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ENVIRONMENTAL

PRIMARY ROLES & RESPONSIBILITIES

PRIMARY TASK ODOT LPA

• Scope Meeting (At project site, if possible) X X

• Purpose and Need Statement (must be supported by data) X

• Study Area Established X

Worst case ROW limits established X X • Anticipated level of required Environmental Studies

Determined X

Complete environmental field review checklist in scope

form (PIP) X

• Environmental Schedule/Milestones Determined X

• Required Environmental Studies Completed on Schedule by ODOT Prequalified Consultant

X X

For Path 1 and 2 projects, ODOT’s Office of Environmental Services or District may complete studies (to be determined on an individual basis)

X

• Level of Public Involvement Determined, based on

ODOT’s Minimum PI requirements and project complexity X

Required Public Involvement Activities

Completed (may be ongoing depending on type of project)

X

• Review, Coordination & Approval of required

Environmental Studies and Environmental Document X

The LPA can obtain a copy of the approved

Environmental Document and list of Environmental Commitments by accessing the EnviroNet System

X

• Environmental Commitments addressed in design and

included in plans

X

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• 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)

X

REEVALUATION

• Notification of change in scope (no matter how minor) X X Review change in scope and determine if

change has any additional environmental consequences not previously addressed

X

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

X X

• Responsibility to Complete ALL Required Studies and

Reevaluation of environmental document X

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) X X

• If obtained, include waterway permits as part of plan file submission to ODOT (if necessary)

X

• Documentation of the Submission of Notice of Intent (NOI) to Ohio EPA for an NPDES permit (if necessary)

X

• Documentation of Floodplain Permit/Executive Order 11988 (if necessary)

X

• Asbestos Certification/Notification (if necessary) X

CONSTRUCTION

• Pre-Construction Meeting Attendance X X

• Construction Site Review X X

• Environmental Commitments Carried through Construction X

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ENVIRONMENTAL

INTRODUCTION 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. 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 between FHWA and ODOT executed December 11, 2015 and amended June 6, 2018. FHWA serves as the lead federal agency for projects not completed under NEPA Assignment. This means ODOT is responsible for all 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,

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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, if not, all the following areas listed below. The resources that may require studies are included with the agencies with whom ODOT is responsible for coordinating.

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) • NPS

Section 6(f) • ODNR • NPS

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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 • U.S. Department of Housing and Urban Development (HUD)

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.

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Categorical Exclusion In accordance with 40 CFR 1508.4, 23 CFR 771.117(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 771.117(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 771.117(d) on the c-list (23 CFR 771.117(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.

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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 resulting from the alternatives, and demonstrates compliance with other applicable environmental laws and executive orders. The EIS process is 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 EIS.

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 to 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 Manager 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.

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Unless otherwise stated, all reports, letters, decision-making documents, etc., will be uploaded to the online system. The OES Environmental Documentation webpage contains guidance documents on how to properly prepare 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. 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 Approval

OES Approval

FHWA Approval*

C1 X C2 X D1 X D2 X X D3 X X X*

*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 Public Involvement (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.

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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.

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 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 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.

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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, which includes the LPA, the DEC and/or ODOT-OES staff, establishes a proposed project area (a development of a large study area may be needed). Establishing a proposed project area is key in determining the technical and environmental studies.

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 as well as minimizes the potential for re-evaluation.

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.

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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 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

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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 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 Manager 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 associated ephemeral stream permit requirements, and/or the Rivers and Harbors Act. These regulations may require permit approvals 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.

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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 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:

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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 should be one or two sentences that indicate the problem to be addressed (e.g. congestion, safety, mobility, etc.) and the purpose of the project (maintain access, provide needed infrastructure, etc.). This statement shall not include reference to solutions or prescriptive outcomes.

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 causing a transportation problem

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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 may 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 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) • 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

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• 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)

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, please review the Guidance for Developing Purpose and Need, developed by OES.

Development of AlternativesThe 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 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.

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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. Except for 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 reevaluation is warranted, the DEC may recommend that the LPA Manager 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

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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 771.117(c) or are exempt from conformity requirements under the Clean Air Act pursuant to 40 CFR 93.126. 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 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 collector-distributor routes with traffic volumes where the design year AADT is projected to be >

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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 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.

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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.

