1. Federal Environmental Requirements for Local Agency Transportation Projects Tom Holstein, 510-286 5250, tom_holstein@dot.ca.gov Donna Meyer, 510-286 5743, donna_meyer@dot.ca.gov Caltrans D4 Office of Local Assistance, Environmental

2. Today’s Presentation  NEPA Overview  Caltrans D4 Local Assistance NEPA Process: PES/Field Review/Studies/Environmental Clearance Revalidations Non-Infrastructure Projects  Hints and Tips  Questions 2

3. Local Assistance vs. Locally-Sponsored Projects Local Assistance  ‘Off’ the SHS  Local agency is CEQA Lead  Caltrans is NEPA Lead  Procedures contained in LAPM (Chap 6) Locally-Sponsored  ‘On’ the SHS  Caltrans is CEQA Lead unless delegated  Caltrans is NEPA Lead  Procedures contained in PDPM 3 http://www.dot.ca.gov/hq/LocalPrograms/index.htm

4. National Environmental Policy Act (NEPA)  Signed into law January 1, 1970 (42 USC 4321 et sec.)  “All agencies of the Federal Government shall: utilize a systematic, interdisciplinary approach which will insure the integrated use of the natural and social sciences and the environmental design arts in planning and in decision-making which may have an impact on man’s environment” 4

5. Other Federal Environmental Laws  Federal Endangered Species Act, Section 7  National Historic Preservation Act, Section 106  U.S. Department of Transportation Act, Section 4(f)  Clean Air Act  Executive Order 11988 (Floodplain Management)  Clean Water Act, Section 404 and EO 11990 (Wetlands Protection)  Rivers and Harbors Act, Section 10  Farmlands Protection Policy Act  Coastal Zone Management Act  Resource Conservation and Recovery Act  Executive Order 12898 (Environmental Justice) 5

6. What Actions are Subject to NEPA?  Actions that: »use federal land »require federal permit or other federal approval »use federal funding 6

7. Caltrans NEPA Assignment SAFETEA-LU (2007) MAP-21 (2012) CODE Section 6004 CE responsibilities assigned to Caltrans Section 1312 23 USC §326 Signed 6/7/07 Renewed every 3 years Currently expires 6/7/16* Section 6005 NEPA responsibilities for certain CEs, EAs and EISs delegated to Caltrans for a 5 year pilot program Section 1313 NEPA responsibilities assigned to Caltrans 23 USC §327 Signed 7/1/07 Renewed 10/1/12 Currently expires 1/1/17* *Caltrans expects MOUs to be renewed on or before these dates. 7

8. Excluded from NEPA Assignment FHWA retains responsibility for:  AQ Conformity for 23 USC 327 Projects;  Government-to-Government consultation with Tribes;  Statewide and Metropolitan Planning;  Projects with Federal Transit Administration (FTA) funding (where FHWA is Lead) under Chapter 53 of Title 49 of the United States Code;  Projects funded by the Federal Lands Highway Program unless the Department designs and constructs the project; and,  Projects involving international border crossings and projects that cross state boundaries. 8

9. Field Review and PES Submission [PES = Exhibit 6A of LAPM PES instructions = Exhibit 6B] 9

10. PES Form Submission Do not complete PES Form until project is in a federally-approved FSTIP.  Attach FSTIP page with project highlighted  Send 2 copies of Field Review form and PES form with plans and attachments to: Jose Reyes, Caltrans D4 Office of Local Assistance, Mail Station 10B, 111 Grand Avenue, Oakland CA 94623 10

11. Regular PES Form District 4 Required Attachments  1. FWS Endangered and Threatened Species list by Quads for your area http://ecos.fws.gov/ipac/  2. A completed Visual Resource Checklist, answer and total score. http://www.dot.ca.gov/hq/LandArch/via_outlines/questionaire.htm  3. Haz waste info. This can be found on the Geotracker unless your agency has your own inhouse source. http://geotracker.waterboards.ca.gov/  4. 100 year FEMA (FIRM) Floodplain Map 11

