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CATEGORICAL EXCLUSION PROCEDURES
ENVIRONMENTAL ASSESSMENT PROCEDURES
The Federal Highway Administration (FHWA) and the Indiana Department of Transportation (INDOT) have established the following procedures for conducting a National Environmental Policy Act (NEPA) (Title 42 of the U.S. Code, Sections 4321 - 4335) evaluation on projects that may be "categorically excluded" from NEPA and projects requiring an Environmental Assessment. They comply with FHWA regulations titled Environmental Impact and Related Procedures, Title 23 of the Code of Federal Regulations, Part 771 (23 CFR 771). The procedures apply to projects that involve FHWA funding or approvals and do not apply to state or locally funded actions.
The procedures describe how a project can be classified as a Categorical Exclusion (CE) and the procedure for completing an Environmental Assessment (EA). In the first section three (3) types of CEs are described:
PCEs are projects that are listed in 23 CFR 771.117(c). SCEs are projects that do not qualify as a PCE and the project is expected to have minimal impacts. FHWA concurs in advance that projects that meet all of the SCE conditions also qualify as a CE and therefore SCEs are approved by INDOT. Most CEs will either be a PCE or an SCE.
For projects that do not qualify as a PCE, and at least one of the SCE conditions are not met, then a CE may still be applicable, but must be approved by the FHWA. Only the SCE conditions that were not met must be explained in the submittal to FHWA to show that "significant" impacts are not expected. These procedures establish the process for submitting a CE to FHWA for approval.
The second section describes the procedure for completing an Environmental Assessment (EA). An EA is prepared when the significance of the environmental impact is uncertain. If INDOT or any project proponent is uncertain if an EA is appropriate, FHWA will be consulted to determine the appropriate NEPA documentation. FHWA reserves the right to require any project being developed as a CE be transitioned to an EA.
Two flowcharts are available on FHWA-Indiana Division's web site (http://www.fhwa.dot.gov/indiv/procedur.htm). One flowchart shows how the three types of CEs proceed through public involvement to documenting the CE approval in INDOT's Scheduling Production Management System (SPMS). The second flowchart shows how an EA proceeds through public involvement to documenting the EA approval in INDOT's SPMS.
Also available on FHWA-Indiana Division's Web site (http://www.fhwa.dot.gov/indiv/procedur.htm) is the CE/EA Form and a CE Wetland Finding. The CE/EA form is used to document the NEPA decision and overall environmental impacts for a project in which FHWA funds will be used. It also documents compliance with other related laws completed under the NEPA umbrella, such as Section 106, Section 4(f), Section 7, and Executive Order 11990 (wetlands). The CE Wetland Finding posted on the web site documents FHWA's compliance with the respective US DOT and Executive Orders. For EAs, FHWA documents its Wetlands Finding, if necessary, in the EA document and the Finding of No Significant Impact (FONSI).
The FHWA requests that the most recent version of the CE/EA Form be used, which can be found on FHWA Indiana Division's web site at (http://www.fhwa.dot.gov/indiv/procedur.htm). FHWA and INDOT will continue to re-evaluate the CE/EA procedures for their effectiveness and modify them as new ideas for increased efficiency are identified. Practitioners are encouraged to submit their ideas and suggestions for process improvements to either INDOT or the FHWA for consideration when the procedures are updated.
CEs are actions that meet the definition in 23 CFR 771.117(a), that is, they are actions that individually or cumulatively do not involve "significant" environmental impacts. Categorical exclusions:
Regulation 23 CFR 771.117(b) states that any action which would normally be classified as a CE, but could involve unusual circumstances will require INDOT, in cooperation with FHWA, to conduct appropriate environmental studies to determine if the CE classification is proper. Such unusual circumstances include:
"Significant" as used in NEPA requires consideration of both context and intensity and is a judgment made by FHWA in light of public and agency comments. The Council on Environmental Quality regulations regarding the definition of significance can be found in Section 1508.27 of the CEQ regulations (40 CFR 1500 - 1508). If significant impacts are anticipated, then an Environmental Impact Statement (EIS) must be prepared. If it is uncertain if the anticipated impacts would be significant, then an Environmental Assessment (EA) is the appropriate class of NEPA document. If the applicability of a CE is questioned, then FHWA will be consulted regarding the appropriate class of NEPA documentation (EIS/EA/CE).
Project development - The project will proceed through project development until INDOT can either conclude that the project qualifies as a PCE or complete the CE/EA Form, found at FHWA's web site (http://fhwa.dot.gov/indiv/procedur.htm).
