Guidance for Using the Interactive Tool for Understanding NEPA at General Aviation Airports (2020)

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4 One of the primary needs identified by this study was the need for a basic primer concerning the NEPA process. This chapter was prepared to introduce the NEPA process and to respond to common questions – such as “When is NEPA triggered?” The Environmental Protection Agency (EPA) summarizes the NEPA requirements most directly applicable to airport development projects as follows: NEPA requires federal agencies to incorporate environmental considerations in their planning and decision- making through a systematic interdisciplinary approach. Specifically, all federal agencies are to prepare detailed statements assessing the environmental impact of and alternatives to major federal actions significantly affecting the environment. (EPA website: August, 2017) Following the adoption of NEPA in 1970 [1], the Council on Environmental Quality (CEQ) issued regulations defining compliance with NEPA [2]. CEQ Regulations (40 CFR 1500), paragraph 1500.2, Policy, outlines the responsibilities of federal agencies, such as the FAA, in complying with NEPA. 1.1 The NEPA Process In accordance with these policies, federal agencies have developed detailed NEPA implement- ing guidelines. The FAA has established a series of orders and other guidance documents—these are described in Chapter 2 and Appendix E, Annotated Bibliography. Appendix E is not included herein, but is available on the TRB website and can be found by searching for “ACRP Research Report 211”. The answers to the following questions illustrate important basic concepts essential for under- standing and meeting the requirements of NEPA. • When is NEPA Triggered? NEPA is triggered whenever a federal agency takes a federal action. • What is a Federal Action? For GA airports, by far the most common federal actions are approval of changes to an Airport Layout Plan (ALP) and issuance of federal grants under the Airport Improvement Program (AIP). For airports that have passengers and a Passenger Facility Charge (PFCs), approval to use PFCs is a federal action. Other FAA actions that would trigger NEPA include establishment of new instrument approaches and land trans- fers (including long-term leases). Appendix A, NEPA Process Options, which is included herein, lists typical airport projects that would require FAA approval and are, therefore, fed- eral actions that trigger NEPA. • What are the NEPA Process Options? For actions that require NEPA compliance, Chapter 3 of FAA Order 1050.1F describes the three levels of NEPA review: 1. Categorical Exclusion (CATEX or CE), 2. Environmental Assessment (EA), and 3. Environmental Impact Statement (EIS). C H A P T E R 1 NEPA Overview

NEPA Overview 5 Projects not specifically listed as eligible for approval as a CATEX must be approved through an EA or EIS. A brief description of these options follows. Some projects not specifically listed for CATEX so closely resemble a listed project that FAA may allow a CATEX for those projects. Close coordination with FAA is required in such cases. 1.1.1 Categorical Exclusion (CATEX or CE) FAA Order 1050.1F (paragraph 3-1.1) provides the following definition of a CATEX. A CATEX refers to a category of actions that do not individually or cumulatively have a significant effect on the human environment, and for which, neither an EA [Environmental Assessment] nor an EIS [Environmental Impact Statement] is required . . . To be eligible for approval as a CATEX, a project must fall within the scope of a CATEX as described in Paragraph 5-6 of FAA Order 1050.1F and must not involve “extraordinary circumstances,” which are defined in paragraph 5-2 of FAA Order 1050.1F. In general, an extraordinary circumstance is a condition applying to the specific project or its setting that raises the possibility of potentially significant impacts or the likelihood of causing a high level of controversy on environmental grounds [3, 4]. Many projects at GA airports can be approved through a CATEX, as long as no extraordinary circumstance is involved. Extraordinary circumstances generally are significant impacts; FAA Orders 1050.1F and 5050.4B define those extraordinary circumstances. Appendix A identifies the appropriate CATEX, if one exists, for each of many project types. In most cases, the airport sponsor prepares the CATEX form and submits it to the FAA through the EPS assigned to the FAA Airports District Office (ADO). Depending on the specifics of the project, the EPS may recommend a “documented” CATEX using the checklist provided in FAA Airports Division (ARP) Standard Operating Procedure 5.1 or may accept a “simple written record.” 1.1.2 Environmental Assessment (EA) FAA Order 1050.1F delegates responsibility for preparing EAs for airport development actions to the airport sponsor. Chapter 3 (paragraph 3-1.2) of FAA Order 1050.1F identifies the actions normally requiring an EA and provides the following description of an EA. The purpose of an EA is to determine whether a proposed action has the potential to significantly affect the human environment . . . An EA is a concise public document that briefly provides sufficient evidence and analysis for determining whether to prepare an EIS or a FONSI [Finding of No Significant Impact] . . . Paragraph 3-1.2 of FAA Order 1050.1F identifies the actions normally requiring an EA and states that, at a minimum, an EA must be prepared . . . when the proposed action does not normally require an EIS . . . and: (1) does not fall within the scope of a CATEX . . . ; or (2) falls within the scope of a CATEX, but there are one or more extraordinary circumstances . . . Chapter 6 of FAA Order 1050.1F describes the process for preparation and content of an EA. Consultation with the EPS prior to the start of EA preparation is important to define the pro- posed action, the appropriate range of alternatives, and the level of environmental analysis likely to be required. The airport sponsor typically submits a preliminary Draft EA for review by the FAA EPS prior to publishing the Draft EA for public and agency review. An EA requires that agencies having responsibility for potentially affected resources, as well as members of the public, have an opportunity to review and comment on the EA. The Final EA will document and address comments from agencies and members of the public. The Final EA becomes an

