DOT 23 CFR PART 771-2011 ENVIRONMENTAL IMPACT AND RELATED PROCEDURES.pdf

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1、415 Federal Highway Administration, DOT 771.105 1FHWA and FTA have supplementary guid-ance on environmental review documents and procedures for their programs. This guidance includes: the FHWA Technical Ad-visory T6640.8A, October 30, 1987; Continued one-quarter of one percent of funds ex-pended for

2、 such landscaping project is used to plant native wildflower seeds or seedlings or both. The Administrator may, upon the request of a State high-way agency, grant a waiver to this re-quirement provided the State certifies that: (1) Native wildflowers or seedlings cannot be grown satisfactorily; or (

3、2) There is a scarcity of available planting areas; or (3) The available planting areas will be used for agricultural purposes. (c) Subject to the requirement of paragraph (b) of this section, Federal- aid highway funds may participate in plant establishment periods in or asso-ciated with landscape

4、development. (d) Notwithstanding the provisions of paragraph (b) of this section, Federal- aid highway funds may participate in the planting of flowering materials, in-cluding native wildflowers, donated by garden clubs and other organizations or individuals. (e) The value of donated plant mate-rial

5、s shall not count toward the one- quarter of one percent minimum ex-penditure required by paragraph (b) of this section. (f) Federal-aid funds may not be used for assemblage, printing, or distribu-tion of information materials; for tem-porary or portable information facili-ties; or for installation,

6、 operation, or maintenance of vending machines. 52 FR 34638, Sept. 14, 1987 PART 771ENVIRONMENTAL IM-PACT AND RELATED PROCE-DURES Sec. 771.101 Purpose. 771.103 Reserved 771.105 Policy. 771.107 Definitions. 771.109 Applicability and responsibilities. 771.111 Early coordination, public involve-ment, a

7、nd project development. 771.113 Timing of Administration activities. 771.115 Classes of actions. 771.117 Categorical exclusions. 771.119 Environmental assessments. 771.121 Findings of no significant impact. 771.123 Draft environmental impact state-ments. 771.125 Final environmental impact state-ment

8、s. 771.127 Record of decision. 771.129 Re-evaluations. 771.130 Supplemental environmental impact statements. 771.131 Emergency action procedures. 771.133 Compliance with other require-ments. 771.137 International actions. 771.139 Limitations on actions. AUTHORITY: 42 U.S.C. 4321 et seq.; 23 U.S.C. 1

9、06, 109, 128, 138, 139, 315, 325, 326, and 327; 49 U.S.C. 303, 5301(e), 5323(b), and 5324; Pub. L. 10959, 119 Stat. 1144, sections 6002 and 6010; 40 CFR parts 15001508; 49 CFR 1.48(b) and 1.51. SOURCE: 52 FR 32660, Aug. 28, 1987, unless otherwise noted. 771.101 Purpose. This regulation prescribes th

10、e poli-cies and procedures of the Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) for implementing the National Environmental Policy Act of 1969 as amended (NEPA), and supplements the NEPA regulation of the Council on En-vironmental Quality (CEQ), 40 CFR parts 1500

11、 through 1508 (CEQ regula-tion). Together these regulations set forth all FHWA, FTA, and Department of Transportation (DOT) requirements under NEPA for the processing of high-way and public transportation projects. This regulation also sets forth proce-dures to comply with 23 U.S.C. 109(h), 128, 138

12、, 139, 325, 326, 327, and 49 U.S.C. 303, 5301(e), 5323(b), and 5324(b) and (c). 74 FR 12527, Mar. 24, 2009 771.103 Reserved 771.105 Policy. It is the policy of the Administration that: (a) To the fullest extent possible, all environmental investigations, reviews, and consultations be coordinated as

13、a single process, and compliance with all applicable environmental requirements be reflected in the environmental re-view document required by this regula-tion.1VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00425 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with C

14、FRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-416 23 CFR Ch. I (4111 Edition) 771.107 SAFETEALU Environmental Review Proc-ess: Final Guidance, November 15, 2006; Ap-pendix A to 23 CFR part 450 titled Linking the Transportation Planning and NEPA P

15、rocesses; and Transit Noise and Vibra-tion Impact Assessment, May 2006. The FHWA and the FTA supplementary guid-ance, and any updated versions of the guid-ance, are available from the respective FHWA and FTA headquarters and field of-fices as prescribed in 49 CFR part 7 and on their respective Web s

