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Merger is a process to streamline the project development and permitting processes, agreed to by the USACE, NCDENR (DWQ, DCM), FHWA and NCDOT and supported by other stakeholder agencies and local units of government. To this effect, the Merger process provides a forum for appropriate agency representatives to discuss and reach consensus on ways to facilitate meeting the regulatory requirements of Section 404 of the Clean Water Act during the NEPA/SEPA decision-making phase of transportation projects.
 
 The Merger Process allows agency representatives to work more efficiently (quicker and comprehensive evaluation and resolution of issues) by providing a common forum for them to discuss and find ways to comply with key elements of their agency's mission. The merger process helps to document how competing agency mandates are balanced during a shared decision-making process, which results in agency representatives reaching a "compromise based decision" to the regulatory and individual agency mandates. ​

Intro to the Merger ProcessWhat is the Merger Process?01-011/13/2016 11:37 AMservice-spsnapmgr
  

The Section 404 NEPA Merger Process has been applied to surface transportation projects in the State of North Carolina since the original agreement integrating Section 404 permit requirements with the NEPA process was signed in May 1997. In May 2001, multiple state and federal agencies began an initiative to modify the original process to incorporate experience gained with years of use of the 1997 agreement, guidance from the USACE-NCDOT-NCDENR permit process improvement workshop, and incorporation of the streamlining provisions of the Transportation Equity Act for the 21st century (TEA-21). The modified agreement was signed in May/June 2005 by the primary signatory agencies [U.S. Army Corps of Engineers (USACE), N.C. Department of Transportation (NCDOT), Federal Highway Administration (FHWA) and N.C. Department of Environment and Natural Resources (NCDENR)].​

Intro to the Merger ProcessBackground01-029/10/2012 12:31 PMSystem Account
  

Each project team will consist of appropriate primary signatory agencies and partnering signatory agencies. The composition of agencies on each project team will vary depending on the specific project's location and scope.
 
 FHWA, USACE, NCDOT and NCDENR are the primary signatories for the Merger Process agreement and are also known as the process owners or sponsors. The partnering agencies are as follows: U. S. Environmental Protection Agency; U. S. Fish and Wildlife Service; National Marine Fisheries Service; N. C. Wildlife Resources Commission; N. C. Department of Cultural Resources; U. S. Coast Guard, U. S. Forest Service; Tennessee Valley Authority; National Park Service; Metropolitan Planning Organizations (MPO's); and the Eastern Band of Cherokee Nation. Some of the partnering agencies will participate only when the project is in their respective geographic area of responsibility or statutory authority.
 
 Rural Planning Organizations (RPO's) are invited to participate as advisory members for projects within their geographical area but do not sign concurrence forms at this time.​

Intro to the Merger ProcessWho Is Involved?01-039/10/2012 12:31 PMSystem Account
  

Concurrence Points are defining points in the Section 404/NEPA Merger Process. Concurrence implies that each project team member and the agency they represent agrees to decisions made at these defining points in the project development process and in doing so pledges to abide by the decision made unless there is a profound changed condition. Concurrence is sequential and must be achieved in the proper order. The seven concurrence points (CP) in the Merger Process are as follows:
 
 Concurrence Point 1: Purpose and Need and Study Area Defined
 Purpose and Need and Study Area Defined: The foundation upon which justification of the project is established.
 
 Concurrence Point 2: Detailed Study Alternatives Carried Forward (DSA)
 Detailed Study Alternatives Carried Forward: Alternatives which satisfy the purpose and need for the project. These alternatives will be studied and evaluated in sufficient detail to ensure good transportation and permit decision-making.
 
 Concurrence Point 2A: Bridging Decisions and Alignment Review
 Bridging Decisions and Alignment Review: Identification of bridge locations and approximate lengths and a review of the preliminary alignment for each alternative.
 
 Concurrence Point 3: LEDPA/Preferred Alternative Selection
 LEPDA/Preferred Alternative Selection: The alternative selected as the "least environmentally damaging practicable alternative" or LEDPA (NEPA preferred alternative), through the project development and permitting process.
 
 Concurrence Point 4A: Avoidance and Minimization
 Avoidance and Minimization: A detailed, interdisciplinary and interagency review to optimize the design and benefits of the project while reducing environmental impacts to both the human and natural environment.
 
 Concurrence Point 4B: 30 Percent Hydraulic Review
 30 Percent Hydraulic Review; A review of the development of the drainage design.
 
 Concurrence Point 4C: Permit Drawings Review
 Permit Drawings Review: A review of the completed permit drawings after the hydraulic design is complete and prior to the permit application.​

Intro to the Merger ProcessConcurrence Points01-049/10/2012 12:31 PMSystem Account
  
Intro to the Merger ProcessProject Status and History01-069/10/2012 1:36 PMSystem Account
  

Background
 
On August 10, 2005, President George W. Bush signed into law a new federal transportation re-authorization bill, entitled Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). 
 
Section 6002 of SAFETEA-LU, entitled Efficient Environmental Reviews for Project Decision Making, established an environmental review process for transportation projects that ensures that interested agencies have an opportunity to participate in environmental reviews, while respecting project schedules. All transportation projects requiring a Federal EIS for which the original Notice of Intent was published in the Federal Register after August 10, 2005 are required to follow the Section 6002 environmental review process. One element of this review process involves the development of an environmental coordination plan for subject projects. 
 
Because NCDOT's Merger 01 Process largely met the requirements of Section 6002, NCDOT approached FHWA and asked if the Merger 01 Process could serve as a programmatic environmental coordination plan for NCDOT projects. FHWA agreed, provided that a few changes were made to the Merger 01 Process Guidance to make it fully consistent and compliant with Section 6002. These changes have been made, approved by FHWA, and are included here. The "new" Merger, which incorporates all the Section 6002 changes, is dropping the "01" from its name; it is hereby called, simply, the Merger Process. 
 
Marked versions that show the specific changes to the Merger 01 process are shown below.
 --------------------------------------------------------------------------------
Revisions
FHWA Revisions Memo

Process I - Revised

Process II - Revised

Appendix B - Revised

Process InformationSAFETEA-LU Revisions to Merger Process02-01-029/10/2012 1:47 PMSystem Account
  
Process InformationMemorandum of Understanding02-01-0311/28/2012 9:40 AMChristie L. Murphy
  

The Merger Screening Process is applicable for TIP Projects that will have an environmental document (Environmental Assessment (EA), Environmental Impact Statement (EIS), or Categorical Exclusion (CE)) prepared by the North Carolina Department of Transportation (NCDOT). Historically, the vast majority of Merger projects have come from proposals that require an EA, or EIS level environmental document.  While it may be appropriate to screen a CE level project into Merger, it is recognized that this is an infrequent occurrence.   

General

The Section 404/NEPA Merger Process will generally apply to all new location projects and projects that will likely require an individual permit under Section 404 of the Clean Water Act.  The FHWA, USACE, NCDEQ, and NCDOT (Project Team) will consult early in the project development process, during the Project Scoping phase, to identify specific projects that will follow this process. Additional guidance is provided to assist in identifying specific projects that will follow this process.

It is recognized that there are substantial benefits in carrying projects through the Merger Process. The Merger Process requires a high degree of commitment of resources by the many agencies that are involved in the process. Consultation between all involved Project Team members to determine applicability is necessary and important.

The guidance listed below will be used to determine if projects should be moved through the Merger Process:

Guidance for Applicability Determination

Merger screening typically occurs concurrently with a project's internal and external scoping efforts.  Internal scoping can provide NCDOT and FHWA, as appropriate, insight into whether a project should follow the Merger Process and thus prepare the transportation agencies to consult with USACE and NCDEQ on the matter.  The consultation between the Project Team members should generally be a meeting so that all data can be reviewed including aerial photography.  Phone calls and e-mail may also be appropriate for projects with a certain level of impacts that do not require a detailed review of data. In reviewing the potential impacts of projects, it is important to consider environmental topics such as, but not limited to, the following:

  • The project's setting
  • Potential intensity of impacts
  • Competing Natural and Human environmental resources
    • Environmental Justice Communities
    • Section 4(f)/Section 106 properties
    • Relocations
    • Wetlands and Streams
    •  Buffer Rules
    • Water Supply Critical Areas
    • CAMA – Areas of Environmental Concern
    • T&E species present
    • Level of public controversy associated with project, potential impacts, etc.

The need for detailed alternative analysis studies to avoid impacts to these important resources and evaluate the conflict between resources should determine the basis for applying the merger process to projects.  The NCDOT senior project manager will document the results of this consultation and provide copies to FHWA, USACE, and NCDEQ.

If it is clear that the project should be screened either in or out of the Merger Process, then that decision could be made at or immediately following the external scoping meeting.  If the project is complex and/or new concerns are brought forward by stakeholders at the external scoping meeting, then a plan of action, with deadlines, should be identified to help resolve the screening-related questions in timely manner.  The last step within the plan of action should be a separate screening meeting where all information can be discussed and a decision made on the applicability of Merger for the project.

If the Project Team members cannot reach agreement, the decision will be referred to the Merger Management Team (MMT) to begin the elevation process.

Screening Considerations

New location and widening projects:

In addition to assessing the project's setting and the topics that could indicate potential project impacts, as described above in the Guidance for Applicability Determination, also consider the following questions:

Question 1:  Is a Section 404 Individual Permit likely?

  • If a Section 404 IP is likely, the USACE will require a detailed alternative analysis study to avoid impacts to important resources and evaluate the conflict between competing impacts to these resources.  Please reference the Guidance for Applicability Determination above.
  • If a project's scope is in question or if it is unclear or undecided if the Merger Process will aid in the overall evaluation of the project, the Project Team has two options:
  1. Place the project in the Merger Process with the understanding that it may be removed if later project information supports the removal, or
  2. Elevate the decision to the MMT as directed in the Guidance for Applicability Determination above.

Question 2:  Is a Section 404 Regional General or Nationwide permit likely and will the project potentially impact a Critical Water Supply Area or Total Direct Impacts > one acre of wetlands or > 500 feet of stream?

  • If a Section 404 Regional General Permit (RGP) or Nationwide Permit (NWP) is likely and the project impacts one of the criteria above, the Project Team will consult as part of project scoping to determine if the project should be placed in the Merger Process. Other resource agencies may be consulted for input as appropriate.

Question 3:  Is the project potentially a best-fit widening? 

  • Give consideration that the project may possibly use a Regional General Permit (RGP) 31, regardless of whether the project proceeds through the Merger Process.

