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California State Department of Transportation
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Narrative
Before environmental studies begin, the project scope should be reviewed and updated if necessary. This is particularly true of projects that have been in the pipeline a long time. Major scope changes may require a supplemental or new Project Study Report (PSR).
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Previous project studies may have been directed by a PDT as discussed in Task P004. For the more complex projects, additional PDT members may be needed.
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The Community Involvement Plan requires continuing adjustment as new information is developed from both internal and external sources.
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During preparation of the Project Study Report, materials information was obtained and a field investigation was performed to identify potential problem areas. This information should be reviewed to ensure that materials considerations are adequately addressed in environmental studies.
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In preparation for environmental studies, areas of potential impact should be identified within the project limits. Preliminary alignments should be calculated to assist in staking areas of potential impact.
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Existing and estimated future traffic data was obtained at the initiation of project studies and updated throughout the project development process. Periodic updates are needed to target project goals and objectives and also provide data for air, noise, and energy studies.
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At this time, geometric plans for the project alternatives are plotted on available base maps. Good mapping should be provided so that environmental and right of way effects may be identified and evaluated.
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- Preliminary alignments
- Cut and fill catch points
- Interchange geometrics
- Typical cross sections
- Right of way lines including easements
- Structures, retaining walls, and drainage facilities
- Physical features that may affect environmental studies or Project Report considerations
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Project alternatives should be reviewed prior to conducting environmental studies.
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- California Coastal Commission
- Airports
- Coast Guard
- State Reclamation Board
- State Lands Commission
- Other environmental or regulatory entities
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After obtaining the estimated future traffic volumes, the operational characteristics of the project alternatives must be analyzed to determine if the alternatives will satisfy traffic demands for the design year.
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Exceptions to both Advisory and Mandatory Design Standards should be processed whenever they are identified. It is appropriate to prepare Fact Sheets for additional exceptions that have been identified since approval of the Project Study Report (PSR).
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After the geometric plans have been completed for the project alternatives, concurrence should be obtained.
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The Project Development Coordinator must approve Fact Sheets for Exceptions to Mandatory Design Standards. The appropriate Branch Chief must approve Fact Sheets for Exceptions to Advisory Design Standards.
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Exceptions to Mandatory Design Standards
Exceptions to Advisory Design Standards
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Project alternatives need to be compared for environmental effects, public acceptance, and cost. Cost estimates should be updated before beginning environmental studies.
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Congested traffic corridors in urban and suburban areas provide opportunities for ride sharing. Caltrans provides park and ride facilities in these corridors to facilitate ride sharing. These facilities should be considered prior to preparation of the Project Report.
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Although the preliminary geometric plans for project alternatives have already been reviewed by the Project Development Coordinator and others, it is appropriate to have one more review before beginning environmental studies.
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After the review of the preliminary geometric plans has been completed, environmental evaluations for the project alternatives should be initiated. Environmental studies are conducted for compliance with NEPA and CEQA.
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- Water quality
- Air quality
- Visual impacts
- Socioeconomics
- Noise levels
- Wetlands
- Floodplains
- Natural environment
- Endangered species
- Historic properties
- Hazardous waste
- Archaeology
- etc.
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Narrative
Right of way, utility, and railroad estimates should be updated throughout the project development process.
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The need for a Socioeconomic Technical Report is evaluated during the scoping process that occurs in the early development of the environmental document. A separate Socioeconomic Report need only be prepared if significant socioeconomic impacts are likely; otherwise, the information is inserted directly into the environmental document.
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Visual resource identification and assessment is performed for all projects that require an environmental document. The Environmental Unit directs this activity, with the help of the Landscape Architect and the PDT.
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Aesthetics features are a significant aspect of project development. They should be identified at an early stage and incorporated into the project.
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A "Purpose and Need" statement is required for all projects. The "Purpose and Need" statement explains why the project is being proposed. The evaluation of need is based on current and future conditions, not on an assumption that prior decisions are still valid. The statement of need requires factual justification.
The statement will be the basis for the "Purpose and Need" section of the environmental document.
