NEPA MANAGER S HANDBOOK

Transcription

1 NEPA MANAGER S HANDBOOK Strategies and Tips Office of Environmental Services December 2018 i

2 Contents 1: Introduction Purpose Audience Organization Training Project Management Fundamentals ODOT Funding Programs Programming Statewide Transportation Improvement Program Staged Plan Reviews Scope of Services/Fee Proposal Terminology Scheduling Terminology : Planning (PL) Phase Activities Project Background... 5 Review documentation from funding/programming activities... 5 Locate the Project Identification (PID) number in Ellis to see the project details... 5 Review environmental data sources... 7 Conduct a virtual field visit using on-line photography... 8 Research property information... 8 Research community information... 9 Develop initial study area NEPA Strategy and Scope of Services Schedule Project Budget Project Start-Up Purpose and Need (P&N) Public Engagement Plan (PEP) : Preliminary Engineering (PE) Phase Activities Initiate Environmental Studies Public Notification Letter (PNL) Cultural Resources Section 106 Scoping Request Phase I History/Architecture Ecological Survey Report (ESR) Regulated Materials Review (RMR) Screening Underserved Populations (UP) ii

3 3.8 Recreational Section 4(f)/6(f) Determination Form Noise Analysis and Noise Barrier Public Involvement Input for Feasibility Study (FS) or Alternatives Evaluation Report (AER) Public Involvement : Environmental Engineering (EE) Phase Activities Phase I Archaeology Phase II Archaeology Phase II History/Architecture Individual Section 4(f) Evaluation Regulated Materials Review (RMR) Assessment Regulated Materials Review (RMR) Investigation Farmland Conversion Impact Rating Form (FCIR) Indirect Effects and Cumulative Impacts Underserved Populations Impact Analysis Report (UPIAR) Waterway Permit Determination Request (PDR) Air Quality Analyses: Qualitative Mobile Source Air Toxics (MSAT) Environmental Document Minimum Documentation Requirements : Final Engineering (FE) Phase Activities Environmental Commitments Waterway Permit Application Mussel Survey and Relocation Environmental Consultation Form Re-Evaluations : Construction (CO) Phase Activities Environmental Commitment Monitoring : Acronyms iii

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5 1: Introduction 1.1 Purpose This handbook explores key issues related to the management of environmental studies within ODOT s Project Development Process (PDP). It explains how the most common environmental tasks fit into the PDP and provides tips for navigating the interrelationships with engineering design tasks. This handbook is a supplement to the PDP Manual and discipline-specific manuals. 1.2 Audience The intended audience for this handbook includes ODOT District Environmental Coordinators (DEC), District environmental staff, Local Public Agency (LPA) staff, and environmental consultants that are responsible for directing the National Environmental Policy Act (NEPA) related studies for a project. The handbook will refer to the primary person as the NEPA Manager, which may be the consultant environmental lead and/or District environmental lead, depending on how responsibilities are assigned for the project. Where the handbook refers to the Office of Environmental Services (OES), this is intended as the OES subject matter experts responsible for the discipline being discussed. Consultant NEPA Managers should contact the DEC to initiate any coordination efforts with OES. The handbook will also be useful to ODOT and Consultant Project Managers (PMs) that oversee projects. When the handbook refers to the PM, this means either the ODOT or consultant PM leading the design of the project. 1.3 Organization Chapter 1 provides an introduction to basic concepts used throughout the handbook, including project management fundamentals and ODOT program terminology. Chapters 2 through 6 provide information on common tasks, with each chapter covering one phase of ODOT s PDP. Commonly-used acronyms are included in Chapter 7. 1

6 1.4 Training The handbook presumes that NEPA Managers are familiar with ODOT s PDP, ODOT s NEPA Assignment Categorical Exclusion (CE) Guidance, and the EnviroNet system. ODOT provides training to ODOT, LPA, and consultant personnel on these topics and others. The following online courses are available through ODOT at no cost. Title Length Air Quality 100* 1 hour Air Quality hour Aesthetic Design Guidelines* 1 hour Categorical Exclusion* 4 hours Section 106* 3 hours Creating a Permanent Record of Historic Properties 1 hour Ecological 101 General Overview* 2 hours Ecological 200 Ecological Survey Reports 2 hours Ecological Advanced 1 hour Ecological Webinar Updates 20 minutes Introduction to Environmental Commitments* 15 minutes Farmlands* 15 minutes Feasibility Studies and Alternatives Evaluation Reports* 30 minutes Floodplains* 15 minutes Noise 100* 1 hour Noise hour Project Development Process* 2 hours Introduction to Public Involvement* 4 hours Purpose and Need* 2 hours Reader Friendly Environmental Documents* 15 minutes Regulated Materials Review 100 Process* 20 minutes Regulated Materials Review 200 RMR Screening 40 minutes Regulated Materials Review 300 Assessments/Investigations 1 hour Section 4(f)* 1 hour Section 6(f)* 30 minutes Underserved Populations* 30 minutes Waterway Permits 100 Overview* 1 hour Waterway Permits 200 Permit Determination 30 minutes Waterway Permits 300 Nationwide Permits 30 minutes Waterway Permits 400 Individual Permits 1 hour The above courses marked with an asterisk (*) are recommended for all NEPA Managers and are pre-requisites for attending the in-person, two-day ODOT NEPA Training. Details regarding environmental training courses are available on the OES Training webpage. Please refer to ODOT s Office of Consultant Services for current prequalification requirements and trainings by qualification category. 2

