ENVIRONMENTAL (Last Revised November 2018) PRIMARY ROLES & RESPONSIBILITIES

Transcription

1 ENVIRONMENTAL (Last Revised November 2018) PRIMARY ROLES & RESPONSIBILITIES PRIMARY TASK ODOT LPA Scope Meeting (At project site, if possible) Purpose and Need Statement (must be supported by data) Study Area Established Worst case ROW limits established Anticipated level of required Environmental Studies Determined Complete environmental field review checklist in scope form (PIP) Environmental Schedule/Milestones Determined Required Environmental Studies Completed on Schedule by ODOT Prequalified Consultant For Path 1 and 2 projects, ODOT s Office of Environmental Services or District may complete studies (to be determined on an individual basis) Level of Public Involvement Determined, based on ODOT s Minimum PI requirements and project complexity Required Public Involvement Activities Completed (may be ongoing depending on type of project) Review, Coordination & Approval of required Environmental Studies and Environmental Document The LPA can obtain a copy of the approved Environmental Document and list of Environmental Commitments by accessing the EnviroNet System Environmental Commitments addressed in design and included in plans Revision date 11/8/18 Page 1 of 34

2 Asbestos inspection of bridges with 10 ft. or greater span or buildings to be demolished (must be completed by a Certified Asbestos Hazard Evaluation Specialist) REEVALUATION Notification of change in scope (no matter how minor) Review change in scope and determine if change has any additional environmental consequences not previously addressed If yes, refer to scope section and address those items that are impacted by the change in scope. This may require additional studies and coordination with ODOT and/or resource agencies Responsibility to Complete ALL Required Studies and Reevaluation of environmental document PLAN FILE SUBMISSION (Plans for the project cannot be filed without these items.) Environmental Consultation Form - ECF (ensures that all environmental commitments have been addressed) If obtained, include waterway permits as part of plan file submission to ODOT Documentation of the Submission of Notice of Intent (NOI) to Ohio EPA for an NPDES permit Documentation of Floodplain Permit/Executive Order Asbestos Certification/Notification CONSTRUCTION Pre-Construction Meeting Attendance Construction Site Review Environmental Commitments Carried through Construction Revision date 11/8/18 Page 2 of 34

3 INTRODUCTION ENVIRONMENTAL The National Environmental Policy Act of 1969 (NEPA) established policy that mandated Federal agencies to consider, through appropriate technical analysis and review, the potential impacts of a proposed action upon the human and/or natural environment. To the fullest extent possible, NEPA requires that all policies, regulations, and laws of the Federal Government be interpreted and administered in accordance with environmental protection goals. Currently, the Federal Highway Administration (FHWA) serves as the lead federal agency for projects funded with federal gas tax revenue, which comprises the majority of funding for local projects. For projects that the Ohio Department of Transportation (ODOT) is assigned FHWA s environmental responsibilities pursuant to the Surface Transportation Project Delivery Program, otherwise known as NEPA Assignment, ODOT will be responsible for all of FHWA s environmental actions and responsibilities, with the exception of: Projects that cross state boundaries or any project that is adjacent to an international border; Consultation with federally recognized Indian tribes, as FHWA cannot delegate to the State its responsibility for government-to-government consultation; and Transportation air quality determinations with the US Environmental Protection Agency (USEPA), as FHWA will retain this responsibility under NEPA Assignment The goal of implementing NEPA, from a transportation perspective, is to provide a sustainable environment that balances infrastructure needs. As a result, and prior to construction of a transportation project, a multi-disciplinary process is incorporated into project planning and development to determine the level of potential impact(s) (i.e. social, economic, and environmental), and to document the findings. This process includes preparation of appropriate technical and environmental studies, engineering analysis, resource agency coordination, and public involvement. The objective in preparing environmental and/or technical studies is to provide appropriate state and/or federal agencies the opportunity during coordination to assess and provide concurrence on identified impacts and/or to incorporate environmental commitments that restore, avoid, enhance, minimize, and/or mitigate impacts (provided no other feasible and prudent alternative exists). Depending on a proposed project s type and complexity, studies may be needed for one, Revision date 11/8/18 Page 3 of 34

4 if not all of, the following areas listed below. The resources that may require studies are included with the agencies with whom ODOT is responsible for coordinating. Note: ODOT has been assigned FHWA's responsibilities pursuant to the Surface Transportation Project Delivery Program, otherwise known as NEPA Assignment. The environmental review, consultation, and approval are being carried out by ODOT pursuant to 23 U.S.C. 327 and a Memorandum of Understanding dated December 11, 2015, and executed by FHWA and ODOT. FHWA may need to be consulted if a project is not completed under NEPA Assignment. Air Quality and Noise Ohio Environmental Protection Agency (OEPA) FHWA (Air Quality Conformity only) U.S. Environmental Protection Agency (USEPA) Cultural Resources Ohio s State Historic Preservation Office (OSHPO) FHWA (Tribal Consultation only) Advisory Council on Historic Preservation (ACHP) Ecological Ohio Department of Natural Resources (ODNR) Ohio Environmental Protection Agency (OEPA) U.S. Army Corps of Engineers (USACE) U.S. Fish and Wildlife Service (USFWS) National Park Service (NPS) Regulated Materials Review (RMR)) OEPA Bureau of Underground Storage Tanks Register (BUSTR) USEPA Farmland Ohio Department of Agriculture (ODA) Natural Resource Conservation Service (NRCS) U.S. Department of Agriculture (USDA) Public Involvement n/a Section 4(f) n/a Section 6(f) ODNR Revision date 11/8/18 Page 4 of 34