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 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 149.53 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, OSHPO, 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

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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 Policy Staff is responsible for providing oversight and assistance to District Environmental Staff, as needed, for impacts to drinking water resources. Furthermore, OES monitors new rule making and legislation, and serves as a liaison with regulatory agencies. 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, as that is what conveys water.

The primary responsibility for identification of these resources and associated coordination belongs with District Environmental Staff. If necessary, avoidance of potential impacts to known Drinking Water Resources is achieved through the implementation of environmental commitments that employ basic protective measures such as avoiding potential contamination of a water supply and the subsequent costly, long-term cleanup.

The overall scope of the proposed project and the type of Drinking Water Resources identified must be considered when evaluating impacts. For the majority of proposed projects, potential long-term impacts are closely related to the proposed drainage systems, which could affect ground water recharge or act as a pathway for pollutants. During construction activities, plan notes can bring attention to the presence of a Drinking Water Resource within the proposed project area and are often used to minimize the potential for releases associated with refueling and maintenance activities.

For additional information, guidance, and latest revisions, please visit the OES Drinking Water site.

Ecological Resources Several laws and regulations (e.g. NEPA, Sections 404 and 401 of the Clean Water Act, Endangered Species Act, Fish and Wildlife Coordination Act, National and Ohio Scenic Rivers

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laws, isolated wetland law, etc.) require that all proposed transportation projects undergo studies to determine the amount and degree of impacts upon the natural environment. More specifically, emphasis on certain special areas of concern are given as part of the analysis of impacts, particularly endangered species, streams and wetlands, and surrounding terrestrial environments. These studies focus on the impacts resulting from transportation projects, whether it is new construction projects or maintenance activities.

Ecological surveys are required to assess aquatic and terrestrial resources impacted by transportation projects, with emphasis on streams, wetlands, freshwater mussels, scenic rivers, Lake Erie, terrestrial habitats, and threatened and endangered species. Data collection begins early in the Planning Phase of ODOT’s PDP. Environmental staff in the OES and prequalified environmental consulting firms are often tasked to provide planning and project managers with resource information to include in the Project Initiation Package (PIP). The resource information is usually available through secondary sources.

The data from the ecological survey are then summarized (based upon the project’s type) into appropriate reports, which include the Ecologically Exempt Project Documentation Form, and the Level 1, 2, and 3 Ecological Survey Reports (ESRs). These reports document the ecological resources within the proposed project area. The level of ecological survey and reporting is determined by the ecological resources present in the proposed project area, the relative quality of these resources, and the expected severity of the impacts based on the type of work associated with the proposed project. The ESRs and other associated reports, are completed in accordance with ODOT’s most current Ecological Manual and are coordinated with the appropriate resource agencies for review and comment. The DEC can provide guidance in consultation with OES regarding the appropriate level of reports or documentation required. The ODOT Ecological Manual, prescribed forms for the ESRs, and technical guidance can be found at OES’ Ecological Resources webpage.

Projects that will not result in impacts to aquatic and terrestrial resources, need to document those findings using the Ecologically Exempt Project Documentation Form. These projects do not require ecological coordination with environmental regulatory and resource agencies.

Projects that are expected to result in impacts to ecological resources document the studies in the appropriate level of ESR. The reports typically include analyses of water quality, aquatic ecosystems, endangered species, wetlands, floodplains, streams and rivers, other surface waters, and terrestrial ecosystems. Based on the type of proposed project, additional separate reports may be required for specific resources such as mussels or endangered species (e.g. Indiana and/or Northern long-eared bat). The ESRs and any other resource-specific reports are used to coordinate proposed project impacts with the resource agencies in order to solicit comments and approvals. The coordination effort and any subsequent environmental commitments are included in the environmental document. Environmental commitments resulting from ecological coordination may be carried forward in the form of plan notes, avoidance and minimization measures, species surveys, and/or compensatory mitigation or conservation measures.

