AASHTO PH03-2016 AASHTO Practitioner's Handbook - Managing the NEPA Process for Toll Lanes and Toll Roads (Revision 2).pdf

1、AASHTO PRACTITIONERS HANDBOOK MANAGING THE NEPA PROCESS FOR TOLL LANES AND TOLL ROADS This Handbook provides recommendations for conducting National Environmental Policy Act (NEPA) studies for projects involving toll lanes and toll roads. Issues covered in this handbook include: Addressing tolling i

2、n the transportation planning process Preparing to initiate the NEP A process for a tolled project Developing the purpose and need and range of alternatives T raffic forecasting for tolled alternatives Environmental justice issues related to tolling Addressing other direct and indirect impacts of to

3、lling Coordinating NEP A reviews with a project financing and procurement Considering tolled alternatives in a re-evaluation or supplemental NEPA documentThe Practitioner s Handbooks are produced by the Center f o r Environmental Excellence by AASHTO. The Handbooks provide practical advice on a rang

4、e of environmental issues that arise during the planning, development, and operation of transportation projects. The Handbooks are primarily intended for use by project managers and others who are responsible for coordinating compliance with a wide range of regulatory requireme nts. With their needs

5、 in mind, each Handbook includes: key issues to consider; a background briefing; practical tips for achieving compliance; and a list of reference materials. In addition, key regulations, guidance materials, and sample documents for each Handbook are posted on the Center s web site at http:/environme

6、nt.transportation.org American Association of State Highway and T ransportation Officials Center for Environmental Excellence by AASHT O 03 August 20162 Managing the NEPA Process for Toll Lanes and Toll Roads Copyright 2016, Center for Environmental Excellence by AASHT O (American Association of Sta

7、te Highway and T rans- portation Officials). All Rights Reserved. This book, or parts thereof, may not be reproduced in any form without written permission of the publisher. Printed in the United States of America. This material is based upon work supported by the Federal Highway Administration unde

8、r Cooperative Agreement No. DTFH61-07-H-00019. Any opinions, findings, and conclusions or recommendations expressed in this publication are those of the Author(s) and do not necessarily reflect the view of the Federal Highway Administration. 2016 by the Center for Environmental Excellence by AASHTO.

9、 All rights reserved. Duplication is a violation of applicable law.Managing the NEPA Process for Toll Lanes and Toll Roads 1 Overview This Handbook provides recommendations for conducting National Environmental Policy Act (NEPA) studies for projects involving toll lanes and toll roads. It covers iss

10、ues associated with the NEP A process itself as well as a range of related issues, such as developing tollin g policies in the transportation planning process and coordinating a NEP A study with a procurement for a publicprivate partnership (PPP). Tolling has received increased attention in recent y

11、ears as a method for addressing transportation needs. This trend has resulted from many factors, including the expanded availability of electronic toll collection; the inadequacy of traditional funding sources for transportation projects; the removal of certain legal restrictions on tollin g under F

12、ederal law; and the success of toll projects both in the United States and around the world. Recent legislation seems likely to continue the trend toward tollin g by increasing States authority to allow for the development of toll lanes and toll roads. The topics covered in this Handbook include: Ad

13、dressing tolling in the transportation planning process Preparing to initiate the NEPA process for a tolled project Developing the purpose and need and range of alternatives T raffic forecasting for tolled alternatives Environmental justice issues related to tolling Addressing other direct and indir

14、ect impacts of tolling Coordinating NEP A reviews with project financing and procurement Considering tolled alternatives in a re-evaluation or supplemental NEP A document Background Briefing The basic requirements applicable to the NEP A process for a tolled project are the same as those for a typic

15、al federally funded highway project. But as described in this section, toll projects also involve some distinct legal and regulatory issues, which create additional opportunities and constraints that need to be considered when carrying out the NEP A process. Adoption of Transportation Planning Decis

16、ions in the NEPA Process. Transportation agencies can use the transportation planning process to produce decisions or analyses that can later be adopted for use in the NEPA process, including decisions regarding the use of tolls and PPPs. For highway and transit projects, there are two main sources

17、of authority for adopting planning decisions for use in the NEPA process: 23 CFR 450 Appendix A: The statewide and metropolitan transportation planning regulations allow transportation planning products to be adopted for use in the NEP A process, based on criteria set forth in 23 CFR 450.212(b) and