5 NPS Environmental Permits (Waterways, Storm Water, and Floodplains) Ohio Environmental Protection Agency (OEPA): Section 401, Section 402 (Storm Water), and Isolated Wetlands United States Army Corps of Engineers (USACE): Section 404, 408, and 10 United States Coast Guard (USCG): Section 9 Local Floodplain Coordinator Underserved Populations FHWA All environmental reports and/or technical documents that require coordination with state and/or federal agencies are submitted by the ODOT District to the appropriate resource staff in ODOT s Office of Environmental Services (OES). In accordance with ODOT s Project Development Process (PDP), the OES coordinates project impacts with specific resource agencies when consultation and/or concurrence is necessary. Environmental commitments regarding avoidance or mitigation of impacts to environmental resources are oftentimes a result of coordination. These commitments may result in modifications to the engineering plans that must be carried forward through detailed design and construction. Balancing project costs and engineering requirements in conjunction with commitments made can be challenging. However, early identification and coordination with resource agencies can minimize the impact to the overall project schedule. ENVIRONMENTAL DOCUMENT LEVEL The level of environmental document is based on the scope of proposed work and anticipated impacts. All regulations related to the identification of environmental impacts and environmental documentation can be found at 23 CFR 771. In consultation with the District Environmental Coordinator (DEC), the completion of required NEPA studies and agency coordination will be followed by preparation of an environmental document. The vast majority of transportation projects in Ohio are prepared as Categorical Exclusions (CE). More complex projects (based on context and intensity) may result in the preparation of an Environmental Assessment (EA) or Environmental Impact Statement (EIS). A project s type and complexity, as well as known environmental impacts, assist in determining the appropriate level of environmental document. The DEC can provide assistance in this endeavor with possible consultation with the OES. The level of environmental document may be determined as part of the Planning Phase of the PDP (e.g. project scoping). The DEC and/or the Project Management Team have the responsibility of determining the type of studies needed, as well as the level of environmental document. The majority of transportation projects do not result in significant social, economic, or environmental impacts and are typically processed as CEs. For those projects that have the potential to have significant impacts to the human and/or natural environmental, preparation of an EA and/or an EIS may be required. Revision date 11/8/18 Page 5 of 34

6 Categorical Exclusion Environmental In accordance with 40 CFR , 23 CFR (a), and ODOT NEPA Assignment Categorical Exclusion Guidance (CE Guidance), transportation projects that do not individually or cumulatively have a significant impact upon the human and/or natural environment can be classified as a CE. Furthermore, they are actions which do not: Induce significant impacts to planned growth or land use for the area Require the relocation of significant numbers of people Have a significant impact on any natural, cultural, recreational, historic or other resource Involve significant air, noise, or water quality impacts Have significant impacts on travel patterns Due to changes mandated in the Moving Ahead for Progress in the 21st Century Act (MAP-21), and based upon Final Rules issued by FHWA implementing the changes on January 13, 2014, and October 6, 2014, 23 CFR (c) was amended to include seven new actions that can be processed as a CE. It also included three actions formerly only listed in 23 CFR (d) on the c-list (23 CFR (c)). To accommodate these changes, ODOT revised its CE Guidance. Environmental Assessment (EA) An EA is prepared when it is uncertain whether a proposed project will have significant impacts. The EA is designed to: Demonstrate due diligence was conducted to ensure compliance with NEPA Provide sufficient evidence and analysis to facilitate preparation of an EIS, if significant impacts will result The EA includes a brief discussion of the project s purpose and need, the development of alternatives, anticipated environmental impacts, and agency coordination conducted. In Ohio, a public hearing is conducted to present the results of the EA, prior to issuance of a Finding of No Significant Impacts (FONSI). Any consideration of the preparation of an EA must first be discussed with ODOT s Office of Environmental Services. The LPA, ODOT District Environmental staff, and ODOT-OES staff will work together closely on any project that requires an EA. Environmental Impact Statement In accordance with existing regulations, an EIS is prepared when a proposed project will significantly impact the quality of the human and/or natural environment. An EIS is a full disclosure document that details the process through which a transportation project was developed, including the consideration of reasonable alternatives, analyzes the potential impacts Revision date 11/8/18 Page 6 of 34