16、ites at http:/ www.fhwa.dot.gov and http:/www.fta.dot.gov, or in hard copy by request. 2Section 4(f), which protected certain pub-lic lands and all historic sites, technically was repealed in 1983 when it was codified, without substantive change, as 49 U.S.C. 303. This regulation continues to refer

17、to section 4(f) because it would create needless confu-sion to do otherwise; the policies section 4(f) engendered are widely referred to as section 4(f) matters. A provision with the same meaning is found at 23 U.S.C. 138 and applies only to FHWA actions. (b) Alternative courses of action be evaluat

18、ed and decisions be made in the best overall public interest based upon a balanced consideration of the need for safe and efficient transportation; of the social, economic, and environ-mental impacts of the proposed trans-portation improvement; and of na-tional, State, and local environmental protec

19、tion goals. (c) Public involvement and a system-atic interdisciplinary approach be es-sential parts of the development proc-ess for proposed actions. (d) Measures necessary to mitigate adverse impacts be incorporated into the action. Measures necessary to miti-gate adverse impacts are eligible for F

20、ederal funding when the Administra-tion determines that: (1) The impacts for which the mitiga-tion is proposed actually result from the Administration action; and (2) The proposed mitigation rep-resents a reasonable public expenditure after considering the impacts of the ac-tion and the benefits of

21、the proposed mitigation measures. In making this determination, the Administration will consider, among other factors, the ex-tent to which the proposed measures would assist in complying with a Fed-eral statute, Executive Order, or Ad-ministration regulation or policy. (e) Costs incurred by the app

22、licant for the preparation of environmental documents requested by the Adminis-tration be eligible for Federal assist-ance. (f) No person, because of handicap, age, race, color, sex, or national origin, be excluded from participating in, or denied benefits of, or be subject to dis-crimination under

23、any Administration program or procedural activity re-quired by or developed pursuant to this regulation. 52 FR 32660, Aug. 28, 1987; 53 FR 11065, Apr. 5, 1988, as amended at 70 FR 24469, May 9, 2005; 74 FR 12527, Mar. 24, 2009 771.107 Definitions. The definitions contained in the CEQ regulation and

24、in Titles 23 and 49 of the United States Code are applicable. In addition, the following definitions apply. (a) Environmental studies. The inves-tigations of potential environmental impacts to determine the environ-mental process to be followed and to assist in the preparation of the envi-ronmental

25、document. (b) Action. A highway or transit project proposed for FHWA or FTA funding. It also includes activities such as joint and multiple use permits, changes in access control, etc., which may or may not involve a commitment of Federal funds. (c) Administration action. The ap-proval by FHWA or FT

26、A of the appli-cants request for Federal funds for construction. It also includes approval of activities such as joint and multiple use permits, changes in access control, etc., which may or may not involve a commitment of Federal funds. (d) Administration. The FHWA or FTA, whichever is the designat

27、ed Fed-eral lead agency for the proposed ac-tion. A reference herein to the Admin-istration means the State when the State is functioning as the FHWA or FTA in carrying out responsibilities delegated or assigned to the State in accordance with 23 U.S.C. 325, 326, or 327, or other applicable law. (e)

28、 Section 4(f). Refers to 49 U.S.C. 303 and 23 U.S.C. 138.2VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00426 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-417

29、 Federal Highway Administration, DOT 771.109 (f) Applicant. Any State, local, or fed-erally-recognized Indian tribal govern-mental unit that requests funding ap-proval or other action by the Adminis-tration and that the Administration works with to conduct environmental studies and prepare environme

30、ntal re-view documents. When another Federal agency, or the Administration itself, is implementing the action, then the lead agencies (as defined in this regulation) may assume the responsibilities of the applicant in this part. If there is no ap-plicant, then the Federal lead agency will assume the

31、 responsibilities of the applicant in this part. (g) Lead agencies. The Administration and any other agency designated to serve as a joint lead agency with the Administration under 23 U.S.C. 139(c)(3) or under the CEQ regulation. (h) Participating agency. A Federal, State, local, or federally-recogn

32、ized In-dian tribal governmental unit that may have an interest in the proposed project and has accepted an invitation to be a participating agency, or, in the case of a Federal agency, has not de-clined the invitation in accordance with 23 U.S.C. 139(d)(3). (i) Project sponsor. The Federal, State,

