Categorical Exclusion Programmatic Agreement Between the Federal Highway Administration And the Indiana Department of Transportation Introduction The Indiana Department of Transportation (INDOT) and the Federal Highway Administration (FHWA) are both committed to addressing environmental requirements under the National Environmental Policy Act (NEPA) and doing so in a streamlined and efficient manner. In accordance with FHWA regulations (23 CFR Part 771), Categorical Exclusions (CEs) are actions which meet the definition contained in the Council on Environmental Quality (CEQ) regulations, 40 CFR 1508.4, and, based on past experience with similar actions, do not involve significant environmental impacts. Most projects developed by INDOT do not have significant environmental impacts and therefore qualify as CEs. The INDOT and FHWA hereby establish this Agreement in order to address the development and approval of CEs in a streamlined and efficient manner. The agreement provides for the following: Establishment of four levels of Categorical Exclusions based on measurable environmental impact thresholds. Delegation of authority to the Indiana Department of Transportation (INDOT) to approve Categorical Exclusions for projects with minimal environmental impacts as identified by this Agreement. Establishment of INDOT signature authority for each level of Categorical Exclusion. Establishment of a monitoring program to ensure the appropriate implementation of the terms of the Agreement. The Agreement has been developed to be in conformance with policies and procedures for Class II Categorical Exclusion (CE) Actions as defined in Section 23 CFR 771.117. INDOT and FHWA concur in advance with the classification of the four levels of CEs as shown on the following page which normally are found to have no significant social, economic and environmental effect. Four Levels of CE Documentation INDOT and the FHWA hereby agree to four levels in which a project may qualify as a CE. The appropriate level of a CE is based on the type of action and the anticipated impacts of the project. All Federal-aid projects developed or reviewed by INDOT in accordance with this Agreement must have an approved CE Form. Initial screening will assist in determining the appropriate level of NEPA class, as well as the appropriate level of CE. Table 1 provides CE Level thresholds.
Table 1: Categorical Exclusion Level Thresholds Level 1 Level 2 Level 3 Level 4 Relocations None 2 > 2 > 10 Right of way 1 < 0.5 acres < 10 acres 10 acres 10 acres Length of added through None < 1 miles 1 mile 1 mile lane Traffic pattern alteration None None New alignment None None < 1 mile 1 mile 2 Wetlands < 0.1 acres < 1 acre < 1 acre 1 acre 300 linear feet, > 300 linear feet, >1 acre impact >1 acre impact Stream Impacts* 150 linear feet REC, > 150 linear feet REC footprint footprint 1 acre impact footprint Section 4(f) None None Programmatic/de Individual 4(f) minimis Findings 3 Section 6(f) None None Any impacts Any impacts No Historic No Adverse Effect N/A If ACHP involved Section 106* Properties Affected or falls within guidelines of Minor Projects PA or Adverse Effect Noise Analysis Required No No 4 4 Threatened/Endangered Species Sole Source Aquifer Groundwater Assessment Approval Level ESM 6 OES FHWA "No Effect", or Falls within Guidelines of USFWS 9/8/93 Programmatic Response Not Required Not likely to Adversely Affect Not Required Not likely to Adversely Affect Not Required * These thresholds have changed from the March 2008 Manual. 1 Permanent and/or temporary right of way. 2 If the length of the new alignment is equal to or greater than one mile, contact the FHWA s Air Quality/Environmental Specialist. 3 The FHWA must review and approve Programmatic and de minimis Section 4(f) prior to CE approval. 4 In accordance with INDOT s Noise Policy. 5 If the project is considered Likely to Adversely Affect Threatened and/or Endangered Species, INDOT and the FHWA should be consulted to determine whether a higher class of document is warranted. 6 Environmental Scoping Manager CE Level 1 Projects Likely to Adversely Affect 5 Required INDOT and the FHWA have identified specific project scopes that may qualify as CE Level 1 projects, provided the project impacts do not exceed the thresholds identified in Table 1. While state and federal laws and regulations still apply, less coordination and review may be required due to lower risk of impact to protected resources. Among these, there are two groups of project scopes that qualify for this level of documentation. The first, listed in Table 2 below, contains projects that are defined in 23 CFR 771.117(c) as CEs.
