Section 200.00 - NEPA Process Overview
210.01 Abbreviations and Acronyms.
Section 220.00 - NEPA Legislation and Implementing
Regulations
Section 230.00 - Agency Roles and Responsibilities
230.03 Local Highway Technical Advisory Council (LHTAC).
Section 240.00 - Project Classifications
Exhibit 200-2 -CEQ - Regulations for Implementing NEPA
Ø Understanding NEPA legislative authority, agency roles and responsibilities.
Ø Defining and illustrating the NEPA review process for the three major project classifications.
Ø Section 311 gives detailed guidance on the documents and procedures for each classification
Environmental analysis is done to some degree at each stage of project development. The first formal analysis occurs during project definition, with preparation of the ITD Form 654 (Section 500-1). The most extensive analysis occurs during project design, for the purpose of preparing environmental documents (e.g., environmental evaluations, environmental assessments, checklists and EISs) and permit applications. Sections 600 through Section 2200 give specific guidance for analysis of each of the environmental elements required by federal and state laws and regulations.
210.01 Abbreviations and Acronyms. Abbreviations and acronyms used in Section 200 are listed below. Others are found in the
general list in the appendix.
CE |
Categorical Exclusion
(NEPA) |
CEQ |
Council of Environmental
Quality (federal) |
CFR |
Code of Federal Regulations
|
DEIS |
Draft Environmental Impact
Statement |
|
EA |
Environmental
Assessment |
|
ECS |
Environmental
Classification Summary |
|
EIS |
Environmental
Impact Statement |
|
FEIS |
Final
Environmental Impact Statement |
|
FONSI |
Finding of No
Significant Impact (NEPA) |
|
GIS
|
Geographic
Information System |
|
NEPA |
National Environmental
Policy Act |
|
NOI |
Notice of
Intent (NEPA) |
|
ROD |
Record of
Decision (NEPA) |
210.02 Glossary Categorical Exclusion – This is an action that does not individually or cumulatively have a significant environmental effect, as defined in NEPA regulations, and is classified as excluded (NEPA) from requirements to prepare an Environmental Assessment/Checklist or Environmental Impact Statement.
Council on Environmental Quality (CEQ) – An oversight council established within the Executive Office of the President with passage of the National Environmental Policy Act of 1969. The Council has been assigned the task of ensuring that federal agencies meet their obligations under NEPA. Its role is to advise and assist the President on environmental policy development; recommend strategies and oversee implementation; report, coordinate, support, interpret, and approve procedures; and issue guidance. Regulations are codified as 40 CFR 1500-1508.
Cumulative Impact/Effect – Cumulative impacts from past actions or the incremental effect of the proposed action when added to other past, present, and reasonably foreseeable future actions, regardless of what agency or person undertakes such other actions. Cumulative impacts can result from individually minor but collectively significant actions taking place over time. For NEPA, see 40 CFR 1508.7.
(See Section 360 for guidance.)
Direct Impact/Effect – A direct impact (or effect) is caused by the proposed action or alternative and occurs at the same time and place, most often during construction. Impacts may be ecological, aesthetic, historic, cultural, economic, social, or health-related. For example, a highway crossing a stream may directly impact its water quality, though such impacts can be mitigated. For NEPA, see 40 CFR 1508.8.
Discipline Report – A report prepared by District Offices to document environmental studies and investigations. The discipline reports form the basis of the Environmental Evaluation or other environmental documents.
Environmental Document – Includes Environmental Assessments (NEPA), Threshold Determinations Draft and Final EISs, Section 4(f) Evaluations, Section 106 Reports, and other documents prepared in response to state or federal environmental requirements. A Categorical Exclusion is not a NEPA document it is a determination of degree of impact. An Environmental Evaluation for a Categorical Exclusion is often referred to as a “Cat. Ex. Document”, although this is not technically correct since only EAs and EISs are correctly called “documents”.
Environmental Review – Consideration of environmental factors as required by NEPA. The “environmental review process” is the procedure used by agencies and others to give appropriate consideration to the environment in decision making.
