Categorical Exclusion (CE) Training Class

Categorical Exclusion (CE) Training Class
Presented by: Office of Environmental Services April 2-3, 2014

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

Class Objectives Understand the levels of CE classification Understand Programmatic Categorical Exclusion Agreement between FHWA/ODOT/ORDC Understand existing regulations and policies Learn how to properly document and present the decision-making process for a project Learn about upcoming changes to the CE process Learn about the Online CE System Categorical Exclusion Training Class

This Class is For You! Ask Questions!!! Share Experiences Peer Interaction Encouraged Categorical Exclusion Training Class

Introductions Name Company Environmental /CE Experience Class Expectations Thanks for coming! Categorical Exclusion Training Class

Agenda FHWA Perspective Programmatic CE Agreement Re-Evaluations NEPA Disciplines/Online CE Purpose & Need Alternatives Air & Noise ESA Cultural Resources Ecological & Permits Section 4(f) & Section 6(f) Environmental Justice & Community Impacts Categorical Exclusion Training Class

BIG PICTURE Why We Do What We Do!
FHWA Perspective BIG PICTURE Why We Do What We Do! Categorical Exclusion Training Class

Law & Regulations National Environmental Policy Act of 1969 40 CFR Council on Environmental Quality (CEQ) 23 CFR Federal Highway Adminstration (FHWA) Categorical Exclusion Training Class

NEPA Requires federal agencies within USDOT to assess and determine if a proposed action will result in significant environmental impacts Established CEQ Categorical Exclusion Training Class

Goal of NEPA Identify and assess reasonable alternatives Avoid or minimize adverse effects upon the human and natural environment Categorical Exclusion Training Class

NEPA & CE Relationship Documentation demonstrates specific conditions or criteria for a CE is satisfied No individual or cumulative significant impact upon the human and/or natural environment Per 23 CFR Analysis is commensurate to a project’s potential for adverse impacts and controversy Categorical Exclusion Training Class

NEPA & CE Relationship Any project that creates SIGNIFICANT impacts cannot be considered for CE classification Categorical Exclusion Training Class

CEQ & 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 ~ Categorical Exclusion Training Class

FHWA Regulations Title 23 - Highways Part 771 – Environmental Impacts Classes of Action FHWA Categorical Exclusions Categorical Exclusion Training Class

23 CFR (a) Actions that meet 40 CFR Do not require significant relocations Based on past experience with similar actions, do not involve significant impacts to: Planned Growth or Land Use Natural Environmental Cultural and Recreational Properties Air, Noise, and Water Quality Travel Patterns Categorical Exclusion Training Class

23 CFR (b) 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 Categorical Exclusion Training Class

23 CFR (c) Actions that meet CE criteria per 40 CFR and 23 CFR (a) Classified as Exempt projects in Ohio Categorical Exclusion Training Class

23 CFR (d) Actions that meet CE criteria per 40 CFR and 23 CFR (a) CE Levels 1-4 in Ohio Categorical Exclusion Training Class

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

Public Involvement is Essential! Categorical Exclusion Training Class
FHWA Policy Public Involvement is Essential! Mitigates adverse impacts Do not exclude any person from participating, due to handicap, age, race, color, sex, or national origin or to deny benefits of or be subject to discrimination under any Administration program or procedural activity required by or developed pursuant to this regulation Categorical Exclusion Training Class

Public Involvement Before action is taken, environmental information is made available to: Public Officials Stakeholders Citizens Categorical Exclusion Training Class

FHWA Policy Environmental Impacts & 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 Environmental protection goals at the National, State and Local level Categorical Exclusion Training Class

Ohio’s Programmatic CE Agreement
Ohio’s Programmatic CE Agreement Categorical Exclusion Training Class

Specifics Between FHWA/ODOT/ORDC Executed September 13, 2010 Supersedes previous processing agreements Assures compliance with all applicable Federal environmental requirements ODOT and ORDC act on behalf of FHWA Includes oversight responsibilities through Compliance Reviews Categorical Exclusion Training Class

Purpose Provides a consistent documentation process Legally defensible Concise and easy process to follow Reduces paperwork and processing time Personnel with limited exposure to the NEPA process can easily provide proper information Enables appropriate decisions to be made within bounds of the agreement Categorical Exclusion Training Class

Five Levels FHWA and ODOT have agreed to five levels of documentation for CE projects: Exempt Level 1 Level 2 Level 3 Level 4 Categorical Exclusion Training Class

