Attachment 1 to Part 520 - Form and Content of Statement
49:6.1.2.3.7.2.1.15.8 :
Attachment 1 to Part 520 - Form and Content of Statement
1. Form. a. Each statement will be headed as follows:
department of transportation national highway traffic safety
administration
(Draft) Environmental Impact Statement Pursuant to section
102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).
b. The heading specified above shall be modified to indicate
that the statement also covers sections 4(f) of the DOT Act or 106
of the National Historic Preservation Act, when appropriate.
c. Each statement will, as a minimum, contain sections
corresponding to paragraph 3 herein, supplemented as necessary to
cover other matters provided in this Attachment.
d. The format for the summary to accompany draft and final
environmental statements is as follows:
summary
(Check one) ( ) Draft ( ) Final; Department of Transportation,
National Highway Traffic Safety Administration. Name, address, and
telephone number of individual who can be contacted for additional
information about the proposed action or the statement. (Note: DOT
Order 2100.2 prescribes procedures for reporting public contacts in
rulemaking.)
(1) Name of Action. (Check one) ( ) Administrative Action. ( )
Legislative Action.
(2) Brief description of action indicating what States (and
counties) are particularly affected.
(3) Summary of environmental impact and adverse environmental
effects.
(4) List alternatives considered.
(5)(a) (For draft statements) List all Federal, State, and local
agencies from which comments have been requested.
(b) (For final statements) List all Federal, State, and local
agencies and other sources from which written comments have been
received.
(6) Dates the draft statement and the final statement if issued
were made available to the Council on Environmental Quality and the
public.
2. Guidance as to content of statement. The following paragraphs
of this Attachment are intended to be considered, where relevant,
as guidance regarding the content of environmental statements. This
guidance is expected to be supplemented by research reports,
guidance on methodology, and other material from the literature as
may be pertinent to evaluation of relevant environmental
factors.
3. General content. The following points are to be covered:
a. A description of the proposed Federal action (e.g., “The
proposed Federal action is approval of a grant application to
construct * * *”), a statement of its purpose, and a description of
the environment affected, including information, summary technical
data, and maps and diagrams where relevant, adequate to permit an
assessment of potential environmental impact by commenting offices
and the public.
(1) Highly technical and specialized analyses and data should
generally be avoided in the body of the draft impact statement.
Such materials should be appropriately summarized in the body of
the environmental statement and attached as appendices or footnoted
with adequate bibliographic references.
(2) The statement should succinctly describe the environment of
the area affected as it exists prior to a proposed action,
including other related Federal activities in the area, their
interrelationships, and cumulative environmental impact. The amount
of detail provided in such descriptions should be commensurate with
the extent and expected impact of the action, and with the amount
of information required at the particular level of decision making
(planning, feasibility, design, etc.). In order to insure accurate
descriptions and environmental considerations, site visits should
be made where appropriate.
(3) The statement should identify, as appropriate, population
and growth characteristics of the affected area and any population
and growth assumptions used to justify the project or program or to
determine secondary population and growth impacts resulting from
the proposed action and its alternatives (see paragraph 3c(2)). In
discussing these population aspects, the statement should give
consideration to using the rates of growth in the region of the
project contained in the projection compiled for the Water
Resources Council by the Bureau of Economic Analysis of the
Department of Commerce and the Economic Research Service of the
Department of Agriculture (the OBERS projection).
(4) The sources of data used to identify, quantify, or evaluate
any or all environmental consequences must be expressly noted.
b. The relationship of the proposed action and how it may
conform to or conflict with adopted or proposed land use plans,
policies, controls, and goals and objectives as have been
promulgated by affected communities. Where a conflict or
inconsistency exists, the statement should describe the extent of
reconciliation and the reasons for proceeding notwithstanding the
absence of full reconciliation.
c. The probable impact of the proposed action on the
environment. (1) This requires assessment of the positive and
negative effects of the proposed action is it affects both national
and international human environment. The attention given to
different environmental factors will vary according to the nature,
scale, and location of proposed actions. Among factors to be
considered should be the potential effect of the action on such
aspects of the environment as those listed in Attachment 2, and in
section 520.5(b), supra. Primary attention should be given in the
statement to discussing those factors most evidently impacted by
the proposed action.
