Managing the Transportation Decisionmaking and NEPA Processes

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Managing the Transportation Decision-making and
NEPA Processes
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Big Picture Implementation Strategy

• More than just a transportation solution
  Livable Communities, Quality of Life
• FHWA Initiatives
• Beyond Environmental Clearance

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Overall Strategy Transportation for Quality of
Life

• FHWA Initiatives that Dovetail Together
• Context Sensitive Solutions (CSS)
• Planning and Environment Linkages (PEL)
• Eco-Logical
• Integrated Planning (Executive Order)
• Streamlining and Stewardship (Executive Order)

EcoL
CSS
Stream.
PEL
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A Systems Perspective
land development proposal
Land Use System
Transportation System
road improvement proposal
Water Resources System, example
wetland functions and dynamics
Other Natural, Cultural Resource Systems
ecosystems with long-term, system sustainability
Interacting Systems
Support multiple goals improve quality of life
Adapted from slide used by FHWA HQ
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SAFETEA-LU and Long-Range Transportation
Planning (LRP)

• Planning process to ... protect and enhance
  environment, promote energy conservation and
  improve quality of life ....
• expanded to include ... promote consistency
  between transportation improvements
• State local planned growth economic
  development patterns
  
  23 CFR 450.206 and
  450.306

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SAFETEA-LU (Section 6001, 23 CFR 450)- Statewide
LRP Shall

• Be developed, in consultation with State, tribal,
  and local agencies responsible for
• Land Use Management
• Natural Resources
• Environmental Protection
• Conservation and
• Historic Preservation

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LRP Shall Contd

• Involve comparison of transportation plans to
• - State/Tribal conservation plans or maps,
  
• - inventories of natural or historic
  resources
• Discuss environmental functions mitigation
• Similar provisions for the development of
  metropolitan transportation plans (MPOs)

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Environmental Priorities in Project Development
and Delivery Cycles
Planning Integrated w/ Env Priorities
Project Development w/ Env Commitments and
Priorities
Evaluate Needs, Options, Intermodal Trans
Improvement
Centered on Integrated Outcomes, Multiple
Benefits, Quality of Life
Design w/ Env Commitments
Condition Assessments, and Measures
Construction w/ Env Commitments
Operations and Maintenance w/ Env Commitments
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Long-Range Transportation Planning and Project
Development and Delivery Cycles and Interactions
Long-Range Transportation Planning Cycle Plan
update cycle 4-5 yrs 20 year planning
horizon System level detail Broad-brush,
Long-range scales
Project Development and Delivery Cycle
Development, Design,
Construction, Operations,
Maintenance Project level detail Project scales
Environmental information, expertise, and
priorities, integrated into decision-making
processes
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LRP Process Activities Products next 4
slides

• Activities
• Assess Existing Conditions and Future Needs
• Identify Get Input from Stakeholders/Resource
  Agencies, Build Partnerships
• Perform System Analyses
• Study Reasonable Foreseeable Projected Land
  Uses
• Determine Community Values

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LRP Activities Products Contd

• Determine Constraints physical, financial,
  environmental
• Perform Data Analysis
• ID Known Environmental Resources and Priorities
• Study Feasibility
• Consult/Coordinate with state and local
  environmental agencies-SAFETEA-LU 6001,
  ecosystems, ID Mitigation Opportunities

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LRP Activities Products Contd

• Technical Activities
• Implement Unified Planning Work Program
  (mechanism for study, prior to LRP by MPOs)
• Perform Scenario Planning
• Identify Performance Measures out of the
  Congestion Management Process
• Info. from Bridge, Asset and Pavement Management
  Systems
• Conduct Air Quality Conformity (done on first 10
  yrs of LRP first 4 yrs of TIP)
• Perform Forecasting socio-economic, revenue,
  land use, travel demand
• Assess Freight Movement

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LRP Activities Products Contd

• Products
• Develop Problem Statement
• Develop Scope
• Develop Regional Description/Studies
• Prepare Financial Plan incl. Cost Revenue
  Projections
• Develop Capital Operating Strategies
• Develop Statewide/Regional Visioning/Goals/Objecti
  ves/Strategies for Investment
• Short-term Strategies
• Document! Document! Document! - all Planning
  Activities

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Regional/MPO Activities -Vision/Goals/Strategies
for Transportation by Developing