7 resulting from the alternatives, and demonstrates compliance with other applicable environmental laws and executive orders. The EIS process in completed in the following order: Notice of Intent (NOI), Draft EIS (DEIS), Final EIS (FEIS), and Record of Decision (ROD). The LPA, ODOT District Environmental staff, and ODOT-OES staff will work together closely on any project that requires an EA. DOCUMENTING THE ENVIRONMENTAL PROCESS Documentation is an essential component of the NEPA process in order to support and complement public involvement activities and agency coordination. Federal agencies are required to disclose the results of technical and environmental analysis, potential impacts upon the human and/or natural environment, and the results of agency coordination. Documenting the process provides for complete disclosure to the public, allows others an opportunity to provide input and comment on proposals, alternatives, and environmental impacts, and provides the appropriate information to allow decision-makers to make informed and legally defensible decisions when comparing alternatives and selecting a preferred alternative. To illustrate NEPA compliance, the decision-making process and resulting documentation is discussed and included in the environmental document. The document contains project details, the approximate area to be impacted by the proposed project, a summary of coordination completed with appropriate resource agencies, impacts to environmental resources, and environmental commitments. The environmental document and any technical and/or environmental studies completed for the proposed project are be prepared by an ODOT prequalified LPA or consultant. The level of documentation must be consistent with what was determined in the Scope of Services unless ODOT directs otherwise. The LPA is responsible for ensuring that the environmental document for the proposed project is submitted as stipulated on the milestone chart. Depending on the type of project and level of environmental document, the DEC and/or the OES will review, comment, and approve the environmental document. Project milestones may need to be adjusted in consultation with the DEC, based on the results of the environmental reports. If the LPA or consultant misses submission dates, the DEC may recommend that the LPA coordinator move the project to another fiscal year as stipulated in the LPA Agreement. To facilitate documentation, preparation, and decision-making requirements, the OES developed the EnviroNet System that integrates the environmental document with the project file, and includes the ability to prepare, review, and electronically approve C1, C2, D1, D2, and D3 CEs. Unless otherwise stated, all reports, letters, decision-making documents, etc., will be uploaded to the online system. The Categorical Exclusion Toolkit provides direction and guidance on how to complete CE documents. For projects that require the preparation of an EA or EIS, the DEC and OES will assist in determining the level of coordination and documentation. It should be noted the EnviroNet System does not have the capability to support preparation of an EA or EIS electronically. Revision date 11/8/18 Page 7 of 34

8 However, the system is used to record general project information, important milestones, and review/approval of the EA or EIS document. The EnviroNet system also contains the project file for these environmental documents. Signature authority for CE approval is as follows: C1 = DEC C2 = DEC D1 = DEC D2 = DEC and OES D3 = DEC and OES (unless the project is not conducted under NEPA Assignment in which case FHWA will also need to approve). For all CE projects, initial coordination with the various resource agencies must be completed prior to approval of the environmental document. The table below summarizes the approval process based on the CE Document level. CE Document Level District OES FHWA Approval Approval Approval* C1 C2 D1 D2 D3 * *FHWA approval is not required for any environmental document (D3, EA, or EIS) unless the project is not being conducted under the NEPA Assignment program. Once a CE is approved, the majority of NEPA requirements have been satisfied. However, environmental commitments and resource specific PI (e.g. Noise or Section 106 Consulting Parties) may be items that are pending completion of particular actions. Therefore, the NEPA process may be on-going after approval of the environmental document. The time frames for completion of the environmental document will vary based on a proposed project s type and level of complexity. The environmental document can be prepared concurrently as technical and environmental studies progress and agency comments and/or concurrences are received. When the DEC creates the project in the EnviroNet System, they can include LPA staff on the Form Administration tab, giving them access to the environmental document and project file. To obtain access to the EnviroNet System, the LPA staff member will need to register for a MyODOT account and request the application from the drop-down menu provided. If you have an existing MyODOT account, but did not initially register for EnviroNet (or previously Online CE), please contact the OES for further assistance. Revision date 11/8/18 Page 8 of 34

9 For additional information, guidance, and latest updates, please visit the OES Environmental Documentation webpage. Once the environmental document has been approved, it will remain in the EnviroNet System as an approved document along with the project file. A protected Word version of the file is automatically created upon approval and is saved into the project file. The environmental document contains valuable information related to environmental study area, environmental constraints and environmental commitments. All of this information is critical to the development of the plans and must be provided to the design consultant. The LPA, listed on the Form Administration tab in the EnviroNet system, will have access to the approved document and project file. FISCAL CONSTRAINT FHWA requirements requires that each environmental document developed for a specific transportation project address fiscal constraint prior to approval. The purpose is to ensure planning and programming are meaningful, based on realistic assumptions about funding all capital, operating, and maintenance costs associated with the surface transportation system. If programs and projects are developed without regard to realistic funding, they are not able to be approved from an environmental perspective. Without fiscal constraint, public participation is undermined, as is coordination with local governments, tribes, and others. Transportation systems are challenged to accommodate many competing needs, and fiscal constraint is needed to set priorities for allocating resources to address those needs. Fiscal constraint also helps clarify what is possible with existing funding sources. To meet the federal requirements regarding fiscal constraint, the project funding must be identified in the metropolitan long-range transportation plans, metropolitan Transportation Improvement Programs (TIP), and the Statewide Transportation Improvement Program (STIP), for the operation and maintenance of existing highway and transit systems. In addition, for the NEPA document to be approved, the next phase of project development must be identified in the STIP/TIP in air quality nonattainment and maintenance areas (23 CFR [e] and 23 CFR [a] [5]). PROJECT PLANNING DEFINING THE PROPOSED PROJECT AREA In conjunction with scoping activities, defining the proposed project area will be instrumental in not only incorporating logical termini and roadway design elements, but also establishing the Area of Potential Effect for environmental resources. The scope and/or field meeting establishes a proposed project area (establishment of a large study area may be needed) as a result of Revision date 11/8/18 Page 9 of 34