6 Guidance for Using the Interactive Tool for Understanding NEPA at General Aviation Airports official FAA document when signed by the responsible FAA official. Assuming that the Final EA concludes that no significant impacts would result from the project, the responsible FAA official will issue a FONSI. If mitigation measures or other conditions are required to reduce impacts to less-than-significant levels, the responsible FAA official may also issue what is commonly known as a Mitigated FONSI through a Record of Decision (FONSI/ROD) that, among other things, will document those conditions to enhance compliance. If the EA shows unmitigated significant impacts, the FAA will require the preparation of an EIS. 1.1.3 Environmental Impact Statement (EIS) FAA Order 1050.1F (paragraph 3-1.3) identifies the actions normally requiring an EIS. Chap- ter 7 of FAA Order 1050.1F describes the EIS process. Unlike a CATEX or EA, the FAA is directly responsible for the preparation of an EIS. The responsible FAA official must prepare an EIS when . . . . . . one or more environmental impacts of a proposed action would be significant and mitigation measures would not reduce the impact(s) below significant levels. Direct, indirect, and cumulative impacts must be considered when determining significance Airport sponsors should consult with the responsible EPS well before requesting the FAA to initiate an EIS. Ideally, this consultation would begin as soon as a project likely to require an EIS has been identified in the planning process. The FAA will manage and direct the EIS process, including the selection of any consultant, known as a “Third Party Contractor.” The airport sponsor and the FAA will also need to negotiate a Memorandum of Understanding (MOU) defining their respective responsibilities, lines of communications, and other matters governing the preparation of the EIS. 1.2 Cost and Schedule Considerations The time and effort required for the NEPA process will depend on the process and the specific environmental issues involved. The degree of public controversy can also affect both the time and effort required. 1.2.1 NEPA Document Types In general, a CATEX will require less time and effort than an EA, which will require less than an EIS. Broadly speaking, a CATEX might take days or weeks to prepare, an EA would require several months to over a year, and an EIS might require 3 years or more. The type of NEPA documentation required is often closely related to the nature of the envi- ronmental issues and the degree of public interest. Projects involving potentially significant impacts and/or high levels of controversy on environmental grounds are more likely to require more extensive NEPA processes and more special studies and, consequently, cost more and take longer to prepare. Appendix B, Cost and Scheduling Assumptions, which is included herein, lists factors affecting both costs and durations of NEPA processes and provides order-of-magnitude estimates of costs and durations for the different types of NEPA documents and associated environmental analyses. 1.2.2 Typical Causes of Cost Escalation The Team’s investigations identified three factors as the most common sources of cost escalation: incomplete planning, discoveries, and lack of appropriate skills. The following discussion describes these factors and identifies how the Interactive Tool can assist users in managing the process so as to minimize or avoid problems in each area.

NEPA Overview 7 Incomplete Planning. If the planning on which the NEPA process is based does not include all of the projects or developments required to build the project, the resulting approval will not enable the sponsor to complete all the necessary development. For example, building a new facility might require the relocation of an existing facility. Such projects are often called enabling projects. The NEPA document must address any necessary demolition of the existing facility and assess the environmental effects of the relocated facilities. Failure to consider all of the development required to implement an action early on will delay the process and lead to wasted effort. The Interactive Tool asks users to identify the types of supporting or enabling projects typi- cally associated with any type of development. This feature will encourage sponsors to think the development program through and develop more realistic estimates of the time and effort required in the NEPA process. Discoveries. NEPA is often described as a “discovery process” because the environmental investigations required to complete NEPA documents and comply with any applicable special- purpose laws can reveal conditions that may require the investigations of new alternatives to avoid or minimize impacts or additional analyses not anticipated at the start of the NEPA pro- cess. In addition, comments on draft documents from other agencies or members of the public can require additional investigations or alternatives analysis. The Interactive Tool can help airport sponsors anticipate the need for environmental inves- tigations by prompting users to identify possible environmental sensitivities and identify the sources for relevant information. In addition, the Interactive Tool will inform the user if an envi- ronmental condition would necessitate the consideration of alternatives to avoid or minimize impacts to that resource. These features enable users to better understand the level of effort that may be required to complete the NEPA process. Lack of Appropriate Skills. During the interviews with FAA staff concerning problems with the NEPA process, FAA staff noted that consultants with little or no NEPA experience are often contracted to prepare the NEPA documentation. Frequently, the only contracting vehicle available to the airport is an engineering or general on-call contract for which firm(s) are selected for their engineering or planning skills. In such cases, firms may not be able to add NEPA specialists to their teams. Unfamiliarity with the requirements of the NEPA process can lead to wasted effort and extended schedules. Although the Interactive Tool can help users understand the NEPA process and the associ- ated requirements of special-purpose laws, this information cannot substitute for experience working with the FAA’s NEPA guidance and with various natural resource agency procedures. 1.3 How to Improve Compliance with NEPA The research supporting development of the Interactive Tool revealed areas in which air- port sponsors could improve compliance with NEPA and reduce wasted effort in completing the NEPA process. The Interactive Tool can help airport sponsors keep track of their respon- sibilities under NEPA and avoid wasted effort. 1.3.1 Know When NEPA Is Required Airport sponsors routinely plan for future development and, if eligible, apply for FAA fund- ing. These activities directly relate to the most common NEPA triggers: ALP approvals and federal funding. Airport sponsors should be aware of the difference between a “conditional” and an “unconditional” ALP approval. In brief, the FAA and sponsor must complete the NEPA pro- cess for any development before the FAA will issue an unconditional approval of ALP changes reflecting the project.