Signature Authority All CE Levels District Environmental Coordinator (DEC) ORDC Environmental Coordinator (EC) CE Levels 2, 3, and 4 District Planning and Engineering Administrator ORDC Executive Director CE Levels 3 and 4 OES Policy Assistant Environmental Administrator (AEA) or OES Administrator CE Level 4 FHWA Categorical Exclusion Training Class

Exempt Project Types Categorical Exclusion Training Class

Definition No documentation or further NEPA approval required Meets the intent of 23 CFR (c) Do not result in significant impacts to the human or natural environment Standard stand-alone transportation activities Categorical Exclusion Training Class

Exempt 1. Guardrail installation and replacement Median cable barriers No relocation of roadway ditches/backslopes 2. Replacement of existing or installation of new traffic signals Flashing beacons, RR warning devices, ITS No likelihood of contaminated materials 3. General pavement marking or “line painting” Categorical Exclusion Training Class

Exempt 4. Herbicidal spraying 5. Mowing or brush removal/trimming projects Categorical Exclusion Training Class

Exempt 6. Installation or maintenance of signs Pavement markings, raised pavement markers Traffic calming activities New or replacement fencing No likelihood of contaminated materials 7. Study type projects Categorical Exclusion Training Class

Exempt 8. Bridges Deck overlays and/or deck replacements Superstructure Replacement Maintenance Activities Bridge Painting Categorical Exclusion Training Class

Exempt 9. General highway maintenance Filling potholes Crack sealing, mill and resurfacing Full pavement rehab Joint grinding/milling, shoulder reconstruction Minor slide stabilization/repair Minor erosion control Grading, parking lot pavement/repair Access roadway pavement Categorical Exclusion Training Class

Exempt 10. Disposal of excess ROW parcels No presence of environmental resources Environmental ROW Checklist 11. Improvements to existing ODOT/County maintenance facilities 12. Improvements to existing rest areas and/or weigh stations Minor maintenance (mill and resurfacing) Major construction may require a higher level of documentation Categorical Exclusion Training Class

Exempt 13. Beautification or facility improvement projects Landscaping Curb and gutter replacement Installation of park benches, decorative lighting 14. General permits to use or occupy highway ROW Does not involve National Highway System Does not involve limited access highways No environmental impacts Categorical Exclusion Training Class

Exempt 15. ODOT culvert maintenance or replacement and highway maintenance ditching activities Culvert lining projects Does not exceed 60” in diameter Categorical Exclusion Training Class

Exempt 16. Construction of bicycle lanes and pedestrian walkways (no new disturbance) Sidewalks, shared-use paths and facilities Small passenger shelters Alterations to facilities or vehicles for elderly and handicapped accessibility 17. Upgrade of existing tower lighting to new technologies that lessen impact of current system Categorical Exclusion Training Class

Exempt 18. Approval of utility installations Along or across transportation facilities No drainage of wetlands will occur 19. Acquisition of scenic easements 20. Transportation corridor fringe parking facilities Bus pull-ins and pull-outs Park and ride lots, ridesharing activities Categorical Exclusion Training Class

Exempt 21. Maintenance and/or replacement of existing noise wall panels and/or posts Includes noise reduction alterations to existing publicly-owned buildings 22. Track and rail-bed maintenance activities and rail improvements 23. Bus and rail car rehabilitation Categorical Exclusion Training Class

Exempt 24. Determination of payback under 23 USC 156 Property previously acquired with federal-aid participation 25. Transfer of federal lands pursuant to 23 USC 317 Subsequent action is not an FHWA action 26. Program administration, technical assistance activities, and operating assistance to transit authorities Continue existing service or increase service Categorical Exclusion Training Class

Exempt 27. Purchase and installation of operating or maintenance equipment Located within transit facility No significant impacts occur off site 28. Purchase and/or conversion of vehicles to alternative fuel CNG, E-85, etc. Categorical Exclusion Training Class

Not Exempt, When… Projects involve the following impacts:
New ROW acquisition Scenic River Corridors Waterway Permits State/Federal Threatened & Endangered Species Wetlands Historic Properties or Historic Districts Section 4(f)/6(f) Properties Substantial Traffic Disruption Minor Public Controversy (all issues addressed) Categorical Exclusion Training Class

New C-List CEs 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 21st Century Act Sections 1315, 1316, and 1317 Categorical Exclusion Training Class

