Categorical Exclusions Managing the Environmental & Project Development Process Presented by the Ohio Department of Transportation

Categorical Exclusions

Managing the Environmental & Project Development ProcessPresented by the Ohio Department of Transportation

Federal Law and Regulations

National Environmental Policy Act of 1969

40 CFR 1508.4 Council on Environmental Quality (CEQ)

23 CFR 771.117 Federal Highway Adminstration (FHWA)


Requires federal agencies within USDOT to assess and determine if a proposed action will result in significant environmental impacts

Established CEQ

NEPA


Actions that do not individually or cumulatively have a significant impact upon the human and/or natural environment Specific conditions and criteria are met Level of analysis commensurate with the

project’s potential for adverse impacts

NEPA & CE Relationship


Any project that creates

SIGNIFICANT impactscannot be considered

forCE classification

NEPA & CE Relationship


“…a category of actions which do not individually or cumulatively have a significant effect on the human environment and which have been found to have no such effect in procedures adopted by a Federal agency in implementation of these regulations and for which, therefore, neither an environmental assessment nor an environmental impact statement is required.”

~40 CFR 1508.4~

CEQ Regulations


Title 23 - Highways Part 771 - Environmental Impact

771.115 – Classes of Action 771.117 – FHWA Categorical Exclusions

FHWA Regulations


Actions that meet 40 CFR 1508.4 Do not require significant relocations No significant impacts to:

Planned growth or land use Natural environment Cultural or recreational properties Air, noise, and water quality Travel patterns

23 CFR 771.117(a)


Projects with unusual circumstances require appropriate environmental studies to determine if CE classification can be met Significant environmental impacts Substantial environmental controversy

Significant 4(f)/6(f) impacts Inconsistencies with Federal, State, or local

environmental laws, regulations or administrative determinations

23 CFR 771.117(b)


Actions that meet CE criteria per 40 CFR 1508.4 and 23 CFR 771.117(a)

In Ohio, categorized into two levels C1 and C2

23 CFR 771.117(c)


Actions that meet CE criteria per 40 CFR 1508.4 and 771.117(a)

In Ohio, categorized into three levels D1, D2, and D3

23 CFR 771.117(d)


MAP-21 Congress mandated certain actions be

categorically excluded Moving Ahead for Progress in the 21st

Century Act Sections 1315, 1316, and 1317


Ohio’sProgrammatic

CE Agreement

Between FHWA and ODOT Assures compliance with all applicable

federal environmental laws & regulations Consistent documentation process Legally defensible Concise and easy procedure to follow

Highlights


Reflects changes implemented by MAP-21 All CE’s are classified as “C” or “D” in

accordance with 23 CFR 771.117 The appropriate determination level is

based upon the type of action and project impacts

The approval and documentation process is facilitated through the Online CE System

Highlights


C1 C2 D1 D2 D3

Five Determination Levels


C1, C2, and D1 District Environmental Coordinator (DEC) ORDC Environmental Coordinator (EC)

D2 Above, plus OES

D3 Above, plus FHWA

Determination Authority


C1Project Types

Standard stand-alone transportation activities

Do not result in significant impacts to the human or natural environment

Meet the intent of 23 CFR 771.117(c) No additional documentation required

beyond determination that they meet the criteria presented in Appendix A of the PA

Definition


(1) Activities which do not involve or lead directly to construction… Study type projects (e.g. feasibility

studies) Projects that do not utilize federal

monies or do not require federal actions State-funded actions only*

Land donations to ODOT associated with ROW permits (Non-NHS/non-Limited Access) State-funded actions only*

C1


(2) Approval of utility installations along or across a transportation facility Tower and street lighting projects

(3) Construction of bicycle and pedestrian lanes, paths, and facilities Walkways, sidewalks, shared-use

paths and facilities, and small passenger shelters

No new disturbance

C1


(4) Activities included in the State's "highway safety plan" under 23 U.S.C. 402

(5) Transfer of Federal lands pursuant to 23 U.S.C. 107(d) and/or 23 U.S.C. 317 Land transfer in support of an action

that is not otherwise subject to FHWA review

C1


(6) Installation of noise barriers or alterations to existing publicly owned buildings to provide noise reduction Maintenance and/or replacement of

existing noise wall panels and/or posts

(7) Landscaping Herbicidal spraying Mowing or brush removal/trimming

projects Beautification/facility improvement

projects

C1


(8) Installation of fencing, signs, pavement markings, small passenger shelters, traffic signals, and railroad warning devices No substantial land acquisition or traffic

disruption will occur Installation or maintenance of signs,

pavement markings/raised pavement markers/sensors, traffic calming activities, and/or new or replacement fencing

