NEPA and Environmental Planning Tools, Techniques, and Approaches for Practitioners CRC_7559_FM.indd iCRC_7559_FM.indd i 1/31/2008 5:36:38 PM1/31/2008 5:36:38 PM © 2008 by Taylor & Francis Group, LLC NEPA and Environmental Planning Tools, Techniques, and Approaches for Practitioners Charles H. Eccleston CRC_7559_FM.indd iiiCRC_7559_FM.indd iii 1/31/2008 5:36:38 PM1/31/2008 5:36:38 PM © 2008 by Taylor & Francis Group, LLC CRC Press Taylor & Francis Group 6000 Broken Sound Parkway NW, Suite 300 Boca Raton, FL 33487-2742 © 2008 by Taylor & Francis Group, LLC CRC Press is an imprint of Taylor & Francis Group, an Informa business No claim to original U.S. Government works Printed in the United States of America on acid-free paper 10 9 8 7 6 5 4 3 2 1 International Standard Book Number-13: 978-0-8493-7559-0 (Hardcover) This book contains information obtained from authentic and highly regarded sources Reasonable efforts have been made to publish reliable data and information, but the author and publisher cannot assume responsibility for the valid- ity of all materials or the consequences of their use. 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CRC_7559_FM.indd vCRC_7559_FM.indd v 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM © 2008 by Taylor & Francis Group, LLC vii Contents Preface xxi Acknowledgments xxv Author xxvii List of Acronyms xxix Introduction xxxi Chapter 1 Overview of the NEPA Process and Its Basic Requirements 1 1.1 Overview of the NEPA Planning Process 1 1.1.1 Three Levels of NEPA Compliance 2 1.1.2 Compliance with Other Laws 2 1.1.2.1 No “Grandfathering” 2 1.1.3 Adopting NEPA Implementation Procedures 2 1.1.4 Initiating NEPA 4 1.1.4.1 Identifying a Proposed Action 5 1.1.4.2 Supplemental EISs and the Smithsonian Solution 5 1.1.4.3 Reviewing Existing EAs 5 1.1.5 Categorical Exclusions 5 1.1.6 Environmental Assessments 5 1.1.6.1 Commonly Required Data 6 1.1.6.2 Comparison of the Size and Complexity of EAs versus EISs 6 1.1.7 Environmental Impact Statements 7 1.1.7.1 The EIS Process 7 1.1.7.2 Notice of Intent 7 1.1.7.3 The Draft and Final EIS Stage 8 1.1.7.4 Record of Decision, Monitoring, and Mitigation 9 1.2 Basic Concepts and Requirements 9 1.2.1 Complying to the “Fullest Extent Possible” 9 1.2.1.1 Calvert Cliffs 10 1.2.1.2 Conict in Statutory Authority 11 1.2.1.3 Conicts with Other Statutory Obligations 11 1.2.1.4 Is It Appropriate to Design an Action to Avoid NEPA? 11 1.2.2 When Must NEPA Be Initiated? 12 1.2.2.1 The Denition of a Proposal 13 1.2.3 When Must NEPA Be Completed? 13 1.2.4 Combining and Integrating Other Requirements 13 1.2.5 Actions Subject to NEPA 14 1.3 NEPA Litigation and Judicial Review 15 1.3.1 Statute of Limitations 15 1.3.2 Administrative Record and Judicial Review Standard 15 1.3.2.1 Arbitrary Capricious Standard 15 1.3.2.2 Recent Case Law Involving the “Hard Look” Standard 16 1.3.2.3 Institute for Environmental Conict Resolution 16 1.3.3 Procedural versus Substantive 17 1.3.3.1 Case Law 17 1.3.3.2 Robertson v. Methow 18 CRC_7559_FM.indd viiCRC_7559_FM.indd vii 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM © 2008 by Taylor & Francis Group, LLC viii Contents 1.4 Closing Thoughts 18 Problems 19 References 19 Chapter 2 Tools, Techniques, and Approaches for Improving and Streamlining NEPA 21 2.1 NEPA and Processionary Caterpillars 21 2.1.1 Improving Federal Planning 21 2.2 Sliding Scale and the Rule of Reason 