FHWA Rulemaking Amended 23 CFR (c) to add new CEs (c)(9) Emergency repair projects (c)(22) Projects within operational right-of-way (c)(23) Projects with limited Federal funds (c)(9) went into effect in February 2013 and (c)(22) and (c)(23) went into effect in February 2014 Rulemaking did not change procedural requirements for approval of projects Environmental requirements under Federal and State statutes and regulations still apply e.g. Endangered Species Act, PI, EJ, etc. Categorical Exclusion Training Class

Documentation The new CEs are considered to meet the c-list (undocumented CE) criteria, however… FHWA required documentation to ensure a higher level of NEPA document is not warranted No significant impacts will occur No unusual circumstances exist An Environmental Verification Form was developed for documentation purposes Only for projects that meet new CE criteria Categorical Exclusion Training Class

Level of Impacts The new CE’s cannot exceed the following thresholds: Waterway Permits Nationwide (NWP) or Regional General Permits (RGP) May include Pre-Construction Notifications (PCNs) Endangered Species No Effect or May Effect, But Not Likely to Adversely Effect 100-year Floodplain No substantial impacts Categorical Exclusion Training Class

Level of Impacts Section 4(f)/6(f) No incorporation of land or conversion No 4(f), No Use, or Exceptions (e.g. Temporary No Use), and Maintenance or Temporary Non-Conforming Use Cultural Resources Minimal Potential to Cause Effect or No Historic Properties Affected Categorical Exclusion Training Class

New CEs (c)(9) Transportation facilities damaged by an incident resulting in an emergency declared by the Governor of the State or a disaster or emergency declared by the President (c)(22) Projects that take place entirely within existing operational right-of-way (c)(23) Federally funded 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 Federal funds comprising less than 15 percent of the total estimated project cost Categorical Exclusion Training Class

Level 1 Type Projects Categorical Exclusion Training Class

Definition Minor or no significant impacts No relocations ODOT Districts/ORDC Confirm undertaking meets Level 1 Criteria Responsible for completing and filing CE Projects that DO NOT MEET Level 1 criteria will be processed at the next appropriate higher level Categorical Exclusion Training Class

Level 1 1. Culvert and bridge replacement/reconstruction No more than minimal additional right-of-way for grading and/or necessary channel work Appropriate permits and coordination required 2. Modernization of a highway by resurfacing, restoration, rehabilitation and reconstruction 3. Modernization of a highway by the addition of turn lanes and/or addition of shoulders Categorical Exclusion Training Class

Level 1 4. Environmental mitigation activities Wetlands, streams, uplands, etc 5. Tower lighting and street lighting projects 6. Major reconstruction improvements Existing rest areas and truck weigh stations Categorical Exclusion Training Class

Level 1 7. Track and rail-bed improvements or acquisition 8. Installation of new fencing, signs, and small passenger shelters 9. Emergency repairs under 23 USC 125 Necessary work to restore travel Repairs are made within 180 days of the event Includes mine collapse, flooding, slips, etc Categorical Exclusion Training Class

Level 1 10. Joint or limited use of ROW Minimal or no adverse social, economic or environmental impacts Includes adverse impacts to highway safety 11. Approvals for changes in access control Involves NHS (National Highway System) and limited access right-of-way Categorical Exclusion Training Class

Level 1 12. Acquisition of land for hardship or protective measures Permitted only for a particular parcel or limited number of parcels Action does not limit evaluation of alternatives that may be required in the NEPA process NEPA process must be completed before proceeding Installation of new noise walls and other new noise mitigation projects Categorical Exclusion Training Class

Level 1 14. Highway safety and truck escape ramps 15. Construction of bicycle lanes/pedestrian walkways, sidewalks, shared-use paths Includes facilities and trailhead parking 16. ROW acquisition for bikeway/pedestrian facility No construction Categorical Exclusion Training Class

Level 1 17. Beautification or facility improvement projects Landscaping Curb and gutter installation and replacement ADA ramps/curb ramps Installation of park benches, decorative lighting Categorical Exclusion Training Class

Level 1 18. Land donations to ODOT associated with ROW permits Non-NHS/non-limited access ROW 19. Construction of alternative energy facilities CNG, electrification, solar, fuel tank farms, wind turbines, etc. 20. Land reduction changes (“road diet”) Traffic analysis is completed Categorical Exclusion Training Class

Level 1 21. Land acquisition by a public agency/public park entity for passive recreational use 22. Geotechnical activities Grouting Rock fall barriers Rock fall netting Drilled shafts and walls Categorical Exclusion Training Class