General pavement marking or “line painting”

C1


(9) …transportation facilities damaged by an incident resulting in an emergency declared by the Governor…or a disaster or emergency declared by the President… Emergency repairs under 23 U.S.C. 125 Repair, reconstruction, restoration,

retrofitting, or replacement of any road, highway, bridge, tunnel, or transit facility…, including ancillary transportation facilities…, in operation or under construction when damaged

C1


(10) Acquisition of scenic easements Conservation/mitigation easements and

fee simple Land acquisition by a public

agency/public park entity for passive recreational use

(11) Determination of payback under 23 U.S.C. 156 for property previously acquired with Federal-aid participation

C1


(12) Improvements to existing rest areas and truck weigh stations Improvements to existing rest areas

and weigh stations for minor maintenance Projects involving major construction

may require a higher level of documentation

Truck stop electrification and construction/installation of alternative energy facilities at existing facilities

C1


(13) Ridesharing activities Transportation corridor parking

facilities, park-and-ride lots and ridesharing activities

(14) Bus and rail car rehabilitation

(15) Alterations to facilities or vehicles to make them accessible for older adults and handicapped persons

C1


(16) Program administration, technical assistance activities, and operating assistance to transit authorities to continue existing service or increase service to meet routine changes in demand

C1


(17) Purchase of vehicles where the use of these vehicles can be accommodated by existing facilities or by new facilities which themselves are within a CE Purchase or conversion of vehicles to

alternative fuel uses

C1


(18) Track and railbed maintenance and improvements within existing right-of-way Track and railbed acquisition

(19) Purchase and installation of operating or maintenance equipment to be located within the transit facility and with no significant impacts off the site

C1


(20) Not applicable to ODOT

(21) Deployment of electronics, photonics, communications, or information processing used singly or in combination, or as components of a fully integrated system, to improve the efficiency or safety of a surface transportation system or to enhance security or passenger convenience

C1


(22) Projects, as defined in 23 U.S.C. 101, that would take place entirely within the existing operational right-of-way

(23) Projects that receive less than $5,000,000 of Federal funds or with a total estimated cost of not more than $30,000,000 and with Federal funds that comprise less than 15 percent of the total estimated project cost

C1


(24) Localized geotechnical and other investigations for preliminary design, environmental analyses and permitting purposes Drilling test bores for soil sampling;

archaeological investigations for resource assessment or similar survey; and wetland surveys

Only applies to stand alone projects, not for surveys being conducted as part of a project with an environmental document

C1


(25) Environmental restoration and pollution abatement actions to minimize or mitigate the impacts of an existing transportation facility to address water pollution or environmental degradation Environmental mitigation activities (e.g.

wetland, stream, upland, etc.)

C1


(26) Thru (28) Per 23 CFR 771(c)(26)-(28) and MAP-21, these items cannot be processed as a C1 See Appendix B

(29)Purchase, construction, replacement, or rehabilitation of ferry vessels No change in function of ferry terminals Can be accommodated by existing or

new facilities

C1


(30)Rehabilitation or reconstruction of existing ferry facilities Occupies the same geographic footprint No change in their functional use or

substantial increase in the existing facility’s capacity

Pedestrian and vehicle transfer structures and associated utilities, buildings, and terminals

C1


C1Impact Thresholds

Not a C1 if……a project involves any of the following:

Acquisition of new temporary/permanent ROW National Scenic River Corridor impacts Waterway Permits Threatened & Endangered Species impacts Wetland impacts Historic Properties or Historic District impacts Section 4(f) and/or Section 6(f) impacts Substantial traffic disruption Minor public or agency controversy on env.

groundsManaging the Environmental & Project Development Process

Presented by the Ohio Department of Transportation

C2Project Types

Do not result in significant impacts Have independent utility and logical termini Require a minimum level of documentation

to ensure no unusual circumstances are present

Do not exceed constraints listed at 23 CFR 771.117(e)

Definition


Definition Certain C1 actions can be processed as a

C2 only if they meet the criteria of a C2 and do not exceed C2 impact thresholds

C1 actions that do not meet the criteria for C2 shall be processed at the next appropriate higher level (D listed projects)


(26) Modernization of a highway by resurfacing, restoration, rehabilitation, reconstruction, adding shoulders, or adding auxiliary lanes… Joint or limited use of right-of-way

where the proposed use would have minimal or no adverse social (including highway safety), economic or environmental impacts

C2


(26) cont’d Installation of new noise walls and other

new noise mitigation projects Construction of highway safety and truck

escape ramps Construction of bicycle lanes and pedestrian

walkways, sidewalks, shared-use paths, or facilities and trailhead parking that do not otherwise qualify for a C1 designation

C2


(26) cont’d Beautification or facility improvement

projects (landscaping, curb and gutter installation and replacement, ADA ramps and/or curb ramps, installation of park benches, decorative lighting, etc.).

