwide Program are established as national policy. Additionally, there are regional conditions issued by the Wilmington, North Carolina District, associated with each Nationwide Permit (NWP) in North Carolina. These regional conditions are established by the District and approved by the Corps Division, to ensure that the implementation of the nationwide permit program in waters and wetlands of North Carolina are consistent with meeting the program's goals of streamlining the permit process for those activities that have no more than minimal impacts to the environment. http://www.saw.usace.army.mil/WETLANDS/permit_primer.html

Summary table of USACE General Permits http://www.usace.army.mil/inet/functions/cw/cecwo/reg/Summary_table.pdf

USACE NWPs are general permits issued on a nationwide basis to authorize minor activities with minimal evaluation time. Some activities authorized by NWPs require pre-construction notification to the District Engineer before commencing work. The notification requirement to the District Engineer is necessary to ensure that activities authorized by NWPs have minimal individual and cumulative adverse impacts on the aquatic environment. The Corps periodically makes changes to the Nationwide Permits in response to national policy to afford more protection to water resources while streamlining the permit process. The objective of these changes is to more effectively authorize activities that have only minimal adverse effects on the aquatic environment. http://www.saw.usace.army.mil/WETLANDS/permit_primer.html

Regional General Permits are specific to the Wilmington District for waters and wetlands of North Carolina, and the associated conditions are established by the Wilmington District.

Click Here for a list of Regional and Nationwide Permits available through the Wilmington District. NOTE: All Nationwide and General Permits are subject to the standard Nationwide Permit General Conditions. The USACE typically has 45 days, from the receipt of a complete application, to render a decision on the permit application.

Because of the constant evolution of environmental regulations, it is not feasible within this manual to list specific situations where a particular NWP will be applicable. You should always review the most recent list of available NWPs before making a decision regarding which permit will be the most appropriate for your project.

Nonetheless, the following permits are currently utilized most often by the NCDOT:

Nationwide Permit 23 http://www.saw.usace.army.mil/WETLANDS/Nationwides/nw23v1.pdf

Approved Categorical Exclusions: Activities undertaken, assisted, authorized, regulated, funded, or financed, in whole or in part, by another Federal agency or department where that agency or department has determined, pursuant to the Council on Environmental Quality Regulation for Implementing the Procedural Provisions of the National Environmental Policy Act (NEPA) (40 CFR part 1500 et seq.), that the activity, work, or discharge is categorically excluded from environmental documentation because it is included within a category of actions which neither individually nor cumulatively have a significant effect on the human environment, and the Office of the Chief of Engineers (ATTN: CECW-OR) has been furnished notice of the agency's or department's application for the categorical exclusion and concurs with that determination. Before approval, for purposes of this nationwide permit, of any agency's categorical exclusions, the Chief of Engineers will solicit public comment. In addressing these comments, the Chief of Engineers may require certain conditions for authorization of an agency's categorical exclusions under this nationwide permit. (Sections 10 and 404)

This permit applies to projects that are being processed by the Federal Highways Administration (FHWA) as a Categorical Exclusion (CE). On rare occasions, NCDOT may obtain permits for road projects utilizing a CE document processed by another federal agency such as the FAA on airport property or Department of Defense on military bases. The NWP 23 applies regardless of which federal agency processed the project as a categorical exclusion. http://www.fhwa.dot.gov/environment/doc_ce.htm

"Categorical exclusion" means a category of actions which do not individually or cumulatively have a significant effect on the human environment and which have been found to have no such effect in procedures adopted by a Federal agency in adoption of these procedures (Section 1507.3) and for which, therefore, neither an environmental assessment nor an environmental impact statement is required."

-- 40 CFR 1508.4

The FHWA Regulations on Environmental Impact and Related Procedures define a Categorical Exclusion as "actions which: do not induce significant impacts to planned growth or land use for the area; do not require the relocation of significant numbers of people; do not have a significant impact on any natural, cultural, recreational, historic or other resource; do not involve significant air, noise, or water quality impacts; do not have significant impacts on travel patterns; or do not otherwise, either individually or cumulatively, have any significant environmental impacts."

-- 23 CFR 771.117

The majority of NCDOT projects are processed by the FHWA as CEs. The specific NWP for projects that are considered under the National Environmental Policy Act as a Categorical Exclusion is the NWP 23. If a project has an approved CE document, the first inclination should be that if the project requires a permit, it will likely be a NW 23. As with any NWP, the NW 23 is subject to all of the Nationwide Permit General Conditions as well as any regional conditions set forth by the Wilmington District. Each Project Manager should become familiar with the general nationwide conditions as well as the Wilmington District regional conditions. Written notification may or may not be required for a NW 23. You should review all of the General and Regional conditions to see if any aspects of your project require you to comply with General Condition 13. Condition 13 is the notification requirement. If your project requires you to make written notification, you will need to prepare a formal permit application for a NW 23. Your permit application will include all items identified in the NCDOT Permit Information Form and a copy of the CE document. The CE document will serve as the Pre-construction notification form (PCN) for the project. A separate PCN form is not necessary.

Nationwide Permit 14

http://www.saw.usace.army.mil/WETLANDS/Nationwides/nw14v1.pdf

Linear Transportation Projects. Activities required for the construction, expansion, modification, or improvement of linear transportation crossings (e.g., highways, railways, trails, and airport runways and taxiways) in waters of the United States, including wetlands, if the activity meets the following criteria:

This nationwide permit is subject to the following acreage and linear limits: For linear transportation projects in non-tidal waters, provided the discharge does not cause the loss of greater than \1/2\ acre of waters of the United States; or For linear transportation projects in tidal waters, provided the discharge does not cause the loss of greater than \1/3\ acre of waters of the United States. The permittee must notify the District Engineer in accordance with General Condition 13 if any of the following criteria are met: The discharge causes the loss of greater than \1/10\ acre of waters of the United States; or There is a discharge in a special aquatic site, including wetlands; The notification must include a compensatory mitigation proposal to offset permanent losses of waters of the United States to ensure that those losses result only in minimal adverse effects to the aquatic environment and a statement describing how temporary losses of waters will be minimized to the maximum extent practicable; For discharges in special aquatic sites, including wetlands and stream riffle and pool complexes, the notification must include a delineation of the affected special aquatic sites; The width of the fill is limited to the minimum necessary for the crossing; This permit does not authorize stream channelization, and the authorized activities must not cause more than minimal changes to the hydraulic flow characteristics of the stream, increase flooding, or cause more than minimal degradation of water quality of any stream (see General Conditions 9 and 21); This permit cannot be used to authorize non-linear features commonly associated with transportation projects, such as vehicle maintenance or storage buildings, parking lots, train stations, or aircraft hangars; and The crossing is a single and complete project for crossing a water of the United States. Where a road segment (i.e., the shortest segment of a road with independent utility that is part of a larger project) has multiple crossings of streams (several single and complete projects) the Corps will consider whether it should use its discretionary authority to require an individual permit. (Sections 10 and 404)

ALL NATIONWIDE PERMIT GENERAL CONDITIONS ALSO APPLY

Individual Permits

Individual Permits (IP) are the catch all permits for impacts that do not meet the criteria to be processed as a Nationwide or General Permit. If avoidance and minimization efforts do not reduce impacts below the NW or GP thresholds, an IP may be necessary. This permit requires a full public interest review, including public notices and coordination with involved agencies, interested parties and the general public. The preparation of an IP application and the processing of the application by the regulatory agencies is much more intensive for IPs than it is for NWPs or GPs. For all Individual Permits the PM will fill out the Standard NCDOT Individual Permit Application Form (currently under construction) and the USACE Individual Permit application form ENG 4345. The ENG 4345 form is a short form requiring minimal information.

§ 401 CWA Water Quality Certification Process

• If written concurrence is necessary, a Pre-Construction Notification (PCN) must be prepared and submitted to the DWQ for review. The PCN prepared for the Section 404 Permit is acceptable to submit to the DWQ. A PCN does not have to be submitted for a CAMA Major Development Permit because the CAMA Major Development Permit Application is acceptable by the DWQ as the 401 Application.
• Turn-around time is 60 days for a response from the DWQ from their receipt of a complete application. If 60 days passes, and a hold for information has not been placed on the application, the project is deemed certified. DWQ will notify the applicant in writing if additional information is required. The project is "on hold" until all required information is received by the DWQ. Information requested may include:
  • Verification that the project complies with Buffer Rules in the Neuse, Tar-Pamlico, and Catawba River Basins and the Randleman Water Supply Watershed or Confirmation that a CAMA Permit will not be required in the coastal counties. The USACE 404 Permit may be issued early in the process in CAMA jurisdictional counties while the CAMA Permit procecssing is still in process. If a CAMA Permit is in process, the 401 will not be reviewed (clock does not officially start) until the CAMA Permit application is received.
  • Verification of mitigation plan approval. If the Ecosystem Enhancement Program (EEP) is to be used to satisfy mitigation requirements, a letter confirming EEP's acceptance of the mitigation responsibility must be sent to the DWQ.
  • A wetland jurisdictional determination has been made and approved by the USACE.
  • Appropriate figures including ½ size (11.0" x 17.0") permit drawings, ½ size final design plans, impact summary sheets, and property owners where applicable.
  • A note in the application to debit the appropriate certification fee attached ($200.00 if project impacts are <1 acre of wetlands and < 50 feet of stream, $475.00 if project impacts are> or = 1 acre of wetlands and > or = 50 feet of stream).
  • Application must include the original and 7 copies.

If the wetland impact is in an isolated wetland, a separate process must be followed. A state permit must be acquired.

CAMA

The following information was taken essentially verbatim from the NC Division of Coastal Management (NCDCM) web site. http://dcm2.enr.state.nc.us/Permits/aecs.htm

The Coastal Area Management Act requires permits for development in Areas of Environmental Concern (AEC). You must obtain a CAMA permit for your project if it meets all of the following conditions:

• it is in one of the 20 counties covered by CAMA;
• it is considered "development" under CAMA;
• it is in, or it affects, an Area of Environmental Concern established by the Coastal Resources Commission;
• it does not qualify for an exemption.

"Development" includes activities such as dredging or filling coastal wetlands or waters, and construction of marinas, piers, docks, bulkheads, oceanfront structures and roads. Areas of Environmental Concern are the foundation of the Coastal Resources Commission's permitting program for coastal development. An AEC is an area of natural importance: It may be easily destroyed by erosion or flooding; or it may have environmental, social, economic or aesthetic values that make it valuable to our state. The CRC classifies areas as AECs to protect them from uncontrolled development, which may cause irreversible damage to property, public health or the environment. AECs cover almost all coastal waters and about 3 percent of the land in the 20 coastal counties.

The CRC has established four categories of AECs:

• The Estuarine and Ocean System;
• The Ocean Hazard System;
• Public Water Supplies;
• Natural and Cultural Resource Areas.

If you're planning any sort of development -- from a sandbag structure to a bridge to a condominium -- in the coastal area, and your project is in an Area of Environmental Concern, you're probably going to need a CAMA permit. You'll also need to follow development rules specific to that AEC.

You're probably in an AEC if your project is:

• in or on navigable waters within the 20 CAMA counties;
• on a marsh or wetland;
• within 75 feet of the mean high water line along an estuarine shoreline;
• near the ocean beach;
• near an inlet;
• within 30 feet of the normal high water level of areas designated as inland fishing waters by the N.C. Marine Fisheries Commission;
• near a public water supply.

If your project is in one of these areas, you will most likely need a permit from the NCDCM.

Permit exemptions
Section 103(5)(b) of the Coastal Area Management Act exempts the following activities from permitting requirements:

• road maintenance within a public right-of-way;
• utility maintenance on projects that already have CAMA permits;
• energy facilities covered by other laws or N.C. Utilities Commission rules;
• agricultural or forestry production that doesn't involve the excavation or filling of estuarine or navigable waters or coastal marshland (Note: these activities are not exempt from permitting requirements under the state's Dredge and Fill Law);
• agricultural or forestry ditches less than 6 feet wide and 4 feet deep;
• emergency maintenance and repairs when life and property are in danger;
• the construction of an accessory building usually found with an existing structure, if no filling of estuarine or navigable waters or coastal marshland is involved.

