ATTACHMENT A.pdf

Commercial Development Encroachment Permit Process Flow

SCDOT’s baseline encroachment permitting application process for commercial development accesses.

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South Carolina Department of Transportation – Office of Engineering Support

Commercial Development Encroachment Permitting Desk Procedures 1

Commercial Development Encroachment Permit Process Flow

SCDOT provides several encroachment permitting options to customers wishing to access the State’s right-of-way. Commercial Development encroachment permit applications, “DRIVEWAY – COMERCIAL” type within the Encroachment Permit Processing System (EPPS), often require the most attention of the Department’s permitting staff.

The following outline accompanies the “Commercial Development Encroachment Permit Process Flow” chart (Attachment A) and is intended to serve as a succinct overview of the Department’s baseline encroachment permitting application process for commercial development accesses. Some applications, depending on their complexity, context and type, may require additional steps or procedures not covered in this document.

Notice

This document is provided in the interest of procedural knowledge and acquaintance of the Department’s Commercial Development Encroachment Permit review process and does not constitute a standard, specification, or regulation. The Department provides other encroachment permit type options to customers and those processes may differ from the one outlined in this document.

1.0 Preliminary Meeting With Necessary Staff

At the forefront of a successful application review, is continued communication. Before a customer wishes to apply for encroachment, they should be strongly encouraged (even required if the complexity and context calls for it), to meet preliminarily with Department permitting staff. Preliminary meetings help to ensure customers are aware of potential location and design conflicts, as well as to help permitting staff stay aligned with other nearby projects.

2.0 Application Received by EPPS

When a customer is ready to apply for encroachment, applications and supporting materials are required to be submitted electronically via EPPS. Once the customer fills out the necessary application fields and uploads all relevant documents, EPPS will assign the project an

Commercial Development Encroachment Permit Process Flow

Application Number. This number will be the identification number for permitting staff and the customers to refer to during the review process.

The customer will receive application status notifications from EPPS as the permit staff completes progressive steps.

3.0 Application Assigned to Permit Staff by EPPS

Depending on the permit type and the area in which the work is intended to be performed, EPPS will electronically notify and assign the application to the appropriate permitting staff. Some applications will be assigned to a County Permit Manager (CPM) at the local County Maintenance level; while others will be assigned to a District Permit Engineer at the District level.

Permit types assigned to County permitting staff, CPM:

• Bus Shelters

• Communications (Cable TV, Telephone, & Other)

• Drainage

• Driveway - Single Residential

• Driveway - Temporary Construction

• Electric

• Environmental

• Gas

• Landscaping

• Park and Ride

• Railroad Crossing

• Resurfacing

• Sewer

• Signs

• Traffic Calming

• Traffic Control, Special Event

• Water

Permit types assigned to District permitting staff, DPE:

• Driveway - Commercial

• Driveway - Multiple Residential/Subdivision

• Multi County, Same District, Fiber Optic Broadband

• Municipality/Locally Funded Project

• Road Connection (non-Driveway)

• Schools

• Blanket Permits

• Other

Commercial Development Encroachment Permitting Desk Procedures 3

The DPE or CPM assigned to the application will be the primary point of contact throughout the permitting process.

4.0 Permit Staff Performs a Cursory Review

Before a technical review can begin, permitting staff perform a cursory review. At this stage, the application is reviewed for any immediate concerns, application package completeness, and apparent issues that might delay the process.

4.1 Are there immediate apparent concerns with the site

design that would prevent the permit from moving forward?

Most permitting concerns can be captured and discussed during a preliminary meeting; however, if a preliminary meeting was not held, or if any changes were made since the preliminary meeting, permitting staff first review the site design contextually for any apparent concerns.

These are considered issues that would cause an immediate delay in the review process, such as proximity conflicts with an active project, work that conflicts with a previously agreed upon concept, or perceived project complexities that might require multi-level reviews.

If the permitting staff does not recognize any immediate concerns, the application is reviewed for completeness, as covered in procedural step 4.2.

If the permitting staff recognize concerns that might delay the process, the review is paused and a meeting with all necessary staff is scheduled to determine the best path forward. Project meetings might include internal staff only to outline specific needs the customer must address, or a meeting with the customer to discuss possible alternatives, as covered in procedural step 4.4.