18、450.318(b) and in Appendix A to the regulations. Appendix A states that “If the financial plan for a metropolitan transportation plan indicates that funding for a specific project will require special funding sources (e.g., tolls or public private financing), such information may be included in the

19、purpose and need statement.” 1 23 USC 168: This statute provides additional legal authority to adopt planning-level decisions for use in the NEP A process; it is distinct from the process described in Appendix A to 23 CFR Part 450. 2Like Appendix A, this statute authorizes adoption of decisions rega

20、rding “whether tollin g, private financial assistance, or other special financial measures are necessary to implement the project.” 3123 CFR Part 450, Appendix A, Part II, Paragraph 8. 2 See 23 CFR 450.212(d) and 450.318(e) (implementing 23 USC 168). 3 23 USC 168(c)(1)(A). 2016 by the Center for Env

21、ironmental Excellence by AASHTO. All rights reserved. Duplication is a violation of applicable law.2 Managing the NEPA Process for Toll Lanes and Toll Roads Consideration of Non-Tolled Alternatives. In guidance on NEP A compliance for toll roads, FHW A has identified three circum - stances in which

22、a NEP A study can focus solely on tolled alternatives: when tollin g is assumed in the transportation planning process as the basis for meeting fiscal constraint; when tollin g is an element of the purpose and need; and when non-tolled alternatives are eliminated from consideration during the altern

23、atives screening process. 4In a 2015 guidance document, FHW A reiterated that “the specific goals and objectives of a project, such as urgency , conges - tion relief, or financial infeasibility of non-tolled alternatives, could narrow the range of reasonable alternatives to only tolled alternatives.

24、” 5The guidance also cautions, however , that even if there is a valid justification for eliminating non-tolled alterna - tives, it may be advisable to continue examining non-tolled alternatives if there is public opposition to tolls. Authority to Implement Tolling on Federal-Aid Highways. Federal l

25、aw allows tollin g on the Interstate System and other Federal-aid highways under specific circumstances. In a NEP A context, these restrictions are relevant because they may influ - ence the way a project is defined and the types of alternatives that can be considered. Currently , there are four mai

26、n sources of authority to allow tolled facilities on new or existing Federal-aid highways: 23 USC 129: Section 129 lists several types of toll projects that can be implemented on Federal-aid highways, including certain facilities on the Interstate System. It provides broad authorization for tollin g

27、 on existing and new non-Interstate System highways. It also allows tollin g for some types of projects on the Interstate System, including: adding new tolled lanes to an existing Interstate; converting a non-tolled bridge on an Interstate to a tolled bridge; and building new tolled Interstate highw

28、ays. 23 USC 166: Section 166 authorizes the conversion of existing high-occupancy vehicle (HOV) lanes to HOV/toll (HOT) lanes. This authority applies to highways on and off the Interstate System. Interstate Reconstruction and Rehabilitation Pilot Program: This program allows for tollin g existing hi

29、ghways on the Interstate System as part of a project involving reconstruction or rehabilitation of those highways. This program is limited to three facilities, which must be in different states. Value Pricing Pilot Program: This program allows for a wide range of tolled projects to be authorized on

30、new and existing highways, both on and off the Interstate System. The main requirement is that the project must involve some form of “value pricing” (also called congestion pricing). Participation is limited to 15 states, local governments, or other public authorities. Multiple projects can be autho

31、rized under a single agreement. All of these laws and programs contain specific conditions that must be met in order for tollin g to be authorized. For additional information on FHW A s tollin g and pricing programs, see the Reference Materials section of this Handbook. Fiscal Constraint. FHW A will

32、 not issue a NEP A decision document for a project in a metropolitan area unless that project is included in the fiscally constrained metropolitan transportation plan. 6Fiscal constraint, in essence, is a finding that projected revenues are sufficient to cover the projected costs of the projects in

33、the plan. FHW A s fiscal constraint guidance recognizes that toll revenues can be considered as one source of revenue to satisfy fiscal constraint requirements. 7The need to make a fiscal constraint determination may require projections to be made regarding anticipated toll revenues well before any

34、final decisions have been made regarding toll rates. Major Project Financial Plans. All federally funded highway projects with an estimated cost of $100 millio n or more are defined as “major projects” under 23 USC 106. For a major project, the sponsor is required to develop a financial plan that de