(2) Secondary and other foreseeable effects, as well as primary
consequences for the environment, should be included in the
analyses. Secondary effects, such as the impact on fuel
consumption, emissions, or noise levels of automobiles or in the
use of toxic or scarce materials, may be more substantial than the
primary effects of the original action.
d. Alternatives to the proposed action, including, where
relevant, those not within the existing authority of the
responsible preparing office. Section 102(2)(D) of NEPA requires
the responsible agency to “study, develop, and describe appropriate
alternatives to recommended courses of action in any proposal which
involves unresolved conflicts concerning alternative uses of
available resources.” A rigorous exploration and an objective
evaluation of the environmental impacts of all reasonable
alternative actions, particularly those that might enhance
environmental quality or avoid some or all of the adverse
environmental effects, are essential. Sufficient analysis of such
alternatives and their environmental benefits, costs, and risks
should accompany the proposed action through the review process in
order not to foreclose prematurely options which might enhance
environmental quality or have less detrimental effects. Examples of
such alternatives include: The alternatives of not taking any
action or of postponing action pending further study; alternatives
requiring actions of a significantly different nature which would
provide similar benefits with different environmental impacts,
e.g., low capital intensive improvements, mass transit alternatives
to highway construction; alternatives related to different
locations or designs or details of the proposed action which would
present different environmental impacts. In each case, the analysis
should be sufficiently detailed to reveal comparative evaluation of
the environmental benefits, costs, and risks of the proposed action
and each reasonable alternative. Where an existing impact statement
already contains such an analysis its treatment of alternatives may
be incorporated, provided such treatment is current and relevant to
the precise purpose of the proposed action.
e. Any probable adverse environmental effacts which cannot be
avoided (such as water or air pollution, noise, undesirable land
use patterns, or impacts on public parks and recreation areas,
wildlife and waterfowl refuges, or on historic sites, damage to
life systems, traffic congestion, threats to health, or other
consequences adverse to the environmental goals set out in section
101(b) of NEPA). This should be a brief section summarizing in one
place those effects discussed in paragraph 3c that are adverse and
unavoidable under the proposed action. Included for purposes of
contrast should be a clear statement of how all adverse effects
will be mitigated. Where mitigating steps are included in the
statement, the responsible official shall see that they are carried
out.
f. The relationship between local short-term uses of man's
environment and the maintenance and enhancement of long-term
productivity. This section should contain a brief discussion of the
extent to which the proposed action involves tradeoffs between
short-term environmental gains at the expense of long-term losses,
or vice versa, and a discussion of the extent to which the proposed
action forecloses future options.
g. Any irreversible and irretrievable commitments of resources
that would be involved in the proposed action should it be
implemented. This requires identification of unavoidable impacts
and the extent to which the action irreversibly curtails the range
of potential uses of the environment. “Resources” means not only
the labor and materials devoted to an action but also the natural
and cultural resources lost or destroyed.
h. An indication of what other interests and considerations of
Federal policy are thought to offset the adverse environmental
effects of the proposed action identified pursuant to subparagraphs
(c) and (e) of this paragraph. The statement should also indicate
the extent to which these stated countervailing benefits could be
realized by following reasonable alternatives to the proposed
action (as identified in subparagraph (d) of this paragraph) that
would avoid some or all of the adverse environmental effects. In
this connection if a cost-benefit analysis of the proposed action
has been prepared, it, or a summary, should be attached to the
environmental impact statement, and should clearly indicate the
extent to which environmental costs have not been reflected in such
analysis.
i. A discussion of problems and objections raised by other
Federal agencies, State and local entities, and citizens in the
review process, and the disposition of the issues involved and the
reasons therefor. (This section shall be added to the final
environmental statement at the end of the review process.)
(1) The draft and final statements should document issues raised
through consultations with Federal, State, and local agencies with
jurisdiction or special expertise and with citizens, of actions
taken in response to comments, public hearings, and other citizens
involvement proceedings.