10 consultation with the LPA, the DEC and/or ODOT-OES staff. Establishing a proposed project area is key in determine what technical and environmental studies are needed. The proposed project area must be large enough to accommodate or anticipate environmental constraints as well as engineering concerns that typically arise during detailed design. The establishment of the proposed project area should take into consideration detailed design items such as drainage, driveway reconstruction and access, maintenance of traffic during construction, compliance with storm water and floodplain regulations in the area, and any other items that may not be known until detailed design. The identification of a proposed project area allows for appropriate identification of environmental resources, as well as developing a sufficient area to accommodate alternatives, if necessary, to avoid or minimize impacts. The goal is to establish a proposed project area that serves as the basis of environmental studies from project conception to detailed design. Doing so, early in the process, helps to reduce project delays, unexpected costs, and additional studies and minimizes the potential for reevaluation. In summary, the LPA and ODOT will reach concurrence on the proposed project area at the scope meeting. The LPA and their engineering consultant must complete environmental studies needed as well as design the project within those limits. If the proposed project area is modified, additional studies and/or a reevaluation of the environmental document may be needed. Any modifications after the scope meeting may result in a delay in project delivery. IDENTIFY POTENTIAL CRITICAL PATH / AVOIDANCE AREAS The Project Initiation Package (PIP) is intended to provide a snapshot of potential issues and concerns that could require major scope, schedule or cost issues during project development. Knowing about and avoiding problematic issues will save time and money. The PIP is produced early in the Planning Phase by the ODOT District staff or LPA and is required for projects following Paths 2-5 (refer to the PDP web page). Though it is unlikely that the PIP will be needed for a Path 1 project, it is possible that some technical and/or resource areas may need to be considered on some projects. In those cases, it is recommended that the PIP form be utilized to document any issues. Environmental, right-of-way, utility, and engineering are among the issues to be identified and researched in the PIP within the project study area. The information gathered for the PIP may not necessarily identify locations that must be avoided, but may also identify locations that may necessitate additional study, coordination, creative management, design approaches, or increased right-of-way or construction costs. Locations that must be avoided are considered as and referred to as fatal flaws. A fatal flaw could result from significant social, economic or environmental impacts in an area. The Project Manager should ensure consultation with the appropriate specialists to determine the level of concern for each major issue. Identifying the project area resources in the study area involves documenting the results of secondary source reviews and conducting a preliminary site review of the study area. The Revision date 11/8/18 Page 10 of 34

11 secondary source documentation provides an inventory of known geotechnical, environmental, social, and cultural resources in the study area. Specific environmental resources may include history/architecture properties, archaeology sites, wetlands, rivers and streams, threatened and endangered species, land uses, Section 4(f) properties, environmental justice populations, public water supplies, mines, and hazardous materials. All of this information plus field observations from the site visit will be recorded on the PIP form. Field observation data is critical, because what is seen in the field can trigger the need for additional investigation, can confirm presence or absence of resources, and can identify resources that were not in the secondary sources reviewed for the project. The PIP must be developed, reviewed and approved by the District. In addition, Central Office and external agency reviews may be necessary. The information related to this task is gathered by the District scoping team through secondary source literature searches and field reviews for the purposes of refining the scope of a given project. These areas of potential difficulties or avoidance factors related to the environment as well as engineering concerns must be considered in establishing the study area and milestone schedules for the project. The proposed project area should be established so that the area studied is sufficient enough to accommodate engineering solutions or alternatives to impacting or minimizing the impact to the area of avoidance. Based on the results of the scope meeting, PIP and other considerations, an initial determination of the level of environmental impacts and environmental document is made by the DEC. The level of impacts will be verified, supported, or modified as more information becomes available from the completion of environmental studies. It should be noted that the level of impacts and ability to avoid identified resources will directly impact the overall project schedule. Impact to a resource identified for avoidance will require additional agency coordination and additional studies. As a result these impacts will require additional time for the complete of studies and coordination. PROJECT SCHEDULE The overall project schedule, including milestone dates, are typically developed during the scope meeting and/or during subsequent update meetings. The scope form will document who will be responsible for completing tasks, initiating studies and submitting and reviewing documents and the timeframe in which each task is to be completed. Preliminary design activities, right-of-way acquisition and detailed design or plan file dates should be taken into consideration when establishing the project schedule. It should be noted that right-of-way acquisition, detailed design or construction activities funded with Federal money cannot begin until the NEPA process is completed. The scope process is concluded when the LPA and DEC concur with the information presented on the scope form and project schedule. The DEC finalizes the environmental responsibilities and time frame for completion of environmental tasks. The level of the environmental document also is finalized or revised by ODOT, if necessary. Environmental studies may proceed once the scope process is complete, study area is firmly established, and concurrence is reached on Revision date 11/8/18 Page 11 of 34

