National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2013. An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1. Washington, DC: The National Academies Press. doi: 10.17226/22510.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

The Second S T R A T E G I C H I G H W A Y R E S E A R C H P R O G R A M TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2014 www.TRB.org REPORT S2-C06-RW-1 An Ecological Approach to Integrating Conservation and Highway Planning Volume 1 Marie Venner Consulting and urs Corporation Lakewood, Colorado; Morrisville, North Carolina with sepi engineering group, inC. Raleigh, North Carolina paraMetrix Portland, Oregon

Subject Areas Environment Highways Planning and Forecasting

SHRP 2 Reports Available by subscription and through the TRB online bookstore: www.TRB.org/bookstore Contact the TRB Business Office: 202-334-3213 More information about SHRP 2: www.TRB.org/SHRP2 SHRP 2 Report S2-C06-RW-1 ISBN: 978-0-309-27355-8 © 2014 National Academy of Sciences. All rights reserved. Copyright Information Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copy- right to any previously published or copyrighted material used herein. The second Strategic Highway Research Program grants permission to repro- duce material in this publication for classroom and not-for-profit purposes. Per- mission is given with the understanding that none of the material will be used to imply TRB, AASHTO, or FHWA endorsement of a particular product, method, or practice. It is expected that those reproducing material in this document for educational and not-for-profit purposes will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from SHRP 2. Note: SHRP 2 report numbers convey the program, focus area, project number, and publication format. Report numbers ending in “w” are published as web documents only. Notice The project that is the subject of this report was a part of the second Strategic Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The report was reviewed by the technical committee and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the National Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the second Strategic Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. The Second Strategic Highway Research Program America’s highway system is critical to meeting the mobility and economic needs of local communities, regions, and the nation. Developments in research and technology—such as advanced materials, communications technology, new data collection technologies, and human factors science—offer a new oppor- tunity to improve the safety and reliability of this important national resource. Breakthrough resolution of significant trans- portation problems, however, requires concentrated resources over a short time frame. Reflecting this need, the second Strategic Highway Research Program (SHRP 2) has an intense, large-scale focus, integrates multiple fields of research and technology, and is fundamentally different from the broad, mission-oriented, discipline-based research programs that have been the mainstay of the highway research industry for half a century. The need for SHRP 2 was identified in TRB Special Report 260: Strategic Highway Research: Saving Lives, Reducing Conges- tion, Improving Quality of Life, published in 2001 and based on a study sponsored by Congress through the Transportation Equity Act for the 21st Century (TEA-21). SHRP 2, modeled after the first Strategic Highway Research Program, is a focused, time- constrained, management-driven program designed to comple- ment existing highway research programs. SHRP 2 focuses on applied research in four areas: Safety, to prevent or reduce the severity of highway crashes by understanding driver behavior; Renewal, to address the aging infrastructure through rapid design and construction methods that cause minimal disruptions and produce lasting facilities; Reliability, to reduce congestion through incident reduction, management, response, and mitigation; and Capacity, to integrate mobility, economic, environmental, and community needs in the planning and designing of new trans- portation capacity. SHRP 2 was authorized in August 2005 as part of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). The program is managed by the Transportation Research Board (TRB) on behalf of the National Research Council (NRC). SHRP 2 is conducted under a memo- randum of understanding among the American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), and the National Academy of Sciences, parent organization of TRB and NRC. The program provides for competitive, merit-based selection of research contractors; independent research project oversight; and dissemination of research results.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. C. D. (Dan) Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. (Dan) Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board’s varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

ACKNOWLEDGMENTS This work was sponsored by the Federal Highway Administration in cooperation with the American Asso- ciation of State Highway and Transportation Officials. It was conducted in the second Strategic Highway Research Program, which is administered by the Transportation Research Board of the National Acad- emies. The project was managed by Steve Andrle, Deputy Director of SHRP 2. The preparation of this report was a cooperative effort and relied on the willingness of participants involved in the transportation, planning, and environmental decision-making process to share their expe- riences. We thank them. We would also like to thank Marie Venner, Shannon Cox and Tom Denbow of URS, and the Staff of Parametrix and SEPI Engineering and Construction. SHRP 2 STAFF Ann M. Brach, Director Stephen J. Andrle, Deputy Director Neil J. Pedersen, Deputy Director, Implementation and Communications Cynthia Allen, Editor Kenneth Campbell, Chief Program Officer, Safety JoAnn Coleman, Senior Program Assistant, Capacity and Reliability Eduardo Cusicanqui, Financial Officer Richard Deering, Special Consultant, Safety Data Phase 1 Planning Walter Diewald, Senior Program Officer, Safety Shantia Douglas, Senior Financial Assistant Charles Fay, Senior Program Officer, Safety Carol Ford, Senior Program Assistant, Renewal and Safety Jo Allen Gause, Senior Program Officer, Capacity Rosalind Gomes, Accounting/Financial Assistant James Hedlund, Special Consultant, Safety Coordination Alyssa Hernandez, Reports Coordinator Ralph Hessian, Special Consultant, Capacity and Reliability Andy Horosko, Special Consultant, Safety Field Data Collection William Hyman, Senior Program Officer, Reliability Linda Mason, Communications Officer Reena Mathews, Senior Program Officer, Capacity and Reliability Matthew Miller, Program Officer, Capacity and Reliability Michael Miller, Senior Program Assistant, Capacity and Reliability David Plazak, Senior Program Officer, Capacity and Reliability Rachel Taylor, Senior Editorial Assistant Dean Trackman, Managing Editor Connie Woldu, Administrative Coordinator