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Ecological coordination with the Ohio Department of Natural Resources (ODNR) and the U.S. Fish and Wildlife Service (USFWS) occurs following the processes and timeframes outlined in the Memorandum of Agreement between the Ohio Department of Transportation, the Ohio Department of Natural Resources and the United States Fish and Wildlife Service for Interagency Coordination for Projects that Require Consultation Under the Endangered Species Act, Impact State Listed Species, and/or Modify Jurisdictional Waters (referred to as the Ecological MOA). The Ecological MOA includes a tiered approach for coordinating projects (ecologically exempt, non-notifying, and notifying project coordination types), and was developed to ensure that standard concerns over environmental impacts are adequately addressed, while reducing the paperwork burden and routine data collection efforts for all cooperating agencies. This was accomplished by batching the coordination and consultation for smaller impact projects. Under the Ecological MOA, projects with only minor impacts to jurisdictional waters do not require any additional notification to the agencies, while projects with potential to impact listed species can often be batched for expedited review. The agreement also includes project specific notification to ODNR and USFWS to ensure that larger projects that may have higher levels of impact, or that may impact unique resources or concerns can be addressed where warranted.

The MOA provides for three different levels of ESRs. The majority of proposed projects require preparation of a Level 1 ESR. In general, these types of projects have minimal impacts to jurisdictional water resources and/or threatened and endangered species and can be authorized under the 404 Nationwide Permit program or the Regional General Permit (RGP). For projects that require an Individual Section 404 and/or 401 permit and involving new roadway construction or significant amounts of new right-of-way, a Level 2 or Level 3 ESR is typically used for coordination. Refer to the Ecological MOA for more details regarding thresholds for coordination tier and ESR level required. Project study area boundaries are typically defined by ODOT or the local project sponsor in the early stages of developing the Project Initiation Package in the Planning Phase of the project. Extra review time should be permitted for coordination of Scenic Rivers (National and State), formal consultation with USFWS (projects that are likely to affect a species), coastal zone projects that will directly impact Lake Erie, and for proposed projects that require an individual 404/401 permit.

Ohio Coastal Management Program In some areas of Ohio, the Ohio Coastal Management Program is applicable. Compliance with the Ohio Coastal Management Program is required prior to filing of the plans. The DEC will provide direction to the LPA in their compliance with the Ohio Coastal Management Program.

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Underserved Populations ODOT defines Underserved Populations as Minorities, Low-Income, Older Adults, Individuals with Disabilities, and Individuals with Limited English Proficiency. Consideration and assessment of potential impacts upon Underserved Populations is required for proposed transportation projects that receive federal funds or that require a federal approval. As part of the planning and project development process, outreach with and active participation of Underserved Populations is essential. ODOT is required to avoid, minimize, or mitigate impacts to these populations. ODOT developed its Underserved Populations Guidance to ensure ODOT is in compliance with Environmental Justice (EJ) and Title VI of the Civil Rights Act of 1964 (Title VI) laws, regulations, executive orders, and requirements. This guidance also ensures that ODOT consider other traditionally Underserved Populations throughout the project development process. The guidance provides step-by-step instructions on how to obtain census data to identify Underserved Populations, analyze impacts, conduct appropriate outreach, and document these activities in the project file. It also provides a series of questions that help determine if an Underserved Populations Impact Analysis Report (UPIAR) is required and if a project could cause negative impacts to Underserved Populations. If an UPIAR will be required on a project, the LPA should contact the DEC who will coordinate with the OES Policy Section.

For additional information, guidance, and the latest updates, please visit the OES Environmental Justice webpage.

Regulated Materials Review A Regulated Materials Review (RMR) is conducted for proposed transportation projects to determine the presence of regulated materials (RM). These type of studies are conducted in accordance with ODOT’s RMR Manual, which is specifically designed to address issues of liability and materials management for ODOT projects. The RMR process addresses the liability of acquiring portions or all of a property under the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) and the Superfund Amendment and Reauthorization Act (SARA). If properties are shown to have RM, then those materials must be properly identified and managed under the Resources Conservations and Recovery Act (RCRA) and the Hazardous and Solid Waste Amendments (HSWA) during construction. For properties requiring remediation, in an enforcement action or regulatory oversight, ODOT conducts necessary coordination with the USEPA, OEPA and/or BUSTR.

The RMR process comprises several levels of investigation that include historical/environmental research, visual assessments, and sampling and testing. Subsequently, documentation of RMR activities is generally presented in the form of an RMR Screening, an RMR Assessment, and/or an RMR Investigation.

