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S2-C06-RW-4 Manager’s Guide to the Integrated Ecological Framework

TRANSPORTATION RESEARCH BOARD 2014 EXECUTIVE COMMITTEE* OFFICERS Chair: Kirk T. Steudle, Director, Michigan Department of Transportation, Lansing Vice Chair: Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies, University of California, Davis Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS Victoria A. Arroyo, Executive Director, Georgetown Climate Center, and Visiting Professor, Georgetown University Law Center, Washington, D.C. Scott E. Bennett, Director, Arkansas State Highway and Transportation Department, Little Rock Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, Virginia (Past Chair, 2013) James M. Crites, Executive Vice President of Operations, Dallas–Fort Worth International Airport, Texas Malcolm Dougherty, Director, California Department of Transportation, Sacramento A. Stewart Fotheringham, Professor and Director, Centre for Geoinformatics, School of Geography and Geosciences, University of St. Andrews, Fife, United Kingdom John S. Halikowski, Director, Arizona Department of Transportation, Phoenix Michael W. Hancock, Secretary, Kentucky Transportation Cabinet, Frankfort Susan Hanson, Distinguished University Professor Emerita, School of Geography, Clark University, Worcester, Massachusetts Steve Heminger, Executive Director, Metropolitan Transportation Commission, Oakland, California Chris T. Hendrickson, Duquesne Light Professor of Engineering, Carnegie Mellon University, Pittsburgh, Pennsylvania Jeffrey D. Holt, Managing Director, Bank of Montreal Capital Markets, and Chairman, Utah Transportation Commission, Huntsville, Utah Gary P. LaGrange, President and CEO, Port of New Orleans, Louisiana Michael P. Lewis, Director, Rhode Island Department of Transportation, Providence Joan McDonald, Commissioner, New York State Department of Transportation, Albany Abbas Mohaddes, President and CEO, Iteris, Inc., Santa Ana, California Donald A. Osterberg, Senior Vice President, Safety and Security, Schneider National, Inc., Green Bay, Wisconsin Steven W. Palmer, Vice President of Transportation, Lowe’s Companies, Inc., Mooresville, North Carolina Sandra Rosenbloom, Professor, University of Texas, Austin (Past Chair, 2012) Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, Missouri Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, Indiana Gary C. Thomas, President and Executive Director, Dallas Area Rapid Transit, Dallas, Texas Paul Trombino III, Director, Iowa Department of Transportation, Ames Phillip A. Washington, General Manager, Regional Transportation District, Denver, Colorado EX OFFICIO MEMBERS Thomas P. Bostick, (Lt. General, U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, D.C. Alison J. Conway, Assistant Professor, Department of Civil Engineering, City College of New York, New York, and Chair, TRB Young Members Council Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S. Department of Transportation David J. Friedman, Acting Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, D.C. John T. Gray II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, D.C. Michael P. Huerta, Administrator, Federal Aviation Administration, U.S. Department of Transportation Paul N. Jaenichen, Sr., Acting Administrator, Maritime Administration, U.S. Department of Transportation Therese W. McMillan, Acting Administrator, Federal Transit Administration Michael P. Melaniphy, President and CEO, American Public Transportation Association, Washington, D.C. Victor M. Mendez, Administrator, Federal Highway Administration, and Deputy Secretary, U.S. Department of Transportation Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation Peter M. Rogoff, Under Secretary for Policy, U.S. Department of Transportation Craig A. Rutland, U.S. Air Force Pavement Engineer, Air Force Civil Engineer Center, Tyndall Air Force Base, Florida Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S. Department of Transportation Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, California Gregory D. Winfree, Assistant Secretary for Research and Technology, Office of the Secretary, U.S. Department of Transportation Frederick G. (Bud) Wright, Executive Director, American Association of State Highway and Transportation Officials, Washington, D.C. Paul F. Zukunft, (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security * Membership as of July 2014.

THE SECOND STRATEGIC HIGHWAY RESEARCH PROGRAM Manager’s Guide to the Integrated Ecological Framework Patrick Crist and Shara Howie NatureServe Marie Venner Venner Consulting Jimmy Kagan and Lisa Gaines Oregon State University, Institute for Natural Resources TRANSPORTATION RESEARCH BOARD Washington, D.C. 2014 www.TRB.org SHRP 2 Report S2-C06-RW-4

SUBJECT AREAS Environment Highways Planning and Forecasting

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 opportunity to improve the safety and reliability of this important national resource. Breakthrough resolution of significant transportation 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 mul- tiple 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 high- way research industry for half a century. The need for SHRP 2 was identified in TRB Special Report 260: Strategic Highway Research: Saving Lives, Reducing Congestion, Improving Quality of Life, pub- lished 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 High- way Research Program, is a focused, time-constrained, management-driven program designed to complement 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; Reli- ability, to reduce congestion through incident reduction, management, response, and mitigation; and Capacity, to integrate mobility, economic, environmental, and commu- nity needs in the planning and designing of new transporta- tion 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 pro- gram is managed by the Transportation Research Board (TRB) on behalf of the National Research Council (NRC). SHRP 2 is conducted under a memorandum of understand- ing among the American Association of State Highway and Transportation Officials (AASHTO), the Federal Highway Administration (FHWA), and the National Academy of Sci- ences, 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. SHRP 2 Report S2-C06-RW-4 ISBN: 978-0-309-27376-3 © 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 pub- lishers or persons who own the copyright to any previously published or copyrighted material used herein. The second Strategic Highway Research Program grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission 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 educa- tional and not-for-profit purposes will give appropriate ac- knowledgment 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 num- bers 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 moni- tor 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 commit- tee and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the Governing Board of the Na- tional Research Council. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the re- search and are not necessarily those of the Transportation Research Board, the National Research Council, or the pro- gram sponsors. The Transportation Research Board of the National Acad- emies, the National Research Council, and the sponsors of the second Strategic Highway Research Program do not en- dorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered es- sential to the object of the report. 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

