Navigating Multi-Agency NEPA Processes to Advance Multimodal Transportation Projects (2016)

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1 S u m m a r y Navigating Multi-Agency NEPA Processes to Advance Multimodal Transportation Projects This research study was commissioned to help state departments of transportation (DOT) and their local partners structure and implement an efficient and effective approach to meeting National Environmental Policy Act (NEPA) requirements for multimodal trans- portation projects that require some form of approval by more than one U.S. DOT agency. Specific objectives of the research were to: 1. Characterize the challenges inherent in satisfying the NEPA requirements of multiple U.S. DOT agencies; 2. Identify strategies and tactics that state and local transportation agencies have used to overcome these challenges; and 3. Suggest new and innovative strategies that can be applied by state and local transportation agencies in future multimodal NEPA processes. Research Methodology The research utilized a case study methodology and was conducted in three phases. In the first phase, the research team identified and described five challenges that project sponsors encounter when addressing NEPA for multimodal projects that engage more than one U.S. DOT agency. This phase involved a literature review, interviews with select U.S. DOT staff, and input from an industry focus group. Approximately 50 candidate case studies were screened to identify the final set of 12 case studies that met the following criteria: geographic diversity, achievement of at least one major NEPA milestone in the past 10 years, involvement of U.S. DOT agencies in various leadership configurations, utilization of a variety of NEPA approaches, and potential to present rich lessons learned in terms of the five key challenges. The case study selection screening resulted in 12 case studies: 1. Dulles Corridor Metrorail Project, Northern VA 2. Port of Miami Tunnel, Miami, FL 3. Eastern Corridor Project, Cincinnati, OH 4. National Gateway Clearance Project Phase I, Ohio, Pennsylvania, and Maryland 5. Chicago Region Environmental and Transportation Efficiency Program (CREATE), Chicago, IL 6. TRansportation EXpansion Project (T-REX), Denver, CO 7. I-70 East Corridor Project, Denver, CO 8. Mountain View Corridor Project, Salt Lake City, UT 9. XpressWest Project, California and Nevada 10. Columbia River Crossing Project, Portland, OR and Vancouver, WA

211. East Link Extension/I-90, Seattle, WA 12. Orange Line LRT Extension to DFW Airport, Dallas, TX In Phase 2 the research team examined the NEPA process for each case study by review- ing environmental documents and interviewing participants. In Phase 3 the research team synthesized the case study findings, seeking parallels among the cases, and prepared this final report. Challenges of Multimodal NEPA Processes The following potential challenges associated with implementing a multimodal NEPA process were initially identified by the research team: Challenge 1—Unique Agency-specific Program Requirements under the NEPA Umbrella. U.S. DOT agencies have built on the concept of a “NEPA umbrella” by hanging their own unique program requirements onto the NEPA framework, adding to the complexity of the NEPA process when multiple U.S. DOT agencies are involved. Challenge 2—Differing Agency Interpretations of NEPA Requirements. Each U.S. DOT modal administration maintains distinct NEPA procedures which reflect its respective interpretations of NEPA requirements. Project sponsors must understand each agency’s NEPA approach to navigate requirements and expectations. Creating a single process that meets the legal and procedural requirements of all parties can require significant effort, which is easily underestimated by project sponsors. Challenge 3—Anticipating Which Agencies Will Have a Major Federal Action. An impor- tant first step in the NEPA process is determining which federal agency will have a major action. While this can be straightforward on certain projects, a lack of clarity in project scope and funding for multimodal projects can make it difficult to know in advance which agency(ies) will have a major federal action and/or which agency should serve in a lead or cooperating role. Challenge 4—Efficient Coordination among Agencies. By their very nature, multimodal projects involving more than one U.S. DOT agency require more coordination than is needed for a project involving only one. When developing coordination mechanisms, sponsors need to recognize the differing objectives, interests, and priorities of the agencies involved. Challenge 5—Securing Funding for Multimodal NEPA Studies. Funding to complete multi- modal NEPA processes can be difficult to secure. In terms of federal funding, if a project spans boundaries of various programs, it may not be “owned” by any program. State and federal laws can limit the use of certain funds to particular modes. Research Findings The first four challenges were present to varying degrees in the 12 case studies. The research found many different ways to carry out NEPA for situations involving more than one mode or U.S. DOT agency. The case studies offer examples of agencies working out hybrid processes and trying new approaches tailored to their particular situation. Flexibility and openness to new approaches were often necessary to achieve satisfactory outcomes. The fifth challenge—securing funding to carry out a multimodal NEPA process—was not found to be an issue in any of the 12 cases studied. However, interviews with U.S. DOT staff early in the study as well as feedback from the study’s focus group and the NCHRP Project 25-43 panel indicated that securing funding should be regarded as a challenge. Where the funding that

3 a sponsor typically uses for NEPA and related project development is not available for other modes, funds may need to be assembled from a variety of sources. Transferrable Strategies and Tactics Twenty-three strategies for addressing the challenges to multimodal NEPA processes emerged from the case studies. The strategies are presented in Table 10 in Chapter 5, Case Study Synthesis. Many of these strategies and tactics address the challenge of coordinating between and among U.S. DOT agencies and state and local agencies. Strategies include com- mittees, task forces, and working groups; joint project offices; memoranda of agreement; frequent in-person meetings; and technical documents to address and record solutions to issues. Crosscutting Themes and Keys to Success The synthesis of strategies, tactics, and lessons learned identified a number of recurring themes, including: • Maintain early and continuous coordination across all agencies—federal, state, and local— with a potential stake in the project. • Leverage agency relationships and high-level interests. • Be flexible and seek opportunities for compromise. • Engage all necessary staff throughout the process. • Ensure that all agencies (both local and federal) have similar levels of interest and commitment. • Allocate adequate time and resources. • Become familiar with agency and private partner processes and reconcile differences early. • Understand each agency’s constraints and expectations, and recognize they may differ. The case studies demonstrated that there is no single best way to approach the NEPA pro- cess for multimodal situations. Success may depend more on the willingness and motivation of the agencies to work together, to find common ground, and to work around differing pro- cesses, and less upon a specific organizational structure. An effective interagency approach depends on how well the project sponsor and other agencies are able to work together and bridge their procedural differences. Stumbling Blocks to Avoid The case studies also revealed stumbling blocks to be aware of when undertaking a multi- agency NEPA process. These include different levels of commitment to a project, insufficient time or resources, limited interest on the part of project sponsors to coordinate or learn other agency requirements, failure to communicate the benefits of full agency engagement, resistance on the part of state and local sponsors to alter their customary NEPA processes, and reluctance of federal agencies to engage in projects before their major action is identified. Practitioner’s Tool and Implementation Plan The products of this research are intended to help practitioners understand the challenges of multimodal NEPA processes and consider how they might benefit by applying some of the best practices, innovative strategies, and lessons learned identified in this research. To

4help practitioners anticipate and work through these challenges in a collaborative manner, the research team produced a practitioner’s self-assessment tool, found in Appendix O. The tool is based on insights gained from the case study results and synthesis, as well as the input of practitioners on this research effort’s focus group. The final report also suggests several methods for communicating the study findings, along with a PowerPoint presentation that could be used as a starting point for future presentations.