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At a minimum, a proposed project will require completion of an RMR Screening. The purpose of the RMR Screening is to identify and locate properties with known or suspected RM concerns that may impact certain aspects of project planning and development. The RMR Screening is conducted during the Preliminary Engineering Phase of ODOT’s PDP. The identification of these types of properties will assist in the development of a realistic project schedule if they cannot be avoided. All properties within the proposed project area are screened at this level.

If the RMR Screening identifies a property or properties with suspected RM, an RMR Assessment and possibly an RMR Investigation will be required. If a property with RM is identified then avoidance, minimization or mitigation must be considered. These documents are coordinated with ODOT for approval. For additional information, guidance, and latest updates, please refer to the OES RMR webpage. Asbestos

If the proposed project involves the replacement, renovation, maintenance, or rehabilitation of a bridge with 10 feet or greater span or the demolition of buildings, then an asbestos inspection is required. The inspection must be completed by a Certified Asbestos Hazard Evaluation Specialist. The results are documented on an OEPA notification form that is filed with OEPA by the LPA no later than 10 days prior to the commence date of the demolition/rehabilitation activity.

For more information, please refer to the OES Asbestos Guidance.

Farmland Proposed projects that are Federally and/or state funded and require the acquisition of new right-of-way must comply with the Farmland Protection Policy Act (FPPA) of 1981, the implementing regulations at 7 CFR Part 658, and Ohio’s Farmland Preservation Act (Ohio Revised Code [ORC] 929.05[a]).

For Federally-funded projects, compliance is achieved one of three ways:

• The proposed project is located in an urbanized area in accordance with 7 CFR 658.2(a)

• The proposed project complies with the Memorandum of Understanding between Natural Resource Conservation Service and Federal Highway Administration, and the Ohio Department of Transportation for Projects involving Farmlands, and is in compliance with ORC 929.05.

• The proposed project requires completion of the Farmland Conversion Impact Rating (FCIR) Form. The FCIR form and all associated documentation (e.g. mapping,

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photographs, etc.) will be submitted to OES, which will commence coordination with the Natural Resource Conservation Service (NRCS). In addition, coordination with the Ohio Department of Agriculture (ODA) will be required if the proposed project takes 10% or 10 acres (whichever is greater) from any individual property within an agricultural district.

For additional information, guidance, and latest updates, please visit the OES Farmland webpage.

Floodplains Executive Order 11988 requires that as part of a proposed project’s planning and development process, the potential adverse effects upon a floodplain be taken into account, including the restoration and preservation of such land areas as natural undeveloped floodplains. The LPA is responsible for complying with all local, state, and federal laws and regulations pertaining to floodplains and obtaining applicable floodplain permits prior to the start of construction activities. Notice to and coordination with the local floodplain administrator is required under NEPA when a proposed project will encroach upon the designated floodplain.

For projects that have high or complex impacts, floodway coordination and additional detailed studies may be required in accordance with existing Federal Emergency Management Agency (FEMA) regulations and/or policies. From a project delivery perspective, it is strongly recommended to avoid any impact to the floodway due to the extensive amount of coordination needed. All floodplain coordination and permitting requirements are performed prior to final approval of the ECF.

For additional information, guidance, and latest updates regarding Floodplain Management Guidance, please visit the OES Floodplain webpage. Please note that some laws differ when applied to LPAs.

Public Involvement

Conducting public involvement (PI) is instrumental in meeting legal requirements, managing stakeholder and public expectations, and ensuring appropriate transportation decisions are made. The PI process implemented by ODOT is designed to obtain an array of viewpoints and concerns that pertain to specific transportation and community needs. While the level of PI is dependent on a proposed project’s type and complexity, opportunities for proactive engagement and outreach not only occur during the early stages of project planning and development, but throughout all phases of the PDP. All PI activities conducted for transportation projects are in accordance with existing regulations at 23 CFR 771.111.

PI requirements are integrated into ODOT’s PDP to assure the appropriate level of PI is conducted for each project. However, this does not mean that each project will only require the minimum. Each project is different, and the PI approach must be commensurate with a project’s type and complexity to ensure legal requirements are met and decision-making is enhanced. The

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level of PI needed can be established as part of the scope meeting or with other activities associated with the Planning Phase. The level of public involvement is based on the scope and complexity of the project and follows recommendations given in ODOT’s Public Involvement Manual. The PI requirements needed for each PDP path can be found in ODOT’s Public Involvement Requirements. Templates and examples are provided in the PI Toolbox and ODOT is happy to assist LPAs with conducting virtual public meetings.