4.2 Is the application submission complete?

SCDOT utilizes an Encroachment Permit Application Checklist (available as Appendix C-3 in the Access and Roadside Management Standards, ARMS) to review the application for completeness and to ensure permitting staff have all of the information required to perform a review. If the application is missing any of these necessary application components, permitting staff are unable to continue successfully with the review and the missing items are noted to be relayed back to the customer, as covered in procedural step 7.0.

4.3 Are there project complexities that need to be

addressed (Traffic Signal, auxiliary lanes, roundabout, turn lanes, etc.)?

If the application submission is complete, permitting staff review the application for project complexities, such as the need for a traffic signal or study, auxiliary lanes, or multiple turn lanes. Permitting staff take the time to recognize these complexities in order to prepare themselves and the customer that there could be possible delays.

If permitting staff recognize complexities that need to be addressed, the review is paused and a meeting with all necessary staff is scheduled to determine the best path forward. The project meeting might include internal staff only to outline specific needs the customer must address, or a meeting with the customer to discuss possible alternatives, as covered in procedural step 4.4.

If there are no project complexities that need immediate attention, or the complexities have already been address through a submitted traffic study, or discussed at a preliminary meeting, permitting staff continues with a technical review, as covered in procedural step 5.0.

4.4 Meeting with necessary staff to discuss alternatives?

When necessary, the review process is paused and a meeting is scheduled to discuss possible alternatives. The meeting may include internal staff, the customer, or both.

4.4.1 Can any of the complexities be resolved by a reasonable site redesign?

Permitting staff review the site design and recognize any needs for reasonable adjustments, such as a shift in the proposed driveway alignment, a reduction in the number of proposed driveways, or additional site clearing, to eliminate or reduce conflicts with design standards.

If reasonable adjustments can be made to the site design so that a review can continue, the adjustments are compiled in a comment matrix and submitted to the customer, as covered in procedural step 7.0.

Commercial Development Encroachment Permitting Desk Procedures 5

4.4.2 Can any of the complexities by resolved by a justifiable waiver or design exception?

If the submitted site design or a resubmitted adjusted site design is the best alternative, but does not meet the Department’s design standards, the Department may consider accepting the design with an Access Waiver or Design Exception.

An Access Waiver (ARMS, Section 1E-2, “Access Waivers”, and Appendix C-5) will only be granted if is determined that:

1. Denial of the waiver will result in loss of reasonable access to the site.

2. The waiver is reasonably necessary for the convenience and welfare of the public.

3. All reasonable alternatives that meet the access requirements have been evaluated and determined to be infeasible.

4. Reasonable alternative access cannot be provided.

5. The waiver will not result in any violations of pedestrian accessibility in accordance with the ADAAG

A Design Exception (ARMS, Section 1E-1, “Design Exceptions”) is required when the proposed design does not meet the Department or AASHTO standards for design speed, lane width, shoulder width, horizontal curve radius, super-elevation rate, horizontal curve radius, stopping sight distance (SSD), maximum grade, vertical clearance, or design loading structural capacity. The standard form for Design Exception Requests can be downloaded from the SCDOT website.

If the complexity can be resolved through an Access Waiver or Design Exception, the DPE or CPM continues with the application technical review, as covered in procedural step 5.0.

The need for an Access Waiver or Design Exception is noted in a comment matrix along with any other comments to be returned to the customer at a later time.

If a reasonable site design adjustment cannot be made to meet acceptable design standards, or if an Access Waiver or Design Exception cannot settle the complexities, the application review cannot continue.

4.4.3 Does the customer wish to “Withdraw” their application?

When permitting staff is unable to continue reviewing the application, the customer has the option to withdraw their application within EPPS. Otherwise, the DPE or CPM concludes any further review by denying the application within EPPS, as covered in procedural step 4.5.

4.4.3.1 Customer withdraws application.

The customer withdraws their application within EPPS and the application is archived. If the customer decides later to submit a redesign of the same project site, a new application must be submitted.