(2) Any unresolved environmental issues and efforts to resolve
them, through further consultations or otherwise, should be
identified in the final statement. For instance, where an agency
comments that the statement has inadequate analysis or that the
agency has reservations concerning the impacts, or believes that
the impacts are too adverse for approval, either the issue should
be resolved or the final statement should reflect efforts to
resolve the issue and set forth any action that will result.
(3) The statement should reflect that every effort was made to
discover and discuss all major points of view on the environmental
effects of the proposed action and alternatives in the draft
statement. However, where opposing professional views and
responsible opinion have been overlooked in the draft statement and
are raised through the commenting process, the environmental
effects of the action should be reviewed in light of those views. A
meaningful reference should be made in the final statement to the
existence of any responsible opposing view not adequately discussed
in the draft statement indicating responses to the issues
raised.
(4) All substantive comments received on the draft (or summaries
of responses from the public which have been exceptionally
voluminous) should be attached to the final statement, whether or
not each such comment is thought to merit individual discussion in
the text of the statement.
j. Draft statement should indicate at appropriate points in the
text any underlying studies, reports, and other information
obtained and considered in preparing the statement, including any
cost-benefit analyses prepared. In the case of documents not likely
to be easily accessible (such as internal studies or reports), the
statement should indicate how such information may be obtained. If
such information is attached to the statement, care should be taken
to insure that the statement remains an essentially self-contained
instrument, capable of being understood by the reader without the
need for undue cross reference.
4. Publicly owned parklands, recreational areas, wildlife and
waterfowl refuges and historic sites. The following points are to
be covered:
a. Description of “any publicly owned land from a public park,
recreational area or wildlife and waterfowl refuge” or “any land
from an historic site” affected or taken by the project. This
includes its size, available activities, use, patronage, unique or
irreplaceable qualities, relationship to other similarly used lands
in the vicinity of the project, maps, plans, slides, photographs,
and drawings showing a sufficient scale and detail the project.
This also includes its impact on park, recreation, wildlife, or
historic areas, and changes in vehicular or pedestrian access.
b. Statement of the “national, State or local significance” of
the entire park, recreational area, refuge, or historic site “as
determined by the Federal, State or local officials having
jurisdiction thereof.”
(1) In the absence of such a statement lands will be presumed to
be significant. Any statement of “insignificance” by the official
having jurisdiction is subject to review by the Department as to
whether such statement is capricious.
(2) Where Federal lands are administered for multiple uses, the
Federal official having jurisdiction over the lands shall determine
whether the subject lands are in fact being used for park,
recreation, wildlife, waterfowl, or historic purposes.
c. Similar data, as appropriate, for alternative designs and
locations, including detailed cost estimates (with figures showing
percentage differences in total project costs) and technical
feasibility, and appropriate analysis of the alternatives,
including any unique problems present and evidence that the cost or
community disruptions resulting from alternative routes reach
extraordinary magnitudes. This portion of the statement should
demonstrate compliance with the Supreme Court's statement in the
Overton Park case, as follows:
[The] very existence of the statute indicates that protection of
parkland was to be given paramount importance. The few green havens
that are public parks were not to be lost unless there were truly
unusual factors present in a particular case or the cost or
community disruption resulting from alternative routes reached
extraordinary magnitudes. If the statutes are to have any meaning,
the Secretary cannot approve the destruction of parkland unless he
finds that alternative routes present unique problems. 401 U.S.
402, 412 (1971).
d. If there is no feasible and prudent alternative, description
of all planning undertaken to minimize harm to the protected area
and statement of actions taken or to be taken to implement this
planning, including measures to maintain or enhance the natural
beauty of the lands traversed.
(1) Measures to minimize harm may include replacement of land
and facilities, providing land or facilities, provision for
functional replacement of the facility (see 49 CFR 25.267).
(2) Design measures to minimize harm; e.g., tunneling, cut and
cover, cut and fill, treatment of embankments, planting, screening,
maintenance of pedestrian or bicycle paths and noise mitigation
measures all reflecting utilization of appropriate
interdisciplinary design personnel.
e. Evidence of concurrence or description of efforts to obtain
concurrence of Federal, State or local officials having
jurisdiction over the section 4(f) property regarding the action
proposed and the measures planned to minimize harm.
f. If Federally-owned properties are involved in highway
projects, the final statement shall include the action taken or an
indication of the expected action after filing a map of the
proposed use of the land or other appropriate documentation with
the Secretary of the Department supervising the land (23 U.S.C.