• Stakeholder Input (CSS)
• Definitions, goals, objectives, strategies for
  investment
• Known Environmental Resources Data (CSS, Ecol.)
• Community Values (CSS)
• Potential Projects concept level
• Cost and Revenue projections

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Regional/MPO Activities Contd

• Feasibility, Realistic Goals
• Goals and Objectives from Planning into Purpose
  and Need (SAFETEA-LU)
• Input from Congestion Management Process (at MPO
  level only)

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Mid-Range Planning - Implementation Strategies
Products(3 to 10 yr plan timeframe)

• Statewide Transportation Improvement Program
  (STIP 4-6 yr)
• Metropolitan Area Transportation Improvement
  Program (TIP, 4-6 yr) (MPO) (4 yrs of TIP
  fiscally constrained)
• Preliminary Purpose and Need (NEPA)
• Proposals/Strategies
• Timeframes

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Mid-Range Planning Contd

• MPO Regional Plan and TIP
• Regional, Statewide, Landscape Level Envr.
  Priorities, Context and Mitigation Strategies
  (SAFETEA-LU 6001, CSS)
• Good Documentation

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Project Prioritization/Programming

• Revenue Cost Estimates
• From STIP
• From TIP (MPO Plan)
• Project Level Planning
• Transition to Project Level Planning
• Determine Study Area/Project Context (CSS)
• Resource Agency Coordination (SAFETEA-LU)

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Summary of Example Products from the Planning
Process

• Preliminary Purpose and Need (May be called
  problem statement or vision, produced for larger
  projects)
• Estimated Costs
• Preliminary Alternatives, including modal alts.
  (document dismissed alternatives)
• Long-Range Transportation Plans, Statewide and
  MPO
• Timeframes
• Stakeholder Identification (CSS)
• Planning Studies

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Summary of Planning Products Contd

• Project Context (CSS)
• Community Values (CSS)
• Initial Project Concepts/Proposal
• Public Comments
• GIS and other Data
• Regional, State, Landscape Level Env. Priorities
  and Mitigation Strategies (SAFETEA-LU 6001)
• Coordination to Transfer Planning to Project
  Level Efforts, Teams

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Coordinate/Transfer Efforts from Long- and
Mid-Range Planning to Project Level Efforts and
Products

• How is this done in your state?
• How are the Planning Products documented?

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(No Transcript)
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Project Level Activities/Steps

• The next slides focus on the Project Level.
• Who will move it to the project level?

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Assemble Project Management Team (Best Practice
Team Approach, not required)

• Determine Interdisciplinary Expertise Needed on
  the Team
• Facilitation and Ground rules
• Roles and Responsibilities
• Continual Process Tracking from Letter of
  Initiation to ROD for EIS Process
• Decision-making Process (CSS)
• Project Management Plan Major Projects
• Develop Independent Gov. Cost Est.

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Project Level Determine NEPA Level of
Processing Potential Significant Envr. Impacts
Identified? (Envr. Socio-Economic Impacts)

• Yes Proceed with EIS Procedures
• No Proceed with CE procedures
• Not Sure Proceed with EA Procedures
• Who makes the determination? How?
• The next slides focus on a typical EIS Level of
  processing including SAFETEA-LU 6002.

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Perform Internal Coordination Determine or
Prepare the Following (May Involve Land Managing
Agency)

• Lead Agency Co-Lead Agencies for an EIS?
• Initial Scope coordination with Internal Project
  Team
• Needs Development/ID Project Drivers
• Initial Proposal
• Timing - Is the proposal ready for the NEPA
  process?
• Cost Est.
• If Contracting, Request For Qualifications
  Envr. Consultants
• Roles and Responsibilities
• Determine if Consultant(s) needed

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Send Letter of Initiation (LOI) (SAFETEA-LU 6002
Required for EISs Only, EAs Optional)

• Requirements
• State DOT (Official authorized to sign EISs) to
  FHWA
• Type of Work
• Logical Termini
• Length
• Location
• Federal Approvals Required
• Timeframe for NEPA EIS

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If Contracting, Develop Scope(s) of Work for NEPA
EIS - Scoping, Analysis and Documentation Phases
(Best practice, not required)

• Contents
• Level of Analyses/Refinement
• Level of Processing Documentation
• Establishing Timeframes and Schedule
• Sub-consultants
• Define Deliverables, Due Dates, QA/QC
• Case example Two separate contracts or task
  orders one for scoping, one for NEPA document