4.5 Permit Staff denies the application in EPPS.

As per the ARMS, Chapter 1, Section 1B “Authority”, the Department “reserves the right to deny or revoke any encroachment that is deemed detrimental…” This includes applications in the early stages of review when a site design is unable to meet design standards through site redesign, Access Waiver, or Design Exception.

4.5.1 Does the customer wish to “Appeal” the decision?

As per the ARMS, Chapter 2, Section 2E “Encroachment Permit Appeal Process Request”, when an application is not approved during the review process, a customer may appeal the decision to the Deputy Secretary for Engineering (DSE) within 60 days from the date of the denial.

If the customer wishes to appeal the decision, Section 2E and Appendix C-7 of the ARMS outlines the procedural steps and an outline of the decision process.

4.5.1.1 Customer submits a formal Appeal to the DSE.

The appeal letter to the DSE shall be submitted to the permit point of contact. The permitting staff will compile the letter and all supporting information and forward to the DSE.

4.5.1.2 DSE reviews the application.

The DSE, with the aid of support staff, collects any additional information needed, reviews all materials, and provides a final decision.

Commercial Development Encroachment Permitting Desk Procedures 7

4.5.1.3 Is the application Approved or Denied?

The DSE makes the final decision for all appealed applications.

If the appeal is approved, the decision is relayed to the permitting staff for final approval processing, as covered in procedural step 8.0.

If the appeal is denied, permitting staff prepares a final denial letter, as covered in procedural step 13.0.

5.0 Internal Permit Staff Review

After an adequate cursory review, the application is given a technical review utilizing the Departments design guidelines. A list of the checklists and guidelines permitting staff uses during the review process are available from SCDOT’s encroachment permit website.

5.1 Does the application need to be reviewed by HQ

Engineering Support Staff?

If the permitting staff requests additional supporting reviews, or the application requires additional reviews by other departments within SCDOT, such as approval for work within interstate right-of-way, new or rehabilitated structures, or school site reviews, the DPE or CPM forwards the application within EPPS to the State Encroachment Permit Engineer office.

5.1.1 Permit Staff routes application to HQ Engineering Support for review.

The State Encroachment Permit Engineer office disburses the application through necessary Headquarters departments for a concurrent review.

At the conclusion of all concurrent reviews (usually within 15 calendar days), review comments are compiled and forwarded back to the permitting staff.

6.0 Permit Staff Completes Review and Compiles Comments.

After a cursory and/or technical review by permitting staff, there may be review comments that outline general notes, errors, or conflicts.

These comments are compiled and stored as part of the review documents within EPPS for later reference.

6.1 Do any review comments need to be addressed by the

customer?

There may be times that review comments do not require any action by the customer; however, if any comments require action, the permitting staff will compile the relevant comments and return to the customer within EPPS, as covered in procedural step 7.0.

If there are no comments to be addressed or acknowledged by the customer, the permitting staff is ready to close all review comments and continue with the approval process, as covered in procedural step 8.0

7.0 Permit Staff Compiles a Comment Matrix and Returns to

Customer

If any of the review notes from procedural step 6.0 require the customer to acknowledge or address for correction, permitting staff will make the comment matrix available to the customer within EPPS to retrieve and review.

7.1 Customer makes corrections and resubmits.

Each review iteration (where comments were submitted) requires the customer to address all comments within the matrix. A comment matrix may require the customer to provide additional information, adjust the details of the site design, or simply acknowledge the inclusion of certain design standards without the need for a resubmission. The customer should provide all updated materials within EPPS.

8.0 Permit Staff Closes All Comments and Signs the Application as Approved

After all technical reviews have been completed and any review comments have been addressed, permitting staff note within the comment matrix that all review comments have been addressed and the comment matrix is closed. Permitting staff then sign the application as “Approved” on the permit application and within EPPS and prepare any final special provisions to the permit.

Commercial Development Encroachment Permitting Desk Procedures 9

9.0 EPPS Assigns a Permit Number and Applicant Is Provided an Approved Permit

After the permitting staff has approved the permit, EPPS will generate an Encroachment Permit Number and will notify the customer of their final approved permit.

