FRA F 217 Categorical Exclusion Worksheet

Expiration Date: 07/31/2015

OMB No. 2130-0548

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searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. According
to the Paperwork Reduction Act of 1995, a federal agency may not conduct or sponsor, and a person is not required to respond to a collection of
information unless it displays a currently valid OMB control number. The valid OMB control number for this information collection is 2130-0548.
All responses to this collection of information are mandatory. Send comments regarding this burden estimate or any other aspect of this collection,
including suggestions for reducing this burden to: Information Collection Officer, Federal Railroad Administration, 1200 New Jersey Ave., N.W.,
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Federal Railroad Administration (FRA)
CATEGORICAL EXCLUSION WORKSHEET
Note: The purpose of this worksheet is to assist proposal sponsors in gathering and organizing materials for
environmental analysis required under the National Environmental Policy Act (NEPA), particularly for
proposals, which may qualify as Categorical Exclusions and to assist the FRA in evaluating requests from
project sponsors for categorical exclusion determinations. Categorical Exclusions are categories of actions
(i.e. types of projects) that the FRA has determined, based on its experience, typically do not individually or
cumulatively have a significant effect on the human environment and which generally do
not require the preparation of either an environmental impact statement or an environmental assessment.
Submission of the worksheet by itself does not meet NEPA requirements. FRA must concur in writing with
the proposal sponsor’s Categorical Exclusion recommendation for NEPA requirements to be met. Please
complete this worksheet using compatible word processing software and submit and transmit the completed
form in electronic format.
For Agency Use

Date Received:

Reviewed By:
Date:
Comments:

Recommendation for action:
Accept
Return for Revisions

Concurrence by Counsel:
Accept Recommendation
Comments:

Return with Comments

Reviewed By:
Date:

Concurrence by Approving Official:

I.

Not Eligible

Date:

PROPOSAL DESCRIPTION

Proposal Sponsor

Date Submitted

FRA Identification Number (if any)

Proposal Title
Location (Include Street Address, City or Township, County, and State)
Contact Person

Phone

E-mail Address

Note: Fully describe the proposal including specifics that may be of environmental concern such as: widening
an embankment to stabilize roadbed; repairing or replacing bridge piers foundations, including adding rip-rap
in a waterway; earthwork and altering natural (existing) drainage patterns and creating new water discharge;
contaminated water needing treatment; building a new or adding on to a shop building; fueling or collection of
fuel or oil and contaminated water; building or extending a siding; and building or adding on to a yard.
Description of Proposal
Purpose and Need of Proposal

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II.

NEPA CLASS OF ACTION
Answer the following questions to determine the proposal's potential class of action.

A.

Will the proposal substantially impact the natural, social and / or human environment?
YES (Contact FRA)
NO (Continue)
Actions that will significantly impact the environment require preparation of an Environmental Impact
Statement. These proposals typically include construction or extension of rail lines or rail facilities
including passenger, high speed, or freight rail activities.

B.

Is the significance of the proposal's social, economic or environmental impacts
unknown?
YES (Contact FRA)
NO (Continue)

C.

Does Section 4(f) of the Department of Transportation Act apply? (i.e. proposal requires the
use of publicly owned land of a public park, recreation area, or wildlife and waterfowl refuge of
national, State, or local significance, or land of an historic site of national, State, or local
significance, as determined by the Federal, State, or local officials having jurisdiction over the
park, area, refuge, or site.)
YES (Contact FRA)
NO (Continue)

D.

Is the proposal likely to require detailed evaluation of more than a few potential impacts?
YES (Contact FRA)
NO (Continue)

E.

Is the proposal likely to generate intense public discussion or concern, even though it
may be limited to a relatively small subset of the community?
YES (Contact FRA)
NO (Continue)

F.

Is the proposal inconsistent with any Federal, State, or local law, regulation, ordinance, or
judicial or administrative determination relating to environmental protection?
YES (Contact FRA)
NO (Continue)

G.

Is the proposal an integral part of a program of current Federally supported actions which,
when considered separately, would not be classified as major actions, but when
considered together may result in substantial impacts?
YES (Contact FRA)
NO (Continue)
If the answer to any of the questions B through G is "YES", contact the FRA to determine
whether the proposal requires preparation of an Environmental Assessment.

H.

Is the proposal consistent with one of the following potential Categorical Exclusions?
FRA Procedures for Considering Environmental Impacts, 64 FR 28545 (May 26, 1999)
YES (Mark category and continue as indicated)
NO (Contact FRA)
Financial assistance or procurements solely for planning or design activities that do not commit the
FRA or its applicants to a particular course of action affecting the environment. (Stop and submit to
FRA)
State rail assistance grants for acquisition. (Continue to Part III)
Operating assistance to a railroad to continue existing service or to increase service to meet
demand, where the assistance will not result in a change in the effect on the environment. (Stop and
submit to FRA)

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Acquisition of existing railroad equipment, track and bridge structures, electrification,
communication, signaling or security facilities, stations, maintenance of way and maintenance of
equipment bases, and other existing railroad facilities or the right to use such facilities, for the
purpose of conducting operations of a nature and at a level of use similar to those presently or
previously existing on the subject properties. (Complete Part III, Sections H, I, U, & V and submit to
FRA)
■

Research, development and/or demonstration of advances in signal, communication and/or train
control systems on existing rail lines provided that such research, development and/or
demonstrations do not require the acquisition of substantial amounts of right-of-way, and do not
substantially alter the traffic density [or operational] characteristics of the existing rail line. (Continue
to Part III)