7 1.5 Project Management Fundamentals Throughout the handbook, there are references to general project management concepts and terminology, which also apply to the successful management of NEPA-related tasks. There are also references to ODOT-specific issues that impact project management strategies. These key project management knowledge areas are summarized briefly below ODOT Funding Programs There are more than three dozen funding programs administered by ODOT. Information on these programs is published periodically in the Program Resource Guide. The funding program from which a project originates provides valuable background information for the NEPA Manager, both to understand what requirements apply (e.g. federal versus non-federal) and to understand the impetus for the project (i.e. Purpose & Need). Projects sponsored by local governments that are funded through ODOT must comply with ODOT environmental procedures. Local Public Agency (LPA) sponsors must use ODOTprequalified environmental consultants and submit required tasks through the DEC. If an LPA project will be advertised for construction by ODOT, it is referred to as ODOT-let LPA in the PDP. A project that will be advertised for construction by the LPA is called Local-let LPA Programming Once a project is identified for funding, the project is programmed. The program manager (or their designee) adds the project in Ellis, ODOT s in-house project tracking and management system. The project is assigned a Project Identification Number (PID). Ellis is available to external users to access basic project information (for viewing only) Statewide Transportation Improvement Program The Statewide Transportation Improvement Program (STIP) is Ohio s four-year transportation plan, listing federal and state funded projects which have at least one phase of implementation planned during the four-year period. Certain categories of projects appear in the STIP under a Statewide Line Item (SLI) rather than individually. Projects with federal funds must be accurately listed in the STIP prior to NEPA approval Staged Plan Reviews ODOT s Location and Design Manual defines typical design review submissions as Stage 1, Stage 2, Stage 3 and Final Tracings. These definitions are important to NEPA Managers as they relate to design information available for use in evaluating environmental impacts Scope of Services/Fee Proposal Terminology ODOT s Scope and Fee (SAFe) System is used to develop the scope of services for an ODOT project with consultant involvement. SAFe has an on-line user manual and requires a My ODOT account for access. See ODOT s Office of Consultant Services webpage for more information on SAFe. The consultant responds to the scope and provides additional narrative and a fee proposal within SAFe. The Task Template includes standard task names for most common tasks. Double-clicking on a task name reveals a Task Help box with more information on the task. As environmental procedures evolve quickly, the definitions in SAFe may not be current. If any discrepancies are noted, please report these to OES. If there is any question about the scope of a particular activity, confirm with the DEC prior to developing a fee for the task. 3

8 Base services included in the contract (also called the agreement) are called authorized services. The term authorized refers to the fact that the task will be included when ODOT issues the initial Authorization to Proceed (ATP). Some tasks are included in the agreement as if authorized, meaning that they will not be included in the initial ATP, but may be authorized at a future time if needed. Tasks are noted as authorized vs. if authorized during the Scope of Services meeting and designated in SAFe. If a task is required that is not included in the agreement and is not available as an if authorized task, a contract modification may be required. It is important for the NEPA Manager (both ODOT and consultant, if applicable) to be aware of if authorized tasks that are available for use, if needed. The time required to obtain a contract modification may impact the schedule, so it is important to notify the PM if additional tasks may be needed. ODOT s Office of Consultant Services maintains the Consultant Fee Estimation Guidance (CFEG) to assist ODOT and consultant personnel in negotiation of fair and reasonable fees for consultant contracts Scheduling Terminology This handbook refers to a Critical Path Method (CPM) schedule and discusses considerations for tasks appearing on the critical path. By definition, a task is on the critical path when any delay to the individual task will cause delay to the overall project. The amount of extra time available in the schedule before a task becomes critical path is called the float. The time to complete a task (typically measured in work days or weeks) is called the duration. If there are tasks that must be started (or completed) before the subject task can begin, that relationship is called a dependency. A CPM schedule illustrated graphically to show tasks, dependencies, and durations is a Gantt chart. ODOT contracts require that consultant PMs use Microsoft Project for development of schedules from planning through design. Project Management Activities The NEPA Manager serves as part of the PM s management team, providing important insight into the project schedule as it relates to environmental studies, NEPA approval and permits. The NEPA Manager will conduct these project management or general oversight tasks: Project set-up Schedule development and updates Activity tracking and progress reporting Budget review and invoicing Coordination with design PM and participation in project progress meetings and/or conference calls Depending on the project, this effort may involve the DEC, other District environmental staff, and the lead environmental consultant. 4