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- Supporting Legislation
- Safety
- System Linkage
- Maintenance and Operational Deficiencies
- Demand Exceeding Capacity
- Growth and Cumulative Impacts
- Economic Development
- Eliminate Unacceptable Impacts
- Financial Resources
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The description of alternatives includes all alternatives considered, including those under consideration, those withdrawn from consideration, and the "no-action" alternative. These descriptions will be the basis for the "Description of Alternatives" section of the environmental document.
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Federal and State endangered species laws prohibit actions that may jeopardize the continued existence of threatened or endangered species. If listed species may be affected, avoidance must be considered and consultation with the California Department of Fish and Game (CDFG) and the U.S. Fish and Wildlife Service (USFWS) may be required.
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Wetlands resources are protected under several State and federal laws and regulations, most notably Section 404 of the Federal Clean Water Act and Federal Executive Order. If wetlands will be impacted, an avoidance alternative must be considered.
If the project requires discharge of dredged or fill material into U.S. waters (including wetlands) a Clean Water Act 404 Permit must be obtained from the U.S. Army Corps of Engineers (Corps). The procedures for integrating the 404 Permit process into the NEPA assessment process are contained in a Memorandum of Understanding and its guidelines. Necessary studies are initiated during the planning phase, including evaluation of avoidance alternatives. If the work is performed in navigable waters, a Rivers and Harbor Act, Section 10 Permit may be required from the Corps.
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Natural resource studies identify natural and depletable resources within each project alternative and identify conservation and mitigation measures for those resources that may be adversely impacted by the project. Specialized studies may be required for sensitive species or habitats.
Section 1601 of the California Department of Fish and Game (CDFG) Code requires State agencies to notify CDFG of projects that will require work within a stream, river, or lake. A Streambed Alteration Agreement with CDFG may be required.
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When a project has the potential for encroachment upon a floodplain, a Location Hydraulics Study Report must be prepared to evaluate existing drainage patterns, floodplains, and project impacts on downstream bodies of waters or facilities.
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Streams, lakes, wetlands, and other bodies of water can be affected by construction activities, maintenance activities, and highway runoff. Water quality studies identify sensitive receiving waters, identify potential causes of erosion, siltation, and toxic substances, and determine the effects of these pollutants on the receiving waters. The studies also identify remedial measures. This information is used for both an environmental document, if needed, and for necessary water quality permits.
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The Initial Site Assessment was performed to determine if potential hazardous waste problems were identifiable within or near the project site. Potential problems should now be assessed.
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A Preliminary Site Investigation (PSI) is required if unavoidable potential hazardous waste problems were identified at the Hazardous Waste (HW) status meeting.
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NOTE: Duration range shown is for projects with minor hazardous waste contamination. For major contamination, duration may be one full year or more.
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The Division of Structures is responsible for the hydraulics design of bridges, special culverts, pumping plants, and major or unusual drainage facilities. Hydraulics studies for these structures are needed for the early stages of environmental studies.
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- Conduct hydraulics studies for these facilities.
- Prepare preliminary designs and cost estimates for the facilities involved.
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Noise studies are required to measure existing levels and to determine future levels. The studies should forecast if any projected increase in noise levels will equal or exceed local, State, or federal noise criteria. If there are no sensitive receptors in the area of impact, it is acceptable to state this fact without preparing a Noise Report.
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A Geotechnical Report is prepared to describe the topography, geology, and soils at the project site. The topographic study should describe the terrain in the area. The geologic study should identify features (faults, etc.) that may affect or be affected by the project. The soils study should identify any prime or unique farmland, including agriculture preserves, and any soils prone to slides or erosion.
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- Conduct geotechnical studies.
- Prepare a report.
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The Federal Clean Air Act requires adoption of a State Implementation Plan to implement National Ambient Air Quality Standards. To comply with this mandate, a study may be performed to examine project conformance to federal, State, and local air standards and control plans.
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NOTE: May require 1 year, depending on the complexity of the project.
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Cultural resources include archaeological sites, historic architecture, and other historic resources. A map of the cultural resource inventory area should now be prepared to facilitate the assessment of project effects upon these resources.
