INTRODUCTIONTO

SECTION 4(f)

Presented byIan Chidister

Environmental Program ManagerFHWA – Wisconsin Division

December 4, 2013

Overview1. Background Information

2. General 4(f) Applicability

3. Protected 4(f) Resources

4. Types of 4(f) “Use”

5. Parks, Recreation Areas, and Refuges; other encumbrances

6. 4(f) Process and Roles

7. Reference Resources

Background Applicability Resources Use Parks etc. Process Reference

Background• USDOT agencies have authority to administer 4(f) and make

approvals; other agencies participate in consultation

• Called “4(f)” because it was originally section 4(f) of the Department of Transportation act of 1966

• Codified in 23 USC 138 & 49 USC 303

• Regulations in 23 CFR 774

• Recently updated FHWA policy paper (2012) replaces 2005 version

Background Applicability Resources Use Parks etc. Process Reference

General Applicability1. Does the project require an approval from FHWA (funding

or other)?

2. Is the project a transportation project?

3. Does the project require use of land from a protected 4(f) resource?

4. None of the regulatory applicability rules or exceptions applies (23 CFR 774.11 & 13)

Background Applicability Resources Use Parks etc. Process Reference

Protected 4(f) Resources1. Parks and recreation areas of national, state, or local

significance that are publicly owned and open to the public• Resource assumed significant unless official with jurisdiction says it’s

not

2. Publicly owned wildlife and waterfowl refuges of national, state, or local significance (may be open to the public)• Resource assumed significant unless official with jurisdiction says it’s

not

3. Historic sites of national, state, or local significance in public or private ownership regardless of whether they are open to the public• Significant = eligible or listed on NRHP

Background Applicability Resources Use Parks etc. Process Reference

Wisconsin Examples of Resources

Background Applicability Resources Use Parks etc. Process Reference

Photo Credits: www.clker.com; www.madnorski.org

Parks & Recreation Areas: Elver Park, Madison, WI

Wisconsin Examples of Resources

Background Applicability Resources Use Parks etc. Process Reference

Photo Credits: www.clker.com; http://en.wikipedia.org/

Publicly Owned Refuges: Horicon Marsh NWR, Mayville, WI

Wisconsin Examples of Resources

Background Applicability Resources Use Parks etc. Process Reference

Photo Credits: www.clker.com; http://commons.wikimedia.org/

Historic Sites: Taliesin, Spring Green, WI

Types of 4(f) “Use”1. Permanent incorporation of land into a transportation

facility• Most common kind of 4(f) use

2. Temporary Occupancy• Use vs no use determination based on 5 conditions• Property adversely affected, but not permanently incorporated• If a temporary occupancy is determined to be a use, it must be

documented using one of the 3 kinds of documentation

3. Constructive Use• No land acquisition – proximity impacts only• Must result in substantial impairment of activities, features, or

attributes• Requires coordination with FHWA HQ

Background Applicability Resources Use Parks etc. Process Reference

Documenting Use1. Full 4(f) Evaluation

• Can only be approved if no avoidance alternatives are feasible (engineering) and prudent (6 factors)

• Select alternative with least overall harm (7 factors)• Incorporate all possible planning to minimize harm

2. De Minimis Finding• Incorporates measures to minimize harm (avoid, minimize, mitigate,

enhance)• Does not require avoidance alternatives or feasible/prudent analysis

3. Programmatic Evaluation (5 types – see website)• 5 types include: (1) bikeways/walkways, (2) historic bridges, (3) historic

sites, (4) parks/rec areas/refuges, and (5) net benefit• Require avoidance alternatives analysis and all possible planning to

minimize harm

Background Applicability Resources Use Parks etc. Process Reference

Parks, Recreation Areas, & RefugesDefining Factors:

1. Official Designation (Federal, State, Local)

2. Primary PurposeDemonstrated by a management plan or other documents

3. Significance Based primarily on the opinion of the official(s) with jurisdiction

4. Public Ownership

Easements can constitute public ownership

5. Open to the PublicNot necessary for refuge properties

Background Applicability Resources Use Parks etc. Process Reference

Other EncumbrancesExamples:

1. Land and Water Conservation Fund Act (Section 6(f))• 36CFR 59.3, National Park Service LWCF Assistance Manual

2. Wildlife Restoration Act (Pittman-Robertson Act)• 50 CFR 80.135, FWS Fed Assistance Program Guidance

3. Sport Fish Restoration Act (Dingell-Johnson Act)• 50 CFR 80.135, FWS Fed Assistance Program Guidance

Rules:• 4(f) may or may not apply to these lands depending on their park,

recreation, or refuge purposes• Compliance with 4(f) does not relieve FHWA and WisDOT of

separate compliance with the other laws• Documentation developed for 4(f) compliance may aid

demonstration of compliance with other laws

Background Applicability Resources Use Parks etc. Process Reference

4(f) Process: Agency RolesFHWA

• Makes final determinations on 4(f) eligibility and impacts• Coordinates full 4(f) reviews with legal counsel and US Dept of Interior• Provides final review and approval of 4(f) evaluations

WisDOT• Identifies potential 4(f) resources and project impacts on resources• Coordinates with other stakeholders on potential resources and impacts• Prepares 4(f) documentation for review and approval by FHWA

WDNR• Assists WisDOT and FHWA in the identification of potential 4(f) resources• Provides information on resource purpose, activities, and management• When DNR owns land, acts as the official with jurisdiction for significance,

de minimis, and programmatic determinations

Background Applicability Resources Use Parks etc. Process Reference

Project Development Process

Background Applicability Resources Use Parks etc. Process Reference

Planning• Project Notification

Investigation/ Determination• Environmental Baseline studies• NEPA Document/ Approval• Initial DNR Project Concurrence

Design• Permitting• Review and Comment on Design Elements• Final DNR project concurrence

Construction• Project Implementation• Site inspections

Operations and Maintenance

NEPA, 4(f), and 6(f) Process

Background Applicability Resources Use Parks etc. Process Reference

Investigation/

Determination

NEPA Process 4(f) Milestones 6(f) Milestones

1. Baseline Studies Identification of Resources and Impacts

Identification of Resources and Impacts

2. Draft Environmental Document (CE, EA, DEIS)

Draft 4(f) Document

3. Public and Agency Review Public/ Agency Comments on 4(f)

Public/ Agency Comments on 6(f)

4. Final Environmental Document/ Approval (CE, FONSI, FEIS/ROD)

Final 4(f) Document& FHWA Approval

6(f) Acceptability (DNR)

Design

(5.) Final Design, Permitting, & Mitigation

6(f) Approval

Reference Resources• FHWA 4(f) Website – http://environment.fhwa.dot.gov/4f/index.asp

Background Applicability Resources Use Parks etc. Process Reference

Review1. What are the general applicability rules for 4(f)?

(1) FHWA approval, (2) Transportation project, (3) Use of land from 4(f) resource, (4) Exceptions

2. What are the 3 types of property that 4(f) protects? (1) Parks, Rec Areas, (2) Refuges, (3) Historic Sites

3. What are the 3 kinds of use under 4(f)?(1) Permanent Incorporation, (2) Temporary Occupancy, (3) Constructive

4. What are the 3 ways to document a 4(f) use?(1) Full, (2) De Minimis, (3) Programmatic

5. What are the 4(f) roles of WisDOT, WDNR, and FHWA?Resource Identification, Coordination, Documentation, Official With Jurisdiction, Review and Approval