Scope changes - If substantial project scope changes have occurred between the approval of the CE and the approval of the final design plans, then the CE determination must be reevaluated. This reevaluation will be accomplished by completing the CE/EA Form again, considering the revised project scope and the associated impacts. The same procedures apply for approving reevaluated CE's. Agency re-coordination only needs to be completed with those agencies in which substantial changes to impacts are expected regarding the resources within an agency's jurisdiction or expertise.
Releasing CE for public involvement - When the CE/EA Form has been completed, INDOT Environmental Assessment Section will sign the public involvement release of the CE/EA Form. This does not constitute an approval of the CE. The FHWA-IN Section 106 Consultation Procedures must be addressed prior to approval of the Categorical Exclusion.
Documenting CE approval in SPMS - When a CE approval has been made (whether a PCE, SCE, or FHWA CE), then the INDOT Environmental Assessment Section will enter into the Activity Log of the Scheduling Production Management System (SPMS) pertinent information regarding the CE approval. The pertinent information is identified in the procedures and varies depending upon the type of CE.
Request for FHWA funding - When authorization to proceed with right-of-way acquisition or construction is electronically requested of FHWA through the Fiscal Management Information System (FMIS), the INDOT Budget and Fiscal Management Division will view the "Final Environmental Document Approval Activity" of SPMS. They will then enter into FMIS the appropriate type of CE and when final approval was provided. The CE nomenclature used in FMIS is consistent with that used in the CE procedures.
FHWA review - FHWA reserves the right to review INDOT documentation of CEs in conducting program evaluations to ensure that such approvals are being properly applied.
Regulation 23 CFR 771.117(c) contains a list of highway and transit related actions which experience has shown never or almost never cause significant environmental impacts and can "programmatically" be classified as a CE (PCE). A copy of this list is as follows:
If the primary scope of a project matches one of the project types in the list above, then INDOT will document in the Scheduling Production Management System (SPMS) the type of PCE (using the numbers and brief activity description above as a reference) for which the project qualifies. No FHWA prior concurrence is needed. INDOT must affirm that the Public Involvement Procedures and Section 106 requirements are met before entry is made into SPMS. The INDOT Environmental Assessment Section will enter into the Activity Log of SPMS that (1) the project is classified as a PCE, (2) the type of PCE that applies, and (3) the date the approval was made; e.g. "Programmatic Categorical Exclusion - 7 - Landscaping - January 11, 2027".
Projects not qualifying as a Programmatic CE (PCE) may still qualify as a CE. FHWA and INDOT experience shows that significant impacts resulting from highway projects are almost always of certain impact types (e.g. relocations, wetland impacts, threatened and endangered species, etc.). Projects that are expected to have no or minimal impacts to these types of resources may therefore also be classified as a CE.
If the expected impacts from the project meet specific conditions (described below), then the project may qualify as a Statewide CE (SCE). FHWA concurs in advance that projects meeting these conditions qualify as a CE. As such, INDOT can document that these conditions have been met for each project and approve each SCE without involving FHWA on a project-by-project basis.
A proposed project may be classified as an SCE if all of the following conditions are met, otherwise, the CE must be submitted to FHWA for approval:
If the project does not qualify for a PCE, then complete the CE/EA Form on FHWA's web site (http://www.fhwa.dot.gov/indiv/procedur.htm). If all of the conditions of the SCE are met, then INDOT can ultimately approve the SCE and proceed into final design. If there are any concerns or questions about whether or not any of the conditions are met for a given project, then consult FHWA. The CE/EA Form will document for each project that no significant impacts are expected and is appropriately classified as a CE. This form will become a permanent part of the project file, along with the supporting documentation. Approval should follow the following steps:
Projects that do not satisfy all of the Statewide CE (SCE) conditions may still qualify as a CE, but must be approved by FHWA. The submittal to FHWA must demonstrate that there is little or no potential for "significant" impacts regarding only the specific SCE conditions that were not met. These conditions will be documented in the CE/EA Form.
When submitting a CE to FHWA for their approval, use the following procedures:
Project development - For actions that do not qualify as a CE and the project does not clearly require the preparation of an EIS then an Environmental Assessment (EA) shall be prepared. If INDOT or any project proponent is uncertain if an EA is appropriate, FHWA will be consulted to determine the appropriate NEPA documentation. FHWA reserves the right to require any project being developed as a CE be transitioned to an EA. The CE/EA form, found on FHWA's web site at (http://www.fhwa.dot.gov/indiv/procedur.htm) will be completed to identify potential project impacts.