In addition, CAMA allows the Coastal Resources Commission to exempt some types of minor maintenance and improvements. These types of projects are those with successful track records in protecting the resources around them. In all cases, you should check with the Division of Coastal Management to make sure that your project qualifies for an exemption.

Even if your project is not within an AEC, you may still need to verify that your project is consistent with North Carolina's Coastal Management Program. The following is taken verbatim from http://dcm2.enr.state.nc.us/Permits/consist.htm.

This "Federal consistency" authority exists under the federal Coastal Zone Management Act. It applies to any activity that is in the coastal zone, or affects any land use, water use or any natural resource within the coastal zone (even if the activity occurs outside of the coastal zone), if the activity: is a Federal activity; requires a Federal license or permit; receives Federal money; or is a plan for exploration, development or production from any area leased under the Outer Continental Shelf Lands Act. Such projects must comply with the key elements of North Carolina's Coastal Management Program, which include: the Coastal Area Management Act, the State's Dredge and Fill Law Chapter 7 of Title 15A of N.C.'s Administrative Code regulations passed by the Coastal Resources Commission (CRC); local land-use plans certified by the CRC; and a network of other state agencies' laws and regulations. Consistency review by the Division of Coastal Management covers a wide range of projects, such as: proposed wetland fill that requires an Individual Permit from the U.S. Army Corps of Engineers; expansion of military operations and facilities; acquisition and expansion of federal wildlife refuges; channel-maintenance dredging projects; and public projects such as highways, and water and sewer lines.

How a consistency decision is made: The consistency review process is divided into two branches, one for Federal activities and the other for Non-Federal projects that require a Federal permit and/or license.

Federal agencies proposing an activity submit a "CONSISTENCY DETERMINATION" to DCM. For example, if the National Park Services proposes to install a shoreline protective device at Cape Hatteras, then the Park Service will be required to submit a consistency determination documenting how the proposed activity would be considered consistent with the State's coastal program. The State has sixty (60) days to review a consistency determination. The procedures for making such a submission are contained in Subpart "C" of 15 CFR 930.

A non-Federal applicant for a Federal permit and/or license is also required to submit a "CONSISTENCY CERTIFICATION" to DCM. For example, if NCDOT proposes to fill a wetland and this activity requires a U.S. Army Corps of Engineers Permit, then NCDOT would be required to submit a "Consistency Certification" document demonstrating how the proposed project would be considered consistent with the States Coastal program. DCM's handout on consistency submissions can help you with this process. The State has six (6) months to review a consistency certification. The procedures for making such a submission are contained in Subpart "D" of 15 CFR 930.

Upon receiving these submissions, DCM begins to review the proposed project for conformance with the enforceable policies of the State's coastal program. As part of this review process, the proposed project is circulated to the public and a variety of State agencies for comment. After considering the comments and evaluating the proposed project's conformance with the enforceable policies of the State's coast program, DCM issues either a letter of "concurrence" or "objection".

In the event that a letter of "objection" is issued, DCM and the project proponent can negotiate a resolution that would allow the project to go forward. Additionally, the project proponent may be entitled to certain mediation/appeal privileges with the Office of Coastal Resource Management.

The permit application procedure, although time consuming, is relatively simple.

1. Determine if the project is within an AEC.
2. If so, delineate the limits of the AEC and schedule a field visit with the appropriate NCDCM field representative. Also notify NCDOT Hydraulics so that they will know to prepare NCDCM MP Forms.
3. Fill out appropriate MP forms (insert hyperlink to electronic forms here-Electronic Forms Currently Under Construction).
4. Prepare Adjacent Riparian Landowner Notification letters
5. Prepare a cover letter.
6. Hold pre-application meeting with NCDCM representative.
7. Finalize application package.
8. Follow application protocols

Note that the NCDCM has 75 days to review and make a permit decision. If necessary, they are statutorily allowed an additional 75 days for a maximum total of 150 days. The review clock does not start until the NCDCM accepts the application as complete. The NCDCM will notify you that the complete application has been received by sending you a postcard that must be posted at the proposed permit location. Once you receive the postcard, you must immediately post it at the permit site. Often you can enlist the help of the local NCDOT Division Environmental Officer (DEO) to do this for you. Contact the appropriate DEO to see if they can help. If they are able to assist, mail them the postcard via interoffice mail and ask them to post the sign at the permit site. If the DEO is unable to assist, you must make the trip to the permit site yourself and post the sign as near as possible to the permit site.

Coast Guard Bridge Permits

A Bridge Permit from the United States Coast Guard may be required if you are building a new bridge or reconstructing an existing bridge over navigable water. For U.S. Coast Guard (USCG) Bridge Permit purposes, navigable waters are defined as

1. waters subject to the ebb and flow of tide; or
2. any water that is presently used and/or is susceptible to use in its natural condition, or by reasonable improvement, as a means to transport interstate and foreign commerce. (Note: this is the same definition that applies for Section 10 permits.)

It is always wise to contact the District Commander's office of the Coast Guard for a pre-application consultation prior to submitting a formal permit application. The District Commander is subject to change every few years. The current District Commander and their contact information can be found in the USCG Bridge Permit Application Guide.

As one would expect, USCG Bridge Permits are generally confined to the coastal counties of North Carolina. Very few NCDOT projects require a Coast Guard Bridge Permit. If a project requires USCG permit, you should start the process by reviewing the USCG Bridge Permit Application Guide. The guide will walk you through the application process. The process is very straightforward and the NCDOT Structures Unit will supply you with all the information needed to apply for your USCG Bridge Permit. However, USCG review can be a very lengthy process and it is recommended that you apply for the permit a minimum of six months prior to the review date.

NOTE: USCG permits cannot be issued until you have received § 401 Water Quality Certification as well as Certification of Consistency with the Coastal Zone Management Act. Therefore, for projects requiring a USCG Permit, you will need to apply for all other permits six months earlier than you otherwise would.

