Title: Managing the Transportation Decisionmaking and NEPA Processes
1Managing the Transportation Decision-making and
NEPA Processes
2Big Picture Implementation Strategy
- More than just a transportation solution
Livable Communities, Quality of Life - FHWA Initiatives
- Beyond Environmental Clearance
3Overall 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
4A 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
5 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
6SAFETEA-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
7LRP 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)
8Environmental 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
9Long-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
10LRP 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
11LRP 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
12LRP 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
13LRP 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
14Regional/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
15Regional/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)
16Mid-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
17Mid-Range Planning Contd
- MPO Regional Plan and TIP
- Regional, Statewide, Landscape Level Envr.
Priorities, Context and Mitigation Strategies
(SAFETEA-LU 6001, CSS) - Good Documentation
18Project 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)
19Summary 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
20Summary 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
21Coordinate/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?
22(No Transcript)
23Project Level Activities/Steps
- The next slides focus on the Project Level.
- Who will move it to the project level?
24Assemble 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.
25Project 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.
26Perform 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
27Send 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
28If 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
29Execute 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
30Develop 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)
31Determine 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)
32Publish EIS Notice Of Intent (NOI)
- Identify and Invite Participating/Cooperating
Agencies - Tribal Involvement
- Publish in Federal Register
33Perform 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
34Manage 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
35Develop 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
36Finalize 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
37Coordinate on Purpose and Need
- Coordinate with Cooperating and Participating
Agencies (SAFETEA-LU 6002)
38Develop 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
39Begin Conceptual Engineering/Design
40Perform 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
41Perform 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
42Transportation 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
43FHWA 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
44Create Preliminary Draft EIS Document (PEIS)
- Document decisions and process.
45Perform Document Review of PEIS
- Document Review Procedures
46Sample PEIS Document Review Procedures
Team Review by FHWA DOT
DOT/FHWA Review of Final Document
Resource Agency Distribution FHWA Legal Review,
if Applicable
47Provide 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
48Produce 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
49Prepare Preliminary FEIS (PFEIS)
- Address public input
- Produce PFEIS
- Address comments on DEIS
50Perform Legal Review of FEIS
- Legal Sufficiency Review
- Prior Concurrence of FHWA HQ Staff, as appropriate
51Produce Final NEPA Document (FEIS)
- Certification on FEIS same as DEIS
- Circulation 30 day minimum
- Stakeholder/Public Review and Comment
52Produce Decision Document
- Record of Decision (ROD)
- Signed by FHWA
- Address comments submitted on FEIS
53Distribute Record Of Decision (ROD)
54Publish 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
55Transition to Design Phase
- Ensure Environmental commitments are handed off
to design staff.
56Develop Preliminary Engineering/Design
57Verify 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.
58Develop Project Design
- FHWA approval to proceed with final design
- Context Sensitive Design
- Ensure mitigation commitments get into the design
plans.
59Finalize Engineering
- Ensure Mitigation Commitments are in final design
- Include environmental expertise
60Produce and Submit PSE
- Ensure Mitigation Commitments are in PSE
61Obtain Permit Approvals
62Proceed with Construction
- Mitigation Commitments
- Safe, context sensitive project, responsive to
stakeholder interests.
63Monitor 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
64Obtain Mitigation Certification, Approvals,
Acceptance
65Operate and Maintain Transportation Facility
- Ensure Mitigation Commitments executed
- Protection of environmentally sensitive resources
while providing safety and mobility.
66Outcome
- Livable Communities and Quality of Life for the
Long Term