The LPA is responsible for ensuring all activities related to PI are documented properly and included in the EnviroNet project file. This includes, but is not limited to, Property Owner Notification Letters, informal meetings with property owners, newspaper announcements or news articles about the proposed project, recordings of virtual public meetings, and/or copies of public meeting announcements and handouts. Depending on the type of project, the DEC and/or the OES will review the Public Engagement Plan, if one is required for the project. Attendance at public meetings by ODOT staff is optional based on the level and complexity of the proposed project. However, if a public hearing is held, ODOT district and/or OES staff will be in attendance. A public hearing is only required for projects requiring an EA or EIS. LPA projects receiving federal funds from ODOT that require the preparation of an environmental document must follow this guidance for all Categorical Exclusion (C1 through D3), Environmental Assessment (EA) and Environmental Impact Statement (EIS) environmental documents. ODOT’s guidance is the minimum required for these projects. However, this does not mean that each project will only require the minimum level of effort. Each project is different, and the approach must be commensurate with a project’s type, complexity, and potential for impacts. Following these requirements ensures legal requirements are met and decision-making is enhanced.

For additional information, guidance, and latest updates, please visit the OES Public Involvement webpage.

Section 4(f) and 6(f)

Section 4(f) Proposed projects that receive federal Department of Transportation funds or require a federal DOT approval are subject to Section 4(f) of the U.S. Department of Transportation Act of 1966. This Act stipulates that USDOT agencies cannot approve the use of land from publicly-owned parks, recreational areas, wildlife and waterfowl refuges, or public and private historical sites unless the following conditions apply:

• There is no feasible and prudent avoidance alternative to the use of land; and

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• The action includes all possible planning to minimize harm to the property resulting from such use;

OR

• The Administration determines that the use of the property will have a de minimis impact.

The law applies only to agencies within the USDOT and is implemented by the FHWA and the Federal Transit Administration (FTA) through the regulations at 23 CFR 774. The regulations govern the “use” of land from protected properties by a transportation project.

The identification of 4(f) properties is critical in preventing project delays and cost overruns that could occur during detailed design. If a 4(f) property is identified within and/or adjacent to the proposed project area, the need for temporary or permanent right-of-way and/or restriction of access to the property will need to be determined. The amount and type of right-of-way to be acquired will determine the level of coordination needed. Even if no right-of-way is to be acquired, this does not preclude proximity impacts or access restrictions that need to be considered in determining the level of impact.

In most cases, the Official with Jurisdiction (OWJ) over the 4(f) property will need to be consulted to ensure the OWJ concurs with project impacts and measures to minimize harm. For historic sites, the OWJ is the Ohio State Historic Preservation Officer (OSHPO) and consultation is typically done as part of the Section 106 process. When the historic site is a National Historic Landmark, the National Park Service also serves as an OWJ. For recreational properties, the OWJ is the federal, state, or local agency that owns or administers the property. Receiving concurrence from the OWJ for recreational properties can typically be done via email or letter (de minimis or higher). If the OWJ is not properly consulted and made aware of a proposed project’s impact, project delays can result. To that end, the Section 4(f) Manual provides guidance on how to properly consult OWJs and OES developed specific OWJ template letters that can be used for the appropriate determination.

For historic sites, 4(f) coordination is typically handled concurrently with the Section 106 process by the OES Cultural Resources staff. For recreational properties, a Section 4(f)/6(f) Determination Request Form for Recreational Properties is submitted to OES Policy Section staff to ensure the proper determination is made and that all appropriate documentation has been gathered. The LPA can seek assistance from the DEC to ensure the form is adequate to submit to OES. OES has also developed guidance for completing the Determination Request Form.

The most common situations that require 4(f) coordination include the permanent incorporation of land from a 4(f) property into a transportation facility and/or temporary right-of-way needed to facilitate construction activities. The type and amount of right-of-way needed will play a major role in the level of 4(f) determination made. For the majority of projects that require temporary right-of-way and/or temporary access restrictions, a “temporary no use” determination will most likely be the appropriate determination. For the majority of projects that require permanent right-of-way, a de minimis impact will most likely be the appropriate determination.

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De minimis impacts are defined as those that do not adversely affect the activities, features and attributes of a 4(f) property. Higher level of impacts may require a Programmatic or Individual Evaluation.