Bridge Projects

In addition to assessing the project's setting and the topics that could indicate potential project impacts, as described above in the Guidance for Applicability Determination, also consider the following questions:

Question 1:   Is the project a replacement within the existing right-of-way?

  • If the only alternative under consideration is replace in-place with off- site detour, then no merger should be needed.  

Question 2:   Is an Individual Permit (IP) required from USACE?

  • If an IP is required, or is likely to be required due to potential project impacts; then the NCDOT will consult with the USACE to determine if merger is recommended.

Non-Merger Projects

For projects with a discharge of fill in waters or wetlands that do not go through the merger process, it is important to note that NCDOT will still be submitting an alternative analysis and fulfilling the avoidance and minimization requirements through the USACE permitting process. Resource agencies will have the opportunity to review these projects through the normal environmental planning and permitting processes. Additionally, the USACE will determine the appropriate interagency coordination for the project and the need for a Pre-Application Meeting.  

If information becomes available on a non-merger project that warrants it being considered for placement in the merger process, the Project Team will determine if it should be placed in the Merger Process and at what point based on the project status.

Merger Projects

As the project development advances and more detailed information becomes available, it may be possible to determine that a project does not need to remain in the Merger Process.  At each concurrence meeting, the FHWA, USACE, NCDEQ, and NCDOT should evaluate the need for the project to stay in the merger process.  If these agencies agree, the project may be dropped from the Merger Process. The final decision to remove a project from the Merger Process rests with appropriate Project Team members. The NCDOT Project Development Engineer or Senior Project Manager will document the results of the consultation and provide copies to all project team members.

Process InformationScreening Process02-01-048/24/2017 11:27 AMservice-spsnapmgr
  
Process InformationProcess I MapProcess I Map02-01-069/10/2012 1:52 PMSystem Account
  
Process InformationProcess II Map02-01-089/10/2012 1:53 PMSystem Account
  
Process InformationProcess III MapProcess III Map02-01-109/10/2012 1:53 PMSystem Account
  

NOAA and DMF Participation in Coastal Plain Counties
 Contact NOAA and DMF in these counties to determine their participation on the Project Team:
 Beaufort
 Bertie
 Bladen
 Camden
 Currituck
 Carteret
 Chowan
 Columbus
 Craven
 Cumberland
 Dare
 Duplin
 Edgecombe
 Gates
 Greene
 Harnett
 Hertford
 Hoke
 Hyde
 Johnston
 Jones
  Lee
 Lenoir
 Martin
 Moore
 Nash
 New Hanover
 Northhampton
 Onslow
 Pamlico
 Pasquotank
 Pender
 Perquimans
 Pitt
 Robeson
 Sampson
 Scotland
 Tyrell
 Washington
 Wayne
 Wake​

Process InformationNOAA and DMF Counties02-01-129/10/2012 12:44 PMSystem Account
  

IMPLEMENTATION GUIDANCE FOR CONFLICT OR DISPUTE RESOLUTION
 
 NOTE (3-20-08): SAFETEA-LU provides a formal process for resolving serious issues that may delay the project or result in a denial of a required approval for the project. NCDOT or the Governor of North Carolina may invoke the Section 6002 process for issue resolution at any time. While the Section 6002 process is a tool available to States and project sponsors for resolving issues of concern, there are other options that are available to Lead and Participating agencies. Those options include this Implementation Guidance for Conflict or Dispute Resolution, other procedures embodied in a coordination plan, and the CEQ referral process under 40 CFR Part 1504.
 
 Agreement at critical identified points in project development and permitting is the key to the success of each agency's program. However, it is recognized that there may be instances where a project specific decision cannot be easily reached because of policy conflicts of philosophical differences. This Implementation Guidance is intended to apply to the full spectrum of conflicts and unresolved issues that arise during the development, design, and permitting of North Carolina Department of Transportation (NCDOT) projects. The guidance also provides the specific procedures for elevation to upper management in those cases where the Merger Process concurrence points cannot be reached by the Project Teams. It is understood that every effort will be taken to resolve issues at the Project Team level. In the Merger Process non-concurrence situations, a facilitator should be included in the Project Team discussions. When resolution still cannot be obtained, this elevation process should be initiated.
 
 Any Project Team agency can initiate the elevation process by providing a written request to the NCDOT manager responsible for the project and a copy to the chairperson of the Merger Implementation Team providing the specific reason for the elevation request. NCDOT is responsible for administering the elevation process. Upon receiving the written request, the NCDOT Project Manager will send an e-mail notice of potential elevation to the Review Board members (see attached list for members and addresses) and all Project Team members. The e-mail notification should identify and briefly describe the project involved, the Concurrence Point or issue at which agreement cannot be reached, and the reason for the elevation request. Project Team members are responsible for keeping their respective chain of command informed.
 
 The NCDOT Project Manager will coordinate a tentative Review Board meeting 30 days from the date of the e-mail notice of potential elevation or as soon as possible thereafter. This date will be coordinated with all parties and will be e-mailed to the Review Board, the elevating agency, and all other Project Team members. In advance of the Review Board meeting, the parties in dispute will attempt to resolve the issue by elevating the problem up their respective chains of command to the extent deemed appropriate (e.g. the existing NCDOT/NCDENR elevation process). If resolution is achieved, it will be documented by signing an agreement or the concurrence form and the NCDOT Project Manager will ensure that the Review Board meeting is canceled. In the event that the conflict cannot be resolved by the 21st day of the 30-day time period, the NCDOT Project Manager will ensure the Review Board receives written briefs from the agencies involved to support their respective positions. The NCDOT Project Manager will be responsible for assuring that this information is provided to the Review Board no later than five (5) days prior to the scheduled Review Board meeting.
 
 Executive management and Project Team members from the elevating agency will be invited to present information for the Review Board to consider. All Project Team members may attend.
 
 It is expected that the Review Board will be able to make a decision at the meeting or shortly thereafter. If the Review Board determines that additional information is needed, the decision will be delayed until the information is obtained for the Board's use.
 
 After the Review Board makes a decision, all Project Team members will be given the opportunity to sign the Concurrence Form or an agreement that implements that decision. If a Review Board member represents a non-concurring agency, then the Review Board member has the option to sign the concurrence form for that agency. Concurrence by all Review Board members shall constitute a final decision. Final decisions shall not result in a violation of applicable laws, rules, or regulations.
 
 It is understood that an agency's participation in this dispute resolution process does not preclude other conflict resolution or elevation options available by regulation to that agency. It is also understood that nothing in this agreement diminishes the USACE, Federal Highway Administration, and North Carolina Department of Environment and Natural Resources (NCDENR) roles and responsibilities to make decisions regarding permit requirements, permits, certifications or approvals.
 
 (Insert image of permit signatures)
 
 REVIEW BOARD MEMBERS FOR ELEVATION PROCESS OF MERGER AGREEMENT
 U.S. Army Corps of Engineers
 S. Kenneth Jolly, Chief, Regulatory Division
 Wilmington District
 P.O. Box 1890
 Wilmington, NC 28402
 (W) 910-251-4630
 (F) 910-251-4025
 samuel.k.jolly@usace.army.mil
 
 
 
 North Carolina Department of Environment and Natural Resources
 William G. Laxton, Chief Deputy Secretary
 Archdale Building
 1601 Mail Service Center
 Raleigh, NC 27699-1601
 (W) 919-715-0183
 (F) 919-715-3060
 dempsey.benton@ncmail.net
 
 
 North Carolina Department of Transportation
 W. F. (Bill) Rosser, PE, State Highway Administrator
 1536 Mail Service Center
 Raleigh, NC 27699-1536
 (W) (919)733-7384
 (F) (919)733-9428
 brosser@dot.state.nc.us
 
 
 Federal Highway Administration
 Don Voelker, Assistant Division Administrator
 310 New Bern Avenue, Suite 410
 Raleigh, NC 27601-1441
 (W) 919-856-4346
 (F) 919-856-4353
 don.voelker@fhwa.dot.gov
 
 
 CHAIRPERSON OF THE MERGER PROCESS IMPLEMENTATION TEAM
 Deborah M. Barbour
 1584 Mail Service Center
 Raleigh, NC 27699-1584
 (W) 919-250-4001
 (F) 919-250-4245
 dbarbour@dot.state.nc.us

Process InformationConflict Resolution Guidance02-01-139/10/2012 12:45 PMSystem Account
  
Process InformationConflict Resolution Process02-01-149/10/2012 2:34 PMSystem Account
  

The Following is an example of an Issue Brief:
 
 --------------------------------------------------------------------------------
 
 The Merger Process
 Issue Briefing Format
 Project Name and brief description: (e.g. widen I-85 in Rowan County):
 
 
 Last Concurrence Point:
 
 Date of Concurrence:
 
 Explain what is being proposed and your position including what you object to.
 
 
 Explain the reasons for your potential non-concurrence. Please include any data or information that would substantiate and support your position.
 
 
 List any relevant laws or regulations that you believe would be violated or jeopardized if the proposed action were implemented and explain the basis for violation. Please attach a copy of the relevant portion of the law or regulation or provide an email address where the documents may be located.
 
 
 What alternative course of action do you recommend?​

Process InformationIssue Briefing Format02-01-169/10/2012 12:44 PMSystem Account
  
Roles and ResponsibilitiesRoles and Responsibilities03-014/30/2015 2:47 PMservice-spsnapmgr
  

In July 2004, the Interagency Leadership Team (ILT) was formed to increase and enhance communication, understanding, and collaboration among the many agencies involved in the delivery of North Carolina’s transportation program. The ILT is comprised of executive leadership from the following organizations:

  •  North Carolina Department of Transportation;
  •  North Carolina Department of Environment and Natural Resources;
  •  North Carolina Department of Commerce;
  •  North Carolina Department of Cultural Resources;
  •  North Carolina Wildlife Resources Commission;
  •  North Carolina Department of Agriculture and Consumer Services;
  •  U.S. Army Corps of Engineers;
  •  Federal Highway Administration;
  •  U.S. Fish and Wildlife Service;
  •  U.S. Environmental Protection Agency; and
  •  NOAA-Fisheries.

The ILT has adopted the following as its mission and goals to pursue:

Mission:
To develop and implement an interagency leadership plan for North Carolina to successfully balance mobility, natural and cultural resource protection, community values, and economic vitality at the confluence of our missions.

Goals:
1. Develop a Comprehensive Shared GIS Database
2. Establish Early Involvement in Systems Planning
3. Continue to Improve the NEPA/Section 404 Merger Process

As part of Goal #3, Improve the Merger Process, the ILT recognizes that the Merger Process has great potential to improve project delivery and provide excellent stewardship of our state’s environmental and human resources.  Much progress has already been made, but the ILT believes there is room for continuous improvement. A specific area is the Roles & Responsibilities of Merger participants.