9 2: Planning (PL) Phase Activities During the Planning (PL) phase of the Project Development Process (PDP), the NEPA Manager assists the Project Manager with the development of the scope of services for environmental studies. The NEPA Manager develops a strategy for completion of the environmental tasks and provides input for the project schedule and budget. Once work on the project begins, the NEPA Manager is responsible for the Purpose and Need and the Public Engagement Plan, when required. 2.1 Project Background In order to prepare for PL phase activities, the NEPA Manager begins by reviewing information regarding the project s history, setting, and potential for environmental resources. This information provides the basis for the scope of services and informs the NEPA strategy. Below is a summary of information to be collected and considered, if it is not already available from the programming phase. Subsequent sections describe how to use this information in developing a strategy for completing the required studies. Review documentation from funding/programming activities Consult PM Interview the ODOT or LPA PM to obtain project history and background. Review notes from funding phase Review any information that is available from the local funding process or ODOT program funding processes. Conduct a brief internet search to find past meeting minutes (Metropolitan Planning Organization, city council), news articles, etc. Review the listing in the State Transportation Improvement Program (STIP). Confirm that the project description matches the project as currently envisioned. The CE preparer will verify again prior to submission of the CE document. To obtain NEPA approval, the next phase of the project (e.g. design, right-of-way acquisition, or construction) with federal funding needs to be shown on the STIP. Locate the Project Identification (PID) number in Ellis to see the project details Project description Review the project description for the primary components of the project. Funding source Check the funding source. Is there federal money in the Preliminary Engineering (PE) phase, Right-of-Way (R/W) phase, and/or Construction (CO) phase? What program is funding the project? This information will be used when developing the schedule and provide background for the Purpose and Need. Right-of-way (R/W) Are there funds for R/W? Are there R/W activities in the milestone schedule? Make a note of whether R/W is anticipated. Sponsor Who is listed as the project sponsor? If it is a Local Public Agency (LPA), is the project shown as ODOT-let or local-let? NEPA document classification What NEPA document classification was anticipated during programming? Is it consistent with current project information? For example, if the CE classification is C1 but there are funds in the R/W phase, something may be wrong since a C1 classification cannot involve any new R/W. 5

10 Schedule What are the milestone dates in the schedule for design and R/W activities? Consider how these dates interact with environmental activities while developing the strategy for completing the NEPA work. For example, if there is federal money in the design contract, NEPA must be approved before Stage 3 design is authorized. Bridges If a bridge is involved, make a note of the Structure File Number (SFN) and the type of work anticipated. Funding Sources and Environmental Studies Remember! NEPA approval is required before federal funds can be authorized for final design (Stage 3 and beyond), right-of-way acquisition or construction. When developing the schedule for the environmental document, make sure the NEPA approval occurs prior to the first milestone where federal funds are needed. If there are federal funds in the design contract, ensure that NEPA approval is scheduled to occur before Stage 3 design is authorized. The funding source for a project may impact the required environmental studies. A few examples: NEPA and Section 106 apply to any project with any type of federal funds (in any phase of the project), a federal action (like a Section 404 permit), or a federal approval (like a new access point on an interstate) Section 4(f) applies to any project with federal transportation funds (in any phase) Endangered Species Act and Sections 404 and 401 of the Clean Water Act apply to any project, regardless of funding source Section 6(f) applies to any property with Land and Water Conservation Fund (LWCF) restrictions, regardless of the funding source of the project State laws and regulations (such as protection of state mussel species or agricultural districts) apply to all projects regardless of funding Based upon these differences, OES has developed stream-lined approval processes for certain types of projects. (For example, Section 4(f) is not required for local bridge projects that are using state/local funds through the Federal-State Fund Swap program.) 6

11 Review environmental data sources Once the project location is understood, review readily-available data to anticipate the environmental studies that are needed. This information may be used by the DEC to prepare the environmental portion of the Project Initiation Package. The following list provides resources for the NEPA Manager to plan the environmental strategy for the project. More detailed literature reviews are conducted by specialists during the specific studies. Transportation Information Mapping System (TIMS) Check the project location in TIMS. Among the available data layers are demographic indicators (Underserved Populations), National Wetland Inventory (NWI), historic bridges database, coastal management zone, and buffers for state and federal scenic rivers. Buckeye Assets Check the bridge Structure File Number (SFN) in the bridge inventory. Download the bridge inventory report and the latest inspection report. Confirm whether the bridge is designated as eligible for the National Register of Historic Places (NRHP). Locations of historic bridges are also available on TIMS. Ohio State Historic Preservation Office (SHPO) database Check the project location in the SHPO database. Download a map showing any previously surveyed areas and recorded resources. If a NRHP-listed or eligible property or district appears within the project limits, make particular note of that property address or location. Please note that access to the SHPO database requires a registered user and subscription fee. U.S. Fish and Wildlife Service (USFWS) and Ohio Department of Natural Resources (ODNR) Wild and Scenic Rivers If there is a named stream, verify whether it is on the USFWS or ODNR list of wild and scenic rivers. Scenic River buffers are available on TIMS. Stream Stats From the U.S. Geological Survey (USGS) StreamStats website, make a note of the streams within the project limits. Identify the drainage areas at any stream crossings. USFWS/ODNR Mussel Survey Protocol Review the listing in the Mussel Survey Protocol to determine if any streams in the project limits are listed. If so, make a note of which group for each stream. Make a note of unlisted streams that are over 10 square miles of drainage area. Known Ranges of Federally-Listed Species in Ohio Review which species are listed in the project area. Some species impact the timing of ecological surveys. State-listed Species ODOT staff have access to the ODNR Natural Heritage Database (NHD). Consultants make a formal request for this information by to ODNR when initiating an ecological survey. In order to have this information at scoping, the NEPA Manager may request this information from the DEC. Floodplains Check the Federal Emergency Management Agency (FEMA) Flood Insurance Rate Map (FIRM) to see if the project is within a floodplain and note whether it is a Special Flood Hazard Area (SFHA) or floodway. Ohio Regulatory Property Search (ORPS) Use the ORPS tool to check available databases for potential issues with regulated materials. Please note that sites in these databases are not always mapped properly, so this tool should be used with care in urbanized or industrialized areas and is not a substitute for considering current and past land uses. 7