21 2.2.1 The Sliding-Scale Approach 22 2.2.2 Rule of Reason 22 2.3 Streamlining an Agency’s NEPA Process 22 2.4 VE Improvement Process 23 2.4.1 Preliminary Review 23 2.4.2 Seven Phases 23 2.4.2.1 Phase 1: Information Phase 24 2.4.2.2 Phase 2: Functional Analysis Phase 24 2.4.2.3 Phase 3: Creativity Phase 24 2.4.2.4 Phase 4: Evaluation and Analysis Phase 24 2.4.2.5 Phase 5: Development Phase 24 2.4.2.6 Phase 6: Presentation Phase 24 2.4.2.7 Phase 7: Post Study/Implementation Phase 25 2.4.3 Using VE in Preparing an EIS 25 2.4.3.1 Comparison of VE with NEPA 25 2.5 Using VE in Determining the Preliminary Scope of an EIS 26 2.5.1 Assembling an IDT 26 2.5.2 Information Phase 28 2.5.3 Decision-Identication Phase 28 2.5.4 Underlying Need and Purpose: Denition 28 2.5.5 Enhancing Effectiveness of the EIS Process 29 2.5.6 Investigating the No-Action Alternative 29 2.5.7 Eliminating Issues from the Scope 30 2.5.8 Identifying Other Related Requirements 30 2.5.9 Finalizing the Prescoping Effort 30 2.6 2.6.1 NEPA Provides an Ideal Implementation Mechanism 31 2.6.2 NEPA Provides a Comprehensive Decision-Making Process 32 2.6.3 Process for Integrating NEPA and P2 32 2.6.3.1 Categorical Exclusions 34 2.6.3.2 Environmental Assessment Process 37 2.6.3.3 EIS Process 37 2.7 NEPA and ISO 14001 38 2.7.1 An ISO 14001 Consistent EMS 38 2.7.2 Why NEPA and ISO 14001 Complement Each Other 40 2.7.2.1 Policy and Plan 41 2.7.2.2 Procedural versus Substantive 42 2.7.2.3 Analytical Similarities 42 2.7.2.4 Life Cycle Analysis 43 2.7.2.5 Public Participation 43 2.7.2.6 Signicance 43 2.7.2.7 Integration of Environmental Requirements 43 CRC_7559_FM.indd viiiCRC_7559_FM.indd viii 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM A Strategy for Efficiently Implementing a Pollution Prevention Program 30 © 2008 by Taylor & Francis Group, LLC Contents ix 2.7.2.8 Integrating Pollution Prevention 43 2.7.2.9 Preventive and Corrective Action 44 2.7.2.10 Records and Documentation 44 2.7.2.11 Implementation, Training, Monitoring, and Continuous Improvement 44 2.7.2.12 Internal Auditing 44 2.7.3 Strategy for Integrating an EMS with NEPA 44 2.7.3.1 Policy and Planning Phase 45 2.7.3.2 Analysis, Signicance, and Decision-Making 46 2.7.3.3 Implementation Phase 46 2.7.3.4 Monitoring and Enforcement Phase 46 2.8 An Integrated NEPA, AM, and EMS System 47 2.8.1 NEPA and AM 47 2.8.1.1 Requirements for Implementing AM 47 2.8.2 Potential Advantages 48 2.8.2.1 NEPA Documents 49 2.8.3 Using an EMS to Implement AM 50 2.8.3.1 An Integrated AM/EMS System 51 2.9 2.9.1 Dilemma 53 2.9.2 Criteria for Developing the Sufciency Test Tool 53 2.9.3 The Sufciency Test Tool 53 2.9.4 Applying the Sufciency Test Tool 53 2.9.4.1 Advantages and Limitations 55 2.10 A 10-Step Formula for Improving the NEPA Process 56 2.10.1 Recommendations 56 2.10.2 Additional Recommendations for Improving NEPA 58 Problems 59 References 60 Chapter 3 NEPA Streamlining Provisions 63 3.1 Managing, Analyzing, and Preparing NEPA Documents 63 3.1.1 Integrating NEPA with SEPAs and Other Processes 67 3.2.1 Using Scoping to Narrow the Analysis 67 3.2.2 Tiering 67 3.2.3 Incorporation by Reference 68 3.2.4 Adoption 68 3.2.5 Piggybacking 69 3.3 Limitations on Actions and Interim Actions 69 3.3.1 Eligibility for Status as an Interim Action 70 3.3.2 Two Categories of Interim Actions 70 3.3.2.1 Additional Limitations 70 3.3.3 Limitations on Project-Specic Action 71 3.3.4 