In order to achieve the greatest efficiency and effectiveness, the ILT believed that guidance was needed to provide participants of the Merger Process with an understanding of the roles, responsibilities, relationships, rules, and expectations needed to operate in Merger. To this end, the ILT chartered an interagency team to develop Roles & Responsibilities (R&R) for Merger participants.

R&R Team Mission Statement:
Improve the efficiency of Merger Meetings.


R&R Team Objective:
Develop a standard operating procedures or similar type document that defines and describes the roles and responsibilities of Merger Process participants. This document should establish the expectations or norms for operating the Merger Process. Specific topics to be addressed included:

  • Roles and responsibilities of participants at different phases of the Merger Process;
  • Work standards and expectations (rules) for each phase of the Merger Process;
  • Conduct and relationships among participants (e.g. respecting an agency’s expertise); and
  • Detailed steps and time frames for elevating issues, disputes, or non- concurrence within a Merger Meeting.

R&R Team Members:
Renee Gledhill-Earley, NCDCR Eric Alsmeyer, USACE Debbie Barbour, NCDOT Chris Militscher, USEPA Greg Thorpe, NCDOT Travis Wilson, NCWRC Robin Smith, NCDENR Clarence Coleman, FHWA Marella Buncick, USFWS Rob Ayers, FHWA

The output of the R&R Team is this document.  It has been reviewed and endorsed by the ILT for use in the Merger Process.

The Roles and Responsibilities were revised in 2014 by the Merger Management Team to reflect refinements and continued process improvements.

Roles and ResponsibilitiesRoles and ResponsibilitiesBackground and Purpose03-024/30/2015 1:02 PMservice-spsnapmgr
  

Agency Roles define high-level responsibilities as follows:

Federal Lead Agency
The Federal Lead Agency is the agency preparing or having taken primary responsibility for preparing the environmental document. Where federal-aid funding is anticipated, the U.S. Department of Transportation - Federal Highway Administration (FHWA) shall be the Federal lead agency in the environmental review process for a project.  Where no federal-aid funding is anticipated, the U.S. Army Corps of Engineers (USACE) will normally be the lead agency.
 
Joint Lead Agency
More than one agency can be a “Joint Lead Agency.”  Any project sponsor that is a State or local governmental entity receiving funds under Title 23 US Code or Chapter 53 of Title 49 US Code for the project shall serve as a joint lead agency with the FHWA for purposes of preparing any environmental document under the National Environmental Policy Act of 1969 (NEPA). A Joint Lead Agency may prepare any such environmental document required in support of any action or approval by the Secretary if the Federal lead agency furnishes guidance in such preparation and independently evaluates such document and the document is approved and adopted by the Secretary prior to the Secretary taking any subsequent action or making any approval based on such document, whether or not the Secretary's action or approval results in Federal funding.
 
Cooperating Agency
"Cooperating Agency" means any Federal agency other than a lead agency which has jurisdiction by law or special expertise with respect to any environmental impact involved in a proposal (or a reasonable alternative) for legislation or other major Federal action significantly affecting the quality of the human environment.
 
Federal Participating Agency
“Federal Participating Agency” means any Federal agency (other than a lead agency) which has jurisdiction or authority with respect to the project, has expertise or information relevant to the project, and intends to submit comments on the project.
 
Non-Federal Participating Agency
“Non-Federal Participating Agency” means any agency (other than a joint lead agency) which has jurisdiction or authority with respect to the project, has expertise or information relevant to the project, and intends to submit comments on the project.
 
Roles and ResponsibilitiesRoles and ResponsibilitiesRoles03-034/30/2015 1:04 PMservice-spsnapmgr
  

Primary MOU Signatory Agencies
The agencies identified as primary signatories are responsible for the successful implementation of the Merger Process.  FHWA, USACE, NCDOT and NCDENR are the primary signatories for the Merger Process agreement and are also known as the Process Owners or Sponsors.
 
Partnering MOU Signatory Agencies
The agencies identified as partnering signatories participate in the Merger Process.  The Partnering Agencies are as follows: US Environmental Protection Agency; US Fish and Wildlife Service; US Fish and Wildlife Service-Refuge; National Marine Fisheries Service; NC Wildlife Resources Commission; NC Department of Cultural Resources; NC Division of Marine Fisheries; US Coast Guard; US Forest Service; Tennessee Valley Authority; National Park Service; Metropolitan Planning Organizations (MPO's); Rural Planning Organizations (RPO’s); and the Eastern Band of Cherokee Nation.

 
 

 

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Each Project Team will consist of appropriate Primary Signatory Agencies and Partnering Signatory Agencies. The composition of Agencies on each Project Team will vary depending on the specific project's location and scope.  Some of the partnering agencies will participate only when the project is in their respective geographic area of responsibility or statutory authority.

Project Team Leader Roles

  • The USACE, NCDENR, NCDOT, and FHWA (when applicable) Project Team.  Members jointly lead the Project Team.
  • The NCDOT Project Team Member is responsible for administering the elevation process.
Chair Roles
  • The USACE Project Team Member serves as the Chair of the Merger Meeting.
  • The Chair leads the Merger Meeting.
Project Team Member Roles
  • Project Team Members work in a collaborative problem solving spirit.
  • Project Team Members will assist NCDOT in satisfying all applicable federal and state regulations and laws.
  • Project Team Members represent only their own agency.
  • Project Team Members make decisions based on the mission and authority of their agency.
  • Project Team Members may either concur or non-concur, or, in exceptional cases, they may abstain.

Facilitator (when utilized) Role

  • The Facilitator is a neutral party who provides structure and process to interactions so the Project Team is able to function effectively and make decisions.

Recorder Role

  • The Recorder takes minutes of the meeting. The NCDOT Project Team Member shall appoint a Recorder for the meeting. The recorder is preferably someone who is not a Project Team Member or actively involved in the meeting discussion.
Support Staff Roles
  • Support Staff provide information to the team.
  • Support Staff do not participate in written concurrence.
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Each agency should enter discussion of a concurrence point with a solution-oriented attitude. After sufficient discussion and an opportunity for NCDOT to provide requested information, each agency will either concur or non-concur, or, in exceptional cases, abstain.

 

If additional information is requested at a meeting, the Project Team will consider the need and reasonableness of obtaining such information.  Factors to be considered in obtaining the information are cost, the benefit of the information to a project decision, and any associated project delay. If disagreements arise on additional information requests, the Project Team can elevate the decision to the Merger Management Team (MMT) for review.
Definitions of concurrence, non-concurrence, and abstention are provided below:

 

  • Concurrence
    • “I do not object to the proposed action based on the laws and regulations of my program and agency."
  • Non-concurrence
    • “I do not concur as the information is not adequate for this stage and/or concurrence could violate the laws and regulations of my program and agency.”
      • Non-concurrence should not be utilized based on lack of information without affording NCDOT a reasonable opportunity to provide the requested information.
  • Abstention
    • “I do not actively object, but I am not signing the concurrence form. The Merger Process may continue and I agree not to revisit the concurrence point subject to the guidance on revisiting concurrence points” (documented on page 2 of the Merger MOU).

If an organization decides to either non-concur or abstain, that organization is responsible for documenting its reasons in writing to all Project Team Members within five (5) business days of the Merger Meeting. Primary agencies are responsible for reviewing the reasons for abstaining to determine if the process should move forward.

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Scheduling (Project Team Leaders)

  • Project Team Leaders are responsible for screening projects for use of the Merger Process, as per existing Merger Screening Process.
    • For 4B & 4C meetings, non-Merger projects may be accommodated, but will be noted as “non-merger.”
    • If requests for additional information by Project Team Member(s) are made, the Project Team Leaders are responsible for determining if the information can/will be provided and whether the meeting needs to be postponed or can occur as scheduled. Factors to be considered in obtaining the information are cost, the benefit of the information to a project decision, and any associated project delay. If disagreements arise on additional information requests, the Project Team can elevate the decision to the Merger Management Team (MMT) for review.
      • If the information cannot or will not be provided for the next Merger Meeting, the Project Team Leaders are responsible for notifying the Project Team Member(s) of the reason(s) why the information will not be provided.  Such notification will be in writing and all other Project Team Members will be copied.

Scheduling (NCDOT Team Member)

  • The NCDOT Project Team Member is responsible for consulting with the USACE, NCDENR, and FHWA Project Team Members on whether sufficient information exists to warrant scheduling a team meeting.
    • If two (2) or more years have passed since the last Merger Meeting, the NCDOT Project Team Member is responsible for checking back with the Project Team Members to determine whether information should be updated before scheduling action on the next concurrence point.
    • The NCDOT Project Team Member is responsible for notifying the USACE, NCDENR and FHWA Project Team Members of any new information that supersedes the information packet that has already been distributed to Project Team Members.
    • For substantial information changes to packets, the NCDOT Project Team Member is responsible for notifying the Project Team as soon as information is known to determine whether to reschedule the meeting.
      • The NCDOT Project Team Member will consult with the USACE, FHWA, and NCDENR Project Team Members to determine if the meeting needs to be rescheduled based on new substantive information that is uncovered (between sending information packet and meeting date).
        • The NCDOT Project Team Member will notify the Concurrence Meeting Coordinator to reschedule the meeting if determined necessary.

Scheduling (Field Meeting)

  • Project Team Field meetings will be held if deemed necessary by the Project Team Leaders for decision-making and concurrence.
    • The NCDOT Project Team Member is responsible for setting up Project Team Field Meetings.
  • Nothing in these procedures precludes a Project Team Member (or any combination of Project Team Members) from going into the field prior to a Merger Meeting.
    • Should a Project Team Member request a Project Team Field Meeting and   that request be denied by the Project Team Leaders, then appropriate
      Project Team Leaders will accompany the requesting Project Team Member into the field prior to a Merger Meeting.

Concurrence Daily Agenda
The Concurrence Daily Agenda is a list of projects to be discussed on a particular day (not to be confused with a Project-Specific Agenda which outlines what is expected to be accomplished during a particular Merger Meeting).

Concurrence Daily Agenda (NCDOT Team Member)

  • For CP1 through CP 4A, PDEA is responsible for using Internal NCDOT
    guidelines for scheduling meetings.
    • The NCDOT Project Team Member is responsible for submitting a Merger Meeting request to the PDEA Concurrence Meeting Coordinator, who schedules the meeting. 
    • The PDEA Concurrence Meeting Coordinator is responsible for distributing the Concurrence Daily Agenda three (3) weeks in advance of the meeting date. This will enable Project Team participants to have three (3) weeks’ notice of when their Project Team will meet. The Concurrence Daily Agenda will also be posted on the NCDOT website.
  • For CP 4B & 4C, the NCDOT Hydraulics Unit is responsible for scheduling the meeting and meeting place.