While certain project types are specifically defined as CEs, 23 CFR 771.117(d) also allows the FHWA to propose additional project types for management as CEs. INDOT and the FHWA-IN have agreed to seven project scopes under this provision. The project scopes in Table 3 are commonly minor road improvements that will not result in any significant impacts to the human or natural environment, based on INDOT and FHWA past experience. Table 2: CE Level 1 Projects Pursuant to 23 CFR 771.117(c) 1 Activities which do not involve or lead directly to construction, such as planning and research activities; grants for training; engineering to define the elements of a proposed action or alternatives so that social, economic, and environmental effects can be assessed; and Federal-aid system revisions which establish classes of highways on the Federal-aid highway system. 2 Approval of utility installations along or across a transportation facility. 3 Construction of bicycle and pedestrian lanes, paths, and facilities. 4 1 Activities included in the State's highway safety plan under 23 U.S.C. 402. 5 Transfer of Federal lands pursuant to 23 U.S.C. 317 when the subsequent action is not an FHWA action. 6 The installation of noise barriers or alterations to existing publicly owned buildings to provide for noise reduction. 7 Landscaping. 8 2 Installation of fencing, signs, pavement markings, small passenger shelters, traffic signals, and railroad warning devices where no substantial land acquisition or traffic disruption will occur. 9 Emergency repairs under 23 U.S.C. 125. 10 Acquisition of scenic easements. 11 Determination of payback under 23 U.S.C. 156 for property previously acquired with Federal-aid participation. 12 Improvements to existing rest areas and truck weigh stations. 13 Ridesharing activities. 14 Bus and rail car rehabilitation. 15 Alterations to facilities or vehicles in order to make them accessible for elderly and handicapped persons. 16 Program administration, technical assistance activities, and operating assistance to transit authorities to continue existing service or increase service to meet routine changes in demand. 17 The purchase of vehicles by the applicant where the use of these vehicles can be accommodated by existing facilities or by new facilities which themselves are within a CE. 18 Track and railbed maintenance and improvements when carried out within the existing right-of-way. 19 Purchase and installation of operating or maintenance equipment to be located within the transit facility and with no significant impacts off the site. 20 Promulgation of rules, regulations, and directives. 1 These activities are non-infrastructure programs, such as educational programs to encourage seatbelt use. 2 These activities may include general pavement markings, line painting, and installation of raised pavement markers, maintenance of signs, and maintenance of fencing.
Table 3: INDOT/FHWA CE Level 1 Projects A Culvert and pipe replacement/reconstruction. (All permits and coordination are still required.) B Modernization of a highway by resurfacing/reconstruction of pavement/sidewalks. C Guardrail projects where no new bank stabilization is required (except for end treatment areas) as long as work is within previous construction limits. D The replacement of traffic signals within existing rights-of-way. E Bridge deck overlays, bridge deck replacements, bridge painting projects and other bridge maintenance activities, within existing rights-of-way. F Herbicidal spraying within existing right-of-way. G Mowing or brush removal/trimming within existing right-of-way. There may be other types of projects that qualify as a CE Level 1 based upon meeting the threshold limits, but are not listed above. Decisions as to the proper level of CE documentation will be made on these types of projects on a project-by-project basis. For Level 1 projects, the CE-1 Form (Attachment 1) completes the environmental documentation. For higher-level CEs, the CE-1 Form can provide an overview of potential issues that must be investigated and documented in the CE 2-4 Form. The CE-1 Form is not required if the project is clearly a Level 2 or higher project due to known resource impacts, although it may still be useful as a screening tool. Programmatic Categorical Exclusions INDOT and FHWA have identified certain types of projects which are routinely classified as a CE-1 and which require little or no environmental review and resource agency coordination. For these types of projects, it may be appropriate to provide environmental clearance at a programmatic level rather than through an individual assessment of each project. For a programmatic categorical exclusion to be appropriate, the project type must meet all of the following criteria: Require no new right of way (permanent or temporary) Require