National Environmental Policy Act: Agency Procedures for Categorical Exclusions

DEPARTMENT OF TRANSPORTATION

Coast Guard

[CGD 93-090]

National Environmental Policy Act: Agency Procedures for

Categorical Exclusions

AGENCY: Coast Guard, DOT.

ACTION: Notice of proposed revision of agency procedures and policy.

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SUMMARY: The Coast Guard proposes to revise its procedures and policies

concerning agency actions which do not individually or cumulatively

have a significant effect on the human environment. Under the National

Environmental Policy Act, these actions are categorically excluded from

the requirement that the proposed action undergo the additional

analysis that accompanies preparation of an Environmental Assessment or

an Environmental Impact Statement. This revision is necessary to

eliminate overly expansive and inconsistent interpretations of existing

policies and procedures.

DATES: Comments must be received on or before March 7, 1994.

ADDRESSES: Comments may be mailed to the Executive Secretary, Marine

Safety Council (G-LRA/3406) (CGD 93-090), U.S. Coast Guard

Headquarters, 2100 Second Street SW., Washington, DC 20593-0001, or may

be delivered to room 3406 at the same address between 8 a.m. and 3

p.m., Monday through Friday, except Federal holidays. The telephone

number is (202) 267-6233.

FOR FURTHER INFORMATION CONTACT:

Ms. Bonnie Gallahan, Environmental Compliance and Restoration Branch

(G-ECV-1B), (202) 267-6034.

SUPPLEMENTARY INFORMATION:

Request for Comments

The Coast Guard encourages interested persons to participate by

submitting written data, views, or arguments. Persons submitting

comments should include their names and addresses, identify this docket

(CGD 93-090) and the specific paragraph of this proposal to which each

comment applies, and give the reason for each comment. The Coast Guard

requests that all comments and attachments be submitted in an unbound

format suitable for copying and electronic filing. If not practical, a

second copy of the bound material is requested. Persons wanting

acknowledgment of receipt of comments should enclose a stamped, self-

addressed postcard or envelope.

The Coast Guard will consider all comments received during the

comment period. It may change this proposal in view of the comments.

Background and Purpose

Under regulations implementing the National Environmental Policy

Act (NEPA) (40 CFR parts 1500 through 1508), each Federal agency is

required to adopt procedures to supplement those regulations (40 CFR

1507.3). The Coast Guard's procedures and policies are published as a

Commandant instruction entitled ``National Environmental Policy Act

Implementing Procedures and Policy for Considering Environmental

Impacts'' (COMDTINST M16475.1B). In this notice, the Coast Guard is

publishing a proposed revision of section 2.B.2. of the instruction

concerning those categories of actions which may be taken by the Coast

Guard without the analysis and documentation required for an

Environmental Assessment (EA) or an Environmental Impact Statement

(EIS). This proposal is being published for public comment under 40 CFR

1507.3, after consultation with the Council on Environmental Quality

(CEQ).

Discussion of Proposed Revision

This proposal would completely revise the instructions on

categorical exclusions to align them with those of other Federal

agencies. It would identify more precisely the categories subject to

exclusion to avoid inconsistent interpretations (paragraph 2.B.2.e). It

would also provide more complete criteria for screening an action which

falls under an excluded category, but which might otherwise warrant

additional environmental review (paragraph 2.B.2.b). In addition, the

proposal would add a procedure for identifying new categories for

potential exclusion (paragraph 2.B.2.a).

For the reasons set out in the preamble, the Coast Guard proposes

to amend section 2.B.2. of COMDTINST M16475.1B as follows:

2.B. Environmental Documentation.

* * * * *

2. Categorical Exclusions (CE).

a. Introduction

As defined by the Council on Environmental Quality, a categorical

exclusion or CE means a category of actions which do not individually

or cumulatively have a significant effect on the human environment and

for which, therefore, neither an Environmental Assessment (EA) nor an

Environmental Impact Statement (EIS) is required. The use of a CE is

intended to reduce paperwork and delay by eliminating the unnecessary

preparation of EAs and EISs. The CEs listed below are subject to review

and any suggested modifications should be provided to COMDT (G-ECV).