Information Packet (NCDOT Project Team Member)

  • For CP 1 through CP 4A, the NCDOT Project Team Member is responsible for assembling the pre-meeting information packet.
    • The NCDOT Project Team Member is responsible for developing the Project-Specific Agenda (what is expected to be accomplished at the meeting) in consultation with the Project Team Leaders.
    • The NCDOT Project Team Member is responsible for including
      information in the packet pertaining to what should be accomplished at the stage of project to be discussed at the scheduled meeting.
    • The NCDOT Project Team Member is responsible for providing a brief history of the project (including results of any prior concurrence point results) as part of the packet.
    • The NCDOT Project Team Member is responsible for ensuring appropriate “Appendix A” material is included in the packet.
    • The NCDOT Project Team Member is responsible for consulting with the USACE, NCDENR, and FHWA Project Team Members if information requests from a previous meeting (if applicable) will not be included in the packet.
    • If disagreements arise, the Project Team can elevate the decision to the Merger Management Team (MMT) for review.
  • The NCDOT Project Team Member is responsible for providing the packet to the PDEA Concurrence Meeting Coordinator.
  • The PDEA Concurrence Meeting Coordinator is responsible for sending out the meeting packets. Packets will be provided electronically.
  • NCDOT is responsible for ensuring packets are received at least two (2) weeks in advance of the meeting.
  • For CP 4B & 4C, the Hydraulics Unit Concurrence Meeting Coordinator is responsible for sending out the review materials (roadway plans for 4B, plans/permit drawings/stormwater management plans for 4C) two (2) weeks prior to the meeting.

Information Packet (Project Team Members)

  • Project Team Members will receive information packets in electronic format.  Project Team Members are responsible for ensuring that they have the capability to receive and print packets distributed to them electronically.

Receipt/Review (Project Team Members)

  • Project Team Members are responsible for notifying the NCDOT Concurrence Meeting Coordinator (with a “cc” to the NCDOT Project Team Member) in a timely manner prior to a Merger Meeting if the packet is not received by two (2) weeks in advance of the meeting.
    Project Team Members are responsible for reviewing the packet prior to Merger Meetings.
  • Project Team Members are responsible for being prepared for Merger Meetings.
  • Project Team Members are responsible for forwarding any substantial concerns to the NCDOT Project Team Member via e-mail with a copy to other Project Team Members in advance of Merger Meetings.
    • If an Agency has concerns regarding predictive methodology (e.g. traffic projections), or other technical matters, appropriate support staff will be utilized to address concerns.  Alternative methodologies may be proposed.
    • An agency objecting to or expressing reservations about the proposal on grounds of environmental impacts shall work collaboratively with the Project Team to determine the avoidance and minimization measures considered necessary to allow the agency to grant or approve applicable permit, license, or related requirements or concurrences.
  • Project Team Members may request additional information in advance of Merger Meetings.  Such requests will be via email and sent to the NCDOT Project Team Member. Such requests will be via e-mail preferably at least one (1) week prior to the Merger Meeting.  Additional information will be provided to all Project Team Members.
    • Requests for additional information shall be as specific as possible.
    • An agency shall specify in its comments whether it needs additional information to fulfill other applicable environmental reviews or consultation requirements and what information it needs. In particular, it shall specify any additional information it needs to comment adequately on the  analysis of substantial, site-specific effects associated with the granting or approving by that agency of necessary State or Federal permits, licenses, or other requirements.

Participation (Project Team Members)

  • Project Team Members are strongly encouraged to attend Merger Meetings on- site.  Video-conferencing is an option; however, attendance in person is preferred. Notification of attendance via video-conference should be submitted to the NCDOT Project Team Member at least one (1) week in advance of the meeting if possible.
  • Should a Project Team Member not be able to attend a Merger Meeting in person or via video-conference and this is known in advance, the Project Team Member is responsible for notifying the Project Team Members and will do one of the following:
    • send a substitute with decision-making authority, providing the name of the substitute to NCDOT before the meeting; or
    • send a substitute without decision-making authority and submit any decisions related to the project to NCDOT via email within two (2) weeks of the meeting; or
    • contact the NCDOT Project Team Member to obtain updates on the project following the meeting. The Project Team Member shall submit any decisions related to the project to NCDOT via email with in two (2) weeks of the meeting.

Participation (Project Team Leaders)

  • If the NCDOT, NCDENR, FHWA (for Federally funded projects) and/or the USACE Project Team Members are not able to attend and do not have a prepared substitute, then the Merger Meeting shall be postponed.

Participation (NCDOT Project Team Member)

  • The NCDOT Project Team Member is responsible for ensuring that he/she understands the details of what will be discussed at meetings in advance and will inform and involve appropriate staff members at the Merger Meetings to ensure that technical issues (e.g. safety, feasibility of construction, etc.) can be addressed.
  • The NCDOT Project Team Member is responsible for inviting all applicable technical experts (e.g. Hydraulics engineers, Geotechnical staff, Bicycle & Pedestrian Division staff, Structures Management Unit staff, etc.) to field meetings and all concurrence meetings based on the nature of the project.
  • The NCDOT Project Team Member up until CP 4A, will attend CP 4B & 4C meetings.
  • The NCDOT (after consulting with the USACE Project Team Member) is responsible for making the decision to postpone the meeting.
  • The NCDOT Project Team Member is responsible for notifying the Concurrence Meeting Coordinator of a meeting postponement.
  • The Concurrence Meeting Coordinator is responsible for notifying Project Team Members of a meeting postponement through the normal e-mail process.

General (NCDOT Project Team Member)

  • NCDOT is responsible for providing facilitators for large, complex, or controversial projects.
  • NCDOT will often use consultants who will assist in developing, delivering, and sharing various planning, design, environmental information, etc. The role of the consultants within the Merger meetings will be to present and to share the technical information with the Merger Team. The NCDOT Project Team Member will be responsible for coordinating with the consultant and explaining the consultant’s role to the Merger Team for each project. The NCDOT Project Team Member will retain all other responsibilities as defined within this document.
  • The NCDOT Project Team Member is responsible for reviewing information to be presented and ensuring that material can be easily viewed by all Project Team Members.
  • The NCDOT Project Team Member is responsible for maintaining an up-to-date list of Project Team Members.
    • The NCDOT Project Team Member is responsible for notifying the PDEA Concurrence Meeting Coordinator when Project Team Member information changes.
    • PDEA is responsible for keeping mailing lists for Merger participants updated on a specified basis by project and ensuring this information is made available on the NCDOT website.

General (Project Team Members)

  • Agencies are responsible for notifying the NCDOT Concurrence Meeting Coordinator (with a “cc” to the NCDOT Project Team Member) of any changes in their agency’s Project Team membership.
  • Project Team Members are responsible for notifying the Project Team Leaders via e-mail when participation is no longer desired and/or warranted.
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NCDOT Project Team Member

  • The purpose and objective of the meeting will be clearly stated by the NCDOT Project Team Member on the agenda sheet. This information is provided, via the information packet, to the Concurrence Meeting Coordinator by the NCDOT Project Team Member prior to distribution of the meeting agendas. Informational meetings are acceptable and will be noted as such on the agenda.
  • The NCDOT Project Team Member is responsible for appointing a timekeeper to ensure participants are aware of remaining time.
    The NCDOT Project Team Member is responsible for bringing copies of NEPA documents to Merger Meetings.
  • The NCDOT Project Team Member is responsible for ensuring that technical information is presented in a clear manner.
    Such information will be easy to understand and easy to view by all
    Project Team Members.
  • At the conclusion of each Merger Meeting, the NCDOT Project Team Member is responsible for informing the Project Team of the tentative schedule for the next steps/concurrence point.
  • If the “Agency’s preferred alternative” is FHWA’s or NCDOT’s only choice, the FHWA Project Team Member or NCDOT Project Team Member is responsible for explaining why.
  • The NCDOT Hydraulics Engineer responsible for CP 4B & 4C is responsible for adding the NCDOT PDEA Project Team Member from CP1 through CP4A to the CP 4B & 4C meeting distribution lists, and providing the PDEA Project Team Member with hydraulic review (4B & 4C) information packets prior to the 4B & 4C meetings.
  • The Record Keeper is responsible for taking notes, preparing meeting minutes.  The NCDOT Project Team Member is responsible for finalizing the meeting minutes.

USACE Project Team Member

  • The USACE Project Team Member is responsible for chairing the meeting.
    • The Chair is responsible for starting meetings on time.
      The Chair is responsible for playing an active role to promote participation.
    • The Chair is responsible for managing the discussion to keep focus.
    • The Chair is responsible for leading the team through the agenda.
    • The Chair is responsible for ensuring that non-agenda discussions are kept to a minimum.
  • At the conclusion of each Merger Meeting, the Chair is responsible for summarizing next steps (i.e., additional information needed for concurrence or next concurrence point).

Project Team Members

  • Agencies are responsible for ensuring meeting attendance.
    • Project Team Members are responsible for arriving on time to Merger Meetings.
    • Project Team Members are responsible for bringing their information packets with them to the meeting.
  • Merger participants will abide by the “Public Service Code of Conduct.” (See Appendix)
  • Project Team Members will be responsible for ensuring they are empowered to represent their agencies and make decisions.
    • Project Team Members are responsible for making decisions based on their agency’s authorities.
  • Project Team Members are responsible for not revisiting concurrence point decisions unless new, substantial information is brought to light. The Project Team Leaders will determine if new information warrants revisiting a concurrence point decision.
  • Project Team Members are responsible for identifying concerns regarding predictive methodology (e.g. traffic projections) and, if known, describe the alternative methodology preferred and why.  Support staff may be utilized to address concerns.
  • Project Team Members who object to or express reservations about the proposal on grounds of environmental impacts work collaboratively with the Project Team to determine the avoidance and minimization measures considered necessary to allow the agency to grant or approve applicable permit, license, or related requirements or concurrences.
  • Project Team Members may request additional information in advance of Merger Meetings if the information being provided in accordance with Appendix A of the Merger Guidance is insufficient.  Such requests will be via e-mail preferably at least one (1) week prior to the Merger Meeting.
    • Requests for additional information shall be as specific as possible and shall explain why the information provided in accordance with Appendix A is insufficient.
    • An agency shall specify in its comments whether it needs additional information to fulfill other applicable environmental reviews or consultation requirements and what information it needs. In particular, it shall specify any additional information it needs to comment adequately associated with the granting or approving by that agency of necessary State or Federal permits, licenses, or other requirements.
  • If an organization decides to either non-concur or abstain, that organization will indicate such by a statement on the concurrence form, and will sign the statement. The organization is responsible for documenting its reasons via email to all Project Team Members within five (5) business days of the Merger Meeting. Project Team Leaders are responsible for reviewing the reasons for abstaining to determine if the process should move forward.