Level 1 23. Transportation corridor fringe parking facilities Park-and-Ride lots Ridesharing activities 24. Railroad projects that close at-grade crossings 25. Other project types Must be approved by OES and/or FHWA Categorical Exclusion Training Class

Not a Level 1, When… Projects involve two or more of the following impacts Relocations Section 106 “No Adverse Effect” finding Programmatic or de minimis 4(f) Section 106/4(f) on one site qualifies as a Level 1 Up to 3 acres of impacts to Cat 1 and 2 wetlands Enough information to issue a wetland finding Wetland/404 permit qualifies as Level 1 Categorical Exclusion Training Class

Not a Level 1, When… Continued from Previous Slide: Scenic River corridor impacts Individual 404/401 Substantial traffic disruption Minor public controversy All issues addressed Endangered species Categorical Exclusion Training Class

CE Level 2 & 3 Type Projects Categorical Exclusion Training Class

Definition Involve a combination of impacts Have higher thresholds based on context and intensity compared to a CE Level 1 Can include Exempt or CE Level 1 project types that are elevated based on impacts Categorical Exclusion Training Class

Level 2 & Level 3 1. Addition of auxiliary lanes or through lanes Parking, weaving, turning, climbing Except for Interstate or “Interstate-look-alikes” Major reconstruction on Interstates are considered on a case-by-case basis with OES 2. Bridge rehabilitation, reconstruction, or replacement 3. Realignments on new location Not to exceed two miles in length Categorical Exclusion Training Class

Level 2 & Level 3 4. Minor new highway facility on new location Except for Interstates or “Interstate-look-alikes” 5. Modification of a non-interstate interchange or construction of a grade separation Categorical Exclusion Training Class

Level 2 & Level 3 6. Construction of a new interchange Except on Interstate or “Interstate-look-alikes” 7. Minor modification of an Interstate interchange Can include, but not limited to: Addition/deletion of turn lanes Minor lane shifts Access to deceleration/acceleration ramps Major reconfiguration requires consultation with OES and/or FHWA Categorical Exclusion Training Class

Level 2 & Level 3 8. New truck weigh stations or rest areas 9. Railroad/roadway grade separation to replace an at-grade crossing Includes removal of existing grade separation structures 10. Rehabilitation, reconstruction or conversion of existing rail and bus buildings Includes ancillary facilities Minor amount of land needed Not a substantial increase in number of users Categorical Exclusion Training Class

Level 2 & Level 3 11. Construction or conversion of rail storage and maintenance facilities on new location In areas predominately used for industrial or transportation purposes Not inconsistent with existing zoning No significant noise impacts to community Categorical Exclusion Training Class

Level 2 & Level 3 12. New bus storage and maintenance facilities In areas predominately used for industrial or transportation purposes Not inconsistent with existing zoning Roadway network can handle anticipated bus and support vehicle traffic Categorical Exclusion Training Class

Level 2 & Level 3 13. New bus transfer facilities Open areas consisting of: Passenger shelters Boarding areas Kiosks Related improvements In commercial centers or high activity center Adequate capacity for projected bus traffic Categorical Exclusion Training Class

Level 2 & Level 3 14. ODOT storage and maintenance facilities on new location In areas predominately used for industrial or transportation purposes Not inconsistent with existing zoning No significant environmental impacts Categorical Exclusion Training Class

Level 2 & Level 3 15. Construction of bicycle, pedestrian lanes, paths or facilities 16. Other project types approved by OES and/or FHWA Categorical Exclusion Training Class

Level 2’s Can Involve… Minor right-of-way acquisition involving a maximum of two relocations Context and intensity may require elevation to the appropriate higher level Does not result in significant impacts to the human and natural environment Minor amounts of hazardous materials Limited to petroleum related Underground Storage Tanks (USTs) and/or releases Categorical Exclusion Training Class

Level 2’s Can Involve… Up to 3 acres of impacts to Category 1 and 2 wetlands and/or up to 0.5 acres of Category 3 Enough information to issue a wetland finding must be included as documentation Section 106 Impacts No Phase III Archaeological recommendation Documentation for consultation included in project files per 36 CFR 800 Categorical Exclusion Training Class

Level 2’s Can Involve… Programmatic or de minimis 4(f) impacts Programmatic can be approved by OES de minimis approved by FHWA Minor public or agency controversy on environmental matters No opposition from organized groups or agencies No unresolved environmental coordination Categorical Exclusion Training Class