Additional CEs should be suggested when it becomes clear, through the

preparation of EAs, that Findings of No Significant Impact (FONSI)

result after numerous analyses of similar actions.

b. Limitations on Using Categorical Exclusions

Some actions that normally would be categorically excluded could

require additional environmental review and, for this reason,

responsible personnel should be alert for extraordinary circumstances

which may dictate the need to prepare an EA or EIS. A CE may not be

used if the proposed action is likely to involve any of the four

circumstances set forth in section 20.b.(2) of DOT Order 5610.1C, Chg 2

(Enclosure 1).

A determination of whether an action that is normally excluded

requires additional review must focus on the action's significance. The

proposed action must be evaluated in its context (whether local, state,

regional, national or international) and in its intensity by

considering whether the action is likely to involve one or more of the

following:

(1) Adverse effects on public health or safety.

(2) A site that includes unique characteristics of the geographic

area such as proximity to historic or cultural resources, park lands,

prime farmlands, wetlands, wild and scenic rivers, ecologically

critical areas, or property requiring special consideration under 49

U.S.C. 303(c) (section 4(f) of the Department of Transportation (DOT)

Act).

(3) Effects on the quality of the human environment that are likely

to be highly controversial, in terms of scientific validity or public

opinion.

(4) Effects on the human environment that are highly uncertain or

involve unique or unknown risks.

(5) A precedent for future actions with significant effects or a

decision in principle about a future consideration.

(6) Individually insignificant but cumulatively significant impacts

when considered along with other past, present and reasonably

foreseeable future actions.

(7) Adverse effects on districts, sites, highways, structures, or

objects listed in or eligible for listing in the National Register of

Historic Places or may cause loss or destruction of significant

scientific, cultural, or historical resources.

(8) Adverse effects on species or habitats protected by the

Endangered Species Act.

(9) A potential or threatened violation of a Federal, State, or

local law or requirement imposed for the protection of the environment.

(10) Impacts that may be both beneficial and adverse. A significant

effect may exist even if it is believed that on balance the effect will

be beneficial.

c. Documentation

The Environmental Analysis Checklist (Enclosure 10) will also be

prepared and used to make and substantiate the determination that a CE

is appropriate, unless the CE indicates that a checklist is not

required.

A written Categorical Exclusion Determination (Enclosure 6) must be

prepared in those situations where additional information not readily

available from the checklist is being provided to the decisionmaker and

when CEs are being relied upon to promulgate regulations.

d. Compliance With Other Laws

Even though an EA or EIS may not be indicated for a Federal action

because of a categorical exclusion, that fact does not exempt the

action from compliance with any other Federal law. For example,

compliance with the Endangered Species Act, the Fish and Wildlife

Coordination Act, the National Historic Preservation Act, the Clean

Water Act, the Clean Air Act (conformity requirements), etc., is always

mandatory, even for actions that do not require an EA or EIS.

e. Categorical Exclusion List

The following are actions that, unless consideration of the factors

listed above trigger the need to conduct further analysis, are

categorically excluded from further analysis and documentation

requirements under NEPA:

(1) Routine personnel, fiscal, and administrative activities and

actions, procedures and policies which clearly do not have any

environmental impacts, such as military and civilian personnel

recruiting, processing, paying, recordkeeping, and training. (Checklist

not required.)

(2) Routine procurement activities for goods and services,

including office supplies, equipment, mobile assets, and utility

services for routine administration, operation, and maintenance.

(Checklist not required.)

(3) Maintenance dredging and debris disposal where no new depths

are required, applicable permits are secured, and disposal will be at

an existing approved disposal site.

(4) Routine repair, renovation, and maintenance actions on aircraft

and vessels. (Checklist not required.)

(5) Routine repair and maintenance of buildings, roads, airfields,

grounds, equipment, and other facilities which do not result in a

change in functional use, a historically significant element, or

historically significant setting. (Checklist not required.)

(6) Minor renovations and additions to buildings, roads, airfields,

grounds, equipment, and other facilities which do not result in a

change in functional use, a historically significant element, or

historically significant setting.

(7) Routine repair and maintenance to waterfront facilities

including mooring piles, fixed floating piers, existing piers, and

unburied power cables. (Checklist not required.)

(8) Minor renovations and additions to waterfront facilities

including mooring piles, fixed floating piers, existing piers, and

unburied power cables which do not require special, site specific

regulatory permits.