Stormwater

There are five (5) regulatory programs that the NCDOT may be subject to regarding stormwater management for specific projects. These five (5) programs are:

• NPDES Stormwater Requirements: Phase I and Phase II
• Coastal Stormwater Requirements (State Stormwater Rules)
• Neuse and Tar-Pamlico Rivers Nutrient Management Strategy: Basinwide Stormwater Requirements
• 401 Water Quality Certification: Specific General Certification Requirements
• Riparian Buffer Rules for the Neuse, Tar-Pamlico, and Catawba River Basins and the Randleman Water Supply Watershed

Each of these regulatory programs is only subject for specific impacts. This overview will address each program and when and if the NCDOT may be subject.

NPDES Stormwater Requirements: Phase I

Phase I of the NPDES Stormwater program was established in 1990. The Phase I program focuses on site operations planning to reduce pollutant sources. The three (3) types of activities that the Phase I program regulates through the NPDES Permit are:

• Industrial facilities that fall into (1) of ten (10) categories.
• Construction activities that disturb five (5) or more acres of land [Phase II rules dropped the threshold to one (1) acre]
• Municipal separate storm sewer systems (MS4s) serving populations of 100,000 or greater (based on the U.S. 2000 Census data)

There are six (6) permitted local governments that have MS4s serving populations of 100,000 or more. They are:

• Raleigh
• Durham
• Fayetteville/Cumberland County
• Charlotte
• Winston-Salem
• Greensboro

Each of these permitted local governments is required to develop and implement a stormwater management program that includes the following:

• Public education
• Illicit discharge detection and elimination
• Storm sewer system and land use mapping
• Analytical monitoring

Construction sites that are five (5) acres or more (1 acre for Phase II) are required to develop and implement an erosion and sediment control plan. The issuance of the NPDES permit for subject construction activities is tied to the plan approval by the Division of Land Resources Erosion and Sediment Control Program.

Implementation of the NCDENR Division of Land Resources Erosion and Sediment Control Program was delegated to the NCDOT by the Sedimentation and Erosion Control Commission in February of 1991. This delegation to the NCDOT to comply with the Individual Permit covers NCDOT construction projects and implementation of the requirements of General Permit NCG010000. The Individual Permit replaces the need to acquire the General Permit. The Individual Permit meets the objectives by permitting and controlling one (1) or more acres of land surface and those activities less than one acre that are part of a larger common plan of development. This program is authorized under the Sediment Pollution Control Act of 1973 and Chapter 4 of Title 15A of the North Carolina Administrative Code. The program includes procedures for public input, sanctions to ensure compliance, requirements for construction site operators to implement appropriate erosion and sediment control practices, review of site plans which incorporate consideration of potential water quality impacts, and procedures for site inspection and enforcement of control measures. This program has been delegated to and is implemented by the NCDOT.

Under the MS4 Individual Permit NCDOT must incorporate the applicable requirements of NCG010000, the N.C. General Permit to Discharge Stormwater under the National Pollution Discharge Elimination System (NPDES) associated with construction activities issued October 1, 2001, and as may subsequently be amended, into its delegated Erosion and Sediment Control Program.

In review, the NCDOT is responsible for compliance of the conditions of the appropriate General Permits but these conditions are covered under the Individual Permit issued to the NCDOT. Violations would only be incurred if the conditions were not met and /or Water Quality Standards violated.

NPDES Stormwater Requirements: Phase II

Phase II of the NPDES Stormwater program was signed into federal law in December 1999. It builds upon the existing Phase I program by requiring smaller communities (<100,000 but > 50,000 or a density of 1000 residents/square mile), referred to as small MS4s , to be permitted for stormwater management. Implementation of the requirements is designated to the states by the federal government.

These smaller MS4s were required to apply for permit coverage by March 2003. These communities are required to develop and implement a comprehensive stormwater program that includes six (6) minimum measures:

• public education and outreach on impacts;
• public involvement/participation;
• illicit discharge detection and elimination;
• construction site stormwater runoff control;
• post-construction stormwater management for new development and redevelopment; and
• pollution prevention/good housekeeping for municipal operations.

A small MS4 becomes subject to the Phase II program in one (1) of three (3) ways; (1) automatic designation, (2) state designation, and (3) petitioning. The North Carolina Division of Water Quality (DWQ) establishes minimum standards that include criteria for designation. This is done through rule making. The Temporary Rules were in place by September of 2001. The designated communities were required to submit a permit application to the DWQ by March of 2003.

Based on the 1990 U.S. Census data, there are 17 Urbanized Areas in North Carolina. These areas include 60 cities and 25 counties for automatic designation. An additional 63 cities and 8 counties have been identified based on the 2000 U.S. Census.

In compliance with the NPDES Phase II program, the NCDOT is subject to the requirements of the Individual Permit issued to them as discussed above in the NPDES Phase I overview.

State Stormwater Management Program (referred to as the Coastal Stormwater Program)

The State Stormwater Management Program was established in the late 1980's under the authority of the North Carolina Environmental Management Commission (EMC) and North Carolina General Statute 143-214.7. The program was codified in 15A NCAC 2H .1000. The program regulates development activities that require either a Sediment and Erosion Control Plan (for disturbances of one or more acres) or a CAMA Major Development Permit in one of the following areas:

• The twenty (20) coastal counties, and/or
• Development draining into Outstanding Resource Waters (ORW) or High Quality Waters (HQW) that include Primary Nursery

Areas (PNAs) and other functional nursery areas designated by the Marine Fisheries Commission, native and special native trout waters (and their tributaries) designated by the Wildlife Resources Commission, all water supply watersheds which are either classified as WS-I or WS-II, and all Class SA waters.

The State Program requires developments to protect these sensitive waters by maintaining a low density of impervious surfaces, maintain vegetative buffers, and transporting runoff through vegetative conveyances. Low density development thresholds vary from 12% to 30% built upon area (impervious surface) depending on the classification of the receiving stream. If low density design criteria cannot be met, then high density development requires the installation of structural best management practices (BMPs) to collect and treat stormwater runoff from the project. High density BMPs must control the runoff from the 1 to 1.5 inch storm event (depending on the receiving stream classification) and remove 85% of the suspended solids.