F O R EWO R D Stephen J. Andrle, SHRP 2 Deputy Director The two reports and guide produced as part of the SHRP 2’s Capacity Project C06, Integration of Conservation, Highway Planning, and Environmental Permitting Using an Outcome-Based Ecosystem Approach, are intended to help transportation and environmental professionals apply ecological principles early in the planning and programming process of highway capac- ity improvements to inform later environmental reviews and permitting. Ecological principles consider cumulative landscape, water resources, and habitat impacts of planned infrastruc- ture actions, as well as the localized impacts. The reports introduce the Integrated Ecological Framework (IEF), a nine-step process for use in early stages of highway planning, when there are greater opportunities for avoiding or minimizing potential environmental impacts and for planning future mitigation strategies. Success requires some level of agreement among stakeholders about prioritizing resources for preservation or restoration. Such agreements rely on considering long-range environmental planning as a companion to long-range transporta- tion planning so that there is a basis and methodology for prioritization. The reports provide a structured, collaborative way to approach these issues. They do not address environmental mitigation and permitting actions required by current law or regulation. This report, An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1, describes the role of federal and state agencies and other stakeholders in the early environmental scanning of additions to highway capacity. It presents the five phases of the research approach, and it identifies incentives, benefits, barriers, and assurance needs associated with early involvement of environmental agencies in highway planning; tools such as banking and programmatic agreements for ensuring that the interests of all parties are met; strategies for commitment tracking; an inventory of assurance methods and the limits of using assurance methods at an ecoscale; and major findings. Early involve- ment, collaboration, and an ecological approach can lead to better transportation projects and more effective environmental protection. Volume 2 presents the Integrated Ecological Framework, provides technical background on cumulative effects assessment, ecological accounting strategies, ecosystems services, and partnership strategies, along with a summary of the available ecological tools that are most applicable to this type of work. The Volume 2 appendices document three pilot projects that tested the approach during the research. The Practitioner’s Guide to the Integrated Ecological Framework provides step-by-step infor- mation to help practitioners use the IEF. Essential content from the C06 project is available on the Federal Highway Administration’s PlanWorks website (Summer 2014). The site can be accessed by its former name, which is Transportation for Communities: Advancing Projects through Partnerships, or TCAPP (www.transportationforcommunities.com).

C O N T E N T S 1 Executive Summary 4 CHAPTER 1 Background 4 SHRP 2 Capacity Program 4 An Ecological Approach to Integrating Conservation and Highway Planning 6 CHAPTER 2 Research Approach 6 Phase 1 7 Phase 2 8 Phases 3, 4, and 5 10 CHAPTER 3 Incentives, Barriers, and Assurance Needs 10 Incentives 13 Barriers 14 Assurance Needs 17 CHAPTER 4 Solutions 17 Solutions Identified Through Surveys and Interviews 19 Essential Features of an Ecosystem Approach and the IEF 23 CHAPTER 5 Inventory of Assurance Methods 23 Programmatic Agreements for Multiple-Purpose Mitigation 30 Clean Water Act Section 404 Assurances 41 Assurances Related to ESA Section 7 52 Commitment Tracking Methods 53 CHAPTER 6 Using Assurance and Commitment Tracking Methods at an Ecosystem Scale 53 Limits of Using Methods at an Ecosystem Scale 54 Approaches for Using Methods at an Ecosystem Scale 57 CHAPTER 7 Gaps and Opportunities 57 Understanding Ecosystem Approaches 57 Providing Data, Methods, and Measures 58 Regulatory Framework for Ecosystem Approaches 59 Coordinating Federal and State Conservation Efforts 59 Improving Information and Data-Related Gaps 60 Local Land Use and Land Protection Gaps 61 Climate Change Uncertainty 61 Organizational and Process Gaps 62 CHAPTER 8 Conclusions 64 References

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TRB’s second Strategic Highway Research Program (SHRP 2) S2-C06-RW-1: An Ecological Approach to Integrating Conservation and Highway Planning, Volume 1 summarizes the research approach and major findings of a project designed to help transportation and environmental professionals apply ecological principles early in the planning and programming process of highway capacity improvements to inform later environmental reviews and permitting.

The report is part one of a four-volume set. The other volumes in the set are:

A supplemental report, Integrated Ecological Framework Outreach Project, documents the techniques used to disseminate the project's results into practitioner communities and provides technical assistance and guidance to those agencies piloting the products.

The primary product of these complementary efforts is the Integrated Ecological Framework (IEF). The IEF is a step-by-step process guiding the integration of transportation and ecological planning. Each step of the IEF is supported by a database of case studies, data, methods, and tools. The IEF is available through the Transportation for Communities—Advancing Projects through Partnerships (TCAPP) website. TCAPP is now known as PlanWorks.

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