For additional information, guidance, and latest updates, please visit the OES Section 4(f) webpage.

Section 6(f) Section 6(f) is a provision of the Land and Water Conservation Fund (LWCF) Act that applies to properties purchased or enhanced with LWCF monies. The LWCF provides financial assistance via federal grants issued by the National Park Service (NPS) to States and local governments for the acquisition and development of public outdoor recreation sites and facilities. In Ohio, the Ohio Department of Natural Resources (ODNR) administers the LWCF program.

In accordance with the protections of Section 6(f), properties acquired or developed with LWCF shall be retained and used for public outdoor recreation in perpetuity. NPS maintains a database of parks that have received LWCF monies and this database should be consulted for projects that may impact a park.

Consultation with OES, ODNR, and NPS may be required, depending on the type of impact that will occur. Low impact maintenance-type projects may not require agency coordination while a temporary use (defined as less than six months) will require coordination with ODNR and a conversion of property from recreational to transportation use will require consultation with both ODNR and NPS.

When a project will permanently convert recreational land to a transportation use (permanent for the purposes of Section 6(f) is defined as a period exceeding six months), it requires that replacement land of equal or greater value be purchased. The replacement property is subject to NEPA requirements, which means additional environmental studies may be needed. Conversions can be a lengthy process and may cause project delays and add cost to the project. Therefore, early identification of Section 6(f) properties and early coordination with OES and the agencies is critical.

For additional information, guidance, and latest updates, please visit the OES Section 6(f) webpage.

Permits Waterway Permits Projects that will impact rivers, streams and/or wetlands or jurisdictional waters may require one or more waterway permits. Under the Clean Water Act, a Section 404 permit from the USACE, and a Section 401 Water Quality Certification (WQC) will be required when fill is discharged into a water of the United States. An isolated wetland permit from the OEPA is required when a

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hydrologically isolated wetland, which is considered a water of the state, will be impacted. Projects that will impact traditionally navigable rivers and streams may require a Section 10 permit from the USACE in accordance with the Rivers and Harbors Act. Also, in accordance with the Rivers and Harbors Act, new bridge or major bridge rehabilitation projects impacting commercially navigable rivers and harbors may require a Section 9 bridge permit from the USCG. A Section 408 Alteration Authorization or Letter or Permission is required by the USACE, if an applicant proposes to impact a federal civil works projects. Federal civil works projects do not always involve waterways, but if they do, the Section 408 regulated project is commercial navigation channels and harbors, of which the USACE dredges.

As a streamlining measure for ODOT’s environmental program, ODOT funds a U. S. Army Corps of Engineers (USACE) office in Columbus, Ohio known as the Ohio Regulatory Transportation Office (ORTO). ORTO reviews only ODOT’s projects and its presence in central Ohio has afforded ODOT a direct link to USACE for regulatory programs, specifically Section 404 of the Clean Water Act. As of August 2017, ODOT’s waterway permits process is available to the LPAs. Through ORTO, the LPA may be able to secure the necessary permits for their projects faster than going through the USACE district offices in Huntington, Pittsburgh or Buffalo. The Waterway Permits Unit (WPU) in the Office of Environmental Services (OES) is responsible for reviewing transportation projects to determine the appropriate level of waterway permitting, ensure permit applications are compliant with regulatory agency and ODOT standards, and obtaining permit authorizations from the agencies to facilitate ODOT’s program. The WPU will be responsible for all coordination with the USACE and will manage USACE’s priorities to help ensure USACE delivers all assigned permits on time.

While ODOT’s waterway permits process is offered to the LPA’s to assist them, it is not required. The LPA still has the option to coordinate any necessary permits independently through their assigned USACE office (Huntington, Buffalo or Pittsburgh).

If waterway permit coordination with Ohio Environmental Protection Agency (OEPA) is required for an LPA project, ODOT will also coordinate the project with ODOT’s dedicated reviewer at OEPA to obtain the necessary approvals or authorizations. If an LPA wishes to utilize ODOT’s waterway permits process, the following basic steps shall be taken:

1) During stage 2 design, the LPA will develop a Permit Determination Request (PDR) and submit to OES for review.

2) Based on the PDR, WPU will provide a Permit Determination (PD) for the LPA’s use in preparing the necessary permit application(s).