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Execute Consultant Contract (If contracting to a
consultant)

• May use a separate consultant or task order to
  perform external EIS scoping process and to
  assemble Coordination/Public Involvement Plan.
• Include Evaluation of the consultants work
  during the contract

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Develop Coordination/Public Involvement Plans
(May be two separate Plans or Combined.
SAFETEA-LU 6002 Requires Coord. Plan for EISs)

• Contents
• Coordinated Reviews (Streamlining goal)
• Time Frames/Deadlines/Schedule (SAFETEA-LU 6002,
  Recommended, Streamlining)(must consider local
  time frames also)
• Coordination Points (CSS goal, SAFETEA-LU 6002
  Requirement)
• Tools, Methods
• Participating/Cooperating Agencies (SAFETEA-LU
  6002, Requirement)
• Decision-making Levels/Involvement
  Level/Roles/Responsibilities (CSS goal,
  SAFETEA-LU 6002 Requirement)
• Public Meetings, Public Hearing required for EIS
  (NEPA, SAFETEA-LU 6002 Requirement)
• Dispute Resolution Process (Streamlining goal)
• Impact Assessment Methodologies (SAFETEA-LU 6002)

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Determine Project Stakeholder Involvement

• ID Co-Lead, Participating, Cooperating Agencies,
  Stakeholders (SAFETEA-LU 6002)
• Form Interdisciplinary Team Thru NEPA
• Optional - Form Stakeholder Advisory Team Thru
  Construction
• Decide When Stakeholders Should Be Involved
• Collaborative Process
• Determine Level of Involvement
• Include Legal Staff as Stakeholders
• Get Stakeholder input on Coordination Plan before
  finalizing (SAFETEA-LU 6002)

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Publish EIS Notice Of Intent (NOI)

• Identify and Invite Participating/Cooperating
  Agencies
• Tribal Involvement
• Publish in Federal Register

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Perform External EIS Scoping

• With all Stakeholders, Public
• Environmental Regulatory and Resource Agencies
• ID Priorities and Issues Identify Early, Write
  Final Issues Paper (optional), Whats important?
• Comments on Initial PN
• Limitations/parameters
• ID Community Values, Interests

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Manage NEPA Consultant and Team (If contracting
to a consultant)

• Finalize NEPA Scope of Work
• Execute NEPA Consultant Contract
• Interdisciplinary Approach
• Perform early grouping of environmental resources
  level of analysis
• Manage Document Quality

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Develop Goals and Objectives for Purpose and Need

• Verify whether Preliminary Purpose and Need from
  Planning is still valid
• Develop Goals Objectives w/Stakeholders,
  Participating and Cooperating Agencies
• Develop Screening Criteria for Purpose and Need
• Develop Performance Measures for each Criteria

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Finalize Purpose and Need in Coordination
w/Stakeholders, Participating and Coop. Agencies
Could include

• System Linkage
• Capacity
• Transportation Demand
• Legislation
• Social Demands for Economic Development
• Modal Interrelationships
• Safety
• Roadway Deficiencies
• National Defense/Security
• Consistency w/Statewide/Metropolitan Trans. Plans
• Support for Land Use Development or Growth
  Objectives

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Coordinate on Purpose and Need

• Coordinate with Cooperating and Participating
  Agencies (SAFETEA-LU 6002)

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Develop Alternatives w/Stakeholders,
Participating and Cooperating Agencies
(SAFETEA-LU 6002)

• Based on Purpose and Need
• Reasonable Alternatives, Reasonable Range
• Level of Design Detail
• Logical Termini and Segmentation
• Independent Utility
• Establish Criteria for Evaluation
• Establish Design/Safety Criteria
• TSM/TDM
• No Build
• Mass transit and Intermodal

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Begin Conceptual Engineering/Design
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Perform Environmental Resource Analysis

• NEPA and Resource Analyses and Documentation w/in
  Alternative Analysis ie. NEPA Umbrella, 106,
  TE, 4(f), etc.
• Technical Studies and Reports
• Impact Analysis
• Public Involvement, Prepare Visual-aids for
  Stakeholders/Public Meetings/Hearing

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Perform Alternatives Screening and Analysis