NCDOT projects do not require a review by the DWQ if only a Sedimentation and Erosion Control Plan is required because the Department has been issued an Individual Permit (see NPDES Phase I). It does, however, require a review when a CAMA Major Permit is required. For minor impacts (no additional impervious area), the DWQ issues an exemption letter. For projects with new impervious area <30% built-upon area), or additions, the DWQ usually issues a General Stormwater Permit. Some NCDOT projects (>30% built-upon area), however, involve new construction and the plans call for designed stormwater measures (BMPs). These projects require the issuance of a High Density Stormwater Permit.

Neuse and Tar-Pamlico Rivers Nutrient Management Strategy: Basinwide Stormwater Requirements

The Neuse and Tar-Pamlico River Basins stormwater rule applies to the largest and fastest-growing local governments in the two basins. The rule establishes a broad set of objectives for reducing nitrogen in the Neuse River Basin and nitrogen and phosphorus in the Tar-Pamlico River Basin runoff from urban areas. The rule sets up a process for the Division of Water Quality to work with the affected local governments to develop a model stormwater plan for meeting the objectives. The affected local governments in the Neuse River Basin are as follows:

Cary	Kinston	Durham County
Durham	New Bern	Johnston County
Garner	Raleigh	Wake County
Goldsboro	Smithfield	Wayne County
Havelock	Wilson

The affected local governments in the Tar-Pamlico River Basin are as follows:

Greenville	Washington	Pitt County
Henderson	Beaufort County
Oxford	Edgecombe County
Rocky Mount	Franklin County
Tarboro	Nash County

Once the Rules became effective, the local governments had one (1) year to develop the model plan. They had an additional 18 months to get their stormwater plan approved by the Environmental Management Commission (EMC) and begin implementing the plan. If the local government fails to implement a plan, then it may be subject to federal NPDES stormwater permitting. Once the plan is approved and implemented, it is the local government that enforces compliance.

In the Neuse River Basin, the nitrogen load contributed by new development activities must be held at 70% of the average nitrogen load contributed by the 1995 land uses of the non-urban areas of the Neuse River Basin. The local governments are to use a nitrogen export standard of 3.6 pounds/acre/year. The removal requirement for residential development is less than the removal requirement for industrial and commercial development. The developers may use the option of partially offsetting the nitrogen loads by funding stormwater BMPs through the Ecosystem Enhancement Program (EEP). The present cost to developers is $11.00/pound/acre/year for a 30-year period. This equates to $330.00/pound/acre/year for the entire 30-year period. The EEP has, however, requested that the DWQ increase the payment fee to reflect the rising costs of stormwater BMP construction and monitoring. This request has been approved by the Water Quality Committee of the EMC and will be presented to the full EMC in February 2005. The new fees will be calculated from an equation that will reflect land cost, construction costs, design costs, monitoring costs, and administrative costs.

In the Tar-Pamlico River Basin, the nitrogen export standard is 4.0 pounds/acre/year for a 30-year period and the phosphorus export standard is 0.4 pounds/acre/year for a 30-year period. Currently, developers in the Tar-Pamlico do not have the offset option. The DWQ is, however, in the process of Rule Making to have the rules changed to allow offset payments in the Tar-Pamlico River Basin. The fees will be determined later.

The NCDOT is subject to these rules for specific construction activities. The affected local government will notify the NCDOT of the required nutrient removal prior to construction. In the Neuse River Basin the NCDOT may choose to offset the requirements with partial removal of the required nutrients on site and pay a fee to the Ecosystem Enhancement Program to construct stormwater BMPs for the removal of the remainder of the requirement within the river basin or watershed. In the Tar-Pamlico River Basin the NCDOT must remove all of the required nutrients because the offset payments is not an option under the present rule. The DWQ is, however, in the process of rule making to allow offset payments in the Tar-Pamlico River Basin also. The projected date of the change should be in early 2005.

401 Water Quality Certification; Specific General Certification Requirements

There are specific 401 Water Quality General Certifications that may require a stormwater management plan to be submitted and reviewed for approval prior to the issuance of the 401 Water Quality Certification. These General Certifications that have this requirement are as follows:

404 NW, Regional, General Permit No.	General Certification No.	Purpose of General Certification
NW 14	GC 3404	Minor Road Crossings
NW 18	GC 3402	Minor (0.10 ac.) Discharges
NW 39	GC 3402	Residential, Commercial and Institutional Developments
NW 41	GC 3402	Reshaping Existing Drainage Ditches
NW 43	GC 3402	Stormwater Management Facilities
NW 44	GC 3402	Mining Activities
198200031	GC 3404	Work Associated with Bridge Construction, Maintenance or Repair Conducted by NCDOT or other Government Agencies

The stormwater management plan does not require a separate approval. It is approved as one of the requirements of the General Certification. The DWQ makes the determination of whether an activity will require a stormwater management plan approval. This may be covered in the full project review for the NCDOT, not as a separate issue.

Riparian Buffer Rules in the Neuse, Tar-Pamlico, and Catawba River Basins and the Randleman Water Supply Watershed

The Neuse, Tar-Pamlico and Catawba River Basins and the Randleman Water Supply Watershed Protection and Maintenance of Riparian Buffer Rules all require diffuse flow of stormwater runoff through both Zone 1 and 2 of the Riparian Buffer. The Rules require the following:

• Concentrated runoff from new ditches or manmade conveyances shall be converted to diffuse flow before the runoff enters Zone 2 of the riparian buffer.
• Periodic corrective action to restore diffuse flow shall be taken if necessary to impede the formation of erosion gullies.

The NCDOT is subject to these requirements for all new construction of ditches or stormwater conveyances in the subject areas.

There are occasions in specific areas (i.e. the outer coastal plain) when diffuse flow is not an option due to topographic constraints. The Rules will allow the ditch or stormwater conveyance to discharge directly into the stream if the discharge is treated for 30% removal of nutrients (nitrogen in the Neuse River Basin and nitrogen and phosphorus in the Tar-Pamlico River Basin) prior to discharge into the stream. Stormwater BMPs must be constructed landward of Zone 2. The discharge conveyance may then be constructed within the buffer. This stormwater management plan must be submitted for review and approval (Certificate of Authorization) prior to construction.