3) If a permit from the USACE or OEPA is warranted, the LPA prepares and submits the permit application(s) to WPU for review.

4) The LPA shall address all comments and submit final application(s) to OES for agency coordination and review.

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5) ODOT and the LPA shall work together to address any comments/questions from agencies.

6) OES will forward approved permits to the LPA upon authorization.

For more information on ODOT’s waterway permit process for LPAs, see the Guidance for LPA’s on Managing Transportation Projects through the Waterway Permit Process at the following link:

http://www.dot.state.oh.us/Divisions/Planning/Environment/manuals_guidance/Documents/Waterway%20Permits/Waterway%20Permitting%20Guidance%20for%20LPAs%20July%202019.pdf

Most LPA projects meet a Nationwide Permit and may require pre-construction notification (PCN) to the USACE but are certified by OEPA. If a PCN is required, upon submittal of a PCN, the USACE will review the application for completeness. Once the PCN is deemed complete the USACE will issue the NWP within 45 days. If a project and its associated fill activities does not meet a NWP with the USACE, then an individual permit (IP) will be required. An IP will typically require one year for agency review and approval.

An individual Section 401 WQC from the OEPA will be required in conjunction with an Individual Section 404 Permit. The LPA must submit the 401 application once Stage 2 design plans are developed, and the 401 WQC is typically issued by the OEPA within a six to 12-month period, after the Ohio EPA receives a complete application. Individual permits will require compensatory stream and wetland mitigation in order to obtain these permits. For projects meeting an NWP, wetland mitigation is required if impacts exceed 0.10 acre and the USACE can require stream mitigation on a case by case basis; however, the applicant should plan on stream mitigation if stream impacts exceed 300 feet for a single and complete project Most 404 NWPs are certified by OEPA and no coordination with OEPA is required. Early coordination with the agencies is highly encouraged to ensure that the appropriate requirements are clear and understood.

If mitigation is required to compensate for project impacts, the local should work with the agencies to ensure that an appropriate mitigation plan is developed and proposed. The amount of required mitigation is usually determined by the agencies and is dependent on the nature of the impacts, and the quantity and quality of the resources impacted. Wetland mitigation requirements are determined by the Ohio Administrative Code (3745-1-54) and stream mitigation requirements are typically determined by the Guidelines for Stream Mitigation Banking and In-Lieu Fee Programs in Ohio (version 1.1) and case by case per the USACE 2008 mitigation rule. It is the LPA’s responsibility to develop a mitigation plan prior to the submission of the permit applications to the agencies.

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While the PS&E plans can be filed with ODOT with a commitment to obtain permits, due to the complexities and timing of the permitting process LPA’s are highly encouraged to ascertain what permits are required and begin preparing the permit application as early as practicable. If obtained prior to plan file, the permit and special provisions must accompany plan package submission to ODOT. If ODOT is not the applicant, the local can determine how best to incorporate the provisions of the permit into the plan package.

For additional information, guidance, and latest updates, please visit the OES Waterway Permits webpage and manual. Furthermore, for additional information on the permitting process, please visit the OEPA and USACE webpages.

ENVIRONMENTAL COMMITMENTS

Environmental commitments are developed as a project progresses through the NEPA process to restore, enhance, avoid, minimize, or compensate environmental impacts. Environmental commitments are conditions or “promises” that are agreed upon by ODOT and resource agencies during coordination. Prior to finalizing environmental commitments, the DEC will coordinate with the LPA, the LPA’s prequalified design consultant, and district production and construction personnel to assure constructability. Failure to implement commitments could result in revocation of NEPA document approval, loss of federal funding for the project, fines and mitigation costs, revocation of the waterway permit by the USACE, and environmental degradation. Include all environmental commitments in the Environmental Commitments Tab in EnviroNet or the appropriate section of the EA or EIS.