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Phase I of the National Historic Preservation Act, Section 106, compliance process identifies prehistoric and historic properties through archaeology surveys. The Archaeological Survey Report (ASR) is part of the Historic Property Survey Report.
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The Historic Architectural Survey (HAS) identifies and evaluates historic buildings, structures, and districts, in compliance with Section 106. Bridges are covered in a separate evaluation that is performed concurrently with the HAS.
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A Historic Study Report (HSR) is prepared when there is potential for historic archaeological excavations. The purpose of the HSR is to obtain professional and managerial consensus on the need for excavation.
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The U.S. Department of Transportation Act, Section 4(f), applies to properties comprised of parks, recreation areas, wildlife or waterfowl refuges, or historic sites.
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New alternatives or variations of alternatives must be developed for projects that affect the U.S. Department of Transportation Act, Section 4(f) properties. If the use of such properties cannot be avoided, measures must be taken to minimize impacts to them.
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Various studies may have resulted in the development of new alternatives to avoid or minimize adverse impacts. All current alternatives should now be reviewed to determine if they meet project goals.
The PDT is responsible for determining the significant impacts of the various project alternatives. The PDT should also determine if the project meets the criteria for a Categorical Exemption and/or a Categorical Exclusion. If not, the Initial Study process is conducted to determine: are the effects significant? and what type of environmental document is required?
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After the potential impacts of the project alternatives have been identified, alternatives may require modification to reduce impacts or new alternatives developed and evaluated. Certain protected resources require the development and evaluation of an avoidance alternative.
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When the predicted noise levels approach or exceed the FHWA noise abatement criteria, or when predicted noise levels substantially exceed existing levels, the draft environmental document will contain a summary of the noise analysis.
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The air quality study was prepared to determine the project's consistency with the federal and State-approved Air Quality Plan. The results of the air quality study are used to prepare the Air Report.
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Only large-scale projects require a detailed energy analysis, accompanied by such information as computations of British Thermal Units requirements. Small scale projects will include, in general terms, the construction and operational energy requirements and conservation potential of the various alternatives under consideration. The energy studies should enable comparison of the energy requirements of the alternatives with each other and with the no-action alternative.
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Large-scale projects with substantial energy impacts, direct and indirect, will require an Energy Report.
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If the alternatives have potential for visual quality impacts, a Visual Resources Report should be prepared that identifies the impacts to the visual resource, as well as the measures used to mitigate the adverse impacts.
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The "Affected Environment" section of the Draft environmental document (DED) provides a concise description of the existing social, economic, and environmental setting for the areas affected by the alternatives discussed in the draft document.
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When an alternative impacts wetlands, Task P099 identified the least environmentally damaging practicable alternative. It is necessary to prepare a Wetlands Study Information Report that includes: (1) the type, quality and function of the wetlands involved, (2) describes the impacts to the wetlands, (3) evaluates the alternatives that avoid these wetlands, and (4) identifies practicable measures to minimize harm to the wetlands.
This report must include evidence of coordination with the U.S. Corps of Engineers, appropriate federal, State and local resource entities, and State and local water quality entities.
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During the course of project studies, potential adverse project impacts to natural resources may be discovered. When this occurs, the PDT should be notified and discussions initiated to explore whether the potential impact can be avoided or reduced by project modifications. After the project has been modified to the extent feasible, mitigation measures should be identified which are appropriate to the scale and intensity of the impacts. Caltrans' policy states that Caltrans mitigates, to the extent socially and economically feasible, adverse environmental impacts associated with the selected alternative.
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The results of the endangered species literature search, field studies and coordination with resource agencies are documented in a Biological Assessment Report. If mitigation has been agreed to by Fish and Wildlife Service/Department of Fish and Game (USFWS/CDFG) and Caltrans' management, it is also included in the report. The report forms the basis for the USFWS/CDFG Biological Opinion.
If there is no feasible avoidance alternative, concurrence from CDFG and USFWS is requested at this time. Otherwise, concurrence will be requested after alternative selection.