Construction of alternative energy facilities (fuel tank farms, wind turbines, etc.)

C2


(27) Highway safety or traffic operations improvement projects, including the installation of ramp metering control devices and lighting, if the project meets the constraints in paragraph (e) of this section Lane reduction (“road diet”) changes

provided traffic analysis is completed Railroad projects that close at-grade

crossings to improve safety or traffic operations

C2


(28) Bridge rehabilitation, reconstruction, or replacement or the construction of grade separation to replace existing at-grade railroad crossings, if the actions meet the constraints in 23 CFR 771.117(e) Railroad projects that close or relocate at-

grade crossings

C2


C2Thresholds

Acquisition of more than a minor amount of right-of-way such as strip take

Residential or non-residential displacements

A U.S. Coast Guard, Individual Section 404, or Section 10 permit is required

Not a C2 if…


Section 106 consultation results in a finding of adverse effect to any historic property

Section 4(f) use is greater than de minimis Agency coordination results in “may

affect, likely to adversely affect” threatened or endangered species or critical habitat

Not a C2 if…


Construction of temporary access, or the closure of an existing road, bridge, or ramps would result in major traffic disruptions

Changes in access control occur Floodplain encroachment is other than

functionally dependent uses or actions that facilitate open space use

Not a C2 if…


Construction activities in, across, or adjacent to a river component designated or proposed for inclusion in the National System of Wild and Scenic Rivers

Minor public or agency controversy on environmental grounds

An EJ Analysis Report is required

Not a C2 if…


Air Quality & Noise – Studies not required or no impacts will occur based on studies and coordination

Hazardous Materials - Limited to petroleum related Underground Storage Tanks (USTs) and/or releases

Farmland – Not present or amount of ROW needed does not exceed criteria of the Farmland Memorandum of Understanding (MOU)

Additional Considerations


D1, D2 and D3Project Types

Meet the intent of 23 CFR 771.117 (d) Satisfy the criteria for CE Classification Do not involve significant impacts Require documentation to demonstrate

specific conditions or criteria are satisfied

Definition


(1)-(3) [Reserved](4) Transportation corridor fringe

parking facilities(5) Construction of new truck weigh

stations or rest areas(6) Approvals for disposal of excess

right-of-way or for joint or limited use of right-of-way... Proposed use does not have significant

adverse impacts(7) Approvals for changes in access

control

D-Listed Actions


(8) New bus storage and maintenance facilities in areas used predominantly for industrial or transportation purposes Such construction not inconsistent with

existing zoning Located on or near a street with

adequate capacity to handle anticipated bus and support vehicle traffic

D-Listed Actions


(9) Rehabilitation or reconstruction of existing rail and bus buildings and ancillary facilities Minor amounts of additional land

required No substantial increase in number of

users

(10) Construction of bus transfer facilities when located in a commercial area or other high activity center in which there is adequate street capacity for projected bus traffic

D-Listed Actions


(11) Construction of rail storage and maintenance facilities in areas used predominantly for industrial or transportation purposes Such construction not inconsistent with

existing zoning No significant noise impact on

surrounding community

D-Listed Actions


(12)Acquisition of land for hardship or protective purposes Hardship and protective buying is

permitted only for a particular parcel or a limited number of parcels

These land acquisitions qualify for a CE only where the acquisition will not limit the evaluation of alternatives, including shifts in alignment for planned construction projects, which may be required in the NEPA process

D-Listed Actions


(13) Actions described in (c)(26), (c)(27), and (c)(28) that do not meet constraints listed 771.117(e) Project types that exceed thresholds in

Appendix A and B

D-Listed Actions


D1Thresholds

Minor acquisition involving a maximum of two relocations Context and intensity of impacts may

require elevation to the next appropriate higher level

Acquisition will not result in significant impacts to the community or environment

Right-of-Way


Individual Permit acceptable, but wetland impacts must be limited to less than 3 acres of Cat 1 and 2 wetlands and/or up to 0.5 acres of Cat 3

Section 106 impacts do not warrant the preparation of Archaeological Data Recovery recommendations

Section 4(f) impacts limited to Programmatic Evaluations or de minimis

Waterways, Section 106, and 4(f)


No public or agency controversy on environmental grounds

No impacts to federally threatened or endangered species/critical habitat that results in a Biological Opinion

No disproportionately high and adverse impacts to low-income and/or minority populations

PI, T&E, and EJ


No substantial floodplain impacts If a Coast Guard Permit is required contact

OES for additional guidance regarding applicability of the Memorandum of Agreement Between The United States Coast Guard and The Federal Highway Administration To Coordinate and Improve Bridge Planning and Permitting, executed January 14, 2014.

