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

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

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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

3http://www.dot.ca.gov/hq/LocalPrograms/index.htm

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

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

What Actions are Subject to NEPA?

Actions that:

» use federal land

» require federal permit or other federal approval

» use federal funding

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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 yearsCurrently expires 6/7/16*

Section 6005 NEPA responsibilities for

certain CEs, EAs and EISs delegated to

Caltrans for a 5 year pilot program

Section 1313NEPA responsibilitiesassigned to Caltrans

23 USC §327Signed 7/1/07

Renewed 10/1/12Currently expires

1/1/17*

*Caltrans expects MOUs to be renewed on or before these dates.7

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.

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Field Review and PES Submission

[PES = Exhibit 6A of LAPM

PES instructions = Exhibit 6B]

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PES FormSubmission

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

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Regular PES FormDistrict 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

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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?

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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

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

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Typical NEPA Studies

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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

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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/)

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Completion of Environmental Document

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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.

REVALIDATIONS

(RE-EVALUATIONS)

[Exhibit 6G* of LAPM*But ask your environmental

planner for the D4 form]

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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

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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

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Non-Infrastructure Projects

[PES (NI) = Exhibit 6J of LAPM

Instructions = Exhibit 6K]

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A Non-Infrastructure Project

Transportation-related project that does not: Involve engineering design Require right of way acquisition, or lead to physical construction

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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

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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).

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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.

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Hints and Tips

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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

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Language

Avoid the word ‘significant’ unless legislatively defined

Avoid ‘approximate’ Stand alone NEPA analysis (rather than

relying on CEQA) Clear impact analysis Firm commitments

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Questions?

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