317).
g. If land acquired with Federal grant money (Department of
Housing and Urban Development open space or Bureau of Outdoor
Recreation land and water conservation funds) is involved, the
final statement shall include appropriate communications with the
grantor agency.
h. TGC will determine application of section 4(f) to public
interests in lands, such as easements, reversions, etc.
i. A specific finding by the Administrator that there is no
feasible and prudent alternative and that the proposal includes all
possible planning to minimize harm to the “4(f) area” involved.
5. Properties and sites of historic and cultural significance.
The statement should document actions taken to preserve and enhance
districts, sites, buildings, structures, and objects of historical,
architectural, archeological, or cultural significance affected by
the action.
a. Draft environmental statements should include identification,
through consulting the National Register and applying the National
Register Criteria (36 CFR part 800), of properties that are
included in or eligible for inclusion in the National Register of
Historic Places that may be affected by the project. The National
Register is published in its entirety each February in the Federal
Register. Monthly additions and listings of eligible properties are
published in the Federal Register the first Tuesday of each month.
The Secretary of the Interior will advise, upon request, whether
properties are eligible for the National Register.
b. If application of the Advisory Council on Historic
Preservation's (ACHP) Criteria of Effect (36 CFR part 800)
indicates that the project will have an effect upon a property
included in or eligible for inclusion in the National Register of
Historic Places, the draft environmental statement should document
the effect. Evaluation of the effect should be made in consultation
with the State Historic Preservation Officer (SHPO) and in
accordance with the ACHP's criteria of Adverse Effect (36 CFR part
800).
c. Determinations of no adverse effect should be documented in
the draft statement with evidence of the application of the ACHP's
Criteria of Adverse Effect, the views of the appropriate State
Historic Preservation Officer, and submission of the determination
to the ACHP for review.
d. If the project will have an adverse effect upon a property
included in or eligible for inclusion in the National Register of
Historic Places, the final environmental statement should include
either an executed Memorandum of Agreement or comments from the
Council after consideration of the project at a meeting of the ACHP
and an account of actions to be taken in response to the comments
of the ACHP. Procedures for obtaining a Memorandum of Agreement and
the comments of the Council are found in 36 CFR part 800.
e. To determine whether the project will have an effect on
properties of State or local historical, architectural,
archaeological, or cultural significance not included in or
eligible for inclusion in the National Register, the responsible
official should consult with the State Historic Preservation
Officer, with the local official having jurisdiction of the
property, and where appropriate, with historical societies,
museums, or academic institutions having expertise with regard to
the property. Use of land from historic properties of Federal,
State and local significance as determined by the official having
jurisdiction thereof involves section 4(f) of the DOT Act and
documentation should include information necessary to consider a
4(f) determination (see paragraph 4).
6. Impacts of the proposed action on the human environment
involving community disruption and relocation. a. The statement
should include a description of probable impact sufficient to
enable an understanding of the extent of the environmental and
social impact of the project alternatives and to consider whether
relocation problems can be properly handled. This would include the
following information obtainable by visual inspection of the
proposed affected area and from secondary sources and community
sources when available.
(1) An estimate of the households to be displaced including the
family characteristics (e.g., minorities, and income levels,
tenure, the elderly, large families).
(2) Impact on the human environment of an action which divides
or disrupts an established community, including where pertinent,
the effect of displacement on types of families and individuals
affected, effect of streets cut off, separation of residences from
community facilities, separation of residential areas.
(3) Impact on the neighborhood and housing to which relocation
is likely to take place (e.g., lack of sufficient housing for large
families, doublings up).
(4) An estimate of the businesses to be displaced, and the
general effect of business dislocation on the economy of the
community.
(5) A discussion of relocation housing in the area and the
ability to provide adequate relocation housing for the types of
families to be displaced. If the resources are insufficient to meet
the estimated displacement needs, a description of the actions
proposed to remedy this situation including, if necessary, use of
housing of last resort.