no resource agency permits Require no excavation in undisturbed soils Require no coordination with the US Fish and Wildlife Service (USFWS) under the most current programmatic coordination agreement between INDOT, FHWA and the USFWS Fit into Category A under the most current Programmatic Agreement (PA) Among the Federal Highway Administration,the Indiana Department of Transportation, the Advisory Council on Historic Preservation and the Indiana State Historic Preservation Officer Regarding the Implementation of the Federal Aid Highway Program In the State of Indiana ( the Minor Projects PA ), demonstrating that the project type has no potential to impact properties protected by Section 106 of the Historic Preservation Act
These project types will be proposed by OES and reviewed by FHWA for appropriateness. If accepted by FHWA, OES will prepare a programmatic CE-1 which describes the proposed work types and outlines standard conditions and commitments for those work types. Projects which cannot comply with the conditions of a programmatic CE will require an individual Categorical Exclusion. Programmatic CEs will be signed by the Environmental Policy Administrator and FHWA. They will be reviewed each year as part of the annual Quality Assurance Review to confirm that the approved types of work are still appropriate and that they are being applied correctly. CE Levels 2 Through 4 The regulations (23 CFR 771.117 (d)) allow for CEs beyond those which INDOT has designated as CE-1s. However, these require additional analysis and review to verify that a CE is appropriate. The CE/EA Form should be used for any project which appears to be a CE but which exceeds the thresholds for a CE-1. The CE/EA Form covers the same resource categories as the CE-1 form, but in greater depth. For some projects the level of documentation may change as environmental investigations progress. This may result in elevation to a higher-level of CE (or higher class of environmental document), or may result in a lesser level document if the size and/or anticipated impacts of the project decrease. The preparer should assess the project against the thresholds as information becomes available. At any time, the OES or the FHWA may elevate a CE to a higher level or different NEPA class based on considerations outside those in the thresholds chart. Signature Authority Table 4 lists the signature authority for each CE level. Table 4: Signature Authority for CEs Signature Authority CE Level 1 CE Level 2 CE Level 3 CE Level 4 ESM ESM ESM, OES ESM, OES, FHWA Monitoring Compliance with this agreement will be determined through an annual quality assurance review to be jointly conducted by FHWA, INDOT OES and INDOT District staff. The results of such reviews will be used to determine what agreement modifications, if any, will be made. The INDOT Districts will be reviewed every two years (three Districts each year). A random sample of CE projects on upcoming lettings will be sampled annually to assure that each District has an approved CE document on file for the associated Federal-aid projects.
Wetland Finding for CEs Impacting Less Than 1 Acre Introduction - This wetland finding is made on a program-wide basis and has been prepared for CEs that impact less than one acre of wetlands. It satisfies the requirements of Executive Order 11990 (EO) entitled Protection of Wetlands and U.S. Department of Transportation Order 5660.1A (DOT Order) entitled Preservation of the Nation s Wetlands. No individual wetland finding needs to be prepared for projects that have been coordinated with the IDNR and USFWS, where they have expressed no significant concern over the proposed use of the wetlands. An individual wetland finding will be included in all CE-4 projects impacting one acre or more of wetlands. Finding FHWA hereby finds, for Federal-aid CE projects impacting less than one acre of wetlands, where IDNR and USFWS have expressed no significant concern over the proposed use of the wetlands, that: (1) there is no practicable alternative to the proposed construction in wetlands, and (2) the proposed project includes all practicable measures to minimize harm to the involved wetlands. APPROVAL INDOT agrees that all the conditions stated in this Programmatic CE Agreement will be satisfied for all projects processed under this Agreement. This Agreement supersedes all previous CE processing agreements held between FHWA and INDOT. It is hereby determined that projects that fall within the bounds of this Agreement are actions which meet the definition contained in 40 CFR 1508.4, and, based on past experience with similar actions, do not involve significant environmental impacts. 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, otherwise, either individually or cumulatively, have any significant environmental impacts.