• Finalize Screening Criteria Clearly Define each
  criteria
• Documentation especially dismissed alts.
• Analyze and/or Rank alts., How are alternatives
  different?
• Identify Best Alternative(s) if 4(f)
  involvement - ID Prudent Feasible Alts. If
  wetlands - ID the Least Environmentally Damaging
  Practicable Alt.
• Produce Conceptual Design

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Transportation Decisions, Planning, Project
Processes Integrating Information, People,
Decisions for-
Infrastructure, Transportation Decisions
Projects
Wildlife, Fish, Ecology, Wetlands,
Floodplains, Soil, Water
Community Values, Socio-Economics, Prime
Farmland, Land Use
Contaminants, Haz. Waste
Informed Decisions, Integrated Outcomes,
Quality of Life
Cultural Tribal Resources, 4(f), Public
Private Lands
Agency Coordination, Public Participation
Air Quality, Noise, and Other Issues
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FHWA Mitigation Policy

• Hierarchy/Sequencing
• - Avoid Adverse Impacts,
• then Minimize for Unavoidable Adverse Impacts,
• then Compensatory Mitigation for Unavoidable
  Adverse Impacts
• Reasonable expenditure
• Direct result of project, only adverse impacts
• Coordinate with stakeholders

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Create Preliminary Draft EIS Document (PEIS)

• Document decisions and process.

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Perform Document Review of PEIS

• Document Review Procedures

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Sample PEIS Document Review Procedures
Team Review by FHWA DOT
DOT/FHWA Review of Final Document
Resource Agency Distribution FHWA Legal Review,
if Applicable
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Provide Certification of Independent Document
Review (Best Practice Not Required)

• Consultant provides Certification Letter w/Draft
  Document to State DOT
• State DOT provides separate Certification Letter
  w/Document to FHWA

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Produce Draft EIS (DEIS)

• Notice of Availability by USEPA
• Published in Federal Register
• Circulation include participating and
  cooperating agencies, stakeholders, legal staff
• Review
• Formal Public Comment Period (Not to exceed 60
  days except by agreement)
• Public Hearing

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Prepare Preliminary FEIS (PFEIS)

• Address public input
• Produce PFEIS
• Address comments on DEIS

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Perform Legal Review of FEIS

• Legal Sufficiency Review
• Prior Concurrence of FHWA HQ Staff, as appropriate

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Produce Final NEPA Document (FEIS)

• Certification on FEIS same as DEIS
• Circulation 30 day minimum
• Stakeholder/Public Review and Comment

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Produce Decision Document

• Record of Decision (ROD)
• Signed by FHWA
• Address comments submitted on FEIS

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Distribute Record Of Decision (ROD)

• Document Distribution

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Publish Statute of Limitations Notice (SOL) (For
EISs, optional for EAs)

• Publish Statute of Limitations Notice according
  to SAFETEA-LU 6002 procedures, signed by FHWA
  Division Administrator (23 U.S.C. 139)
• Involve Legal staff

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Transition to Design Phase

• Ensure Environmental commitments are handed off
  to design staff.

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Develop Preliminary Engineering/Design
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Verify Validity of Envr. Document

• Verify the validity of the environmental document
  prior to any major next steps. Is it up to date?
• Conduct Reevaluation, if necc.
• Produce supplemental document, if necessary.

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Develop Project Design

• FHWA approval to proceed with final design
• Context Sensitive Design
• Ensure mitigation commitments get into the design
  plans.

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Finalize Engineering

• Ensure Mitigation Commitments are in final design
• Include environmental expertise

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Produce and Submit PSE

• Ensure Mitigation Commitments are in PSE

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Obtain Permit Approvals
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Proceed with Construction

• Mitigation Commitments
• Safe, context sensitive project, responsive to
  stakeholder interests.

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Monitor and Implement Environmental Commitments
during Design, Construction, Operation and Maint.

• Involve Advisory Team/Stakeholders
• Commitments from EIS and ROD
• Permits
• Design Decisions
• Const. Schedule
• Detours/Access
• Noise/Dust
• Visual Impacts
• Socio-Economic, Community, Business Impacts
• Public Information and Public Involvement

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Obtain Mitigation Certification, Approvals,
Acceptance
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Operate and Maintain Transportation Facility

• Ensure Mitigation Commitments executed
• Protection of environmentally sensitive resources
  while providing safety and mobility.

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Outcome

• Livable Communities and Quality of Life for the
  Long Term