Limitations on Programmatic Actions 71 3.3.4.1 Justied Independently of the Program 71 3.3.4.2 Accompanied by an Adequate EIS 71 3.3.4.3 Not Prejudice the Ultimate Decision 72 3.3.5 Actions That Are Not Generally Permissible 72 3.3.6 Awarding Contracts Prior to Completing NEPA 72 CRC_7559_FM.indd ixCRC_7559_FM.indd ix 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM Determining When Analysis Contains Sufficient Detail 52 3.2 Specific Streamlining Methods 67 © 2008 by Taylor & Francis Group, LLC x Contents 3.4 Agency Management and Operational Changes 72 3.4.1 Revising NEPA Implementation Procedures 73 3.4.2 Delegation 73 3.5 Statistics on the NEPA Process 73 3.5.1 NEPA Activity 73 3.5.2 NEPA Effectiveness 74 3.5.3 Completion Time and Delays 75 3.5.3.1 Reasons for Delays 75 3.5.3.2 Reducing Delays as a Result of Law Suits 76 3.5.3.3 EA Completion Time 76 3.5.3.4 EIS Completion Time 76 3.5.4 Document Length 76 3.5.4.1 Environmental Assessments 76 3.5.4.2 Environmental Impact Statements 77 3.5.4.3 Congressional Taskforce 77 3.5.4.4 Environmental Protection Agency Study 77 3.5.4.5 Exceptions 77 3.5.5 Cost 78 3.5.5.1 Department of Energy and Air Force 78 3.5.5.2 CEQ Environmental Assessment Study 78 3.5.6 Lawsuits 79 3.5.6.1 NEPA Documents Challenged 79 3.5.6.2 Causes for Action 79 3.5.6.3 Plaintiffs 80 3.5.6.4 Injunctions 80 Problems 80 References 81 Chapter 4 Performing a Systematic and Integrated Planning and Analysis Process 83 4.1 A Flexible Planning Process 83 4.2 Fostering Planning and Informed Decision-Making 84 4.2.1 Early and Open Process 85 4.2.2 Public Involvement 86 4.2.3 Determining the Scope 86 4.3 Systematic and Interdisciplinary Approach 86 4.3.1 Environmental Design Arts 87 4.4 Integrating Other Laws, Permits, and Orders 87 4.4.1 Environmental Quality Improvement Act of 1970 88 4.4.1.1 Executive Order for Protection and Enhancement of Environmental Quality 88 4.4.2 Federal Land Policy Management Act 89 4.4.2.1 Policy, Authority, and Responsibility 89 4.4.3 Natural Resource Damage Assessment 90 4.4.3.1 Assessment 91 4.4.3.2 Contingent Valuation Method 91 4.4.4 Pollution Prevention Act 92 4.4.4.1 Provisions 93 4.4.4.2 Executive Order and the CEQ Guidance 93 4.4.5 Clean Air Act Conformity and NEPA 93 4.4.5.1 General Conformity 93 CRC_7559_FM.indd xCRC_7559_FM.indd x 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM © 2008 by Taylor & Francis Group, LLC Contents xi 4.4.5.2 Potential Problems with Nonconformance 94 4.4.5.3 EPA Issues 94 4.4.5.4 Documents on the Web 94 4.4.6 CO 2 and Global Warming Issues in NEPA Documents 95 4.4.7 Endangered Species Act 95 4.4.7.1 Administration and Purpose 96 4.4.7.2 Implementing Regulations 96 4.4.7.3 Categories of Species 96 4.4.7.4 Scope 97 4.4.7.5 Section 7: Consultation 97 4.4.7.6 Consultation 97 4.4.7.7 Biological Evaluation and Assessment 98 4.4.7.8 Section 9 98 4.4.7.9 Section 10 99 4.4.7.10 Invasive Species and Executive Order 13112 99 4.4.8 Section 404 of the Clean Water Act 99 4.4.8.1 Section 404 99 4.4.8.2 Typical Activities and Exemptions 100 4.4.8.3 Basic Requirements 100 4.4.8.4 Swampbuster 100 4.4.8.5 Types of Permits 100 4.4.8.6 Permit Limitations and Mitigation 100 4.4.8.7 The 404 Permitting Process 101 4.4.8.8 Public Notice 101 4.4.8.9 Comment Period and Public Hearing 101 4.4.8.10 Permit Evaluation and Statement of Finding 101 4.4.9 Floodplain and Wetlands Executive Orders 101 4.4.10 Coastal