33、local, or federally-recognized In-dian tribal governmental unit, or other entity, including any private or public- private entity that seeks an Adminis-tration action. 52 FR 32660, Aug. 28, 1987, as amended at 70 FR 24469, May 9, 2005; 74 FR 12527, Mar. 24, 2009 771.109 Applicability and responsibil

34、-ities. (a)(1) The provisions of this regula-tion and the CEQ regulation apply to actions where the Administration exer-cises sufficient control to condition the permit or project approval. Actions taken by the applicant which do not re-quire Federal approvals, such as prepa-ration of a regional tra

35、nsportation plan are not subject to this regulation. (2) This regulation does not apply to, or alter approvals by the Administra-tion made prior to the effective date of this regulation. (3) Environmental documents accept-ed or prepared after the effective date of this regulation shall be developed

36、in accordance with this regulation. (b) It shall be the responsibility of the applicant, in cooperation with the Administration to implement those mitigation measures stated as commit-ments in the environmental documents prepared pursuant to this regulation. The FHWA will assure that this is ac-comp

37、lished as a part of its program management responsibilities that in-clude reviews of designs, plans, speci-fications, and estimates (PS 53 FR 11065, Apr. 5, 1988, as amended at 62 FR 6873, Feb. 14, 1997; 70 FR 24469, May 9, 2005; 74 FR 12527, Mar. 24, 2009 771.111 Early coordination, public in-volve

38、ment, and project develop-ment. (a)(1) Early coordination with appro-priate agencies and the public aids in determining the type of environmental review documents an action requires, the scope of the document, the level of analysis, and related environmental re-quirements. This involves the exchange

39、 of information from the inception of a proposal for action to preparation of the environmental review documents. Applicants intending to apply for funds should notify the Administration at the time that a project concept is iden-tified. When requested, the Administra-tion will advise the applicant,

40、 insofar as possible, of the probable class of ac-tion and related environmental laws and requirements and of the need for specific studies and findings which would normally be developed concur-rently with the environmental review documents. (2) The information and results pro-duced by, or in suppor

41、t of, the trans-portation planning process may be in-corporated into environmental review documents in accordance with 40 CFR 1502.21 and 23 CFR 450.212 or 450.318.3(b) The Administration will identify the probable class of action as soon as sufficient information is available to identify the probab

42、le impacts of the ac-tion. (c) When both the FHWA and FTA are involved in the development of a project, or when the FHWA or FTA acts as a joint lead agency with an-other Federal agency, a mutually ac-ceptable process will be established on a case-by-case basis. (d) During the early coordination proc

43、ess, the lead agencies may request other agencies having an interest in the action to participate, and must in-vite such agencies if the action is sub-ject to the project development proce-dures in 23 U.S.C. 139.4Agencies with special expertise may be invited to be-come cooperating agencies. Agencie

44、s with jurisdiction by law must be re-quested to become cooperating agen-cies. (e) Other States, and Federal land management entities, that may be sig-nificantly affected by the action or by any of the alternatives shall be notified early and their views solicited by the applicant in cooperation wit

45、h the Ad-ministration. The Administration will prepare a written evaluation of any significant unresolved issues and fur-nish it to the applicant for incorpora-tion into the environmental assess-ment (EA) or draft EIS. (f) In order to ensure meaningful evaluation of alternatives and to avoid VerDate

46、 Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00428 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-419 Federal Highway Administration, DOT 771.111 5The FHWA and FTA ha

47、ve developed guid-ance on Section 4(f) de minimis impact find-ings titled Guidance for Determining De Minimis Impacts to Section 4(f) Resources, December 13, 2005, which is available at http:/www.fhwa.dot.gov or in hard copy upon request. commitments to transportation im-provements before they are f

48、ully evalu-ated, the action evaluated in each EIS or finding of no significant impact (FONSI) shall: (1) Connect logical termini and be of sufficient length to address environ-mental matters on a broad scope; (2) Have independent utility or inde-pendent significance, i.e., be usable and be a reasona

49、ble expenditure even if no additional transportation improve-ments in the area are made; and (3) Not restrict consideration of al-ternatives for other reasonably foresee-able transportation improvements. (g) For major transportation actions, the tiering of EISs as discussed in the CEQ regulation (40 CFR 1502.20) may be appropriate. The first tier EIS would focus on broad issues such as general location, mode choice, and areawide air quality