(9) Routine grounds maintenance and activities at units and

facilities. Examples include localized pest management actions,

maintenance of improved grounds such as landscaping, lawn care and

minor erosion control measures that are conducted in accordance with

applicable federal, state and local directives. (Checklist not

required.)

(10) Installation of devices to protect human or animal life, such

as raptor electrocution prevention devices, fencing to restrict

wildlife movement onto airfields, and fencing and grating to prevent

accidental entry to hazardous areas.

(11) New construction on heavily developed portions of Coast Guard

property, when construction, use and operation will comply with

regulatory requirements and constraints.

(12) Decisions to decommission equipment, and/or temporarily

discontinue use of facilities or equipment. This does not preclude the

need to review decommissioning under section 106 of the National

Historic Preservation Act.

(13) Demolition or disposal actions that involve buildings or

structures neither on nor eligible for listing on the National Register

of Historic Places when conducted in accordance with those regulations

applying to removal of asbestos, PCB's, and other hazardous materials,

or disposal actions mandated by Congress.

(14) Outleasing of historic lighthouse properties as outlined in

the Programmatic Memorandum of Agreement between the Coast Guard,

Advisory Council on Historic Preservation, and the National Conference

of State Historic Preservation Officers.

(15) Transfer of real property from the Coast Guard to the General

Services Administration, Department of the Interior, and other Federal

departments and agencies, or as mandated by Congress; and the granting

of leases, permits and easements where there is no substantial change

in use of the property.

(16) Renewals and minor amendments of existing real estate licenses

or grants for use of government-owned real property where prior

environmental review has determined that no significant environmental

effects would occur. (Checklist not required.)

(17) New grants or renewal of existing grants of license, easement,

or similar arrangements for the use of existing rights-of-way or

incidental easements complementing the use of existing rights-of-way

for use by vehicles; for such existing rights-of-way as electrical,

telephone, and other transmission and communication lines; water,

wastewater, stormwater, and irrigation pipelines, pumping stations, and

facilities; and for similar utility and transportation uses.

(18) Defense preparedness training and exercises conducted on other

than USCG property, where the lead agency or department is not USCG or

DOT and the lead agency or department has responsibility for NEPA

compliance. (Checklist not required).

(19) Defense preparedness training and exercises conducted on USCG

property that do not involve undeveloped property or increased noise

levels over adjacent property and that involve a limited number of

personnel, such as exercises involving primarily electronic simulation

or command post personnel.

(20) Simulated exercises, including tactical and logistical

exercises that involve small numbers of personnel. (Checklist not

required.)

(21) Training of an administrative or classroom nature. (Checklist

not required.)

(22) Operations to carry out maritime safety, maritime law

enforcement, search and rescue, domestic ice breaking, and oil or

hazardous substance removal programs that have been the subject of a

programmatic NEPA analysis and documentation. (Checklist not required.)

(23) Actions performed as a part of Coast Guard operations to carry

out statutory authority in the area of establishment of floating and

minor fixed aids to navigation, except electronic sound signals.

(Checklist not required.)

(24) Routine movement of personnel and equipment, and the routine

movement, handling and distribution of nonhazardous and hazardous

materials and wastes in accordance with applicable regulations.

(Checklist not required.)

(25) USCG participation in disaster relief efforts under the

guidance or leadership of another Federal agency that has taken

responsibility for NEPA compliance. (Checklist not required.)

(26) Studies, data and information gathering that involve no

physical change to the environment. Examples include topographic

surveys, bird counts, wetland mapping and other inventories. (Checklist

not required.)

(27) Natural and cultural resource management and research

activities that are in accordance with interagency agreements and which

are designed to improve and/or upgrade Coast Guard ability to manage

those resources. (Checklist not required.)

(28) Contracts for activities conducted at established laboratories

and facilities, to include contractor-operated laboratories and

facilities, on Coast Guard owned property where all airborne emissions,

waterborne effluents, external radiation levels, outdoor noise, and

solid and bulk waste disposal practices are in compliance with existing

applicable federal, state, and local laws and regulations,

(29) Approval of recreational activities (such as a Coast Guard

unit picnic) which do not involve significant physical alteration of

the environment, increases in human disturbance in sensitive natural

habitats, disturbance of historic properties and which do not occur in,

or adjacent to, areas inhabited by threatened or endangered species.

