Categorical Exclusion Training Class Presented by the Office of Environmental Services May 4-5, 2016

Why Are You Here?  Pre-Qualification requirement  Increase project management awareness Categorical Exclusion Training Class 2

Class Objectives  Understand existing regulations and policies  Learn about changes to the CE process  Understand ODOT’s CE Guidance  Understand CE classification levels  Learn how to properly document decision-making  Learn about E nviro N et Categorical Exclusion Training Class 3

This Class is For You!  Ask questions!!  Share experiences  Peer interaction encouraged Categorical Exclusion Training Class 4

Agenda  FHWA regulations/policies  CE Guidance  Re-evaluations  NEPA disciplines/ E nviro N et  Purpose & Need  Alternatives  Air and Noise  ESA  Cultural Resources  Ecological  Section 4(f) and Section 6(f)  Environmental Justice  Public Involvement  Permits Categorical Exclusion Training Class 5

Introductions  Name  Company/Agency  Experience (Environmental/CE)  Class Expectations Thanks for coming ! Categorical Exclusion Training Class 6

FHWA Perspective THE BIG PICTURE Why We Do What We Do…

Federal Law and Regulations  Laws enacted by Congress and codified by United States Code (U.S.C. or USC)  Each federal agency codifies rules and regulations in the Code of Federal Regulations (CFR)  They have the power of law  Each federal agency develops policy, guidance or other administrative tools to implement the various regulations Categorical Exclusion Training Class 8

What is NEPA? National Environmental Policy Act of 1969 (NEPA)  Established policy for all federal agencies  Requires federal agencies to assess and determine if a proposed action will result in significant impacts  Established Council on Environmental Quality (CEQ)  Required all federal agencies to develop environmental regulations 9 Categorical Exclusion Training Class

 Defined in CEQ regulations  A significant impact is a function of both context and intensity  Context means that the significance of an action must be analyzed in several contexts such as society, interests, setting, etc.  Intensity refers to the severity of impact What Does Significant Mean? 10 Categorical Exclusion Training Class

What is the Goal of NEPA?  Identify and assess reasonable alternatives  Avoid or minimize adverse effects upon the quality of human environment 11 Categorical Exclusion Training Class

NEPA Regulations  40 CFR  CEQ  23 CFR  FHWA Categorical Exclusion Training Class 12

FHWA Policy Environmental Impact/Related Procedures  Environmental coordinated as a single process  Alternatives evaluated and decisions made in the best interest of the public  Balances transportation needs with:  Social, economic, and environmental impacts  National, state and local environmental protection goals 13 Categorical Exclusion Training Class

FHWA Policy  Single process often referred as the NEPA Umbrella 14 Categorical Exclusion Training Class

FHWA Policy Public Involvement is Essential!!  Incorporate measures to mitigate adverse impacts 15 Categorical Exclusion Training Class

FHWA Policy Civil Rights considerations are important!  Do not exclude any person, because of handicap, age, race, color, sex, or national origin from participating in, or deny benefits of, or be subject to discrimination under any Administration program or procedural activity required by or developed pursuant to this regulation (Title VI)  Include consideration of Environmental Justice 16 Categorical Exclusion Training Class

Applying NEPA to CEs  The applicant must demonstrate specific conditions or criteria for CEs are satisfied and that significant environmental impacts will not result  Documentation supports decision-making process  Level of analysis is commensurate with the proposed undertaking’s potential for adverse environmental impacts and controversy 17 Categorical Exclusion Training Class

NEPA/CE Relationship  Actions that do not individually or cumulatively have a significant impact upon the natural and human environment  The “C-List” (23 CFR [c])  No further NEPA approval required  The “D-List” (23 CFR [d])  May be designated as a CE after approval 18 Categorical Exclusion Training Class

MAP-21  Congress mandated certain actions be categorically excluded from requirements related to EA’s/EIS’s  Moving Ahead for Progress in the 21 st Century Act  Sections 1315, 1316, and Categorical Exclusion Training Class

 23 CFR Environmental Impact  – Classes of Action  – FHWA Categorical Exclusions FHWA Regulations 19 Categorical Exclusion Training Class

 Actions that meet 40 CFR  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 (a) 20 Categorical Exclusion Training Class