12 Conduct a virtual field visit using on-line photography Make note of: Land use and land cover Note whether the project area is urban, suburban, or rural. Note if the surrounding area is residential, commercial, industrial, or agricultural. Take note of whether the project is surrounded by a heavilydeveloped area or if there are natural areas or a steam corridor. Residences, neighborhoods, religious institutions, and businesses Take note of the type of adjacent or impacted properties, business names, and neighborhood names. Community resources - Note the locations of transit stops, public facilities, schools and parks. Take note of the names of such facilities. Street view - Look at the adjacent buildings for anything of note that might influence the project or help understand community concerns (ADA access to home, etc.). Utilities and R/W Make note of any areas where new R/W or utility impacts appear likely. Bigger picture - Zoom out from the project and note anything nearby that could be important to stakeholders or useful for the project team to know. Look for possible locations for public meetings, if needed. Logistics and safety Check the distance from the office to the project site. If overnight travel will be needed for any studies, check General Services Administration (GSA) per diem rates for the project location. Look at the project site and consider how field crews will access the area and if parking for field vehicles will be an issue. Consider if any special permits will be required to access the site, such as for accessing railroad right-of-way, accessing USACE property, or working within the interstate right-of-way. Check locations and distances to urgent care and hospital, particularly if the project is in an isolated or remote area. Research property information Gather information on property ownership and public properties to assist in planning the level of effort for project notifications, public involvement, and Section 4(f)/6(f) activities. Obtain information from: Auditor s website Check property ownership in the project area on the county auditor s website. Estimate the number of adjacent property owners that will be needed for notifications. Check ownership for any publicly-owned properties. It is not necessary to make a mailing list at this time. The mailing list will be generated based upon current information when project work begins. Public properties - If any parks, schools or other public facilities are present, research contact information and officials with jurisdiction, if applicable. Land and Water Conservation Fund (LWCF) - If a park is present, check the map on the LWCF website. Check public sources to verify the location of any LWCF grant parks within the area that appear on the list. If any LWCF listing might be associated with the subject park, contact OES to request the file from ODNR to confirm. This information will be needed for the Section 6(f) process. 8

13 Research community information Gather information on the community and residents to assist with planning for public involvement and Underserved Populations outreach. Look for: Underserved Populations Following instructions in the Underserved Populations guidance to identify the low-income, minority, linguistically isolated, and over age 64 populations in the project area. Public services Research contacts for police, fire and Emergency Medical Services (EMS). Planning Contact the local planning organization or community development group for assistance in evaluating strategies for outreach to Underserved Populations. Stakeholders Assemble a list of stakeholders based upon jurisdiction (county, township, city, school superintendent, transit agency, EMS) and any organized community groups (area commission, development board, neighborhood association). Local events Make a note of the schedule for annual carnivals, fairs, or other important community events that may need to be considered when planning public involvement activities, fieldwork, maintenance of traffic, or the construction schedule. Develop initial study area An initial study area is helpful for estimating the level of effort for environmental studies. Coordinate with the PM about project information that may impact the study area: Confirm the project details based upon the research described above and share any environmental concerns that have been identified. Ask about maintenance of traffic (MOT) and whether there will be a detour. Discuss the need for permanent or temporary right-of-way. Discuss the expected utility impacts. Ask about potential construction methods, access, staging, dewatering, etc. Ask about the expected impact limits and the need for in-stream work, both temporary and permanent. This early in the process, the PM will not have answers to all of these questions, but can determine which of these issues are possible and which are unlikely. Based upon this discussion, develop an initial study area. This study area may be used to initiate data collection for subsequent environmental studies, but the reports will not be finalized until the appropriate level of design information is available. See discussion for each study in Chapters 3 and 4 for more information. 9