12 milestone dates. It should be noted that scope and schedule are subject to change as new information becomes available. However, if milestone dates are missed the DEC may recommend to the LPA Coordinator to move the project to another fiscal year per the LPA Agreement. Interagency reviews may result in a request for additional information or revisions to the environmental studies and/or the CE document. A preliminary determination can be made on the anticipated level of the environmental document required for the project, however, for some projects it may be difficult to determine the exact level of an environmental document until environmental studies are underway and resources identified. The DEC will notify the LPA as soon as it has been determined that a higher level of an environmental document is required. It should also be noted that in addition to NEPA, there may be a need for compliance with the Clean Water Act, Isolated Wetland Law, and/or Rivers and Harbors Act. This may require obtaining a permit or permits from the USACE, OEPA or USCG. The environmental schedule should be developed with the goal of obtaining NEPA environmental clearance prior to obtaining the waterway permits; however, it is acceptable to obtain waterway permits during the NEPA process and can occur when the project is non-notifying (i.e., no permit application submittals necessary). Upon request and during stage 2 design, the LPA can submit a permit determination request to ODOT, in which OES will evaluate the project and associated waterway impacts to determine the types of permits required and if any mitigation is necessary. Once a permit determination is made by OES, the LPA can set the appropriate schedule for obtaining the permit or permits prior to the filing of the plan package. In summary, the establishment of a realistic environmental schedule is critical to the delivery of the project to bid. The LPA and ODOT will concur on environmental requirements and milestone dates which will be documented in the scope form. The LPA is responsible for the completion of the required environmental studies and reports and timely submission of these materials to ODOT. It should be noted that if the LPA/consultant misses report submission dates or a reevaluation is warranted, the DEC may recommend that the LPA Coordinator move the project to another fiscal year as stipulated in the LPA Agreement. PDP ACTIVITIES PURPOSE & NEED Projects designated as a Categorical Exclusion (CE) (D1 or higher), an Environmental Assessment (EA), or an Environmental Impact Statement (EIS) require development of a Purpose and Need (P&N). The P&N defines existing and future transportation conditions that the proposed project is intended to address. Furthermore, the P&N is developed prior to the identification of alternatives and serves as the baseline that aids in the evaluation and elimination of alternatives, as well as selecting a preferred alternative. Additionally, the P&N is Revision date 11/8/18 Page 12 of 34

13 designed to demonstrate that a transportation need exists and to provide justification for the expenditure of public funds and impacts upon the human and/or natural environmental. A draft P&N is developed during the early stages of the Planning Phase of ODOT s PDP, and is not considered Final until the environmental document has been approved. As the proposed project s scope becomes more refined and additional detailed analysis is performed, the P&N can evolve as the proposed project advances through the PDP. The amount of detail provided is based on a proposed project s type and complexity. The DEC can provide guidance and direction regarding this process. A well-written P&N will: Describe how the proposed project was initiated/developed Establish existing and future transportation conditions Indicate desired conditions Guide the development and evaluation of alternatives (alternatives should not be discussed in the P&N) Ensure decisions made are legally defensible The P&N also establishes two critical items: Logical Termini (where the transportation problem begins and ends or logical end points) Independent Utility (project can function independently of any other projects) The basic format of a P&N is as follows: Project History This section provides essential background/context on the existing facility and a detailed account of how the project was initiated and developed. This will include a summary of prior investigations/studies completed to date (e.g. traffic, safety, planning activities, inspection reports, etc.). Purpose Statement The purpose statement is one or two sentences that articulates intended positive outcomes and states the primary objectives to be obtained. This statement does not include reference to solutions or prescriptive outcomes. For instance, the purpose of a project is not to attain a certain Level of Service (LOS) or to meet LOS D by widening to four lanes. Rather the purpose statement indicates the problem to be addressed (e.g. congestion, safety, mobility, etc.) and the purpose of the project (maintain access, provide needed infrastructure, etc.). Revision date 11/8/18 Page 13 of 34