12. Purpose of Regular PES Form  Understand full scope of project  Identify potential environmental impacts  Determine NEPA Class Of Action (COA)  Identify required Technical Studies & Permits To do this we require a DETAILED PROJECT DESCRIPTION and FULL ANSWERS to the 36 questions  Who, What, When, Where, Why? 12

13. Scheduling of Field Review  Caltrans will allocate a Federal Project Number (FPN) to be used on all submissions  Jose Reyes will contact you to schedule a field review IN OFFICE or ON-SITE FIELD REVIEW? 13

14. After the Field Review  Local Agency to provide any supplemental project description information  Cultural Resources Review  Caltrans signs PES form and sends to Local Agency with Environment Document Classification (CE/EA/EIS)  END OF SCOPING 14

15. Typical NEPA Studies 15

16. What we do/What you do Caltrans Local Agency Section 106 Scoping (q.35 on PES form) No Effect Memo for Biology Consultation with Regulatory Agencies (SHPO, NMFS, USFWS) Sign larger studies CE checklist [LAPM Exhibit 6-E] CE form [LAPM Exhibit 6-F}] Environmental Commitment Record Hire environmental consultants (if necessary) Complete and submit studies for review Arrange and facilitate any required public outreach (invite Caltrans) Submit final studies with wet ink signature. 16

17. Tools to help  Standard Environmental Reference (SER) http://www.dot.ca.gov/ser/  SER contains Annotated Outlines for Biology, Air Quality, Cultural Resources, Environmental Documents  Hydraulics – ask your Local Assistance Environmental Planner for the Local Assistance forms  Federal Aid Classes (http://www.californialtap.org/)http://www.californialtap.org/ 17

18. Completion of Environmental Document 18 Once signed by Caltrans, the Environmental Document will be sent to you by your Local Assistance Engineer informing you that you can proceed with detailed design and preparation of right of way documents.

19. REVALIDATIONS (RE-EVALUATIONS) [Exhibit 6G* of LAPM *But ask your environmental planner for the D4 form] 19

20. Reasons for Revalidation  Project is proceeding to next major federal approval  Change in scope, setting, effects, mitigation measures and requirements  3-year timeline (EIS only) ASK YOUR ENVIRONMENTAL PLANNER FOR THE DISTRICT 4 REVALIDATION FORM 20

21. Processing the Revalidation  Answer the questions on page 2 in complete sentences  Submit 1 copy (wet ink signature) to your Environmental Planner Processing duration depends on time lapsed since Environmental Document and whether there are any changes in project scope  Technical study updates may be required 21

22. Non-Infrastructure Projects [PES (NI) = Exhibit 6J of LAPM Instructions = Exhibit 6K] 22

23. A Non-Infrastructure Project Transportation-related project that does not:  Involve engineering design  Require right of way acquisition, or  lead to physical construction 23

24. Examples of Non-Infrastructure Projects  Public awareness campaigns and outreach  Traffic education and enforcement in the vicinity of schools  Student sessions on bicycle and pedestrian safety  Freeway service patrol  Ridesharing activities  Purchase of vehicles 24

25. Non-Infrastructure Field Review? Determined to be “Eligible” NI Project  DLAE staff determine if project is “eligible” as a NI project for program funding. Meets PES (NI) Criteria  But “eligible” NI projects are not automatically processed with a PES (NI). 25

26. The NI Distinction Preliminary Environmental Screening Form  PES (NI) form screens for any ground disturbance or other environmental impacts and concludes completion of regular PES form is not needed. Preliminary Environmental Study Form  PES form scopes for potential impacts and concludes further technical studies required. 26

27. Hints and Tips 27

28. The NEPA Process  Start Early  Determine Critical Path Items  Maintain momentum, check in with OLA  Ensure any consultants are familiar with federal and SER requirements  A considered and conservative project description  Good maps showing project footprint 28

29. Language  Avoid the word ‘significant’ unless legislatively defined  Avoid ‘approximate’  Stand alone NEPA analysis (rather than relying on CEQA)  Clear impact analysis  Firm commitments 29

30. Questions? 30