Project Team Leaders

  • The Project Team Leaders are responsible for determining how to address/resolve “parking lot” issues. “Parking lot” issues are those issues which arose during the Merger Meeting that could not easily be addressed during the course of the meeting without deterring from the Merger Meeting agenda.
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Concurrence

  • Project Team Members who did not attend the Merger Meeting shall submit any decisions related to the project to NCDOT via email with in two (2) weeks of the meeting.
  • The NCDOT Project Team Member will pursue signing of the concurrence form from Project Team members who did not attend the Merger Meeting.
  • Concurrence forms may be signed electronically using DocuSign.  The form should be signed and passed along within three (3) business days from receipt.

Non-concurrence

  • Issues of non-concurrence will be documented and the Conflict / Dispute Resolution Process will be initiated.  Guidance for Conflict / Dispute Resolution is included in Appendix B.
  • Initiation of the Conflict / Dispute Resolution Process is appropriate when the team cannot concur.
  • The Conflict / Dispute Resolution Process will begin in a timely manner.
  • Any Project Team Member can initiate the Conflict / Dispute Resolution Process.

Meeting Record

  • The NCDOT Project Team Member is responsible for providing draft meeting minutes via email to the Project Team within two (2) weeks of the Merger Meeting.  Project Team Members will provide comments on the draft minutes via email within two (2) weeks of receipt. The NCDOT Project Team Member will prepare the final meeting minutes and submit via email to Project Team Members within one (1) week after receiving Project Team Members comments.
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Public Service Code of Conduct for Participation in the Transportation Decision-Making Process

As partners of the transportation and environmental decision-making process, we must work together to develop, implement and maintain transportation projects in an environmentally responsible manner. 
 
Public Service is a public trust. We must earn and maintain this trust by conducting ourselves in a manner that reflects the following principles:
 
Professionalism – We will conduct ourselves in a professional manner in dealing with other agencies and the public.
 
Fairness and Reasonableness – We will be open-minded, impartial, and consistent in our interactions with other agencies and the public to ensure all actions and decisions are free from bias and are not arbitrary or capricious. We will treat people equally and with tolerance.
 
Knowledge – We will remain knowledgeable of applicable law, regulations, and scientific and technical advancements which affect the delivery of the transportation program in an environmentally responsible manner.
 
Honesty – We will be truthful, straightforward, and candid in all dealings.
 
Timeliness – We will strive to provide other agencies and the public with timely responses regardless of whether those responses are favorable or adverse.
 
Accountability – We will be decisive in all actions and accept responsibility for any of our decisions and resulting consequences. All decisions and recommendations will be based on fact and properly documented.
 
Respect – We will treat others with dignity, courtesy, compassion, and sensitivity.​

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SECTION 404 NEPA Merger Process TRAINING
FOR PRACTITIONERS, TECHNICAL PARTICIPANTS AND EXECUTIVES
 
Background
The Section 404 NEPA Merger Process has been applied to surface transportation projects in the State of North Carolina since the original agreement integrating Section 404 permit requirements with the NEPA process was signed in May 1997. In May 2001, multiple state and federal agencies began an initiative to modify the original process to incorporate experience gained with years of use of the 1997 agreement, guidance from the USACE-NCDOT-NCDENR permit process improvement workshop, and incorporation of the streamlining provisions of the Transportation Equity Act for the 21st century (TEA-21). The modified agreement was signed in May/June 2005 by the primary signatory agencies [U.S. Army Corps of Engineers (USACE), N.C. Department of Transportation (NCDOT), Federal Highway Administration (FHWA) and N.C. Department of Environment and Natural Resources (NCDENR)]. 
 
Purpose
The purpose of the Section 404 NEPA Merger Process Training is to generally familiarize practitioners, technical participants and executives with the Section 404 NEPA Merger Process Information as approved in May/June 2005 by the primary signatory agencies. Successful completion of the training will result in more timely, cost-effective and environmentally sound NCDOT project delivery. Merger meetings will be more efficient, and therefore the frequency of merger meetings at which concurrence is reached will increase. The training will increase awareness that merger meetings should be approached as problem-solving sessions. The training will also help to ensure that roles and responsibilities of merger process practitioners are commonly understood. Ultimately, the training should foster interagency cooperation and team-building.
 
The Section 404 NEPA Merger Process Training courses will provide an overview of Section 404 NEPA Merger Process Information, including the MOU, the Merger Screening Process, Process I, II and III, Merger Project Team meeting information (Appendix A), and Implementation Guidance for Conflict or Dispute Resolution (Appendix B). The training courses will specifically provide the common language of the Merger Process, the different stages of transportation planning and design, the integration of NEPA/404 requirements, the sequential steps in the concurrence point system, the information needs for the public and the review agencies, and the general methods to avoid and minimize impacts to the human and natural environment to the maximum extent practicable.
 
The training is intended for practitioners, technical participants and executives who take part in the Section 404 NEPA Merger Process from the following entities: (1) state and federal agencies that are listed as primary and partnering signatories to the Section 404 NEPA Merger Process Information as approved in May/June 2005; (2) Metropolitan Planning Organizations; (3) Rural Planning Organizations; and (4) consulting firms. The course will be offered at three levels: the practitioner's course will be a detailed overview; the technical participants' course will be a general overview; and the executive course will be a high-level overview. The Section 404 NEPA Merger Process training will be repeated on a regular basis to ensure that new staff have an opportunity to attend. ​

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PRACTITIONER AND PARTICIPANT TRAINING
 
FHWA

  • Area Engineers
  • Planning and Environmental Programs Staff

NCDOT

  • Project Development Engineers
  • Environmental Specialists(NEU and HEU)
  • Transportation Planners
  • Design Engineers
  • Division Engineers
  • Division Construction Engineers
  • Division Environmental Officers
  • Hydraulics Engineers

Local Government

  • MPO representatives
  • RPO Representatives

Private Sector

  • Engineering consultants

Resource Agencies

  • USCOE
  • USFWS
    • Field Offices
    • Refuge Offices
  • USEPA
  • NMFS
  • USCG
  • TVA
  • NPS
  • NFS
  • DENR
    • DWQ
    • DCM
    • DMF
  • NCWRC
  • DCR
    • SHPO
    • Office of State Archaeology

Other

  • Eastern Band of the Cherokee Nation


EXECUTIVE TRAINING

Senior and mid-level managers from:

  • FHWA
  • NCDOT
  • Resource Agencies
    • USCOE
    • USFWS
    • USEPA
    • NMFS
    • USCG
    • TVA
    • NPS
    • NFS
    • DENR
      • DWQ
      • DCM
      • DMF
    • NCWRC
    • DCR​
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Executive Course
This ½ day course will provide an overview of the Section 404/NEPA Merger Process information, including the MOU, the Merger Screening Process, Processes I, II, and III, Merger Project Team meeting information, and Implementation Guidance for Conflict or Dispute Resolution. The course, with an emphasis on the Conflict Resolution Process, is designed for upper level managers with staff having roles within the merger process.
 
Practitioners Course
This 2 ½ day course will provide a detailed description of the Section 404/NEPA Merger Process information, including the MOU, the Merger Screening Process, Processes I, II, and III, Merger Project Team meeting information, and Implementation Guidance for Conflict or Dispute Resolution. The course will specifically provide the common language of the Merger Process, different stages of transportation planning and design, the integration of NEPA/404 requirements, the sequential steps in the concurrence point system, the information needs of the public and the review agencies, and the general methods to avoid and minimize impacts to the human and natural environment.
 
This course is very detailed and is intended for those who are Merger Team members or those who are heavily involved in the merger meetings. Participants will understand how the merger process fits within the overall development of the project and will receive detailed instruction on how to screen projects for inclusion, prepare merger packets, and interact with other merger team members through the roles and responsibilities module. The course also contains several hands-on activities designed to simulate participating in merger meetings.
 
Technical Participants Course
This ½ day course will provide an overview of the Section 404/NEPA Merger Process information, including the MOU, Merger Screening Process, Processes I, II, and III, Merger Project Team meeting information, and Implementation Guidance for Conflict or Dispute Resolution. This course is designed for those who participate in or prepare information for inclusion at merger meetings, but are not members of the merger team and do not normally interact with team members during the merger meetings.​

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General
A process flow chart that outlines the Section 404/NEPA Merger 01 Process (Merger 01 Process) for projects on new location is attached (Process I). This flow chart depicts the major milestones in the process but it 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 merger process at the appropriate time. For example, public involvement is a critical component of the project development activities and will 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.
 
NOTE: This Section 404/NEPA Merger 01 Process may be utilized as a 23 U.S.C. 139 Coordination Plan.
 
Project Team Meetings
Team meetings will be held at each of the concurrence points in the Process. Additional meetings may be held as determined necessary by the Project Teams. NCDOT's Project Development Engineer should coordinate closely with the appropriate USACE, FHWA, and NCDENR team members 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. Appendix A provides guidance on information to be presented at each concurrence meeting.
At the end of each meeting, the Project Development Engineer or Hydraulics Project Engineer, with the team's help, will summarize the results of the meeting, including agreements or concurrence points achieved. If agreement or concurrence is not obtained, the next steps or action items should be clearly identified. If additional information or action is required, the type of information or action needed and the responsible agency(ies) or team member(s) should be clearly noted.
 
The Project Development Engineer is responsible for preparing a summary of all meetings for distribution to all team members, except the summary for the 4B and 4C Concurrence meetings that will be completed by the Hydraulics Project Engineer. Each team member will read the meeting summary that includes issues agreed upon, outstanding issues, and action statements (next steps) carefully to ensure accuracy of the project records. Substantive errors and omissions will be identified and provided within 30 days to the Project Development Engineer or Hydraulics Project Engineer for prompt resolution.
 
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.
 
Step by Step Implementation Procedures
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.
 