Central Coastal Plain Capacity Use Analysis

Central Coastal Plain Capacity Use Area (CCPCUA) Rules

The Water Use Act of 1967 (General Statute 143-215.11 - .22) allows for designation of capacity use areas for regulation of water use. Over-pumping of important aquifers in the coastal plain has led to the creation of the Central Coastal Plain Capacity Use Area (CCPCUA) and associated rules. The CCPCUA rules became effective on August 1, 2002 and affect a 15-county region (Beaufort, Carteret, Craven, Duplin, Edgecombe, Greene, Jones, Lenoir, Martin, Onslow, Pamlico, Pitt, Washington, Wayne, Wilson). The CCPCUA rules require registration and reporting of water use for those persons using more than 10,000 gallons of ground water and/or surface water per day. A permit is required for persons who withdraw more than 100,000 gallons per day of ground water.

NCDOT will apply for CCPCUA permits for all proposed TIP projects requiring sizeable earthwork quantities in the affected fifteen county area.

Each contractor that utilizes a pump to de-water a borrow pit or utilizes a pump to withdraw surface water in the counties mentioned above will be required to record the volume of water pumped from each site daily and submit this information on a monthly basis to the Resident Engineer.

The contractor shall assume all liability for impacts to wells or surface water bodies resulting from de-watering operations.

The contractor shall submit one additional copy of the development, use and reclamation plan and environmental assessment to the Resident Engineer. Once approved, the Resident Engineer will furnish a copy of the approved plan to the Division of Water Resources. In addition to the current required information, the reclamation plan submittal shall include:

1. The average daily pump discharge (in MGD),
2. The estimated maximum number of days of pumping during the anticipated life of the pit,
3. The number and location add space (latitudinal and longitudinal coordinates) of wells within 1500 feet of the pit boundaries,
4. A determination as to whether adjoining dwellings are served by a county/municipal water system.

The Resident Engineer will forward the approved package to the Capacity Use Administrator at the following address:

Capacity Use Administrator
DENR-DWR
1611 Mail Service Center
Raleigh, NC 27699-1611

Obtaining a Central Coastal Plain Capacity Use Area Permit

This permit is separate from all other permits and may be necessary even if you do not need a permit from the USACE or the NCDWQ. The permit is designed so that the North Carolina Department of the Environment and Natural Resources can track the water usage in the Central Coastal Plain Capacity Use Area. You should note that you may have to wait until the project has been let to apply for the CCPCUA permit. The reason for this is that you need to know the location of the borrow pit before you can apply. The Resident Engineer will be able to obtain this information from the contractor immediately following the contract being awarded.

You will need a CCPCUA Permit if a project:

1. is an X, R, U or I in the following counties: Beaufort, Carteret, Craven, Duplin, Edgecombe, Greene, Jones, Lenior, Martin, Onslow, Pamlico, Pitt, Washington, Wayne or Wilson Counties, and
2. will require a borrow pit. To determine if your project requires a borrow pit, contact the Resident Engineer. The Resident Engineer for a project is found on the PMSS under Res E.

Steps for obtaining a CCPCUA Permit

1. Obtain the location of the proposed pits from the Resident Engineer. Ask for enough information to identify the site on a 7.5 USGS Topographic map.
2. Obtain a topographic map from http://www.topozone.com and
   1. Highlight the borrow site.
   2. Add the TIP number to the top of the page.
   3. At the bottom of the page write the Quadrangle name, County, and Project Length
   4. Print the map in COLOR.
3. Fill out the permit application form.
4. Get the application form signed.
5. Give the completed application package to the Natural Environment Program Operations Group (NEPOG) Permit Processing Assistant for mailing to:

Capacity Use Administrator
DENR-DWQ
1611 Mail Service Center
Raleigh, NC 27699-1611

Special Use Permits

Special Use Permits may be required whenever your project will infringe on a property owned or maintained by the United States Department of the Interior (DOI) including National Wildlife Refuges and National Parks. A few of the more prominent examples are the Cape Hatteras National Seashore, the Alligator River National Wildlife Refuge, Lake Mattamuskeet National Wildlife Refuge, Great Smokey Mountains National Park and the Blue Ridge Parkway.

A Special Park Use is defined by the National Park Service (NPS) as - A short term (not to exceed 5 years) activity that: provides a benefit to an individual, group or organization rather than the public at large; requires written authorization and some degree of management control from the NPS in order to protect park resources and the public interest; is not prohibited by law or regulation; is neither initiated, sponsored nor conducted by the NPS; does not include any activity managed under the Concessions Policy Act, the National Historic Preservation Act, or the National Park Omnibus Act; or any recreation use covered by section 4 of the Land and Water Conservation Fund Act or the Recreation Demonstration Act.

Most of the activities undertaken by NCDOT on DOI lands are considered special uses and will require a Special Use Permit (SUP). There is no documented protocol from the DOI on how to apply for and obtain a SUP. However, there is a great deal of information that can be found in Reference Manual 53 that explains the review process for proposed Special Park Uses.

It is the policy of the National Park Service to allow special park uses that will not:

cause injury or damage to park resources; or be contrary to the purposes for which the park was established; or unreasonably impair the atmosphere or peace and tranquility maintained in wilderness, natural, historic or commemorative locations within the park; or unreasonably interfere with the interpretive visitor service or other program activities, or with the administrative activities of the NPS; or substantially impair the operation of public facilities or services of NPS concessionaires or contractors; or present a clear and present danger to public health and safety; or result in significant conflict with other existing uses.

In all cases, an application form must be completed and review of the project must be completed according to the National Environmental Policy Act (NEPA). The appropriate NEPA document must be prepared and reviewed by the NPS. In most cases this is an Environmental Assessment. According to Reference Manual 53, "NPS managers must always seek ways to avoid, or to minimize to the greatest degree practicable, adverse impacts on park resources and values. Managers must conduct and consider environmental assessments or environmental impact statements; consider relevant results of scientific studies of the park resources that could be affected; and, when appropriate, seek and consider public comments. In all instances, National Environmental Policy compliance documents must identify the impacts of proposed activities, and whether the activities might impair, or be in derogation of, the resources, values and purposes for which an area was established."