14 Study Area Strategies The project type and schedule impact the NEPA Manager s strategy for developing the environmental study area and establishing the limits for impact calculations. Primary goals in establishing the study area and impact limits: Ensure the study area used for research and field data collection encompasses all project impacts, temporary and permanent, including any impacts for stormwater Best Management Practices (BMPs), utility relocations, and construction staging and access. Avoid overestimating impacts that trigger additional studies, a higher level of coordination or additional mitigation costs. Suggested approach for most projects: Develop a study area based upon worst-case assumptions from the designer plus a buffer based upon the setting and areas of uncertainty. Use the study area to initiate ecological field studies and desk-top research for Section 106 Scoping Request Form, Regulated Materials Review Screening, Underserved Populations, Section 4(f), etc. Finalize each submittal when appropriate design is available to estimate impacts. The necessary level of detail for the impact limit depends on the question that each submittal is trying to answer. Typically, this is Stage 1 design. Fast-tracked or Design-Build projects: Develop a study area based upon worst-case assumptions from the PM plus a buffer based upon the setting. Initiate ecological field studies and gather desktop research for Section 106 Scoping Request Form, Regulated Materials Review Screening, Underserved Populations, Section 4(f), etc. Discuss results of studies with PM, discuss potential impact thresholds, and agree upon an impact limit the project will not exceed. Develop environmental studies using the agreed upon limit for impact calculations. Note that this fast-tracked approach uses a defined area that constrains the designer (and contractor). It allows completion of the initial environmental studies earlier in the design process. It may result in proposed mitigation for impacts that may later be avoided when more design information is available. 10

15 2.2. NEPA Strategy and Scope of Services Once the above information is reviewed, the NEPA Manager develops a strategy for completing the NEPA studies and translates that strategy to a scope of services. If the above research effort was not completed prior to consultant selection, the consultant s NEPA Manager may be involved. The NEPA Manager considers the following in developing the scope of services: Estimate Categorical Exclusion (CE) classification - Review ODOT NEPA Assignment Categorical Exclusion Guidance for expected classification of the project, considering the project type, funding and likely impacts. As the NEPA Manager works through the scope of services and potential for impact, revisit this issue and how the classification impacts other studies that are needed. If the NEPA document may be a D2, D3, Environmental Assessment (EA) or Environmental Impact Statement (EIS), the DEC may request OES assistance in review of the scope for environmental studies. Purpose and Need If the CE classification is level D1 or higher, a Purpose and Need (P&N) is required and is included in the scope as a separate task. If the initial scope assumes a C2 but there is potential that the impacts will elevate the document to D1 or higher, include a P&N as an if authorized task. The purpose of the project should be consistent with the project s funding program, but may include additional elements. For example, a project with Highway Safety Program funding may also be intended to solve a traffic congestion issue. Major New Program and other complex projects typically are intended to solve multiple needs. Look to the source of the project funding for the intent. Determine what data are available to support the need and what additional data and/or analysis is still required. The P&N must be supported with data. Coordinate with the PM to confirm that these items are included in the scope of services. The PM within the sponsoring agency (ODOT or LPA) is responsible for clarifying the need that has originated the project and for providing supporting data. The NEPA Manager is responsible for assembling that information in the appropriate format. For complex projects with multiple needs, the PM and DEC (and consultant NEPA Manager, if applicable) may discuss the proposed supporting studies with the reviewer from OES and obtain input for the studies that will be used to support the need. Ecological Survey and Waterway Permitting Use the size of the study area and the likely quantity/quality of resources to estimate the level of effort for the Ecological Survey Report (ESR) and whether waterway permitting tasks will be required. Consider several key issues: o Study area(s) Consider if fieldwork will require additional field time due to the nature of the project. For example, a culvert program with multiple, discreet locations will be coordinated under separate ESRs, each with its own study area. o Mussel survey If a stream is listed on the Ohio Mussel Survey Protocol under Groups 1 or 3, (or over 10 sq. mile drainage area if unlisted), plan for mussel reconnaissance during ecological survey and possible mussel survey/relocation prior to construction. Ecological survey fieldwork must occur between May 1 and 11