(30) Review of documents such as studies, reports, analyses, and

the like, prepared for legislative proposals not originating in DOT and

relating to matters which are not the primary responsibility of the

Coast Guard. (Checklist not required.)

(31) Planning and technical studies which do not contain

recommendations for authorization or funding for future construction,

but may recommend further study. This includes engineering efforts or

environmental studies undertaken to define the elements of a proposal

or alternatives sufficiently so that the environmental effects may be

assessed and does not exclude consideration of environmental matters in

the studies. (Checklist not required.)

(32) Bridge Administration Program actions which can accurately be

described as one of the following:

(a) Modification or replacement of an existing bridge on

essentially the same alignment or location. Excluded are bridges with

historic significance or bridges providing access to undeveloped

barrier islands and beaches.

(b) Construction of pipeline bridges for transporting potable

water.

(c) Construction of pedestrian, bicycle, and/or equestrian bridges

and stream gauging cableways used to transport people.

(d) Temporary replacement of a bridge which commences immediately

after a natural disaster or a catastrophic failure occurs, and such

bridge project is related to public safety, health and welfare.

(e) Promulgation of operating regulations or procedures for

drawbridges.

(f) Identification of advance approval waterways under 33 CFR

115.70.

(g) Any Bridge Program action which is classified as a Categorical

Exclusion by another Department of Transportation agency acting as lead

agency for such an action.

(33) Preparation of guidance documents that implement, without

substantive change, the applicable Commandant Instruction or other

federal agency regulations, procedures, manuals, and other guidance

documents. (Checklist not required.)

(34) Promulgation of the following regulations (Note, when relying

upon a CE in promulgating regulations, a Categorical Exclusion

Determination (Enclosure 6) must be completed and filed in the

rulemaking docket before publication of the NPRM or of the Final Rule

without NPRM):

(a) Regulations of an editorial or procedural nature. Examples

include, but are not limited to, regulations addressing consolidation

or reorganization of regulations from various parts of the CFR,

delegations of authority, matters of internal agency organization or

personnel administration, and changes to record keeping requirements.

(Checklist not required.)

(b) Regulations disestablishing, or changing the size of existing

Special Anchorage Areas or anchorage grounds.

(c) Regulations establishing or disestablishing security or safety

zones.

(d) Special local regulations issued as a condition of a granted

regatta permit that was issued after appropriate environmental

analysis. (Checklist not required.)

(e) Regulations in aid of navigation, such as those concerning

rules of the road, bridge to bridge communications, and marking of

navigation systems.

(35) Routine approvals of regatta and marine parade permits for

marine events which are accurately described as follows:

(a) Fishing tournaments involving up to approximately fifty

powerboats (approximately 26 feet in length with engines of

approximately 50 HP) and not more than approximately 200 spectator

craft.

(b) Sailing competitions or demonstrations involving up to

approximately fifty sailboats (approximately 26 to 50 feet in length

which may have auxiliary propulsion of approximately 50 HP) and not

more than approximately 200 spectator craft.

(c) Sailing competitions or demonstrations involving up to

approximately 100 sailboats or sailboards (approximately 26 feet in

length) and not more than approximately 200 spectator craft.

(d) Paddling, rowing or floating competitions or demonstrations

involving up to approximately 200 canoes, kayaks, rowboats, rowing

sculls or rafts (approximately 26 feet in length) and not more than

approximately 200 spectator craft.

(e) Rowing competitions or demonstrations involving up to

approximately 200 racing shells (approximately 60 feet in length) and

not more than approximately 200 spectator craft.

(f) Parades involving up to approximately 100 sailboats,

powerboats, unpowered watercraft, or a combination thereof (of up to

approximately 50 feet in length with up to approximately 50 HP primary

or auxiliary propulsion), operating at no or low wake speed and not

more than approximately 200 spectator craft.

(g) Swimming competitions involving up to approximately 800

swimmers and not more than approximately 200 spectator craft.

(h) Fireworks displays over water not lasting over approximately 30

minutes and involving not more than approximately 200 spectator craft.

Dated: January 12, 1994.

P.A. Bunch,

Rear Admiral, U.S. Coast Guard, Chief, Office of Engineering, Logistics

and Development.

[FR Doc. 94-1375 Filed 1-19-94; 8:45 am]

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