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars 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 the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal 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 advis- ing 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. 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 ser- vices 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 Sci- ences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau 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 Sci- ences 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. 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, interdis- ciplinary, 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 transpor- tation departments, federal agencies, including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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 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 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 Rachel Taylor, Senior Editorial Assistant Dean Trackman, Managing Editor Connie Woldu, Administrative Coordinator

This work was sponsored by the Federal Highway Administration in cooperation with the American Association of State Highway and Transportation Offi cials. It was con- ducted in the second Strategic Highway Research Program (SHRP 2), which is admin- istered by the Transportation Research Board of the National Academies. The project was managed by Steve Andrle, Deputy Director of SHRP 2. We acknowledge key individuals who contributed to the Integrated Ecological Framework (IEF) through research, oversight, advice, and testing: Shari Schaftlein, Federal Highway Administration; Shannon Cox and Tom Denbow, URS Corporation; Marcy Schwartz, CH2M Hill (Portland, Oregon); Paul Manson and Kevin Halsey, Parametrix; John Paskus, Michigan State University; Jason Bullock, Virginia Depart- ment of Conservation and Recreation; Sally Duncan and Sue Lurie, Oregon State Uni- versity, Institute for Natural Resources; David Anderson, Colorado State University; Fraser Shilling, University of California, Davis; Walter Veselka, University of West Virginia; and Jeannine Rossa, Rogue Valley Council of Governments (Oregon). ACKNOWLEDGMENTS

FOREWORD The Manager’s Guide to the Integrated Ecological Framework is intended 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. Ecological principles consider cumulative landscape, water resources, and habitat impacts of planned infrastructure actions, as well as the localized impacts. This guide provides a high-level overview of how to use 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 environ- mental planning as a companion to long-range transportation planning so that there is a basis and methodology for prioritization. This guide provides a structured, col- laborative way to approach these issues. It does not address environmental mitigation and permitting actions required by current law or regulation. The research from SHRP 2’s Capacity C06 project, Integration of Conservation, Highway Planning, and Environmental Permitting Using an Outcome-Based Eco system Approach, produced a two-volume report and two companion guides. Volume 1 of An Ecological Approach to Integrating Conservation and Highway Planning describes the role of federal and state agencies and other stakeholders in the early environ- mental scanning of additions to highway capacity and provides a framework for early involvement in the highway planning process. Early involvement, collaboration, and an ecological approach can lead to better transportation projects and more effective environmental protection. Volume 2 of An Ecological Approach to Integrating Con- servation and Highway Planning introduces the Integrated Ecological Framework, provides technical background on cumulative effects assessment, ecological accounting Stephen J. Andrle SHRP 2 Deputy Director

strategies, ecosystem 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 information to help practitioners use the IEF. This Manager’s Guide, a con- densed version of the practitioner’s guide, presents the basics of the major steps, with some revisions based on four pilot tests of the IEF conducted by SHRP 2. 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, Transportation for Communities: Advancing Projects through Partnerships, or TCAPP (www. transportationforcommunities.com).

CONTENTS xi ACRONYMS AND ABBREVIATIONS 1 CHAPTER 1 Introduction 1 Background 2 What Is the Integrated Ecological Framework? 3 What Is this Guide? 3 Who Should Use the Guide? 4 Beyond the Guide 5 CHAPTER 2 The Integrated Ecological Framework at a Glance 5 Benefi ts of the IEF 6 Major IEF Products 6 Frequently Asked Questions 8 Launching the IEF Process 11 CHAPTER 3 Overview of the IEF Process 11 Broadening the Types and Use of Data 12 Leveraging Existing Resources 12 Steps of the IEF 25 On-Ramps: Applying the IEF to Current Transportation Activities

27 CHAPTER 4 Practical Considerations 27 Ecosystem-Based Mitigation Approaches 27 Ecosystem Services 28 Savings in Administrative and Transaction Time 28 Leveraging Resources and Reducing Litigation 29 Other Considerations 29 Time Frame 29 Cost 30 Key Information Inputs 31 CHAPTER 5 Updates to the IEF 31 Summary of Substantive IEF Updates 35 GLOSSARY 49 REFERENCES 51 APPENDIX A Detailed Updates to the IEF

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TRB’s second Strategic Highway Research Program (SHRP 2) S2-C06-RW-4: Manager’s Guide to the Integrated Ecological Framework is designed to provide a basic understanding of the Integrated Ecological Framework (IEF), a nine-step process for integrating ecological and transportation planning. It presents information about the relevant stakeholders and types of expertise needed to help ensure positive transportation infrastructure and conservation outcomes.

The guide also includes updates to earlier documents developed for the C06 project. The guide is available in electronic format only.

The guide is part four of a four-volume set. Other volumes in the set include:

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.

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 will be re-launched at a future date as “PlanWorks” by the Federal Highway Administration.

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