16 October 1 during mussel survey season. Surveyors must be on the ODNR-approved list, which is available on OES s webpage. For Group 2 or 4 streams, federal species are possible. In-stream work may require a mussel survey, a Biological Assessment (BA), formal Section 7 Endangered Species Act coordination with USFWS, and mussel relocation prior to construction. A federally-permitted malacologist is required. Coordinate with OES for advice to develop the scope and schedule. o Endangered Species In addition to mussels, consider if there are federal species that impact the timing for the ecological survey. For example, in areas with the potential for Running Buffalo Clover (RBC), plan to survey from mid-may to mid- June when the clover is flowering. The NEPA Manager should plan for these easilyidentified issues that impact the schedule. Once the project work begins, project ecologists will do a literature search for federal- and state-listed species and the fieldwork approach may need to be adjusted. o Stream designations Consider if the stream is listed as national or state scenic, recreational, or navigable. This will impact coordination times and required permits. State Scenic Rivers require coordination with ODNR which takes place as part of the ecological survey coordination. For complex projects, OES will typically coordinate the Stage 2 plans as well to get early feedback on the design. ODNR may require mitigation and review of the plans at Stage 3 and again at Final Tracings, which will be a commitment in the NEPA document. If these plan reviews are incorporated into the approach from the outset, the effort typically does not add time to the design schedule. ODNR sign-off on the plans is needed prior to obtaining the waterway permit. National Scenic Rivers require coordination with the National Park Service (NPS). This effort can add substantial time to the schedule. National Scenic Rivers typically contain federally-listed mussel species and may involve other endangered species as well. Projects with in-stream work in a National Scenic River require a Level 2 Ecological Survey Report (ESR). The design studies will need to consider alternatives to eliminate any piers in the water or documentation to justify why this is not feasible. OES will coordinate the project with NPS using the ESR. NPS typically will provide comments and a preliminary Section 7 finding that can be used for the NEPA document. Design plans and the waterway permit application are needed to finalize coordination with NPS. The final Section 7 finding from NPS is requested by USACE as part of the waterway permit process. o Waterway permitting Consider the possible extent of impacts, based upon available information. Compare to the Regional General Permit (RGP) thresholds (for ODOT-let projects only) or the Nationwide Permit (NWP) thresholds. Evaluate whether the project is likely to require a Pre-Construction Notification (PCN) or if an individual 404 and/or 401 may be required. Check the Ohio EPA Nationwide Permit Stream Eligibility Map to determine if a project is eligible for a NWP under the Section 401 program. Include a Permit Determination Request (PDR) in the scope if there are any potential impacts to streams, wetlands or other surface waters. Include the likely level of Section 404/401 permitting in the scope; make the task if authorized if it is possible that the permitting task may not be 12

17 needed. Note that if an Individual 404/401 permit is expected, the ecological survey should be scoped as a Level 2 and additional time included in the schedule for permitting activities. o Coordination with engineering Coordinate the timing of the ecological survey, PDR and PCN based upon the schedule for design. Stage 1 design is preferred for the ecological survey. The PDR submission occurs during Stage 2, using pre-stage 2 plans with ecological resources and impacts shown. Completed Stage 2 plans are needed for the PCN. If the schedule does not allow time to wait for the Stage 1 design to coordinate the Ecological Survey Report (or the project is Design-Build and no plans are available), the ESR can be completed using worst-case impact limits. Ecological resources impact the timing for the environmental studies and also affect the timing for construction activities (e.g. seasonal tree clearing, in-stream work restrictions, plant relocations, and mussel relocations). The NEPA Manager should be knowledgeable about these common issues and provide input to the PM about the overall project schedule. Seasonal Restrictions It is important to consider seasonal factors when planning ecological fieldwork. Some common issues to consider: Growing season April 15 th October 15 th Mussel survey season May 1 st October 1 st Running Buffalo Clover blooming typically mid-may to mid-june Environmental commitments often arise from ecological coordination. The project schedule should consider whether the following are likely: Mussel survey and relocation May 1 st October 1 st In-stream work restrictions (for applicable streams) April 15 th June 30 th Tree clearing prohibited April 1 st - October 1 st 13

18 Regulated Materials Review (RMR) RMR studies for ODOT differ from Environmental Site Assessment (ESA) studies conducted for private property transfers because ODOT considers management of contaminated materials during construction (due care) in addition to liability issues for property purchases (due diligence). Consider the following to determine the scope for RMR tasks. o RMR Screening Consider the basic thresholds in an RMR Screening to determine whether to scope an RMR Screening by consultant or by ODOT. If there is any new R/W and/or potential for excavation deeper than 6 feet, include an RMR Screening in the scope of services. If the answer to both is no, complete the first page of the RMR Screening Form and upload to EnviroNet to document that no RMR studies are needed. o Consider the timing for the RMR Screening - It can be started as soon as it is known whether there is new R/W and/or deep excavation, but cannot be finished until the locations of R/W and deep excavation are identified. The RMR guidance recommends using Stage 1 plans. If waiting for Stage 1 plans will harm the schedule, discuss with ODOT about the potential for using preliminary property impacts and excavation depths provided by the designer in order to submit the RMR Screening before Stage 1 design is available. o Consider the extent of potential file reviews The RMR guidance requires a file review in the RMR Screening for suspect properties identified for RMR Investigations or plan notes. Estimate the level of effort for the RMR Screening with consideration to the number and complexity of potential file reviews. The NEPA Manager may request the BUSTR files or download the OEPA e-docs in advance. o Consider the potential for RMR Assessment and RMR Investigations Based upon the expected R/W impacts and nature of the impacted properties, evaluate whether and how many RMR Assessments or RMR Investigations may be required. Include in the scope as if authorized and allow time in the schedule. Occasionally, there is too much uncertainty at initial scoping as to the potential for, or complexity of, RMR Investigations in order to develop an appropriate fee estimate. In that case, make a note in the scope to include this task in a subsequent contract modification if needed. o If early research finds something complex (like a landfill, Superfund site, or potential for a large number of RMR Investigations), consult with OES to plan the RMR activities and scope. For example, an OEPA ( Rule 13 ) authorization is required to perform borings or construction within 300 feet of a landfill boundary. Such an authorization can take time; get OES s input early and plan for it in the schedule. o Asbestos If a bridge is to be rehabilitated or demolished/replaced, compare the proposed bridge work to the ODOT Asbestos Guidance. Include asbestos surveys in the scope of services. If any buildings are planned for acquisition or demolition, asbestos surveys may also be needed in the scope. If acquisition is a separate contract from design, these surveys are typically completed with the acquisition contract. 14