1. Initiation of Project Study
For projects requiring Federal Environmental Impact Statements, NCDOT will send a project initiation letter to the FHWA -- North Carolina Division Administrator. The project initiation letter will contain the type of work, termini, length, and general location of the proposed project. This letter will also provide a list of any other Federal approvals (e.g., Section 404 permits) anticipated to be necessary and will indicate the timeframe within which the environmental review process should be started. NCDOT will begin the project study by gathering background data and information and sending out the project scoping letter and/or start of study letter. This letter initiates the project's concept and solicits input from federal and state agencies (including the State Clearinghouse), local government agencies, the public, and other NCDOT units and branches. The level of detail provided in these letters includes a TIP description and a vicinity map.
 
2. Data Collection
The Project Development Engineer will collect all available information, including aerial photography (orthophotographs), and background data needed to hold a project scoping meeting, as identified by responses to the scoping letter and standard requirements.
 
3. Develop Project Team
The Project Development Engineer will consult with the appropriate USACE, NCDENR and FHWA representative to identify specific Project Team members. NCDOT will provide written verification of team members to all the team members. If an agency declines to participate on the team, their decision will be documented in writing to NCDOT, NCDENR, USACE and FHWA. If an agency drops from the Project Team during the process, their self-removal will also be documented in writing.
 
For federally funded projects, the Lead Federal agency will be the Federal Highway Administration, and NCDOT will be a Joint Lead agency in accordance with 23 U.S.C. 139(c). If the project is state-funded, the Lead Federal Agency will usually be the U.S. Army Corps of Engineers, with NCDOT serving as a Joint Lead agency. The designation of the Lead Federal agency and any Joint Lead agencies will satisfy 23 U.S.C. 139(c) requirements (see Appendix). All Project Team members will be considered as Participating agencies in accordance with 23 U.S.C. 139(d).
 
The Merger 01 Agreement serves as a standing invitation to all the Participating agencies named in the Merger 01 Process Memorandum of Understanding (this includes Primary and Partnering signatories to the Memorandum of Agreement as well as other agencies when a project is within their respective geographic area) to participate in the environmental review process for individual projects, as appropriate based on jurisdiction. These agencies are: U. S. Army Corps of Engineers Federal Highway Administration North Carolina Department of Transportation U. S. Environmental Protection Agency U. S. Fish and Wildlife Service North Carolina DENR, Division of Water Quality North Carolina Wildlife Resources Commission North Carolina Department of Cultural Resources North Carolina DENR, Division of Coastal Management (within the twenty coastal counties) Metropolitan Planning Organizations (MPO's) (in MPO areas) National Park Service (in the vicinity of national parklands) U. S. Coast Guard (Coast Guard permitted bridges) U. S. Forest Service (in the vicinity of national forest property) Tennessee Valley Authority (within TVA region) U. S. Fish and Wildlife Service - Refuge (in the vicinity of federal refuges) Eastern Band of Cherokee Nation-Tribal Historic Preservation Officer North Carolina Division of Marine Fisheries (when there is any possibility that resources under their jurisdiction are in the project vicinity) National Oceanic and Atmospheric Administration (NOAA) (when there is any possibility that resources under their jurisdiction are in the project vicinity) Rural Planning Organizations (RPO's) may be invited to participate as advisory members for projects within their geographical area.
Therefore, no 23 U.S.C. 139 invitation letter needs to be issued to agencies that are listed above. However, if the Joint Lead agencies (FHWA and NCDOT), after consulting with the other two Primary Signatory Agencies of the Merger 01 Process ( USACE and NCDENR), agree to invite governmental agencies with an interest in the project other than those listed above, then a specific invitation to participate will be issued. The decision to invite an additional agency to participate will be based largely on that agency's jurisdiction or authority with respect to the project, whether that agency has expertise or information relevant to the project, and whether that agency intends to submit comments on the project. The invitation shall set a deadline for responses to be submitted. The deadline may be extended by the Lead agencies for good cause. Any Federal agency that is invited by the Lead agencies to participate in the environmental review process for a project shall be designated as a Participating agency by the Lead agencies unless the invited agency informs the Lead agencies, in writing, by the deadline specified in the invitation that the invited agency - (A) has no jurisdiction or authority with respect to the project; (B) has no expertise or information relevant to the project; and (C) does not intend to submit comments on the project. The process for inviting Participating agencies satisfies 23 U.S.C. 139(d) requirements (see Appendix).
 
A State, tribal, or local agency not listed as a primary or partnering agency above must respond affirmatively to the invitation to be designated as a Participating agency. If the State, tribal, or local agency fails to respond by the stated deadline or declines the invitation, regardless of the reasons for declining, the agency should not be considered a Participating agency.
 
4. Project Scoping
The Project Scoping Meeting is held by NCDOT to discuss background data, preliminary purpose and need, engineering and environmental inventories, the proposed scope of the project, and potential substantial project issues. The Project Team members will be invited to attend and provide input. For EIS projects, this may be the only opportunity for the Project Team members to review preliminary purpose and need information prior to presenting it to the public (see Step 6 below). Project Team members should attend the scoping meeting and provide written input in response to the scoping letter. Specifics regarding other potential opportunities for involvement will be made known to the Participating agencies prior to the scoping meeting.
 
In lieu of a scoping meeting, a formal start of study meeting may be held on projects when the Project Development Engineer concludes that a formal meeting will expedite the project. This meeting will include all NCDOT Branches and Units responsible or participating in project development activities and local government representatives having an interest in the project. The Project Team members will be invited to attend and provide input.
 
The purpose of this meeting is to share information regarding anticipated economic and transportation benefits and/or adverse impacts to the community, and known human and natural environmental constraints. The meeting will also provide local government representatives an opportunity to provide input into the project scope.
 
For federal EIS projects, the Lead agencies shall determine, in collaboration with Participating agencies at appropriate times during the study process, the methodologies to be used and the level of detail required in the analysis of each alternative for a project, in compliance with 23 U.S.C. 139(f)(4)(c) (see Appendix). This collaboration should begin during the scoping process. Decisions on methodologies and the level of detail will be documented and presented to the Project Team at appropriate times during the project development process.
 
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. Timeframes for review within the project schedule, and modification to the schedule will be consistent with requirements of 23 U.S.C. 139(g) (see Appendix). Also, the project schedule, and any modifications, will be made available to all Participating agencies and the public.
 
5. Notice of Intent
If NCDOT and FHWA determine an EIS should be prepared, a Notice of Intent will be filed in the Federal Register. If it is not clear at this point that potential project impacts warrant an EIS, the decision to prepare a Notice of Intent may be delayed until step 12 when more information is available.
 
6. Public Involvement
For projects for which a Federal Environmental Impact Statement (EIS) will be prepared, public involvement must occur prior to Concurrence Point 1 (Purpose and Need). One or more of the following public involvement techniques may be used at this point in the process: Citizens informational workshop Website Newsletter or other mailings Press releases Well-documented public involvement during the Comprehensive Transportation Planning process1
1Upon full implementation of the Integration of Long Range Planning and Project Development and in accordance with 23 CFR 450.212, 318 and Appendix A, and 23 CFR 771.
 
 
Any of the employed techniques must present preliminary purpose and need information and solicit input on the need for and purpose of the project and potential preliminary study alternatives that might address the perceived need.
 
If necessary, an informational Merger meeting can be scheduled to further discuss this information with the Project Team prior to the purpose and need public involvement. The decision to hold an informational Merger meeting should be made jointly between the Project Development Engineer, the USACE representative, and the FHWA Area Engineer, and NCDENR, and should be based on considerations such as the public involvement technique to be employed and the inter-agency participation and comments from the scoping meeting.
 
Any public comment relevant to purpose and need will be considered by FHWA and NCDOT prior to Concurrence Point 1 and shared with the Project Team.
 
7. Develop Preliminary Purpose and Need (P & N)
Transportation Planning provides a Planning Level Purpose and Need for each project that was developed during the systems planning process to the Project Development Engineer. In cases where Transportation Planning does not have personnel assigned to a particular area, the Project Development Engineer will develop a draft Purpose and Need. Also, additional engineering and environmental inventory data may be obtained for use in further developing and refining the Purpose and Need for a project. The type of information and level of detail collected must be determined for each project and could include information such as the following: Preliminary limits of the study area Existing traffic and future no-build average daily traffic Roadway geometric deficiencies and accident history Transportation plans Land use plans Areas of interest to local citizens and elected officials Legislative mandates Economic initiatives Intermodal relationships, including bicycle/pedestrian systems, transit (rail and bus), port facilities and airport facilities Project history and background information including feasibility studies and community issues Highway Needs Inventory (HNI) status GIS Mapping Aerial Photography Other readily available information
8. Concurrence Point 1 - Purpose and Need and Study Area Defined
The Purpose and Need (P & N) Statement forms the basis for identification of alternatives to be evaluated. Therefore, concurrence will be obtained on the Purpose and Need before potential alternatives are identified. NCDOT will prepare a Preliminary Purpose and Need Statement, along with supporting technical documentation. The P & N information package will be sent to team members so that they will receive it at least two weeks prior to the team meeting. The supporting technical information will include a GIS map of the study area and a summary of any information or comments from the public concerning purpose and need and community concerns. This statement should clearly demonstrate that a "need" exists and should define the "need" in terms understandable to the general public. The statement should clearly describe the problems that the proposed action is to correct.
 
A team meeting will be held to discuss the preliminary P & N Statement and Study Area along with supporting data. Team members will review the information prior to the meeting, including a summary of public input, and be prepared to discuss any concerns. At the meeting, the NCDOT Project Development Engineer will provide GIS level mapping of the Study Area and aerial photography (orthophotography). Also, any other readily available information will be presented for the team's information. The Study Area may need to be expanded to accommodate environmental features. Also, it may be necessary to conduct more than one meeting on Purpose and Need if additional information is needed to define the Project Study Area. The goal of the meeting is for team members to concur with and sign the Purpose and Need and Study Area concurrence form.
 
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.
 
If concerns are raised at the team meeting, which require additional documentation or revisions to the P & N Statement, the NCDOT will incorporate the additions or revisions and redistribute the P and N Statement for concurrence or comment. This will be done prior to the follow-up Concurrence Point 1 meeting or as soon as possible if it is determined that a second meeting is not required.
 
9. Environmental Features Map
After Purpose and Need and Study Area concurrence has been obtained, NCDOT, with consultation from the agencies, will develop an environmental features 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 on a screening level basis. 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 Identify utilities within project study area using best available information
Based on the environmental features map, the study area may be re-confirmed. Generally, the study area will not be redefined unless new information necessitates re-evaluation.
 