Indirect Impact/Effect –(Sometimes used interchangeably with “secondary impact/effect”) Indirect impacts (or effects) are caused by the proposed action or alternative and are later in time or farther removed in distance, but still reasonably foreseeable. Indirect effects may include growth inducing effects and other effects related to induced changes in the pattern of land use, population density or growth rate, and related effects on air and water and other natural systems. For example, a road project may shift existing or projected housing growth into a different area of a region. The growth was happening already, but “indirectly” the road project influenced where it took place. (Note: “Indirect” is defined somewhat differently under NEPA and ESA rules). For NEPA, see 40 CFR 1508.8.
Mitigation – (1) Avoiding the impact altogether by not taking a certain action or parts of an action, (2) minimizing impacts by limiting the degree of the action, (3) rectifying the impact by repairing or enhancing the affected environment, (4) reducing or eliminating the impact over time, (5) compensating for the impact by replacing or substituting resources or environment, or (6) monitoring the impact and taking appropriate corrective measures. Also referred to as “mitigation sequencing”. For NEPA, see 40 CFR 1508.2.
Project Description – A narrative to describe the project proposal. It may include explanations of the existing physical, environmental, social, and economic setting in which the proposed project is situated, a legal description of the location, and an explanation of the intended improvements.
Responsible Official – Official of the lead agency who has been delegated responsibility for complying with NEPA procedures. For most ITD projects, the Responsible Official is the Headquarters Environmental Section Manager.
Scoping – Formal scoping for an EIS includes identifying the range of proposed actions, alternatives, environmental elements and impacts, and mitigation measures to be analyzed in an environmental document. Public and agency scoping meetings are generally associated with this activity for NEPA scoping activities.
Secondary Effect/Impact – The same as indirect effect under NEPA.
Significant Impact – The significance of potential impact on the natural or built (cultural) environment depends upon context, setting, likelihood of occurrence, and severity, intensity, magnitude, or duration of the impact. Determining the “significance” of an impact is not defined in black and white. It is based on past experience of the person preparing the document and is influenced by court interpretations. Ultimately, the definition may rest with the legal system if the document is challenged. ITD and FHWA practice is to not use the word “significant” in an environmental document unless the document is referring to a 4(f) or Section 106 resource, quoting a regulation or law or the impact being described is supportably significant under law. Use a synonym such as substantial, primary, major, or high level unless the impact is truly significant.
Threshold Determination – A decision by the responsible official of the lead agency whether or not an EIS is required for a proposal that is not categorically exempt.
President Nixon signed The National Environmental Policy Act
(NEPA, Public Law 91-190) in January 1970 as the “national charter for
protection of the environment” (40 CFR Part 1500.1). It was enacted to ensure
that information on the environmental impacts of any federal action is
available to public officials and citizens before decisions are made and before
actions are taken.
The intention of NEPA was stated as follows: “Ultimately, of
course, it is not better documents but better decisions that count. NEPA’s
purpose is not to generate paperwork – even excellent paperwork – but to foster
excellent action.” The NEPA process is intended to help public officials
make decisions that are based on understanding of environmental consequences,
and take actions that protect, restore, and enhance the environment. These
regulations provide the direction to achieve this purpose.” [40 CFR1500.1(c)].
Under NEPA, the Congress directs federal agencies to integrate in
their planning and decision making consideration of the natural and social
sciences, environmental amenities and values, and design arts along with
economic and technical concerns. NEPA is a broad-reaching mandate for federal
agencies to work together with state, local, and tribal governments, public and
private organizations, and the public, to achieve and balance national social,
economic, and environmental goals while accomplishing their missions.
Federal agencies are required to integrate the NEPA process with other planning at the earliest possible time to ensure that planning and decisions reflect environmental values, to avoid delays later in the process, and to head off potential conflicts.
NEPA implementing regulations applicable to all federally aided projects were developed by the Council on Environmental Quality (CEQ) and are codified as 40 CFR 1500 – 1508, Regulations for Implementing the Procedural Provisions of NEPA. FHWA regulations applicable to federally aided highway projects are codified as 23 CFR 771, Environmental Impact and Related Procedures.