14 Need Elements For all intents and purposes, this section of the P&N is the critical component that defines the root causes of the transportation problem. Need elements are essential to Performance Based Project Development (PBPD), which is a design philosophy promoted by the Federal Highway Administration (FHWA) and adopted by ODOT. The emphasis of PBPD is improving existing conditions or Designing Up, and is a practical way to stretch public dollars and avoid designing solutions that cannot be funded. ODOT s L&D Manual Volume 1- Section 1000 defines PBPD as: a planning and design philosophy being promoted by FHWA and State Departments of Transportation. The general premise of PBPD is that proposed improvements should be targeted and right sized based on project specific needs. It is understood that no one project is more important than the overall system. Consequently, savings obtained from targeted PBPD solutions on specific projects can be reinvested in the overall system. The underlining philosophy of PBPD is that it s better to build many good projects rather than just a couple of perfect projects. Once the P&N is established and has been accepted early in the PDP, the design solutions explored during development of alternatives will focus on the primary need elements in order to satisfy the P&N. The intent is to focus on what is truly causing the problem (primary needs) versus what may not be up to standard but is not causing undue issues (secondary needs). Identifying primary and secondary needs as part of the P&N reduces time spent and expenditure of funds on designing the ultimate fix. Primary needs are existing deficiencies that are truly causing a transportation problem These needs MUST be addressed and typically (as a rule of thumb) make up 70%-80% of the project s needs Secondary needs are existing conditions that may or not meet current standards but are not the cause of localized or system failures. Another component of Secondary Needs can be based on a community perspective that considers aesthetic design and/or are consistent with local development plans. These are considered optional and discretionary and include items that typically are a result of the overall NEPA planning process. For example, a municipality may have a complete streets initiative and including a sidewalk as part of a project would support that initiative. Secondary needs can be addressed during the Preliminary Engineering (PE) Phase of the PDP (usually in the Feasibility Study) if warranted based on the balancing of costs and environmental impacts. Therefore, the Need Elements section includes: Well-defined primary and secondary needs based on quantified data from technical analysis (needs are identified as primary or secondary within this section) Existing and future conditions associated with primary and secondary needs (this will assist in determining if a need is primary or secondary) Do not quantify the desired condition the intent is to improve the existing, not achieve a specific metric. Typical transportation needs include, but are not limited to: Congestion this need is supported by traffic data, for example: o Certified Traffic plates Revision date 11/8/18 Page 14 of 34

15 o Design Year No Build Traffic Analysis (e.g. Highway Capacity Software, Synchro) Safety - can be a primary need if crash data is supported by another known deficiency (e.g. congestion, roadway geometrics, facility deficiencies) o Crash analysis based on the most recent three year period Facility Deficiencies o Pavement Condition Rating o Bridge condition rating (inspection reports) o Identified roadway geometric deficiencies System Linkage o Origin/Destination Studies o Access Management Study Regardless of the need, especially for those projects where Economic Development is a major component, there must be a transportation focus. o SHIFT counts and growth data (ODOT only) Summary The summary restates the Purpose Statement and summarizes the need elements. Logical Termini and Independent Utility Logical Termini establishes the beginning and end points to the transportation problem(s). Independent Utility establishes the independent significance of the transportation problem and demonstrates that the project is not dependent on any other condition or action. In summary, the LPA is responsible for ensuring the P&N defines existing transportation problems with quantifiable data. The data is typically gathered early in the Planning Process and may occur prior to identifying additional technical and environmental studies to be conducted. For proposed projects that are more complex, the P&N may be coordinated with the DEC and OES during the Planning phase of the PDP. The DEC through consultation with OES will assist the LPA in determining the level of investigation needed to establish the P&N. At the time of application for funding, the LPA should develop a one or two sentence Purpose Statement, as well as a bulleted list of Need Elements to be included in the application package. For additional information, guidance, and latest updates, please visit the OES P&N Toolkit Webpage. Development of Alternatives The development of alternatives typically occurs on projects that are classified as Path 3 or higher in accordance with ODOT s PDP. Based on ODOT s PDP, a preferred alternative is Revision date 11/8/18 Page 15 of 34

16 identified based on the results of a Feasibility Study (FS) and an Alternatives Evaluation Report (AER), if needed. These are critical components of the PDP, as they document the decisions made during Preliminary Engineering, and serve as the basis for defining potential environmental impacts. The Preliminary Engineering (PE) Phase makes up the process that is used to arrive at a Preferred Alternative. The majority of Path 2 projects will not require a FS. Existing information or other stand-alone studies will provide adequate information to determine that a No-Build and a Build alternative are sufficient. If there are specific engineering or environmental resource issues that need to be resolved to establish the Preferred Alternative, an FS may be prepared to resolve the issue. Finalizing the FS should occur prior to significant amount of design or detailed environmental studies being completed. For additional information, the FS and AER guidance, and its latest updates, are located on ODOT s PDP webpage. ENVIRONMENTAL STUDIES Environmental studies are required for proposed projects that receive Federal funds or that require federal approval or federal permit to assess impacts upon the human and/or natural environment. These studies must be conducted and documented either by qualified ODOT personnel and/or prequalified environmental consultants and LPA personnel. Prequalification is required for each of the following discipline areas: Cultural Resources Ecological Environmental Document preparation Regulated Materials Review Noise Section 4(f) and 6(f) Waterway Permits The level of documentation for each discipline must comply with the minimum requirements and specifications developed by OES. The LPA must ensure that reports are submitted as stipulated on the milestone chart found in the scope form. With the possible exception of waterway permit coordination with the USACE and/or OEPA, coordination with the jurisdictional agencies is initiated and completed by OES. The LPA must contact the DEC to initiate coordination. ODOT will require, comment on and/or coordinate the required environmental reports. ODOT may adjust project milestones based on the results of these reports, or other complications related to resource agency comments. If the LPA/consultant misses report submission dates or a Page 16 of 34