19 Cultural Resources Consider the following to develop the scope of services and preliminary schedule for cultural resources. o Review the project information against the Section 106 Programmatic Agreement (PA) - If the project can be cleared under Appendix A by the DEC, no additional cultural resources coordination is required. If the project cannot be cleared by the DEC under the PA, the project will require a Section 106 Scoping Request Form (SRF). The DEC may prepare the SRF or it may be included in the scope of services. o Consider timing for the SRF Evaluate whether further studies are likely based upon impacts, setting, historic bridge list, and SHPO GIS data. If no further studies are likely, plan to submit the SRF when Stage 1 plans area available. It is easier for OES to document the determination that no further work is required when they can review the plans. If it is possible that further work will be required, plan to submit the SRF based upon preliminary design from the engineering team. Alternatively, the DEC may request early guidance from OES for specific resources to assist in decision-making. o Consider what additional studies are likely - Include Phase I Archaeology and/or Phase I History/Architecture as if authorized items if the SHPO database and study area indicate that either may be required. The DEC should consult with OES Cultural Resources staff if needed. If there is the potential for demolition of an NRHP-eligible structure, consult with OES and determine what additional studies will be needed, such as Determination of Effects Report, HABS/HAER documentation, or Individual 4(f) Evaluation. o Historic bridges If the project involves an historic bridge rehabilitation or replacement, confirm with the PM that the engineering includes the evaluation of rehabilitation alternatives that will be required for Section 4(f) evaluation. Keep in mind that a project classified as a C2 is elevated to a D-level document if historic bridge rehabilitation or replacement results in an adverse effect to the bridge. Discuss with OES about the need for a written P&N, Public Engagement Plan (PEP), and an alternatives analysis in the scope of services. o Public involvement requirements Take note of whether any special public involvement activities will be needed for Section 106 or if any potential Consulting Parties have been or are likely to be identified. Parks and Recreation Areas Initial data collection will have identified any parks and recreation areas, officials with jurisdiction, and whether Section 6(f) applies. Consider the following to develop the scope of services and timing for the Section 4(f)/6(f) determination: o Impacts Determine whether the Section 4(f)/6(f) properties are likely to be impacted. Will new permanent or temporary R/W be required? Will access be impacted? If this is unknown, determine when in the design process this information will be available. o Plan for these activities in the schedule based upon resource and level of design information needed to coordinate. Keep in mind that Section 6(f) conversions add substantial time to the project schedule. If impacts to a Section 6(f) property are anticipated, consult with OES regarding the scope of effort and schedule. 15

20 o Public involvement requirements Take note of whether any special public involvement activities will be need to cover Section 4(f) requirements (e.g. de minimis impacts). Noise Use the noise analysis flow charts available on OES s website to determine if the project requires a noise analysis and add to scope of services if needed. Plan for this task to begin when the design files (DGN) for plan/profile and certified traffic are available. If noise impacts are likely and abatement appears possible (based upon density), put a placeholder in the schedule for noise public involvement and include in the scope as if authorized. Air Quality Use the air quality flowcharts on OES s website to determine whether any air quality studies are needed and include in the scope of services. If there is a noise analysis, there is almost always a qualitative Mobile Source Air Toxics (MSAT) analysis. Other studies are rare; discuss with OES before including any other air quality studies in the scope. Underserved Populations Review the questions in the Underserved Populations guidance in comparison to the project and determine what level of analysis will be required. If an Underserved Populations Impact Assessment Report (UPIAR) is possible, include as an if authorized task. Determine if there are any stakeholders involved in the project who can provide insight on the best way to reach underserved populations. Put this knowledge to use in developing the scope for public involvement activities. Public Involvement (PI) Review public involvement requirements for the project type and consult the Public Involvement Manual for more detailed information, when necessary. Discuss additional activities that should be considered based upon the topics above, especially regarding Underserved Populations. Develop a PI strategy for the scope of services. Where appropriate, reach out to area stakeholders for input to the public outreach strategy. For D1 or higher 1, the strategy is formally documented in a Public Engagement Plan (PEP). If not prepared by the DEC, the PEP is included in the scope of services. The PEP for a project of D2 and higher level is submitted to OES for review and approval. If the initial scope assumes a C2 but there is potential that the impacts will elevate the document to D1 or higher, include the PEP as an if authorized task. Consider when to incorporate the public involvement activities (in relation to other tasks) and include the public involvement tasks in the schedule. Other Technical Studies There are several studies that are typically completed by design or R/W professionals that may be needed for the NEPA document. If applicable to the project, confirm that these tasks are in the design contract and/or have been assigned to appropriate ODOT personnel. o National Flood Insurance Program (NFIP) (AKA Floodplain Coordination) If the project is within a Special Flood Hazard Area (SFHA), confirm that the PM has included any required NFIP analysis in the scope of services and that the floodplain issues are covered in the public involvement activities. 1 D1 level documents for disposal of excess right-of-way are exempt from this requirement. 16