 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 (b) 21 Categorical Exclusion Training Class

 Actions that meet CE criteria per 40 CFR and 23 CFR (a)  In Ohio, categorized into two levels  C1 and C2 23 CFR (c) 22 Categorical Exclusion Training Class

 Actions that meet CE criteria per 40 CFR and (a)  In Ohio, categorized into three levels  D1, D2, and D3 23 CFR (d) 23 Categorical Exclusion Training Class

FHWA Technical Advisory T6640.8A  A guide to identify actions that may be processed as a CE  Any action that meets the criteria of 23 CFR (a) may be classified as a CE  Even if it is not listed in (d)  Must demonstrate that the proposed undertaking will not result in significant impacts 24 Categorical Exclusion Training Class

ODOT’s CE Guidance

NEPA Assignment  As of December 28, 2015, ODOT assumed FHWA responsibilities in determining classes of action and approving all environmental documents  Except for projects that cross state lines  Programmatic CE Agreement is null and void 27 Categorical Exclusion Training Class

Purpose  Serves as ODOT’s process for completing CE’s  Assures compliance with all applicable federal environmental laws and regulations  Provides a consistent documentation process  Legally defensible  Concise and easy process to follow for personnel with a limited exposure to the NEPA process  Reduces paperwork and processing time  Enables appropriate decisions to be made 28 Categorical Exclusion Training Class

 Reflects changes implemented by MAP-21  All CE’s are classified as “C” or “D” in accordance with 23 CFR  The appropriate determination level is based upon the type of action and project impacts  The approval and documentation process is facilitated through EnviroNet Purpose 29 Categorical Exclusion Training Class

 C1  C2  D1  D2  D3 Five Determination Levels 30 Categorical Exclusion Training Class

 C1, C2, and D1  District Environmental Coordinator (DEC)  ORDC Environmental Coordinator (EC)  D2 and D3  ODOT-OES Determination Authority 31 Categorical Exclusion Training Class

C1 Project Types

 Standard stand-alone transportation activities  Have independent utility and logical termini  Meet the intent of 23 CFR (a) and (c)  Do not result in significant impacts to the human and/or natural environment  Do not exceed established thresholds  No additional documentation required beyond determination that the project meets criteria presented in Appendix A of the CE Guidance Definition 33 Categorical Exclusion Training Class

(1)Activities which do not involve or lead directly to construction… Examples include:  Study type projects (e.g. Feasibility Studies)  Projects that do not utilize federal monies or require federal actions State-funded actions only  Land donations to ODOT associated with ROW permits (Non-NHS/Limited Access) State-funded actions only C1 34 Categorical Exclusion Training Class

(2)Approval of utility installations along or across a transportation facility Examples include:  Utility tower lighting and street lighting projects (3)Construction of bicycle and pedestrian lanes, paths, and facilities Examples include:  Walkways, sidewalks, shared-use paths and facilities, and small passenger shelters provided no new disturbance will occur (e.g. bike path on existing rail bed, bike lanes on paved shoulders) C1 35 Categorical Exclusion Training Class

(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 when the transfer supports an action not subject to review under NEPA (6) Installation of noise barriers or alterations to existing publicly owned buildings to provide noise reduction Examples include:  Maintenance and/or replacement of existing noise wall panels and/or posts C1 36 Categorical Exclusion Training Class

(7) Landscaping Examples include:  Herbicidal spraying  Mowing or brush removal/trimming projects  Beautification or facility improvement projects C1 37 Categorical Exclusion Training Class

(8) Installation of fencing, signs, pavement markings, small passenger shelters, traffic signals, and railroad warning devices where no substantial land acquisition or traffic disruption will occur Examples include:  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 38 Categorical Exclusion Training Class

(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; and  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 39 Categorical Exclusion Training Class

(10) Acquisition of scenic easements Examples include:  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 40 Categorical Exclusion Training Class

(12) Improvements to existing rest areas and truck weigh stations Examples include:  Improvements for minor maintenance Mill and resurfacing of existing parking areas, etc. Projects involving major construction may require a higher level of documentation  Truck stop electrification and construction/installation of alternative energy amenities at existing facilities C1 41 Categorical Exclusion Training Class