17 reevaluation is warranted, the DEC may recommend that the LPA Coordinator move the project to another fiscal year as stipulated in the LPA agreement. Air Quality and Noise Proposed transportation projects listed on the STIP and/or TIP are required to have Mobile Source Air Toxics (MSAT), Particulate Matter 2.5 (PM2.5), and Ozone (O3) addressed under NEPA (Carbon Monoxide [CO] no longer needs to be addressed as Ohio is now in attainment). The OES Air Quality and Noise Unit provides guidance (See ODOT Highway Traffic Noise Analysis Manual and ODOT Project-Level Air Quality Manual 2015) and assistance in determining what level of analysis is required, and conducts reviews to ensure compliance. Local project sponsors are responsible for ensuring appropriate air quality analysis is conducted and coordinated prior to NEPA approval. As workload permits, the OES can prepare and coordinate air quality and noise analyses for smaller projects, however, these studies are normally prepared by consultants. All air quality analysis must be conducted and coordinated prior to approval of the environmental document. Furthermore, the OES ensures appropriate coordination takes place with the FHWA, OEPA and USEPA. The criteria for when air quality analysis is conducted is provided below. MSAT An MSAT Analysis is required when sensitive land uses are located within approximately 500 feet of a proposed project area that involves adding capacity, constructing a new interchange, constructing a new road on new alignment, relocating lanes closer to sensitive areas, or expanding an intermodal center. Depending on specific circumstances, a proposed project is categorized as one of three types for MSAT purposes: No Potential for Meaningful MSAT Effects No analysis or discussion of MSAT is necessary. This applies to proposed projects that are categorically excluded as C1 projects in accordance with ODOT s CE Guidance and 23 CFR (c) or are exempt from conformity requirements under the Clean Air Act pursuant to 40 CFR Documentation sufficient to demonstrate that the proposed project qualifies as a CE or is exempt from conformity requirements will suffice. For environmental documents that are above a C1 level, the environmental documentation should include the basis for the determination of No Potential for Meaningful MSAT Effects or why no studies are required. To that end, standard language has been developed by OES to incorporate into the environmental document. Qualitative Analysis for Projects with Low Potential MSAT Effects This applies to proposed projects that add capacity, construct a new interchange, construct a new road on new alignment, relocates lanes closer to sensitive areas, or expands an intermodal center where the design year traffic is projected to be less than 140,000 Annual Average Daily Traffic (AADT). The majority of proposed projects that require an MSAT analysis will fall into this category. A Qualitative Assessment MSAT Report is prepared Page 17 of 34

18 that compares the expected effect of the proposed project on traffic volumes, vehicle mix, or routing of traffic and the associated changes in MSAT for the project alternatives considered (including the No-Build) based on vehicle miles travelled (VMT). For the majority of proposed projects, consultants prepare these analyses and OES coordinates with the OEPA accordingly. Quantitative Analysis to Differentiate Alternatives for Projects With Higher Potential MSAT Effects This applies to proposed projects that have potential for meaningful differences in MSAT emissions among project alternatives considered. Typically, these type of projects are located in proximity to populated areas and involve intermodal facilities that have the potential to concentrate high levels of diesel particulate matter in a single location; a significant number of diesel vehicles for new projects or a significant increase in the number of diesel vehicles for expansion projects; create new capacity or add significant capacity to urban highways such as interstates, urban arterials, or urban collectordistributor routes with traffic volumes where the design year AADT is projected to be > 140,000. A quantitative analysis is conducted to forecast local-specific emission trends of the priority MSAT for each project alternative considered. The analysis also may address the potential for cumulative impacts, as appropriate, based on local conditions. For this type of analysis, mitigation options may be required to be identified and considered. Consultation with the federal agencies is required in the scoping phase. Particulate Matter (PM) 2.5 If a proposed project is not located within a PM2.5 nonattainment or maintenance area, no consideration of PM2.5 is required. A PM2.5 Hotspot Analysis is required if a non-exempt project is located in a nonattainment or maintenance area and the project's design year Average Daily Traffic (ADT) is greater than 125,000, design year diesel truck volume is greater than 10,000, and there is a significant increase in diesels between design year no build and design year build conditions. If a proposed project is located in a nonattainment or maintenance area but a Hotspot Analysis is not required based on ADT and diesel truck volume, then the proposed project will require coordination with USEPA, OEPA, and FHWA seeking their concurrence. The OES Air Quality and Noise Unit is responsible for performing this coordination with the proper project information provided by the District or the consultant. Ozone It must be documented if the project is located in an Ozone nonattainment area or not. It must be confirmed that a proposed project is listed in the STIP and/or TIP. If listed in the STIP and/or TIP, ozone has been addressed. However, it must be confirmed that the project description within the environmental document is consistent with what is described in the STIP and/or TIP. It should also be documented if the proposed project is located in a nonattainment area for ozone. Noise Page 18 of 34