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This report brings all the biological information together into a single document, including results of wetlands and endangered species investigations. When mitigation measures have been agreed to and accepted by the resources entities and Caltrans they are included in the study report as proposed mitigation. The report also includes determination of significance if the PDT has previously accepted such determinations. The report is used as the basis for completing biological sections of the environmental document.
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The DEIS/DEIR or ND/FONSI contains a summary of the Floodplain Evaluation Report. The DEIS/DEIR also includes summaries of analyses and consultations with the State or local entities responsible for water quality, as well as with the EPA concerning requirements of the Federal Clean Water Act.
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The DEIS should contain a discussion indicating that historic and archaeological resources have been identified and evaluated in accordance with the requirements of the Historic Preservation Act (36 CFR 800.4) for alternatives under consideration. The information and level of effort needed to identify and evaluate historic and archaeological resources varies as determined by the FHWA after considering existing information.
The proposed use of land from a historic resource on, or eligible for, the National Register will normally require an evaluation and approval under Section 4(f) of the U.S. Department of Transportation Act.
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The Historic Property Survey Report (HPSR) summarizes the archaeological and architectural surveys, bridge or historic evaluations. The HPSR is the primary document used for consultation with the State Historic Preservation Officer (SHPO) on the identification and evaluation of historic resources (36 CFR 800.4). If no resources are identified, the FHWA Transportation Engineer can sign off a negative report that does not go to the SHPO.
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Phase II of the compliance process involves evaluation of the significance of archaeological resources reasonably certain to be affected by the proposed project. The Phase II study is an archaeological test excavation that is usually undertaken to evaluate the eligibility of an archaeological resource for inclusion on the National Register of Historic Places.
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After approval of the Historic Property Survey Report (HPSR) by the Environmental Unit Chief, the report is sent to the FHWA Division Administrator who sends the Report to the State Historic Preservation Officer (SHPO) requesting concurrence in the adequacy of studies to date and in eligibility or effect determinations. If SHPO concurs and provides Section 106 clearance or documents a determination of eligibility, it is attached as an exhibit to the environmental document with a statement summarizing the consultation.
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The FHWA makes the finding of archaeological eligibility under federal regulations and consults with the State Historic Preservation Officer (SHPO) for concurrence. Under CEQA, Caltrans makes the determination of historic importance.
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A Finding of Effect document is prepared whenever historic resources are within the Area of Potential Effects.
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NOTE: Preparation of Data Recovery Plans may take 20 - 40 days if archaeological sites are involved.
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After preparation of the Finding of Effect, final FHWA, State Historic Preservation Officer (SHPO) and the Advisory Council on Historic Preservation (ACHP) concurrence is obtained.
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NOTE: If the MOA has signatories in addition to FHWA, SHPO, and ACHP allow an additional 20 days per signatory.
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The proposed use of land from a historic resource on, or eligible for, the National Register will normally require an evaluation and approval under Section 4(f) of the U.S. Department of Transportation Act.
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Upon completion of the studies and technical reports, the PDT reviews all the findings and identifies the potential project impacts according to State and federal environmental regulations. The PDT determines if the appropriate environmental document has been selected. The Project Manager and the Environmental Unit manager approve the determination.
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After the studies have been approved, it is necessary to review the alternatives and project scope to ensure they are consistent, accurate, and adequately covered by the studies. If not, revised or new alternatives or scope may be required.
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The Categorical Exemption/Categorical Exclusion (CE/CE) Determination form is used to satisfy both NEPA and CEQA requirements for projects meeting the appropriate criteria. In the case of Categorical Exclusions, certain Federal laws and regulations apply, requiring FHWA approval on the form.
Caltrans' approval is by the Environmental Unit Chief and the originating Project Development Unit Chief.
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This section of the environmental document includes the probable beneficial and adverse social, economic, and environmental effects of alternatives under consideration and describes the measures proposed to mitigate adverse impacts. The information should have sufficient scientific and analytical substance to provide a basis for evaluating the comparative merits of the alternatives and their potential impacts on the environment.
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The completion of environmental studies is an ideal time to review the project schedule.
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Final environmental studies should be reviewed for completeness. The technical reports should now be completed.
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This web site last modified August 13, 1997.
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