35、scribes the project, the proposed construction schedule, the estimated cost, and the revenue sources and financing strat - egies that will be used to pay for the project. 8For projects with costs over $500 millio n, the financial plans must be submitted to FHW A for approval. The financial plan typi

36、cally is developed during the later stages of the NEP A process and submitted for FHW A approval shortly after NEP A completion. 4D.J. Gribbin, Chief Counsel, FHW A, to D. Nicol, FHW A Division Admini strator , Colorado, “NEP A Analysis for T oll Roads” (Oct. 15, 2004). 5For additional information,

37、see FHW A, “PublicPrivate Partnership Ove rsight: How FHW A Reviews P3s” (Jan. 2015), p. 19. 6FHW A also requires at least one project phase to be included in the me tropolitan transportation improvement program (TIP), which must be consistent with the statewide transportation improvement program (S

38、TIP). 7FHW A, “Financial Planning and Fiscal Constraint for T ransportation Pla ns and Programs Questions last updated Oct. 29, 2015), Section 1 1. 8For additional information, see FHW A, “Major Project Financial Plan Gu idance” (Dec. 2014). 2016 by the Center for Environmental Excellence by AASHTO.

39、 All rights reserved. Duplication is a violation of applicable law.Managing the NEPA Process for Toll Lanes and Toll Roads 3 9See 23 CFR Part 636. For additional information, see FHW A, “PublicPrivate Partnership Oversight: How FHW A Reviews P3s” (Jan. 2015). 10 23 CFR 636.109(b). 11FHW A Order 6640

40、.23A (June 14, 2012), Sec. 8(e). 12FHW A Order 6640.23A (June 14, 2012), Sec. 8(f). 13FHW A Order 6640.23A (June 14, 2012), Sec. 8(g). 14FHW A, “Guidance on Environmental Justice and NEP A” (Dec. 16, 201 1). 1542 USC 2000d. Procurement of PPPs during the NEPA Process. The procurement process for a P

41、PP may be initiated, or even completed, in parallel with the NEP A process. 9FHW A s regulations include safeguards to ensure that early initiation of the PPP procure - ment does not affect the objectivity of the NEP A process. For example, the private partner is prohibited from preparing the NEP A

42、document or having any decision-making responsibility in the NEP A process. In addition, any PPP contract must ensure that no commitments are made to any alternative prior to completion of the NEPA process. 10Environmental Justice (EJ) and Tolling. Under an Executive Order on environmental justice (

43、E.O. 12898), all Federal agencies are required to take action to identify and address any “disproportionately high and adverse effects” of their actions on minority and low-income populations. FHW A has implemented this mandate through its Order 6640.23A. This order directs FHW A managers and staff

44、to “take into account mitigation and enhancement measures and potential offsetting benefits to the affected minority and/or low-income populations” when determining if effects are disproportionately high and adverse. 11In ad- dition, the order states the conditions under which FHW A may approve a pr

45、oject that would cause disproportionately high and adverse effects on a low-income and/or minority population: If the project will have disproportionately high and adverse effects on low-income populations (regardless of minority status), FHW A must ensure that the project includes all “practicable”

46、 measures to avoid or reduce the disproportionately high and adverse effects. The order states that “in determining whether a mitigation measure or an alternative is practicable, the social, economic (including costs), and environmental effects of avoiding or mitigating the adverse effects will be t

47、aken into account.” 12 If the project will have disproportionately high and adverse effects on minority populations, FHW A must ensure that (1) there is a substantial need for the project, based on the overall public interest; and (2) alternatives that would have less adverse effects on protected po

48、pulations have either “severe” environmental or socio-economic impacts or would involve “increased costs of an extraordinary magnitude.” 13FHW A also has issued guidance on how to addresss EJ issues in the NEP A process. 14In addition, FHW A has published sever - al reports with advice on methodolog

49、ies for EJ analyses and examples of EJ analyses for toll projects. (See the FHW A publica - tions listed in the Reference Materials section of this Handbook.) Title VI. T itle VI of the Civil Rights Act is a Federal law that prohibits a recipient of Federal funds, including state DOT s and public transit agencies, from engaging in discrimination against any person on grounds of race, color, or national origin. 15Any member of a protected class under T itle VI may file a complaint with the U.S. Department o