Zone Management 101 4.4.10.1 Coastal Zone Management Act Consistency Regulations 102 4.4.10.2 Consistency Determination 102 4.4.10.3 NEPA and Project Planning 102 4.4.11 Wild and Scenic Rivers Act 102 4.4.11.1 Wild River Areas 103 4.4.11.2 Scenic River Areas 103 4.4.12 Fish and Wildlife Coordination Act 103 4.4.13 National Historic Preservation Act 103 4.4.13.1 State Historic Preservation Ofcer 104 4.4.13.2 National Register of Historic Places 104 4.4.13.3 Eligibility Criteria 104 4.4.13.4 Section 106 104 4.4.13.5 Section 106 Review Process 105 4.4.13.6 Consultation 105 4.4.13.7 Changes to Section 106 106 4.4.13.8 Archaeological Resource Protection Act 106 4.4.13.9 Archaeological and Historic Preservation Act 107 4.4.13.10 Indian Religious Freedom Act 107 4.4.13.11 Native American Graves Protection and Repatriation Act 107 4.4.14 Farmland and Protection Policy Act 107 4.4.14.1 Prime Farmland 107 CRC_7559_FM.indd xiCRC_7559_FM.indd xi 1/31/2008 5:36:39 PM1/31/2008 5:36:39 PM © 2008 by Taylor & Francis Group, LLC xii Contents 4.4.14.2 Unique Farmland 107 4.4.14.3 Integration with NEPA 107 4.4.15 Environmental Justice 107 4.4.15.1 Executive Order 108 4.4.15.2 CEQ Guidance 108 4.4.15.3 Analysis 108 4.5 Environmental Impact Assessment 109 4.5.1 Actions 109 4.5.2 Environmental Disturbances 110 4.5.3 Receptors and Resources 110 4.5.4 Impact Analysis 110 4.5.5 Signicance 111 4.5.6 Mitigation and Monitoring 111 4.5.6.1 Monitoring 112 4.5.7 Impact Assessment Methodologies 112 4.5.7.1 Environmental Checklists 112 4.5.7.2 Matrices 113 4.5.7.3 Networks 115 4.5.7.4 Carrying Capacity Analysis 116 4.5.7.5 Ecosystem Analyses 117 4.5.7.6 Cost–Benet Analysis 118 4.6 Requirements for Performing an Analysis 121 4.6.1 Performing a Rigorous Analysis 121 4.6.2 Methodology 122 4.6.3 Fair and Objective 122 4.6.4 Investigating Reasonable Alternatives 122 4.6.4.1 “Would” versus “Will” 122 4.6.5 Writing Documents in Plain English 124 4.6.5.1 Reasonable Man Standard 124 4.6.6 Incomplete or Unavailable Information 124 4.6.6.1 Classied Information 125 4.6.6.2 Case Law 125 Problems 125 References 126 Chapter 5 Exemptions and Categorical Exclusions 129 5.1 Categorical Exclusions 129 5.1.1 Extraordinary Circumstances 130 5.1.2 Adopting CATXs 130 5.1.3 Applying CATXs 131 5.1.4 Documenting CATXs 132 5.1.5 Streamlining Recommendations 132 5.1.5.1 Electronic CATX Management Database 132 5.1.5.2 Additional Recommendations 134 5.2 Exemptions from NEPA 134 5.2.1 Presidential Exemptions 136 5.2.2 Explicit Congressional Exemptions 136 5.2.3 Functional Equivalency Exemptions 137 5.2.4 The EPA 137 CRC_7559_FM.indd xiiCRC_7559_FM.indd xii 1/31/2008 5:36:40 PM1/31/2008 5:36:40 PM © 2008 by Taylor & Francis Group, LLC [...]... xviii 1/ 31/ 2008 5:3 6:4 0 PM Contents xix 11 .2.3 Gathering Information 283 11 .2.3 .1 Inventory of Essential Elements 284 11 .2.4 Risk Assessment 285 11 .3 Business Impact Analysis 285 11 .3 .1 Regulatory, Legal, and Contractual Review 286 11 .3 .1. 1 Legal Risk Management Strategy 286 11 .3 .1. 2 Potential Recommendations 287 11 .3.2 Assessing and. .. 305 12 .4 .1 Goals of SEA .306 12 .4 .1. 1 Performance Criteria 306 12 .4.2 Relationship between SEA and EIA 306 12 .4.2 .1 Comparison of SEA and EIA 307 Problems 308 References 308 Chapter 13 Environmental Policy, Decision-Making, and Economics 311 13 .1 Easter Island and the Tragedy of the Commons 311 13 .1. 1 Tragedy... 