19 A noise analysis is required if Noise Sensitive Areas (NSAs) are located within approximately 500 feet of the proposed project area and the proposed project: Involves the addition of one or more new through lanes; Significantly changes the horizontal alignment to be 50% closer to NSAs; Significantly changes the vertical alignment (i.e. >5 ); Adds a new roadway on new location; Adds new auxiliary lanes > 2500 ; or Restripes the existing pavement for an added through lane The noise analysis focuses on the noise sensitive land uses within approximately 500 of the project and that are listed in Table 1 of 23 CFR 772. The noise analysis compares the existing versus proposed noise conditions and determines if the consideration of abatement is warranted. If noise abatement is recommended, then noise public involvement will be required. If it is determined that the benefited public desires the noise wall, then the noise wall moves forward into the design and construction phases. For additional information, guidance, and latest revisions, please visit the OES Air Quality and Noise webpages. Community Impacts Assessing a project s impact upon a community is an integral component of transportation planning and development, and project implementation. Although transportation projects are designed to improve everyday movement of people and goods and quality of life, the consideration and analysis of potential environmental impacts or effects of transportation projects upon the community is an essential decision-making element. This includes not only direct effects, but indirect effects (sometimes called secondary effects) and cumulative impacts upon public services and community institutions. In addition, consideration includes mobility, access, safety, employment impacts, displacement/relocations, and other community transportation-related issues of concern. For additional information, guidance, and latest updates, please visit the OES Indirect Effects and Cumulative Impacts webpage. Cultural Resources A Cultural Resource is any prehistoric or historic site, district, building, structure, or object. A Historic Property, as defined at 36 CFR Part 800, is any prehistoric or historic district, site, building, structure, or object that is included in or eligible for inclusion in the National Register of Historic Places (NRHP). This includes artifacts, records, and remains related to and located within such properties. The phrase eligible for inclusion in the National Register of Historic Places, includes properties that meet the National Register Evaluation Criteria and have been Page 19 of 34

20 formally determined as eligible by the Secretary of the Interior and/or through consultation with the OSHPO. Section 106 of the National Historic Preservation Act (NHPA) and Section of the Ohio Revised Code (ORC) require ODOT to take into account the effects of proposed transportation projects on historic properties. All projects that involve federal funding or a federal approval (including a USACE waterway permit) must comply with Section 106 of the NHPA. State or locally sponsored projects that do not involve federal funding or approval must comply with the ORC. To that end, cultural resource investigations are conducted to identify and evaluate prehistoric and historic archaeological sites, and historic sites, districts, buildings, and bridges. The identification process includes an electronic records check of online databases maintained by the OSHPO and ODOT and, as needed, subsequent field investigations. The results of the records check and field investigations are evaluated by the OES Cultural Resources Section to determine whether historic properties will be affected by a project. As part of the Section 106 process and in accordance with the Section 106 Programmatic Agreement between FHWA, ODOT, SHPO, and the Advisory Council on Historic Preservation, the OES Cultural Resources Section will consult with the OSHPO as needed in determining eligibility of cultural resources for listing on the NRHP and the effect of the project on such properties if they are present. If it is determined that the proposed project will not affect or will not adversely affect an historic property or properties, further Section 106 coordination is not required. An adverse effect on historic properties will require further consultation with the OSHPO, Consulting Parties, and the ACHP. The consultation with these agencies and interested parties will require measures to mitigate the effect of the proposed project on the historic property. Public involvement is a key ingredient to successful Section 106 consultation, and the views of the public should be solicited and considered throughout the process. The OES Cultural Resources Section takes the lead in the consultation process for proposed projects that have an adverse effect. Consultation will lead to a Memorandum of Agreement that will lay out the process for mitigating adverse effects. For additional information and guidance, please refer to the OES Cultural Resources manual. Drinking Water The OES RMR Unit is responsible for reviewing and providing oversight for proposed projects that impact drinking water resources. OES monitors new rule making and legislation, serves as a liaison with regulatory agencies, and provides training and assistance to Districts and consultants regarding drinking water. Drinking Water Resources refers to residential wells, public water systems (ground water and surface water), drinking water source protection areas, former wellhead protection areas, and sole source aquifers. It does not refer to water lines. Page 20 of 34