10. Alternative Corridors Development, Functional Design and Citizens Information Workshop (CIW)
For Federal EIS projects, the Lead agencies shall determine, in collaboration with Participating agencies at appropriate times during the study process (beginning in scoping), the methodologies to be used and the level of detail required in the analysis of each alternative for a project, in compliance with 23 U.S.C. 139(f)(4)(c) (see Appendix). The NCDOT Project Development Engineer and the Design Engineer will identify preliminary corridors that address the Purpose and Need for the project and consider the environmental constraints within the study area. The Design Engineers will prepare functional designs for each preliminary corridor that is considered. A functional design is a very general design that includes horizontal and vertical alignments, edge of pavements, slope stakes, and right of way limits for all alignments and interchanges. No turn lanes or superelevation are added at this stage. This design is done on orthophotographs.
 
After identification of the preliminary corridors, the NCDOT will hold a Citizens Informational Workshop (CIW) or conduct other public involvement to present the Project Purpose and Need for the project and preliminary corridors that are identified. Project Team members are encouraged to attend and participate in these workshops to fully understand public concerns and issues. A file memorandum will be prepared by the Project Development Engineer to summarize and document public input and it will be included as part of the informational package for team members. The Project Team will consider the comments received at the CIW in selecting the range of alternatives to be studied further. Any additional corridors recommended by the public will be considered by NCDOT and presented to the Project Team as appropriate.
 
11. Alternative Development, Analysis, and Screening Meetings
Prior to the first Project Team meeting on alternatives, the Project Development Engineer will send team members a copy of a draft Preliminary Alternative Analysis Report, which includes the summary of public input. At the meeting on alternatives, team members should be prepared to discuss the alternatives and, if appropriate, suggest modifications to NCDOT's preliminary conceptual alternatives and/or recommend additional alternatives. Also, team members may Identify specific or additional environmental resources that are important Recommend any additional alternatives/studies necessary
NCDOT will prepare detailed minutes of the meeting. It is recognized that one or more team meetings may be necessary to develop, analyze and screen alternatives to satisfy every agency's needs. Team member comments will be noted in minutes of the meeting prepared by the Project Development Engineer.
 
Prior to the Project Team meeting for Concurrence Point 2 (Detailed Study Alternatives Carried Forward), the Preliminary Alternatives Report will be completed and distributed to the Project Team members. The report will identify all the alternatives considered during the preliminary alternatives phase of the project and provide justification for those alternatives recommended for elimination from further consideration. The decision to eliminate alternatives must be made jointly by the team members. No alternatives will be eliminated without the concurrence of each member of the Project Team. The rationale for eliminating alternatives from further consideration will be documented by the Project Development Engineer.
If no additional alternatives or studies are requested, the team may proceed directly to step 12 (Concurrence Point 2).
 
12. Concurrence Point 2 – Detailed Study Alternatives Carried Forward (DSA)
The intent of the Concurrence Point 2 meeting is to obtain consensus from the Project Team on which corridors will be fully evaluated as alternatives, including the "no build" alternative, in the environmental document. The alternatives selected must meet the purpose and need of the project with the exception of the "no build" alternative.
 
The Project Team will strive to reach agreement on alternatives that meet the Purpose and Need and include all alternatives that should be evaluated in detail in the environmental document to fulfill NEPA and Section 404 requirements. Concurrence by the Project Team on detailed study alternatives to be included in the draft document, as part of the NEPA and NCEPA process and corresponding Section 404 Permit Public Notice, is not a commitment on the part of the regulatory agency to permit any of the alternatives nor is it a commitment for the engineers to seal any alternative. Rather, it is for the purpose of obtaining public and agency comments on the merits of each alternative for consideration by the decision-makers in the selection of the Least Environmentally Damaging Practicable Alternative (LEPDA)/Preferred Alternative.
 
At the Project Team meeting, the following topics will be discussed and documented in the meeting minutes: The rationale for retaining or dropping preliminary conceptual alternatives The level of involvement of other agencies and interested parties (i.e., Coast Guard, local agencies, Section 106 consulting parties, etc.), as well as their comments (if any) on the project Type of access control (may be discussed earlier in process if implicit in purpose and need) ​

Process InformationProcess I - Projects on New Location02-01-059/10/2012 12:50 PMSystem Account
  

General
A process flow chart that outlines the Section 404/NEPA Merger 01 Process (Merger 01 Process) for projects on new location is attached (Process I). This flow chart depicts the major milestones in the process but it 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 merger process at the appropriate time. For example, public involvement is a critical component of the project development activities and will 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.
NOTE: This Section 404/NEPA Merger 01 Process may be utilized as a 23 U.S.C. 139 Coordination Plan.
 