21 o Relocation Assistance Program (RAP) Conceptual Survey Where a project requires a large number of relocations, a real estate professional prepares a RAP Survey. Use the RAP to assess concerns related to relocations in the environmental document. o Feasibility Study (and Alternatives Evaluation Report, if applicable) If required by the scope of the project, confirm that the PM has included the appropriate study in the scope of services. A Feasibility Study is required for PDP Path 3, 4, or 5 projects and is optional for PDP Path 2 projects. 2.3 Schedule Based upon the strategy developed above, assemble a proposed schedule for environmental studies. In the schedule, make note of which studies will require review at OES as well as the District. For all submittals to OES, allow 30 calendar days for initial review and 15 days for second reviews. Insert time for outside agency coordination activities, where applicable. Allow additional time for revisions and re-submittal on atypical activities that may require a collaborative effort with the District and/or OES. OES may be consulted on public involvement materials and any studies which will have non-routine issues. Coordinate the environmental schedule with the design schedule milestones. Confirm with the PM that necessary levels of design information will be available for the planned environmental submittals. The schedule should ensure that environmental approvals are in place prior to authorization of R/W acquisition or Stage 3 design where federal funds are being used. For complex projects, the PM will circulate the draft schedule for comment to ODOT reviewers, particularly those that will be involved with tasks on the critical path. The NEPA Manager will provide the environmental schedule to the PM and the environmental team members. 2.4 Project Budget The consultant NEPA Manager provides a fee estimate in ODOT s Scope and Fee System (SAFe) based upon the scope of services and the CFEG. The consultant adds to the task narrative in SAFe to provide additional details and assumptions made during development of the fee. The DEC may be asked to provide feedback to the PM on proposed consultant fees for environmental tasks. 2.5 Project Start-Up The activities described above occur prior to the consultant being authorized to begin or prior to the in-house design team starting their work. Once the PM initiates work on the project, the NEPA Manager coordinates with the PM, maintains the schedule for environmental tasks, and leads the environmental team. If required for the project, the NEPA Manager will initiate preparation of the Purpose and Need and the Public Engagement Plan during the PL phase. See details below. 17

22 2.6 Purpose and Need (P&N) Once project development begins, the first task in the PL phase is preparation of the Purpose and Need (P&N). If the expected environmental document classification is C1 or C2, this involves putting source information into the EnviroNet project file that is relevant to the P&N (such as the bridge inspection report or safety study). If the environmental document classification is D1 or higher, the P&N is prepared following ODOT s Guidance for Developing Purpose and Need. The P&N is entered into EnviroNet on the appropriate tab, with reference materials uploaded to the project file and referenced in the text. For an Environmental Assessment (EA) or Environmental Impact Statement (EIS), the P&N is prepared as a Word file and uploaded to EnviroNet. For complex CE projects with multiple needs, it is often more efficient to prepare the P&N in a Word file, obtain informal reviews within the consultant/district team, and then cut-paste into EnviroNet for official submittal to the DEC or OES. Once the P&N has been entered in EnviroNet, review is requested. The P&N is reviewed and accepted by the DEC for D1 or lower. For D2 or higher, OES review and approval is required. ODOT offers training for preparation of Purpose and Need. See OES s training webpage. 2.7 Public Engagement Plan (PEP) Early in project development, use the notes prepared during the development of the scope of services to prepare a Public Engagement Plan (PEP). For a C1 or C2 project, this is a bulleted list of activities used internally by the project team. For D1 or higher, it is a formal PEP document based upon ODOT s Public Involvement Manual. Once the PEP in uploaded to EnviroNet, review is requested. The PEP is reviewed and accepted by the DEC for D1 or lowerlevel documents. For D2 or higher, OES review and approval is required. After considering what public involvement is appropriate based upon the details for the project, double-check the strategy against the Public Involvement Manual to ensure the requirements are met. For easy reference, OES has provided a table on the webpage showing the Public Involvement Requirements based upon the PDP Path and the level of environmental document of the project. The PEP is intended to serve as a guide for carrying out activities throughout the project; however, the activities that occur on the project may be adjusted based upon feedback that is received and as new details are learned about the project. ODOT offers training for Public Involvement. See OES s training webpage. 18