(13) Ridesharing activities Examples include:  Transportation corridor fringe parking facilities, park-and-ride lots and ridesharing activities (14)Bus and rail car rehabilitation (15)Alterations to facilities or vehicles in order to make them accessible for elderly and handicapped persons C1 Categorical Exclusion Training Class 42

(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 (17) The purchase of vehicles by the applicant where the use of these vehicles can be accommodated by existing facilities or by new facilities which themselves are within a CE Examples include:  Purchase or conversion of vehicles to alternative fuel uses C1 Categorical Exclusion Training Class 43

(18)Track and railbed maintenance and improvements when carried out within the existing right-of-way Examples include:  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 Categorical Exclusion Training Class 44

(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 Examples include, but not limited to:  Replacement or installation of new traffic signals, flashing beacons, railroad warning devices  Upgrade of existing tower lighting C1 Categorical Exclusion Training Class 45

(22) Projects, as defined in 23 U.S.C. 101, that take place entirely within existing operational right-of-way (23) Projects that receive less than $5,179, of Federal funds or with a total estimated cost of not more than $31,077, and with Federal funds that comprise less than 15 percent of the total estimated project cost C1 46 Categorical Exclusion Training Class

(24) Localized geotechnical and other investigations to provide information for preliminary design and for environmental analyses and permitting purposes, such as drilling test bores for soil sampling; archeological investigations for archeology resources 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 Categorical Exclusion Training Class 47

(25) Environmental restoration and pollution abatement actions to minimize or mitigate the impacts of any existing transportation facility carried out to address water pollution or environmental degradation Examples include:  Related environmental mitigation activities (wetland, stream, upland, etc.) C1 48 Categorical Exclusion Training Class

(26) thru (28) Per 23 CFR 771(c)(26)-(28) and MAP-21, these items CANNOT be processed as a C1  See C2 list in Appendix B (29) Purchase, construction, replacement, or rehabilitation of ferry vessels that would not require a change in the function of the ferry terminals and can be accommodated by existing facilities or by new facilities which themselves are within a CE C1 49 Categorical Exclusion Training Class

(30) Rehabilitation or reconstruction of existing ferry facilities that occupy the same geographic footprint, do not result in a change in their functional use, and do not result in a substantial increase in the existing facility’s capacity Examples include:  Pedestrian and vehicle transfer structures and associated utilities, buildings, and terminals C1 50 Categorical Exclusion Training Class

C1 Project Impact Thresholds

Not a C1 if… A project involves any of the following:  Acquisition of permanent ROW  National Scenic River corridor impacts  Waterway Permits  Impacts to Threatened & Endangered Species  Wetland impacts  Impacts to historic properties or historic districts  Impacts to Section 4(f)/Section 6(f) properties  Substantial traffic disruption  Minor public or agency controversy on env. grounds 52 Categorical Exclusion Training Class

C2 Project Types

 Do not result in significant impacts  Meet the intent of 23 CFR (a), (c), and (d)  Illustrate independent utility and logical termini  Require a minimum level of documentation to ensure no unusual circumstances exist  Do not exceed constraints listed at 23 CFR (e) Definition 54 Categorical Exclusion Training Class

Definition  Certain C1 actions that exceed C1 impact thresholds can be processed as a C2 only if they meet the criteria of a C2 action 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) 55 Categorical Exclusion Training Class

(26)Modernization of a highway by resurfacing, restoration, rehabilitation, reconstruction, adding shoulders, or adding auxiliary lanes if the action meets the constraints of (e) Examples include:  Joint or limited use of right-of-way where the proposed use would have minimal or no adverse social, economic or environmental impacts  Installation of new noise walls and other new noise mitigation projects  Highway safety and truck escape ramps C2 56 Categorical Exclusion Training Class

(26)cont’d  New bicycle lanes and pedestrian walkways, sidewalks, shared-use paths, or facilities and trailhead parking that do not qualify as a C1  Beautification or facility improvement projects (landscaping, installation and replacement of curb and gutter, ADA/curb ramps, park benches, decorative lighting)  Construction of alternative energy facilities (fuel tank farms, wind turbines, etc.) C2 57 Categorical Exclusion Training Class