(6) Results of consultation with local officials and community
groups regarding the impacts to the community affected. Relocation
agencies and staff and other social agencies can help to describe
probable social impacts of this proposed action.
(7) Where necessary, special relocation advisory services to be
provided the elderly, handicapped and illiterate regarding
interpretations of benefits, assistance in selecting replacement
housing and consultation with respect to acquiring, leasing, and
occupying replacement housing.
b. This data should provide the preliminary basis for assurance
of the availability of relocation housing as required by DOT
5620.1, Replacement Housing Policy, dated June 24, 1970, and 49 CFR
25.53.
7. Considerations relating to pedestrians and bicyclists. Where
appropriate, the statement should discuss impacts on and
consideration to be given in the development of the project to
pedestrian and bicycle access, movement and safety within the
affected area, particularly in medium and high density commercial
and residential areas.
8. Other social impacts. The general social groups specially
benefitted or harmed by the proposed action should be identified in
the statement including the following:
a. Particular effects of a proposal on the elderly, handicapped,
non-drivers, transit dependent, or minorities should be described
to the extent reasonably predictable.
b. How the proposal will facilitate or inhibit their access to
jobs, educational facilities, religious institutions, health and
welfare services, recreational facilities, social and cultural
facilities, pedestrian movement facilities, and public transit
services.
9. Standards as to noise, air, and water pollution. The
statement shall reflect sufficient analysis of the effects of the
proposed action on attainment and maintenance of any environmental
standards established by law or administrative determination (e.g.,
noise, ambient air quality, water quality) including the following
documentation:
a. With respect to water quality, there should be consultation
with the agency responsible for the State water pollution control
program as to conformity with standards and regulations regarding
storm sewer discharge sedimentation control, and other non-point
source discharges.
b. The comments or determinations of the offices charged with
administration of the State's implementation plan for air quality
as to the consistency of the project with State plans for the
implementation of ambient air quality standards.
c. Conformity to adopted noise standards, compatible, if
appropriate, with different land uses.
10. Energy supply and natural resources development. Where
applicable, the statement should reflect consideration of whether
the project or program will have any effect on either the
production or consumption of energy and other natural resources,
and discuss such effects if they are significant.
11. Flood hazard evaluation. When an alternative under
consideration encroaches on a flood plain, the statement should
include evidence that studies have been made and evidence of
consultations with agencies with expertise have been carried out.
Necessary measures to handle flood hazard problems should be
described. In compliance with Executive Order 11296, and Flood
Hazard Guidelines for Federal Executive Agencies, promulgated by
the Water Resources Council, or how such requirements can be met
during project development.
12. Considerations relating to wetlands or coastal zones. Where
wetlands or coastal zones are involved, the statement should
include:
a. Information on location, types, and extent of wetlands areas
which might be affected by the proposed action.
b. An assessment of the impacts resulting from both construction
and operation of the project on the wetlands and associated
wildlife, and measures to minimize adverse impacts.
c. A statement by the local representative of the Department of
the Interior, and any other responsible officials with special
expertise, setting forth his views on the impacts of the project on
the wetlands, the worth of the particular wetlands areas involved
to the community and to the Nation, and recommendations as to
whether the proposed action should proceed, and, if applicable,
along what alternative route.
d. Where applicable, a discussion of how the proposed project
relates to the State coastal zone management program for the
particular State in which the project is to take place.
13. Construction impacts. In general, adverse impacts during
construction will be of less importance than long-term impacts of a
proposal. Nonetheless, statements should appropriately address such
matters as the following identifying any special problem areas:
a. Noise impacts from construction and any specifications
setting maximum noise levels.
b. Disposal of spoil and effect on borrow areas and disposal
sites (include specifications where special problems are
involved).
c. Measures to minimize effects on traffic and pedestrians.
14. Land use and urban growth. The statement should include, to
the extent relevant and predictable:
a. The effect of the project on land use, development patterns,
and urban growth.
b. Where significant land use and development impacts are
anticipated, identify public facilities needed to serve the new
development and any problems or issues which would arise in
connection with these facilities, and the comments of agencies that
would provide these facilities.