Project Team Meetings
Team meetings will be held at each of the concurrence points in the Process. The Project Teams may hold additional meetings as determined necessary. NCDOT's Project Development Engineer should coordinate closely with the appropriate USACE, FHWA, and NCDENR team members 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. Appendix A provides guidance on information to be presented at each concurrence meeting.
At the end of each meeting, the Project Development Engineer or Hydraulics Project 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 is responsible for preparing a summary of all meetings for distribution to all team members, except the summary for the 4B and 4C Concurrence Meetings, which will be completed by the Hydraulics Project Engineer. Each team member will read the meeting summary that includes issues agreed upon, outstanding issues, and action statements (next steps) carefully to ensure accuracy of the project records. Substantive errors and omissions will be identified and provided within 30 days to the Project Development Engineer or Hydraulics Project Engineer for prompt resolution.
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.
Step-by-Step Implementation Procedures
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.
1. Initiation of Project Study
For projects requiring Federal Environmental Impact Statements, NCDOT will send a project initiation letter to the FHWA -- North Carolina Division Administrator. The project initiation letter will contain the type of work, termini, length, and general location of the proposed project. This letter will also provide a list of any other Federal approvals (e.g., Section 404 permits) anticipated to be necessary and will indicate the timeframe within which the environmental review process should be started. NCDOT will begin the project study by gathering background data and information and sending out the project scoping letter and/or start of study letter. This letter initiates the project's concept and solicits input from federal and state agencies (including the State Clearinghouse), local government agencies, the public, and other NCDOT units and branches. The level of detail provided in these letters includes a TIP description and a vicinity map.
2. Data Collection
The Project Development Engineer will collect all available information, including aerial photography (digital mosaic), and background data, needed to hold the project scoping meeting, as identified by responses to the scoping letter and standard requirements.
3. Environmental Features Map
NCDOT - with consultation from the agencies - will develop an environmental features 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 on a screening level basis. This mapping could also be used by the team to gauge the applicability of the Merger 01 Process. 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
Based on the environmental features map, the study area may be re-confirmed. Generally, the study area will not be redefined unless new information necessitates re-evaluation.
4. Develop Purpose and Need
Transportation Planning provides a Planning Level Purpose and Need for each project that was developed during the system planning process to the Project Development Engineer. In cases where Transportation Planning does not have personnel assigned to a particular area, the Project Development Engineer will develop the Purpose and Need (P & N). Also, additional engineering and environmental inventory data may be obtained for use in further developing and refining the purpose and need for a project. The type of information and level of detail collected must be determined for each project and could include information such as the following: Preliminary limits of the study area Existing traffic and future no-build average daily traffic Roadway geometric deficiencies and accident history Transportation plans Land use plans Areas of interest to local citizens and elected officials Legislative mandates Economic initiatives Intermodal relationships, including bicycle/pedestrian systems, transit (rail and bus), port facilities and airport facilities Project history and background information including feasibility studies and community issues Highway Needs Inventory (HNI) status MPO Constrained Long Range Plan status Major Investment Study (MIS) status/information GIS Mapping Aerial Photography Available Mapping with Delineated Jurisdictional Areas Traffic Study and Capacity Analysis
5. Develop Project Team
The Project Development Engineer will consult with the appropriate USACE, NCDENR and FHWA representative to identify specific Project Team members. NCDOT will provide written verification of team members to all the team members. If an agency declines to participate on the team, their decision will be documented in writing to NCDOT, NCDENR, USACE, and FHWA. If an agency drops from the Project Team during the process, their self-removal will also be documented in writing. The NCDOT will provide written verification of team members to all the team members prior to Step 10 (Concurrence Point 1).
For federally funded projects, the Lead Federal agency will be the Federal Highway Administration, and NCDOT will be a Joint Lead agency in accordance with 23 U.S.C.139(c). If the project is state funded, the Lead Federal Agency will usually be the U. S. Army Corps of Engineers, with NCDOT serving as a Joint Lead agency. The designation of the Lead Federal agency and any Joint Lead agencies will satisfy 23 U.S.C. 139 (c) requirements (see Appendix). All Project Team members will be considered as Participating agencies in accordance with 23 U.S.C.139(d).
In the case of projects requiring an EIS, the Merger 01 Agreement serves as a standing invitation to all the Participating agencies named in the Merger 01 Process Information (this includes Primary and Partnering signatories to the Memorandum of Agreement as well as other agencies when a project is within their respective geographic area) to participate in the environmental review process for individual projects, as appropriate based on jurisdiction. These agencies are: U. S. Army Corps of Engineers Federal Highway Administration North Carolina Department of Transportation U. S. Environmental Protection Agency U. S. Fish and Wildlife Service North Carolina DENR, Division of Water Quality North Carolina Wildlife Resources Commission North Carolina Department of Cultural Resources North Carolina DENR, Division of Coastal Management (within the twenty coastal counties) Metropolitan Planning Organizations (MPO's) (in MPO areas) National Park Service (in the vicinity of national parklands) U. S. Coast Guard (Coast Guard permitted bridges) U. S. Forest Service (in the vicinity of national forest property) Tennessee Valley Authority (within TVA region) U. S. Fish and Wildlife Service - Refuge (in the vicinity of federal refuges) Eastern Band of Cherokee Nation-Tribal Historic Preservation Officer North Carolina Division of Marine Fisheries and National Oceanic and Atmospheric Administration (NOAA) (when there is any possibility that resources under their jurisdiction are in the project vicinity) Rural Planning Organizations (RPO's) may be invited to participate as advisory members for projects within their geographical area.
Therefore, no 23 U.S.C. 139 invitation letter needs to be issued to agencies that are listed above. However, if the Joint Lead agencies, FHWA and NCDOT, after consulting with the other two Primary Signatory Agencies of the Merger 01 Process (USACE and NCDENR) agree to invite governmental agencies with an interest in the project other than those listed above, then a specific invitation to participate will be issued The decision to invite an additional agency to participate will be based largely on that agency's jurisdiction or authority with respect to the project, whether that agency has expertise or information relevant to the project, and whether that agency intends to submit comments on the project. The invitation shall set a deadline for responses to be submitted. The deadline may be extended by the Lead agencies for good cause. Any Federal agency that is invited by the Lead agencies to participate in the environmental review process for a project shall be designated as a Participating agency by the Lead agencies unless the invited agency informs the Lead agencies, in writing, by the deadline specified in the invitation that the invited agency - (A) has no jurisdiction or authority with respect to the project; (B) has no expertise or information relevant to the project; and (C) does not intend to submit comments on the project. The process for inviting Participating agencies satisfies 23 U.S.C. 139(d) requirements (see Appendix).
NCDOT will provide written verification of team members to all the team members prior to Step 10 (Concurrence Point 1). 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. For projects requiring an EIS, "Participating agencies" as defined by Section 6002 are those represented on the Project Team for a given project.
6. Project Scoping
The Project Scoping Meeting is held by NCDOT to discuss background data, preliminary purpose and need, engineering, environmental inventories, the proposed scope of the project and potential substantial project issues. The Project Team members will be invited to attend and provide input. For EIS projects, this may be the only opportunity for the Project Team members to review preliminary purpose and need information prior to presenting it to the public (see Step 7 below). Agencies should attend the scoping meeting and provide written input in response to the scoping letter.
For federal EIS projects, the Lead agencies shall determine, in collaboration with Participating agencies at appropriate times during the study process, the methodologies to be used and the level of detail required in the analysis of each alternative for a project, in compliance with 23 U.S.C. 139(f)(4)(c) (see Appendix). This collaboration should begin during the scoping process. Decisions on methodologies and the level of detail will be documented and presented to the Project Team at appropriate times during the project development process.
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. Timeframes for review within the project schedule, and modification to the schedule will be consistent with requirements of 23 U.S.C. 139(g) (see Appendix). Also, the project schedule, and any modifications, will be made available to all Participating agencies and the public.
7. Hold Citizens Informational Workshop
After the project scoping meeting, citizens' informational workshop will be held to introduce the project to the public. The general scope of the project work will be discussed with the public. Also, the public will be informed that NCDOT and agency staff will begin work in the project vicinity to gain the necessary survey and environmental information to proceed with the development of the NEPA document. If the project requires an EIS, then the workshop must also present preliminary purpose and need information, the range of project alternatives, and solicit input on it. Any public input will be considered before the purpose and need and the range of alternatives to be studied is determined. This workshop will then satisfy the requirements of 23 U.S.C. 139(f).
8. Request Environmental Input and Preliminary Mapping
After the Citizens Information Workshop, the PDEA engineer will request environmental input from PDEA's Office of Natural Environment and Office of
Human Environment or a private engineering firm, using available mapping and request forms. A study corridor should be developed which would encompass the worst case-widening scenario on both sides of the existing facility.
The Design Engineer, in coordination with the PDEA Project Development Engineer, will request either preliminary plan sheet mapping or final surveys and base plan sheets so the plan sheets and environmental delineations will be available at the Concurrence Point 2 meeting. It should be noted that final surveys will normally be requested for short projects (usually about 5 miles or less in length) that are to be constructed in one project segment. Preliminary plan sheet mapping will normally be requested for projects that are long (greater than 5 miles) and have multiple project segments.
9. Concurrence Point 1 - Purpose and Need and Study Area Defined
The Purpose and Need (P & N) Statement forms the basis for identification of alternatives to be evaluated. Therefore, concurrence will be obtained on the Purpose and Need before potential alternatives are identified. NCDOT will prepare a draft Purpose and Need Statement, along with supporting technical documentation and a summary of any public comments. The P & N information package will be sent to team members so that they will receive it at least two weeks prior to the team meeting. The supporting technical information will include the environmental features map of the study area and a summary of any information or comments from the public concerning purpose and need and community concerns. This statement should clearly demonstrate that a "need" exists and should define the "need" in terms understandable to the general public. The statement should clearly describe the problems that the proposed action is to correct.
A team meeting will be held to discuss the preliminary P & N Statement and Study Area along with supporting data. Team members will review the information prior to the meeting and be prepared to discuss any concerns. At the meeting, the NCDOT Project Development Engineer will provide the environmental features map of the Study Area. Also, any other readily available information will be presented for the team's information.
It may be necessary to conduct more than one meeting on purpose and need if additional information is needed. The goal of the meeting is for team members to concur with and sign the Purpose and Need and Study Area Concurrence Form.
If concerns are raised at the team meeting, which require additional documentation or revisions to the P & N Statement, the NCDOT will incorporate the additions or revisions and redistribute the P and N Statement for concurrence or comment. This will be done prior to the follow-up Concurrence Point I meeting or as soon as possible if it is determined that a second meeting is not required.
Also, at this meeting, the Project Team should concur that the project's purpose can be accomplished by upgrading the existing highway corridor and that new location alternatives will not be studied at this time. As the project progresses, new environmental input and public comment could necessitate studying new location alternatives. If, during the project study, NCDOT determines that new location alternatives should be investigated, then the Merger 01 Process for New Location Projects (Process 1) should be followed.
Once concurrence is obtained for Purpose and Need, the Team can address Concurrence Point 2. Concurrence for both Concurrence Points 1 and 2 can be obtained in one meeting, if possible, as along as the public has had an opportunity for involvement in determining the range of alternatives and any comments they provided are considered at this time. Refer to Step 14, - Concurrence Point 2, for information needed for the Concurrence Point 2 meeting.
The NCDOT project manager may elect to delay the Concurrence Point 1 meeting until the environmental input has been collected, especially, if it is unclear whether the project is a candidate for the Merger 01 Process.
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.
10. Environmental Analysis
For federal EIS projects, the Lead agencies shall determine, in collaboration with Participating agencies at appropriate times during the study process, the methodologies to be used and the level of detail required in the analysis of each alternative for a project, in compliance with 23 U.S.C. 139(f)(4)(c) (see Appendix). The potentially impacted human and natural resources will be delineated for the entire study corridor. NCDWQ wetland ratings and wetland type will be identified and will include any CAMA wetland Areas of Environmental Concern. In addition, where it is available, use NCDCM's GIS wetland data to identify wetland significance. An agency wetland and field review meeting will be held to: Verify jurisdictional wetland and stream boundaries. These boundaries will be established to a level of detail sufficient for the purposes of project planning. The USACE will provide written jurisdictional determinations. Review any potential wetland mitigation sites that may be noted during the delineation effort and coordinate with EEP.
The field review meeting will be set up by PDEA's Natural System Specialist.
11. Notice of Intent (When Applicable)
If NCDOT and FHWA determine an EIS should be prepared, a Notice of Intent will be filed in the Federal Register. If it is not clear at this point that potential project impacts warrant an EIS, the decision to prepare a Notice of Intent may be delayed until more information is available. The preparation of an EIS is typically unlikely for a widening project, which usually requires the preparation of an EA.
12. Develop Design Options
PDEA should coordinate with the Roadway Design Unit, Utilities Section, Traffic Engineering (Congestion Management), the Division, and FHWA to determine design options that meet the purpose of the project. Design options can include typical section options (number of lanes, curb and gutter, shoulder, median section, or 5 lane, etc.) and hydraulic structure requirements (bridge or culvert and length of bridge).
13. Concurrence Point 2 – Design Options for Detailed Study
The intent of the Concurrence Point 2 meeting is to obtain consensus from the Project Team on which design options will be fully evaluated as alternatives, including the "no build" alternative, in the Environmental Assessment. Any public comment on the range of alternatives to be considered would be shared with the Project Team at this time. The alternatives selected must meet the Purpose and Need of the project, with the exception of the "no build" alternative. If possible, the Concurrence Point 2 meeting will be held at the same time as the Concurrence Point 1 meeting. Design options to consider include typical sections, hydraulic structures, potential utility impacts, and widening scenarios.
Typical Section: The typical section components (number of lanes, lane width, and shoulder treatment) should address the facility deficiencies as stated in the Purpose and Need of the project. At the Concurrence Point 2 meeting, NCDOT will present the typical section which best addresses the Purpose and Need of the project. NCDOT should present information supporting the typical section recommendation such as capacity analyses, AASHTO design standards, bicycle and pedestrian needs, local government recommendations, utility accommodations, development and environmental constraints, and traffic flow/access concerns.
After viewing the proposed typical section and supporting information, the team will decide if additional typical section alternatives need to be studied and compared at Concurrence Point 2A.
Widening Scenarios: At the Concurrence Point 2 meeting, team members should provide guidance to NCDOT to aid in preparing a widening scenario which would minimize impacts to the human and natural environment. The team should also decide if alternative widening scenarios should be developed due to
environmental conflicts existing on both sides of the road. Based on information received at this meeting, NCDOT will develop the designs for the widening alternatives identified by the team to present at the Concurrence Point 2A meeting for review and possible further refinement.
Hydraulic Structures: Based on available information, any potential need for special bridging accommodations should be discussed at Concurrence Point 2. The final bridging decisions will be made at Concurrence Point 2A. If there is a discrepancy concerning the type of hydraulic structure to carry forward at the Concurrence Point 2 meeting, NCDOT will prepare alternatives to be reviewed at Concurrence Point 2A.
Information which should be presented at the Concurrence Point 2 meeting includes: the environmental features map, environmental input obtained from the Offices of Human and Natural Environment (requested in Step 6), local government comments, public comments, traffic flow/access concerns, safety concerns, and preliminary mapping. Delineated wetlands and streams will be included on the environmental features map.
The NCDOT will request formal concurrence at this meeting by asking the team members to sign the Concurrence Point 2 form which specifies the widening scenarios and typical section alternatives which will be studied and compared at Concurrence Point 2A. If additional documentation or revisions to the alternatives are necessary, the NCDOT will incorporate the additions or revisions and redistribute the information. If necessary, an additional team meeting will be scheduled to resolve outstanding concerns.
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.
14. Preliminary Design of Detailed Study Alternatives
After receipt of the delineations and necessary preliminary plan sheet mapping, the Design Engineer will begin to develop the preliminary design for the best fit alignment using the guidance provided at the Concurrence Point 2 meeting, public input, potential utility impacts, local government input, and environmental input. A preliminary design is a very specific design that includes horizontal and vertical alignments, edge of pavements, slope stakes, turn lanes, superelevation, and right of way limits.
If typical section, widening scenarios, or structural alternatives were identified at Concurrence Point 2, the preliminary designs will be developed for these alternatives also. The right of way, utility, and construction cost estimates will also be obtained after completion of the preliminary designs. During the development of the design, care will be taken to avoid impacts to the natural and human environment, where practicable. The Design Engineer will coordinate the preliminary design for each detailed study alternative with the Utilities Section. The Utilities Section will identify areas where any known utilities are impacted.​

Process InformationProcess II - Widening02-01-079/10/2012 12:50 PMSystem Account
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