(27)Highway safety or traffic operations improvement projects, including the installation of ramp metering control devices and lighting, if the project meets the constraints of (e) Examples include:  Lane reduction (“road diet”) changes provided traffic analysis is completed  Railroad projects that close at-grade crossings to improve safety or traffic operations C2 58 Categorical Exclusion Training Class

(28) Bridge rehabilitation, reconstruction, or replacement or construction of a grade separation to replace at-grade rail crossings, if the project meets the constraints of (e) Examples include:  Closure or relocation of at-grade rail crossings C2 59 Categorical Exclusion Training Class

C2 Project Impact Thresholds

 Acquisition of more than a minor amount of right-of- way such as strip take occurs  Residential or non-residential displacements  A USCG, Individual 404, or Section 10 permit is required  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 a finding of “may affect, likely to adversely affect” threatened or endangered species or critical habitat Not a C2 if… 61 Categorical Exclusion Training Class

 Construction of temporary access, or closure of an existing road, bridge, or ramps results in major traffic disruptions  Changes in access control  Floodplain encroachment is other than functionally dependent uses or actions that facilitate open space use  Construction activities occur in, across, or adjacent to a river component designated or proposed for inclusion as a National Wild and Scenic River  Minor public or agency controversy on environmental grounds  An EJ Analysis Report is required Not a C2 if… 62 Categorical Exclusion Training Class

 Air Quality & Noise  Studies not required or no impacts will occur based on studies and coordination conducted  Hazardous Materials  Limited to petroleum related Underground Storage Tanks (USTs) and/or releases  Farmland  Type of project and/or amount of ROW needed does not exceed criteria of the Farmland Memorandum of Understanding (MOU) Additional Considerations 63 Categorical Exclusion Training Class

D1, D2 and D3 Project Types

 Meet the intent of 23 CFR (d)  Satisfy the criteria for CE Classification  Do not involve significant impacts  Require documentation to demonstrate specific conditions or criteria are satisfied Definition Categorical Exclusion Training Class 65

(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, where the proposed use does not have significant adverse impacts (7) Approvals for changes in access control D-Listed Actions Categorical Exclusion Training Class 66

(8)Construction of new bus storage and maintenance facilities in areas used predominantly for industrial or transportation purposes where such construction is not inconsistent with existing zoning and located on or near a street with adequate capacity to handle anticipated bus and support vehicle traffic (9)Rehabilitation or reconstruction of existing rail and bus buildings and ancillary facilities where only minor amounts of additional land are required and there is not a substantial increase in the number of users D-Listed Actions Categorical Exclusion Training Class 67

(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 (11) Construction of rail storage and maintenance facilities in areas used predominantly for industrial or transportation purposes where such construction is not inconsistent with existing zoning and where there is no significant noise impact on the surrounding community D-Listed Actions Categorical Exclusion Training Class 68

(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 Categorical Exclusion Training Class 69

(13) Actions described in 23 CFR (c)(26), (c)(27), and (c)(28) that DO NOT meet the constraints listed in 23 CFR (e).  Project types that exceed thresholds in Appendix A  Project types that exceed thresholds in Appendix B D-Listed Actions Categorical Exclusion Training Class 70

D1 Project Impact Thresholds

 Minor acquisition involving a maximum of two relocations  Context and intensity of impacts may require elevation to the next appropriate higher level  Confirmation is made by the DEC to determine acquisition will not result in significant impacts to the community or environment Right-of-Way Categorical Exclusion Training Class 72

 Individual Permit acceptable, but wetland impacts must be limited to less than 3 acres of Category 1 and 2 wetlands and/or up to 0.5 acres of Category 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) Categorical Exclusion Training Class 73

 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 Categorical Exclusion Training Class 74

 No substantial floodplain impacts  If a Coast Guard Permit is required contact ODOT- 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, Floodplains and USCG Permit Categorical Exclusion Training Class 75

D2 Project Impact Thresholds

 Acquisition that involves 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 Categorical Exclusion Training Class 77

 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 Categorical Exclusion Training Class 78

 Programmatic Evaluation or de minimis impacts provided OES has approved the Section 4(f) determination  Individual impacts/use as long as a draft of the D2 CE is provided to FHWA for review along with the Individual 4(f) documentation package Section 4(f) Categorical Exclusion Training Class 79