Because there is not a standard application format for SUPs, the first thing you should do once you determine that your project will affect a U. S. Department of the Interior property is to contact the Special Uses Coordinator for the affected Park or National Wildlife Refuge. You can find contact information for various National Parks and National Wildlife Refuges by utilizing the U.S. Department of the Interior website located at http://www.doi.gov/ along with the NPS website located at http://www.nps.gov/ and the National Wildlife Refuge website located at http://southeast.fws.gov/refuges/. You will likely need to set up a site meeting to review the project with the appropriate DOI Bureau (NPS, USFWS, etc). The purpose of the meeting is to solicit feedback from the DOI on the project. The DOI representative will not give you a permit decision at the meeting. You should inquire frankly about what the DOI needs from the NCDOT to render a decision on a SUP. Once you know what is needed, you will proceed with acquiring the necessary information and providing it to the DOI. No two SUP applications are the same and each must be approached on a case by case basis.

404/401/CAMA Permit Application Preparation & Review

The permit application process is divided into two phases, pre-application and application.

Pre-application

The pre-application process is outlined by the following steps:

1. Project Manager in conjunction with the Regional Manager identifies his or her assigned projects on the 24 month let list.
2. The Project Manager determines the type of permit that is most appropriate for the project. See Section 5.2 for guidance on selecting the appropriate permit to apply for.
3. Determine whether or not permit acquisition will be conducted in-house or outsourced to an on-call consulting firm.
4. The NEPOG requests permit drawings, design plans, and utilities plans from the NCDOT Hydraulics, Roadway Design/Design Services, Rdwy Design Utilities, and ROW Utilities Units. This is done 14 months in advance of the letting for Individual Permits and 11 months in advance of the letting for Nationwide/General Permits. Drawings are expected to arrive no later than one month after they are requested.
5. Drawings and Design plans are received from all Units
6. Receipt of drawings is recorded in the NEU database by the NEPOG.
7. NEPOG Permit Processing Assistant distributes drawings and plans to the Project Manager.

The application process begins now. Permit Application TimeLine

Draft Application Preparation

1. Drawings are reviewed for accuracy and completeness.
   • Are the impacts to streams, wetlands, and buffers shown correctly?
   • Are temporary construction/drainage easements (TCE/TDE) shown and accounted for as temporary impacts?
   • Do the summary sheets reflect the correct impact totals and do the site numbers match the ones in the drawings?
   • Do the summary sheets show buffer impacts in square feet?
   • Are the fill slopes appropriately minimized? Are they tighter through jurisdictional areas than they are through the non-jurisdictional areas?
   • In jurisidictional areas, are fill slopes 2:1 west of I-95 and 3:1 east of I-95?
   • Are commitments made during the planning phase and the merger process honored and shown correctly?
   • Do drawings have a north arrow, scale, legend, title block with date, sheet #, stationing

2. Review the environmental document and the project file.

   From reviewing the document and the file you should be able to do the following:

   1. Match impact sites described in the NEPA document with those shown on the permit drawings and summary sheets. If they are different, determine why they are different and prepare an explanation to be included in the "impacts description" section of the permit application document (See Standard Permit Information Worksheet)

      NOTE: A field visit may be appropriate at this juncture. Seeing the project site in person may be helpful in your attempts to reconcile the impacts described in the NEPA document with those shown on the permit drawings. This is particularly true if you were not involved in the preparation of the NRTR.

   2. Purpose and Need of the project.
   3. History of the project including its inclusion into the TIP, local thoroughfare plans and dates that various documents were signed.
   4. Commitments and Design considerations that show avoidance and minimization of impacts to jurisdictional resources.

3. Compile information for the Permit Application Worksheet, the USACE Individual Permit Application form (ENG 4345), or the USACE/NCDWQ Pre-construction notification form (PCN).
4. Insert the information into the appropriate application form and Permit Application Worksheet.
5. Fill out CAMA Major Development Permit Forms if the project involves work within an AEC. The NCDOT Hydraulics Unit will fill out the engineering dependent portions of the MP Forms. However, you are responsible for reconciling any inconsistencies prior to submitting the forms to the NCDCM.
   1. For CAMA Permits, conduct a second field visit to meet with DCM representative at the project site to review the application.
   2. Revise MP forms per DCM comments.

6. Give 1st draft of application package (including all attachments) to Regional Manager for Review.
7. Regional Manager reviews application and returns to Project Manager.
8. Revise application per Regional Manager comments.
9. Assemble the draft application to include the NCDOT Permit Application Worksheet, Individual Permit application form (ENG 4345) or Pre-construction notification form (PCN), and appendices, EEP letter, concurrence letter.
10. Regional Manager provides complete copy of draft application, permit drawings, design plans, and all appendixes to the NEPOG Permit Processing Assistant.
11. Draft scanned by Design Services.
12. Draft Uploaded to permit website.
13. NEPOG Permit Processing Assistant sends email to NCDOT distribution list requesting internal review of draft permit application. Email specifies comment period and staff contact. (Comments to Permit e-mail box recorded by Permit Processing Assistant, then forwarded to Project Manager.)
14. Hard copies of draft permit application express mailed to Division, if unable to receive electronic version.

Final Application Preparation

1. Project Manager receives comments from internal review (comments are due within 2 weeks).
2. Comments discussed with Regional Manager.
3. Comments resolved with commentors.
4. Application revised as necessary.
5. Regional Manager reviews and approves final application.
6. Regional Manager gives final application to NEU Manager for signature.
7. NEU Manager gives signed final application to Permit Processing Assistant with transmittal slip indicating type of permit(s) included in package.
8. Final Permit application submitted.