8 Guidance for Using the Interactive Tool for Understanding NEPA at General Aviation Airports The Interactive Tool identifies the types of airport development projects that typically require NEPA approvals and describes the likely NEPA process. Using the Interactive Tool in the early stages of project definition will inform the user about the likely NEPA process and the time and effort that should be considered as part of the total development costs and schedules. 1.3.2 Know Your Airport’s Environmental Conditions Some environmental resources such as wetlands, floodplains, and properties subject to Section 4(f) of the Department of Transportation Act must be avoided if reasonable alternatives exist. Planning for future airport development should take these environmental conditions into consideration. If planned development would fill wetlands, encroach into a 100-year floodplain, adversely affect a historic or archaeological resource, or “use” a public recreational facility, the sponsor must demonstrate that no alternative is available that would meet the need for the proj- ect while avoiding the impact. Knowing if or where such environmental resources exist during the planning will avoid difficulties in getting projects approved in the NEPA process. The Interactive Tool provides links and references to databases that can help airport spon- sors to identify wetlands and floodplains on the airport. These references can be helpful, but on-site investigations will normally be required to confirm the presence or absence of resources. For example, in some areas, National Wetlands Inventory (NWI) mapping provides a reason- able indication of the presence of wetlands. In other areas, NWI mapping can be misleading. The Interactive Tool advises users to consult their FAA ADO regarding the acceptability of NWI mapping. On the other hand, Flood Insurance Rate Maps (FIRMs) from the Federal Emer- gency Management Agency (FEMA) are generally reliable. The National Register of Historic Places (NRHP) is a useful database, but it may not reflect recent additions and will not identify archaeological resources. 1.3.3 Complete Project Planning Before Starting NEPA FAA NEPA practitioners frequently cited poor or incomplete planning as a problem in the NEPA process. Projects have been delayed for extended periods while missing information is developed. For example, projects taken into the NEPA process frequently do not include all of the development required to implement an action. A NEPA document must account for all of the direct and indirect impacts of an action; therefore, related projects (often called “enabling” projects) such as designating construction staging areas or haul roads must be part of the project definition. Other examples of incomplete planning include failure to establish the rationale for the project and explain its benefits. If a project would affect a resource such as wetlands, flood- plains, or properties subject to Section 4(f), the NEPA document must include the consideration of alternatives that would meet the need for the project while avoiding or minimizing impacts to these resources. In general, it is best to identify and evaluate alternative solutions in the planning, rather than NEPA, process. Using the Interactive Tool during project development will help airport sponsors identify all supporting projects that might be required as part of a development project. If the user indi- cates that the project would affect one of the resources described above, the Interactive Tool will inform users that they may need to identify and evaluate planning alternatives that would avoid or minimize the impact. 1.3.4 Coordinate with the FAA Early in the Project By far, the most common advice given by FAA NEPA practitioners is for airport sponsors and/or their consultants to coordinate with their ADO EPS or other designated FAA staff early

NEPA Overview 9 in the process, well before initiating the NEPA. For those projects involving AIP grant funding, the need to complete the NEPA process prior to submitting a grant application indicates that the NEPA process should be initiated as soon as the project definition and timing are set. Early coordination with the FAA at this time will inform the sponsor about the NEPA process that will be required. This information will make it possible to build the NEPA process into the project schedules and include the estimated cost of the NEPA process in the airport’s capital improve- ment program. Using the Interactive Tool early in the planning process can give the airport sponsor a starting point for discussions with the FAA regarding the likely NEPA process. In addition, the Inter- active Tool will prompt users to contact their ADO EPS or other representative at key points. 1.3.5 Know the FAA NEPA Process FAA NEPA practitioners interviewed in the course of the research noted that many airports rely on their on-call or general engineering contracts for guidance on NEPA compliance. In some cases, these consultants are not well versed in the FAA NEPA process. Airport sponsors should ensure that their consultants understand the FAA NEPA process. The Interactive Tool can help users better understand the FAA NEPA process, but is not a substitute for familiarity with FAA procedures.