Not a Level 2 When… Projects involve any of the following impacts:
New through lanes more than 1 mile in length Interchange to replace an at-grade intersection Coast Guard Permit Individual 4(f) Substantial floodplain impacts Federal Threatened or Endangered Species Impacts to critical habitats resulting in a BO Disproportionately high or adverse impacts to Environmental Justice populations Categorical Exclusion Training Class

Level 3’s Can Involve… Right-of-way acquisition involving a maximum of eight relocations Context and intensity may require elevation to the appropriate higher level Does not result in significant impacts to the human and natural environment Section 106 impacts Documentation of consultation included in project files per 36 CFR 800 Categorical Exclusion Training Class

Level 3’s Can Involve… Wetland impacts of 5 acres or less Enough information to issue a wetland finding must be included in documentation Programmatic or de minimis 4(f) Programmatic has been approved by OES de minimis has been approved by FHWA Individual 4(f) Draft CE provided to FHWA Categorical Exclusion Training Class

Level 3’s Can Involve… Substantial public or agency controversy on environmental grounds Involves strong opposition from organized groups or agencies Documentation must demonstrate that concerns by all parties have been addressed Categorical Exclusion Training Class

Not a Level 3 When… Projects involve any of the following impacts:
Floodplains (substantial/significant) Disproportionately high and adverse impacts to Environmental Justice populations Categorical Exclusion Training Class

CE Level 4 Project Types Categorical Exclusion Training Class

Definition Must meet intent of 23 CFR (d) Based on past experience with similar actions, do not involve significant environmental impacts Includes projects with impacts not discussed in the PA or those with higher impacts than listed Confirmation that criteria has been satisfied is made by OES and/or FHWA Categorical Exclusion Training Class

CE Preparation Categorical Exclusion Training Class

Stand Alone Document All impacts assessed for context and intensity 40 CFR Briefly summarize supporting documents or studies for each specific discipline Includes decision-making documents Section 4(f) Evaluations 404(b)(1) Alternative Analysis Section 106 Coordination Categorical Exclusion Training Class

Preparation Sufficient engineering is completed in the Preliminary Development Phase Helps assess environmental impacts Meets public involvement requirements Assists in completing CE Preliminary plans for Preferred Alternative are included in project file and designated Part of CE Serves as basis to proceed with final design and evaluate final plans when environmental consultation review is performed Categorical Exclusion Training Class

Online CE Tabs Include: Project File Upload all documents electronically Document Level Series of questions are answered to determine if project is Exempt or is a higher level of CE General Purpose & Need Alternatives Resource Specific Tabs Environmental Commitments Review and Approval Categorical Exclusion Training Class

Resource Remarks Engineering decisions, in regards to detailed design, should 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 Categorical Exclusion Training Class

Resource Remarks When impacts occur: Provide explanation or narrative describing anticipated impacts Include resources within study area not directly impacted Contain an outline of how specific resource area was addressed Agency correspondence/how issues resolved Associated data and study materials are part of project file at the originating location Categorical Exclusion Training Class

Re-Evaluations Categorical Exclusion Training Class

23 CFR Re-evaluations are conducted when the project scope and/or project impacts have changed since environmental document was last approved If document is an EIS and is more than three years old and/or it has been more than three years since the last major federal action was authorized Final Design Acquire a significant amount of right-of-way Approval of plans, specifications, and estimates package This does NOT apply to CE or EA actions Categorical Exclusion Training Class

FHWA Guidance Re-evaluations intended to encompass same project limits as in original environmental document Large projects phased for construction may not require a complete re-evaluation for entire project limits For phased projects, re-evaluation addresses current status of the entire project but focus on current phase Re-evaluations 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) Categorical Exclusion Training Class

CEQ Guidance If environmental studies are more than five years old, agency re-coordination and/or new studies may be necessary 40 CFR (c)(1)(i) When significant changes occur environmental impacts must be addressed Depending on complexity of re-evaluation, a narrative format or CE Form may be used Same review, concurrence, and approval process Categorical Exclusion Training Class

Best Practices Include when original document was approved and why a re-evaluation was required If environmental studies were completed less than five years ago, cite the date of concurrence for each study conducted If applicable, state when permits were obtained and when they will expire Note that all original environmental commitments will be adhered to and list any new commitments that have been made as a result of the re-evaluation Categorical Exclusion Training Class

Environmental Consultation Form (ECF)
Completed by District Environmental Staff Completed prior to plan submission for final processing and prior to contract sale Determines whether conditions of the proposed project have changed Confirms CE classification remains valid Lists environmental commitments and disposition Categorical Exclusion Training Class

Categorical Exclusion (CE) Training Class

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