Permit Application Submittal & Agency Coordination

1. PPA records date of permit application distribution.
2. Final application scanned by Design Services
3. Final application uploaded to website
4. PPA notifies NCDOT distribution by email and sends/delivers hardcopies to agencies.
5. PPA confirms that all agencies have application.
6. Two weeks after agencies receive application, Project Manager will call or email agency representatives to check status.
   1. Have they determined if the application is complete?
   2. If an Individual Permit, when is the Public Notice expected?
   3. If a NW, are we going to get written concurrence or proceed under general conditions?
7. Project Manager monitors USACE website for Public Notice issuance.

During the time period when the PM is monitoring the status of the application it is imperative that a record of all communications is maintained. If an agency representative identifies a timeline for delivering a permit, make sure to confirm the timeline with an email. Put a copy of the confirmation email in the file. If the item is not received or the issue is not resolved by the indicated time, the agency representative should be re-contacted and inquiry should be made on the status of the item. A record of the entire process should be meticulously maintained. Should a second attempt fail to yield the desired result, the regional supervisor should be contacted immediately so that the issue can be elevated to management if necessary.

Section 5.3.e Permit Conditions Review

1. Draft Permit conditions received from agencies by e-mail, fax or mail. (Permit e-mailbox, recorded by PPA, forwarded to Project Manager)
2. Project Manager reviews conditions, and discusses with Regional Manager
   1. Project Manager Distributes Conditions via e-mail or fax (deadline 72 hours), to distribution list for condition review.
   2. Project Manager receives comments, discusses with Regional Manager
   3. Project Manager and agencies resolve discrepancies
   4. When Conditions accepted, Project Manager notifies agencies by e-mail

Distribution of Approved Permits

1. Final Permit (hardcopies) received and date-stamped by NEU Processing Assistant (PA). Final Permit (electronic copies) received by Permit e-mailbox.
2. PA forwards Final Permit (hardcopies) to PPA.
3. PPA records permits, both electronic and hardcopy, and forwards Final Permit to Project Manager (Task may be delegated to Database Technician)
4. Project Manager verifies Conditions
5. Project Manager compiles package of all permits Permit package includes 404 permit & 401 Certification with conditions, drawings, Greensheets, Greensheet Mailing Labels, and FHWA Mitigation Form (also CAMA permit, Coast Guard Permit, Buffer Certification & Buffer drawings, and/or Special Use permit when applicable)
   1. For General Permits
      1. Project Manager gives permit package to PPA indicating what type of permit
      2. PPA completes form cover letter, and makes copies
      3. PPA gives one copy of Permit and Cover Letter to Project Manager
      4. PPA gives a copy to Contracts
      5. PPA gives a copy to Design Services
      6. Design Services scans, puts on web site, and makes hard copies
      7. PPA confirms permit on website
      8. PPA sends out application hardcopies to distribution list, distributes greensheet and FHWA form
      9. PPA returns original permit package to Project Manager for project file

   2. For Individual 404/401 and CAMA permits
      1. Project Manager submits IP/CAMA package to NEU Head for signature.
      2. NEU Head gives the signed package to the PPA
      3. PPA sends both original Individual 404 permits back to Wilmington for final USACE signature
      4. USACE returns NCDOT's original copy that is received and date-stamped by PA. PA forwards USACE original to PPA.
      5. PPA completes form cover letter, and makes copies
      6. PPA gives one copy of Permit and Cover Letter to Project Manager
      7. PPA gives a copy to Contracts
      8. PPA gives a copy to Design Services
      9. Design Services scans, puts on web site, and makes hard copies
      10. PPA sends out hardcopies to distribution list
      11. PPA returns original permit package to Project Manager for project file

   Note: Contingency Plan for Individual Permits if the USACE permit arrives at the last minute. The ONE Manager must sign it, and a copy with the signature delivered to contracts. Final distribution can usually wait for the USACE executed copy to return from Wilmington.

   Greensheets

   Greensheet: Also known as the Project Commitments sheet. This is a list of project specific commitments that the NCDOT makes on a given project. As the name implies, they are printed on green paper. Green paper is utilized in order make the commitments highly visible within the permit package. While the NCDOT is responsible for maintaining complete compliance with all commitments and permit conditions, the greensheets may be used to draw special attention to particular items.

   A greensheet is included with each NEPA document and includes all special commitments that were agreed upon during the project development process. When the final permits are received, the project manager updates the greensheet to add special commitments made during permitting process. The updated greensheet may include specific permit conditions as well as other agreed upon items that must be considered during construction of the project. The updated greensheet is included as part of the final permit package that is provided to the PPA in Step 5.a.1 of the Permit Processing protocols listed in Section 5.4 It is significant because it is used to remind the contractor of specific action items and responsibilities.

   Modifications

   From time to time there will be a need to need to request a change in the original permits. Reasons can include changes to the original design of a project after the project has been permitted, changes in construction timeframes that may conflict with specified moratoria, or changes in construction methodology. If the proposed change affects any permitted jurisdictional area or if it conflicts with any of the project commitments (green sheet), there will be a need to modify the existing permit. Because the project will either already be under construction or will be very soon, it is imperative that permit modifications receive priority treatment. The process for handling a permit modification is very similar to a regular permit application:
   1. NEU is notified that the change is necessary. This information usually comes from one of the NCDOT design groups, but can also originate at the field level of the NCDOT Construction Unit. If it originates from construction, the Resident Engineer, one of the Assistant Resident Engineers, or the Division Environmental Officer will usually contact the Project Manager.
   2. Make sure the person requesting the modification provides a written explanation of the proposed changes along with an appropriate justification for the change. Do not take "no" for an answer on this. Insist that they provide a description of the change along with a justification in writing.
   3. Immediately notify the NEPOG so that a formal request for updated permit drawings and plan sheets can be made -- Unless the Division is going to provide the revised drawings.
   4. Note the date that you were first made aware of the need for a design change and include that information on your status form.
   5. Upon receiving updated permit drawings, refer to Section 5.3.b and begin the preparation of the request to modify the permit.
   6. You do not need to fill out another PCN form or any of the other agency forms. You simply need to prepare a modification request letter and include all the appropriate attachments.
   7. The distribution process for modifications is the same as the distribution process for new applications.