 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… Categorical Exclusion Training Class 80

D3 Project Impact Thresholds

 If the project exceeds D2 thresholds, but still meets the intent of 23 CFR (d), the CE will require review/approval by ODOT-OES It Depends… Categorical Exclusion Training Class 82

ODOT’s Online Environmental Documentation System

 External users register through MyODOT  Contact OES to gain access if initial registration was for another ODOT application  ODOT staff contacts OES to gain access Access 84 Categorical Exclusion Training Class

 All documentation uploaded electronically  All reports initially uploaded as DRAFT documents in Word format – exceptions may apply  Contact OES if assistance needed  Photographs, mapping, IOC’s, coordination letters, etc., can be PDF’s and marked FINAL  The approved/completed date is entered when a document is marked Final  Documents are checked-out and checked-in to facilitate review and tracking of comments/revisions  If unsure how this works, contact OES Policy  Avoids duplication/versioning of documents Project File 85 Categorical Exclusion Training Class

 Lists appropriate ODOT/LPA/Consultant Staff  District Primary Reviewer  ODOT Project Manager (PM)  District Staff  OES Staff  Local Agency PM  Consultant PM  Primary Form Preparer  Supporting Staff Form Adminstration 86 Categorical Exclusion Training Class

 Identifies the appropriate document level  C1, C2  D1, D2, D3  EA and EIS  Project Type displays for D-listed projects  Displays the items listed in the CE Guidance Document Level 87 Categorical Exclusion Training Class

 Tracks relevant environmental project milestones  E nviro N et integrated with Ellis  Certain dates entered in Ellis populate to this tab  Certain dates entered in this tab populate to Ellis Project Details Tab 88 Categorical Exclusion Training Class

Project Details Tab Categorical Exclusion Training Class 89

 CEs are stand-alone documents.  Technical documents are summarized in the remarks portion of the CE  All impacts, regardless of CE Level, must be assessed for context and intensity Preparation 90 Categorical Exclusion Training Class

 General  Includes relevant project information  Roadway and bridge design criteria, Maintenance of Traffic, and right-of-way and utility involvement  Purpose & Need format built-in  Alternatives format follows PDP  Floodplains, Stormwater and Landfills are in Permits  Select tabs have tables to record impacts to individual resources/properties  Wetlands, streams, Section 4(f)  Each tab has tables to list environmental commitments Resource Tabs 91 Categorical Exclusion Training Class

 As part of remarks discussion, include:  Literature review and field investigations Include date conducted and the firm and/or agency  Anticipated level of impacts Include resources within project area, but that are not impacted  Anticipated public and/or agency involvement  Coordination/correspondence and any issues resolved based on agency concerns Resource Tabs 92 Categorical Exclusion Training Class

Resource Remarks  Consider impacts to environmental resources and associated consequences  Discuss analyses of resources and anticipated:  Impacts upon environmental resources  Public and agency involvement  Permits required  Avoidance or mitigation measures  Environmental Commitments 93 Categorical Exclusion Training Class

Resource Remarks  When impacts occur:  Explain and describe anticipated impacts  Discuss resources present, but not directly impacted  Outline how a specific resource was addressed  Agency correspondence  How issues were resolved  Associated data, studies, technical reports Upload to project file 94 Categorical Exclusion Training Class

Re-Evaluations

 Conducted when project scope and/or impacts change since document was last 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 This does NOT apply to CE or EA actions 23 CFR Categorical Exclusion Training Class

 If environmental studies are more than five years old, agency re-coordination and/or new studies may be needed  40 CFR (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 Guidance Categorical Exclusion Training Class 97

 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  Address current status of the entire project, but focus on the current phase  Also consider: What has happened on entire project to date (including prior construction phases) What will follow (future construction phases) What or how changes to the project or impacts will affect current phase (and potentially future phases if that information is known) Guidance 98 Categorical Exclusion Training Class

 Erica L. Schneider, Assistant Env. Administrator or  Kevin E. Davis, Supervisor or  Doug App or  Veronica Trecazzi or OES Policy Contacts 99 Categorical Exclusion Training Class