Floodplains and USCG Permit


D2Thresholds

Acquisition involving a maximum of eight relocations Context and intensity of impacts may

require elevation to the next appropriate higher level

Confirmation is made to determine that acquisition will not result in significant impacts to the community or environment

Right-of-Way


Section 106 impacts, provided necessary documentation of consultation is included in the project files as required by 36 CFR Part 800

Wetland impacts of five acres or less Enough information to issue a wetland

finding must be included in the CE

Substantial public or agency controversy on environmental grounds

Section 106, Wetlands, and PI


Programmatic Evaluation or de minimis impacts Documentation for Programmatic

approved by OES FHWA non-objection for de minimis

Individual impacts/use Draft of D2 CE provided to FHWA for

review along with the Individual 4(f) documentation package

Section 4(f)


Any disproportionately high and adverse impacts on low-income and/or minority populations

Quantitative PM 2.5 Hotspot Analysis Quantitative MSAT Analysis Unresolved substantial public or agency

controversy on environmental grounds Substantial/significant floodplain impact

D2’s Cannot Involve…


D3Thresholds

If FHWA has an interest for environmental reasons or the project exceeds D2 thresholds, the CE will require review/approval by FHWA

OES may request FHWA to review and approve a CE by providing FHWA with project and environmental analysis documentation Requires certification that project meets

CE criteria

It Depends…


CEPreparation

All agency coordination letters must be included for review and approval purposes Includes OES concurrence/coordination

Technical documents summarized in remarks Part of the Project File ESA, Ecological Reports, Cultural Reports

Mapping, ROW plan sheets, photographs, etc.

All decision-making type documents

Preparation


Sufficient narrative should be included to make CE a “stand-alone document”

Detailed literature reviews, field investigations, and resulting coordination are discussed in remarks for each discipline

All impacts, regardless of CE Level, must be assessed for context and intensity

Preparation


Re-Evaluations

Project scope and/or impacts changed since document was approved

If an EIS is more than three years old and/or it has been more than three years since the last major federal action Final Design Acquire significant amount of ROW Approval of plans, specifications, and

estimates package

Re-Evaluations


If environmental studies are more than five years old, agency re-coordination and/or new studies may be needed 40 CFR 1502.9 (c)(1)(i)

Significant changes require impacts to be addressed

Depending on complexity of re-evaluation, a narrative or CE Form may be used

Same review, concurrence, and approval process

Re-Evaluations


Per FHWA guidance, re-evaluations are intended to encompass same project limits as in original environmental document

Projects phased for construction may not require a complete re-evaluation for entire project limits For phased projects, re-evaluation should

address current status of the entire project, but focus on the current phase

Re-Evaluations


Re-evaluations should consider: What’s happened on entire project to

date Including prior construction phases

What will follow Future construction phases

What or how any changes in the project or impacts will affect current phase

Future phases if known

Phased Projects


Include when original document was approved and why re-evaluation is required

If environmental studies within 5-year window, cite date of concurrence for each

State when permit obtained and expires Note that all original environmental

commitments will be adhered to and list any new commitments made

Best Practices


Online CE

External users register through MyODOT Internal users contact OES to gain access

It’s Electric!


All documentation uploaded electronically All reports uploaded as DRAFT documents

in Word format – exceptions may apply Photographs, mapping, IOC’s, coordination

letters, etc., can be PDF’s Documents/reports that require revisions

based on OES/FHWA review can be checked-out and checked-in

Project File Tab


Lists Districts, LPAs, and Consultants District Primary Reviewer ODOT Project Manager District Staff Primary Form Preparers

Form Adminstration Tab


Document Level Select the level of CE or EA/EIS

General Project, Cost Schedule and Work Limits Roadway Character & Bridge Design

Criteria Maintenance of Traffic During

Construction ROW & Utility Involvement

Resource Tabs


Purpose & Need Alternatives Permits Tab includes Waterways,

Floodplains, Stormwater and Landfills Each tab can generate tables to list

commitments Select tabs can generate tables to record

impacts to individual resources/properties Wetlands, streams, 4(f)

Resource Tabs


Remarks discussion includes: Results of secondary source review and

field investigations Anticipated or known level of impacts Resources not directly impacted, but are

within proposed project area Anticipated public and agency

involvement Agency correspondence/concurrence

Resource Tabs


Erica L. Schneider, AEA-OES [email protected]

Kevin E. Davis, Supervisor-OES [email protected]

Contacts