Project Coordination Team - At the beginning of the Scoping/Preliminary Engineering process for an Environmental Assessment, a Project Coordination Team will be assembled. The purpose of the Project Coordination Team will be to provide input to the development of the consultant scope of services and guidance to the project consultant at each step of the project development process. The Project Coordination Team will include the project sponsor (if other than INDOT), a representative from INDOT (and another State DOT if applicable), Indiana Division of FHWA (and another Division if applicable), Region 5 FTA (if an FTA New Start may be involved), and the MPO (if the project study area is in an MPO area). The MPO has been included in the Project Coordination Team so that the MPO can assure that the project specific modeling is consistent with the adopted land-use plan and transportation plan (both highway and transit) for its metropolitan planning area and ensure due consideration of multi-modal solutions. The creation of the Project Coordination Team is intended to facilitate better coordination among the agencies with primary responsibility for the planning process (namely, the MPO and INDOT) and the agencies with primary responsibility for the NEPA process (namely, INDOT and FHWA). These procedures do not give FHWA greater authority over planning nor do they give the MPO greater authority over the NEPA process.
Community Advisory Committee (CAC) - A CAC shall be formed at the beginning of the Scoping/Preliminary Engineering process for an Environmental Assessment to engage community organizations that may be impacted in a constructive dialog of how best to "fit" the project into their community. The CAC's role is advisory in nature and will enable the Project Coordination Team to identify and respond to community issues early in project development when there is more flexibility. The membership on the CAC consists of traditional stakeholders on transportation projects and representatives from the community that could be affected by the project. Representatives from the community should include school districts, emergency services, neighborhood associations, etc. Potential CAC representatives may be identified by talking with local elected officials, the MPO in the project area, other CAC members, and the Project Coordination Team. The CAC may serve as a continuing source of constructive input during final design to identify context sensitive design elements, to further refine issues discussed during project development, and discuss design features that might allow the project to better "fit" into the community.
Coordination Point - The consultant should dialog with the Project Management Team and CAC (not required to consult with agencies) before the detailed alternatives analysis process substantially proceeds. In keeping with the suggested content in "Indiana's Streamlined EIS Procedures," the one required coordination package should include, as appropriate, the content in the EIS Purpose and Need (P&N) and Preliminary Alternatives Analysis and Screening coordination packages. The Project Coordination Team may require additional coordination packages (more than one) or meetings based on the complexity of the project and community interest. All coordination packages are working documents and will continue to be refined as additional information becomes available. All reports issued by the consultant on behalf of FHWA and INDOT are preliminary in nature. The P&N is subject to refinement as additional information becomes available from the agencies and the public. Some of the issues raised at coordination points may not be fully addressed until the EA is released for public comment. FHWA signature on the EA constitutes FHWA's first formal endorsement of purpose and need and the associated alternatives analysis.
Scope changes - If substantial project scope changes have occurred between the approval of the EA and the approval of the final design plans, then the EA must be updated with an additional information document. The additional information to the EA will be accomplished by completing the CE/EA form only for those items that have changed, considering the revised project scope and the associated impacts. The same procedures apply for approving additional information documents. Agency re-coordination only needs to be completed with those agencies in which substantial changes to impacts are expected regarding the resources within their jurisdiction or expertise.
Releasing EA for public involvement - After the EA has been completed, INDOT Environmental Assessment Section will forward the document to the FHWA for signature to release the document for the public involvement phase. Upon completion of the public involvement phase (for both the NEPA and Section 106 requirements), and if no significant impacts are identified, INDOT shall furnish FHWA the final Section 106 documentation, the public hearing transcript, copies of any comments received and any response, and a request for a Finding of No Significant Impact (FONSI).
Documenting EA FONSI in SPMS - When an EA FONSI has been issued by FHWA, then the INDOT Environmental Assessment Section will enter into the Activity Log of the Scheduling Production Management System (SPMS) pertinent information regarding the EA approval. The pertinent information is identified in the EA procedures.
Request for FHWA funding - When authorization to proceed with right-of-way acquisition or construction is electronically requested of FHWA through the Fiscal Management Information System (FMIS), the INDOT Budget and Fiscal Management Division will view the "Final Environmental Document Approval Activity" of SPMS. They will then enter into FMIS the date the FONSI was issued for the EA.
When submitting an EA to FHWA for approval, use the following procedures. If a project is being proposed by an entity other than INDOT, that entity is responsible for providing the appropriate documentation to the INDOT Environmental Assessment Section.
Last Updated: August 9, 2002