10.0 Applicant Performs Work According to the Approved Permit The customer has one-year from the approval date to complete the work approved by the encroachment permit. Any revisions or supplements requested by the customer, require further review and approval by the Department. If the customer requires additional time to complete the permitted work, the customer should request, in writing, an extension to the permit before the expiration date of the original permit.

11.0 Permit Staff Makes a Final Inspection

As outline in the ARMS, Chapter 13, Section 13B “Inspection and Approval”, after the customer has completed the permitted work, the Department will perform a final inspection of the site.

During this time, the permitting staff ensure the permitted work has been completed according to Department standards and specifications and according to the permit drawings and special provisions. If there are any discrepancies, the customer is notified so that corrections can be made in a timely manner.

12.0 Permit Staff Releases Bond/LOC to the Applicant

After the Department determines the work has been completed satisfactorily, any Bond or Letter of Credit is released back to the customer.

13.0 Permit Staff Generates a Final Letter of Denial

If the application requires a denial, either by cursory/technical review or by the appeal process, the permitting staff generates a final letter of denial to the customer and the application is archived, as covered in procedural step 14.0.

14.0 Permit Staff Archives the Permit Within EPPS

Archival is the final step in the application process. Within EPPS, the permitting staff archives all approved, denied, and withdrawn applications and permits, and their accompanying documents, for future reference.

Commercial Development Encroachment Permitting Desk Procedures 11

Attachment A

Commercial Development Encroachment Permit Process Flow

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2.0 Application received by

EPPS

3.0 Application assigned to

Permit Staff by EPPS

4.0 Permit Staff performs a

cursory review

4.1 Are there immediate

apparent concerns with the site design that would prevent the permit from moving forward?

4.2 Is the

application submission complete?

7.0 Permit Staff compiles

a comment matrix and returns to customer

7.1 Customer makes

corrections and resubmits

4.4 Meeting with

necessary staff to discuss alternatives

4.3 Are there project

complexities that need to be addressed? (Traffic Signal, auxiliary lanes, roundabout, turn lanes, etc)

1.0 Preliminary Meeting with

necessary staff

Page 2 Page 2

4.4.1 Can any of the

complexities be resolved by a reasonable site redesign?

NO

NO NO

NO

YES

YES

YES

YES

Customer wishes to apply for SCDOT encroachment

Commercial Development Encroachment Permit Process Flow This flowchart outlines the Department's Encroachment Permit process for most commercial development applications.

Pa ge

4.4.3 Does the customer

wish to "Withdraw" their application?

Page 1 Page 1

4.5 Permit Staff denies

the application in EPPS

4.5.1 Does the customer

wish to "Appeal" the decision?

4.5.1.1 Customer submits a

formal Appeal to the DSE

Page 3 Page 3Page 3

5.0 Internal Permit Staff

review

5.1 Does the application

need to be reviewed by

HQ Support Staff?

4.4.2 Can any of the

complexities be resolved by a justifiable waiver or design exception?

YES

NO

NO

YES

NO

5.1.1 Permit Staff routes

application to HQ Support for review

YES

NO

Pa ge

YES

Page 2 Page 2Page 2 Page 2Page 2

6.0 Permit Staff completes

review and compiles comments

6.1 Do any review

comments need to be addressed by the customer?

8.0 Permit Staff closes all

comments and signs the application as approved

YES

NO

9.0 EPPS assigns a Permit

Number and applicant is provided an approved permit

4.5.1.2 DSE reviews the

application

4.5.1.3 Is the application

Approved or Denied?

11.0 Permit Staff makes a final

inspection

10.0 Applicant performs

work according to the approved permit

Approved

Denied

Pa ge

12.0 Permit Staff releases

Bond/LOC to the applicant

14.0 Permit Staff archives the

permit within EPPS

Project Complete

4.4.3.1 Customer

withdraws application

Page 3Page 3

13.0 Permit Staff generates a

final letter of denial

Pa ge

This flowchart accompanies the Department's "Commercial Development Encroachment Permitting Desk Procedures; Commercial Development Encroachment Permit Process Flow".

Produced by the staff of the State Encroachment Permit Engineer, Office of Engineering Support.

version 2.0.0 February 2023.