312 13 .2 Limits to Growth, Gaia, and Sustainability 313 13 .2 .1 Malthus, Simon, and Limits to Growth 313 13 .2 .1. 1 The Malthusian Growth Model 314 13 .2 .1. 2 Julian Simon 315 13 .2.2 The Gaia Hypothesis 316 13 .2.3 Sustainability 318 13 .2.3 .1 Definitions 318 13 .2.3.2 Agenda 21 318 13 .2.3.3 Sustainable Development, NEPA, ... CRC_7559_CH0 01. indd 3 1/ 31/ 2008 4:2 1: 3 6 PM 4 NEPA and Environmental Planning: Tools, Techniques, and Approaches for Practitioners TABLE 1. 1 Adopting NEPA Implementation Procedures Policy (§ 15 00.2) Federal agencies shall to the fullest extent possible … (b) implement procedures to make the NEPA process more useful to decision-makers and the public … Agency Decision-Making Procedures ( 15 05 .1) Agencies... 297 Chapter 12 International Environmental Impact Assessment 299 12 .1 NEPA and the International Community 299 12 .1. 1 Status of EIA Legislation in Developing Countries 299 12 .1. 2 International Organizations .300 12 .1. 2 .1 United Nations 300 12 .1. 2.2 World Bank 300 12 .1. 2.3 European Union 3 01 12 .1. 2.4 NAFTA and Executive Order 13 1 41 ... Chapter 8 Preparing Environmental Impact Statements 18 9 8 .1 Overview of Fundamental EIS Concepts 18 9 8 .1. 1 Lead and Cooperating Agencies 18 9 8 .1. 1 .1 Disputes 18 9 8 .1. 2 Selecting the Lead Agency 19 0 8 .1. 2 .1 Lead Agency Responsibilities 19 0 8 .1. 2.2 Applicants 19 1 8 .1. 3 Schedule and Timing Requirements 19 1 8 .1. 3 .1 When Should... 323 13 .4 Environmental Decision-Making 324 13 .4 .1 Ellsberg Paradox 324 13 .4 .1. 1 NEPA and Environmental Decision-Making 325 13 .4 .1. 2 Dealing with Uncertainty in NEPA Documents 325 13 .4.2 Decision-Making and the Delphi Method 325 13 .4.2 .1 The Process 326 13 .4.2.2 Advantages and Disadvantages 326 13 .4.2.3 NEPA and Environmental Policy... Measures 2 91 11. 5 .1 Testing and Action Plans 2 91 11. 5.2 Quality Assurance 292 11 .5.3 Training 292 11 .6 Developing Contingency Plans 293 11 .6 .1 Contingency Planning Goals 293 11 .6.2 Contingency Planning Factors 293 11 .6.3 Potential Solutions 293 11 .6.4 Types of Contingency Plans 294 11 .6.5 Staffing... 287 11 .3.2 .1 Severity and Probability 287 11 .3.2.2 Developing a BIA Process 288 11 .4 Mitigation Strategies 289 11 .4 .1 Executive Decision-Making 289 11 .4.2 Mitigation Implementation Plan 290 11 .4.2 .1 Plan Outline 290 11 .4.2.2 Mitigation Budget .290 11 .4.3 Potential Fixes 290 11 .5 Implementing and Testing... Chapter 10 Planning and Mitigating Effects of Natural Disasters and Terrorist Attacks 2 61 10 .1 Can Planning for a Disaster Prevent a Disaster? 2 61 10 .1. 1 Catastrophic Events and the Human Environment 2 61 10 .1. 2 Significance 262 10 .2 NRC Rules Terrorism Reviews Are Not Required 262 10 .2 .1 Nuclear Fuel Storage Case 262 10 .2 .1. 1 Basis for NRC’s . Contents 1. 4 Closing Thoughts 18 Problems 19 References 19 Chapter 2 Tools, Techniques, and Approaches for Improving and Streamlining NEPA 21 2 .1 NEPA and Processionary Caterpillars 21 2 .1. 1 Improving. Assessment 10 9 4.5 .1 Actions 10 9 4.5.2 Environmental Disturbances 11 0 4.5.3 Receptors and Resources 11 0 4.5.4 Impact Analysis 11 0 4.5.5 Signicance 11 1 4.5.6 Mitigation and Monitoring 11 1 4.5.6 .1 Monitoring. 282 11 .2 .1 Getting Started 282 11 .2.2 Planning and Communicating the Program 282 CRC_7559_FM.indd xviiiCRC_7559_FM.indd xviii 1/ 31/ 2008 5:3 6:4 0 PM1/ 31/ 2008 5:3 6:4 0 PM 11 .1 Essential Concepts and