The DEC will summarize the environmental commitments outlined in the CE and provide a copy to the LPA to use in plan development. The LPA, in consultation with the DEC, is responsible for implementing, coordinating, and tracking commitments through design, construction, and maintenance. ODOT District Staff will assign responsibility in EnviroNet, and the responsible party will receive an email notification. Once assigned, the responsible party will complete the Compliance Measure, Timing of Implementation, and Plan Sheet # boxes on the Environmental Commitment Tab. After the environmental commitment is implemented through its final stage(s), the responsible party will enter the Status and Date Completed. Please see Appendix A of the Environmental Commitments Manual for Environmental Commitment Tab instructions. The DEC will review the plans for compliance with the environmental commitments (please refer to Environmental Consultation Form). If the LPA determines at any time during the development of the project or during construction that an environmental commitment cannot be met, then the LPA must notify the DEC immediately so that the appropriate agency coordination can be completed. The inability to meet an environmental commitment may result in a delay to the project or delay in construction activities until the commitment is resolved and/or environmental document is reevaluated. If actions result in irrevocable impacts to an environmental resource, then Federal funds committed to the project may be withdrawn.

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ENVIRONMENTAL CONSULTATION FORM

The Environmental Consultation Form (ECF), which is integrated into EnviroNet, is required to be completed prior to and is included as part of plan file submission. The ECF documents that all required permits (e.g. waterway permits, floodplain permits, etc.) have been obtained or will be obtained prior to construction. The ECF includes the documentation of when these permits were obtained and certification that the conditions are included in the plans or bid package. The completion of the ECF is the responsibility of the DEC, who will also review the final set of plans to ensure all applicable environmental commitments are included, and the scope of work presented in the environmental document has not changed.

If the submitted plan differs from the original scope or what is contained in the environmental document or if environmental commitments have not been addressed, the DEC cannot approve the ECF and the proposed project cannot be advertised or sold. These types of changes can be accommodated, and project schedule maintained only if brought to ODOT’s attention as soon as possible. The change in plans or scope of the proposed project will require a re-evaluation. Until the re-evaluation is completed, the proposed project cannot be advertised or sold. The DEC may recommend to the LPA Manager to move the project to another fiscal year per the LPA Agreement.

RE-EVALUATIONS In the event the proposed project scope, construction limits, and/or impacts associated with a previously approved environmental document change (exceed what was originally coordinated), a re-evaluation of the proposed project is required. Furthermore, if the environmental document is an EIS and is more than three years old and/or it has been more than three years since the last major federal action, a re-evaluation is required.

Depending on the context and intensity of the change a re-evaluation may range from a simple narrative to a much more complex document. Additional environmental studies and agency coordination may be required if the previous studies are more than five years old or the impacts have changed. The re-evaluation may also require additional public involvement, underserved populations analysis, agency coordination, alteration to project design, etc. This may result in the preparation of a higher level of environmental document. The re-evaluation of the proposed project will follow the corresponding level of ODOT approval. A copy of the approved environmental document will be provided to the LPA for their information and use.

The key to maintaining the project schedule and completing a re-evaluation is early notification of potential changes to the proposed project. It is the responsibility of the LPA to notify the DEC as soon as changes are identified. A re-evaluation may result in the DEC recommending to the LPA Manager to move the project to another fiscal year based on the LPA Agreement.

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For additional information and guidance, please refer to the OES Guidance for Re-evaluation of NEPA Documents.

CONSTRUCTION

Pre-Construction Meeting The DEC or designee should be invited to and attend the pre-construction meeting. At this meeting the DEC and/or LPA will discuss and provide written environmental commitments, detailed areas to avoid, permit conditions, and other engineering/technical requirements with which the contractor must comply. While environmental requirements and commitments are in the plans or permits, this discussion affords the contractor, project inspectors, project managers, and district representatives the chance to discuss the proposed project’s commitments, ask questions and receive clarifications. Non-compliance with environmental commitments can result in withdrawal of federal participation in the contract and could lead to a number of deleterious ramifications (i.e., fines, jail time, project delay claims, etc.).

Construction Additional needs may arise, or plans may need to be modified during construction. Extension of the environmental study area or impacts to areas previously identified as avoidance that did not receive environmental clearance will jeopardize Federal funds. Contact the DEC if work must exceed authorized impacts or construction limits prior to the additional impacts or working outside existing construction limits. Approving and coordinating additional impacts or work outside construction limits may result in a delay to construction activities. Changes to design features related to work in streams, wetlands, and other jurisdictional waters need to be re-evaluated to ensure that changes are compliant with existing permit authorizations or if a permit modification or new permit authorizations are needed. If unanticipated discoveries occur during construction, the DEC will assist with the appropriate agency coordination.