The full text of NEPA (42 USC 4321-4347), CEQ implementing regulations (40 CFR 1500- 1508), and other guidance is online at. http://www.whitehouse.gov/CEQ/ FHWA; environmental impact and related regulations (23 CFR 771) are at: http://www.fhwa.gov/
For FHWA policy and other guidance on Transportation Project Development and NEPA: http://www.fhwa.gov/ or http://www.fhwa.gov/environment/00001.htm
FHWA’s Technical Advisory, Guidance for Preparing and Processing Environmental and
Section 4(f) Documents, (T6640.8A, October 30, 1987) is at Section 300-4 or: http://www.fhwa.gov/ Or http://www.fhwa.gov/legsregs/directives/techadvs/664008a.htm
FHWA has other useful information at: http://www.fhwa.gov/ or http://www.fhwa.gov/envrionment/guidebook/contents.htm
230.01 General Depending on the project, a federal, state, or local agency may serve in any of the roles described below.
230.01.01
Lead Agency. The Lead Agency is responsible for ensuring NEPA requirements are
met. For State of
230.01.02
Applicant. Under
the NEPA Rules, ITD is an applicant as the agency that initiates a project to
FHWA, which has approval authority. The applicant may do the actual work of
preparing environmental documentation, which must be approved by the lead
agency before release to the public.
230.01.03
Cooperating Agency. Under NEPA, a cooperating agency has a
vested interest in a proposed project for which the environmental document will
be prepared. The agency might own needed property, issue required permits, or
have special expertise in an affected element of the environment. The level of
involvement varies with the project. Cooperating agencies participate in “scoping”
a project during preliminary planning to identify potential environmental
impacts, alternatives and mitigating measures, and required permits. They
review and comment formally and/or informally on environmental assessments and
environmental impact statements. They may also prepare special studies or share
in the cost of the environmental documentation. Cooperating agencies may
include federal and state resource agencies, local governments, tribal
governments, and special districts.
Mass transit – Federal Transit Administration (FTA).
Aviation – Federal Aviation Administration (FAA).
Navigable waters – United States Coast Guard (USCG).
Rail – Federal Railroad Administration (FRA).
These agencies may have different regulations to implement NEPA, so advance coordination (early and often) is imperative when developing environmental documents with co-lead federal agencies. For example, the FTA does not recognize programmatic 4(f) statements unless it adopts the FHWA policy on this issue on an individual project basis.
230.05 ITD Divisions. For aviation, and rail projects, the sponsoring ITD division generally acts as its own lead agency or applicant. For example, the Division of Aeronautics is lead agency for a proposal to rebuild a terminal. ITD divisions may choose to have the Environmental Section Office act as lead agency because of its experience with NEPA procedures.
230.06 DEQ DEQ
is the implementing agency in the state for EPA water quality issues such as
TMDL and 401 permits.
230.07 Local Governments For local government transportation projects receiving federal aid, cities, counties, and special projects such as a sewer, water, school and port construction are in the role of “proponent.” ITD serves as the co-lead agency with FHWA for NEPA purposes, through its Highways and Local Programs office. Local projects involving federal permits, federal lands, or federal funding are also categorized Class I, II, or III. Whether or not federal funds are involved, local governments are generally the lead agency.
Projects are classified for environmental review purposes during the project definition phase. This process is documented using ITD’s 654 Form. Sections 300.03/04/05 contain a detailed description of the classification system and examples of projects falling into each class. Briefly, Class I projects require an EIS; Class II projects are Categorically Excluded (CE) from NEPA EIS requirements; and Class III projects require an Environmental Assessment (EA) and accompanying Environmental Checklist to determine whether significant impacts are likely (23 CFR 771.115). Exhibit 311-1 (flow chart) illustrates the review process for Class I, II, and III projects.
Exhibit
200-2 -CEQ - Regulations for Implementing NEPA