■

Temporary replacement of an essential rail facility if repairs are commenced immediately after the
occurrence of a natural disaster or catastrophic failure. (Continue to Part III)

■

Changes in plans for a proposal for which an environmental document has been prepared, where
the changes would not alter the environmental impacts of the action. (Continue to Part III
describing the full consequences of the changes only)
Maintenance of: existing railroad equipment; track and bridge structures; electrification,
communication, signaling, or security facilities; stations; maintenance-of-way and maintenance-ofequipment bases; and other existing railroad-related facilities. ("Maintenance" means work, normally
provided on a periodic basis, which does not change the existing character of the facility, and may
include work characterized by other terms under specific FRA programs) (Continue to Part III)
Financial assistance for the construction of minor loading and unloading facilities, provided that
proposals are consistent with local zoning, do not involve the acquisition of a significant amount of
land, and do not significantly alter the traffic density characteristics of existing rail or highway
facilities. (Continue to Part III)
Minor rail line additions including construction of side tracks, passing tracks, crossovers, short
connections between existing rail lines, and new tracks within existing rail yards, provided that such
additions are consistent with existing zoning, do not involve acquisition of a significant amount of
right of way, and do not substantially alter the traffic density characteristics of the existing rail lines
or rail facilities. (Continue to Part III)
Improvements to existing facilities to service, inspect, or maintain rail passenger equipment,
including expansion of existing buildings, the construction of new buildings and outdoor facilities,
and the reconfiguration of yard tracks. (Continue to Part III)
Environmental remediation through improvements to existing and former railroad track,
infrastructure, stations and facilities, for the purpose of preventing or correcting environmental
pollution of soil, air or water. (Continue to Part III)
Replacement, reconstruction, or rehabilitation of an existing railroad bridge, including replacement
with a culvert, that does not require the acquisition of a significant amount of right-of-way. (Continue
to Part III)

III.

PROPOSAL INFORMATION FOR CATEGORICAL EXCLUSIONS
Complete Part III unless indicated otherwise in Part II and submit to FRA.
For work to fixed facilities, maps displaying the following, as applicable, are required to be
attached for FRA review:
■ Proposal vicinity


■ Proposal Site Plan indicating the USGS Quadrangle and Section

■ Other Information as necessary to complete Part III

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A.

Describe how the proposal satisfies the purpose and need identified in Part I:

B.

Location & Land Use: For fixed facilities, attach a map or diagram, at an appropriate scale,
identifying the location of the proposal site and if applicable, the surrounding land uses and
zoning of the site and surrounding properties. If the proposal would require many pages of
maps or diagrams, include only a location map and contact FRA to determine if additional
information is required. A map or diagram that identifies locations of critical resource areas,
wetlands, potential historic sites, or sensitive noise receptors such as schools, hospitals, and
residences should be included if there is the potential for impacts to these resources.
Briefly describe the existing land use of the proposal site and surrounding properties and
resources.

C.

Historic Resources: If any cultural, historic, or archaeological resources are located in the
immediate vicinity of the proposal, check and describe the resource(s) and then describe any
potential effect of the proposal on the resource(s). Consultation with the State Historic
Preservation Officer (SHPO) is necessary when these resources are potentially affected.
■

Cultural:

■

Historical:

■

Archaeological:

Has consultation with the SHPO occurred? If so, describe and attach relevant correspondence.
■

D.

Consultation with SHPO:

Public Notification: Briefly describe any public outreach efforts undertaken on behalf of the
proposal, if any. Indicate opportunities the public has had to comment on the proposal (e.g.,
board meetings, open houses, special hearings).
Indicate prominent concerns expressed by agencies or the public regarding the proposal, if any.

E.

Transportation: Would the proposal have a detrimental effect on other railway operations or
impact road traffic, or increase demand for parking?
No (continue)
Yes, describe potential transportation, traffic, and parking impacts, and
address capacity constraints and potential impacts to existing railroad and highway operations.
Include maps or diagrams indicating any impacts and any proposed modifications to existing
railways or roadways or parking facilities. Also, summarize any consultation that has occurred
with other railroads or highway authorities whose operations this project will impact.

F.

Noise and Vibration: Are permanent noise or vibration impacts likely?
No (continue)
Yes, describe how the proposal will involve noise impacts. If the proposal
will result in a change in noise sources (number or speed of trains, stationary sources, etc.) and
sensitive receptors (residences, hospitals, schools, parks, etc.) are present, apply screening
distances for noise and vibration assessment found in FRA noise impact assessment guidance
manual (and FTA’s manual as needed) and compare proposal location with nearest receptor(s).
If the screening distance is not achieved, attach a “General Noise and/or Vibration Assessment.”
Noise

Vibration

As a result of the general assessment(s) are there noise or vibration impacts?
No (continue)

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Yes (Describe and provide map identifying sensitive receptors):

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G.

Air Quality: Does the proposal have the potential to increase concentrations of ambient criteria
pollutants to levels that exceed the NAAQS, lead to the establishment of a new non-attainment
area, or delay achievement of attainment?
No (continue)
Yes, attach an emissions analysis for General Conformity regarding
Carbon Monoxide (CO), Ozone (O3), Particulate Matter (PM10), Nitrous Oxides (NOx), and
Carbon Dioxide (CO2), and include a hot spot analysis if indicated. Describe any substantial
impacts from the proposal.
Is the proposal located in a Non-Attainment or Maintenance area?
No (continue)
Yes, for which of the following pollutants:
Carbon Monoxide (CO)

Ozone (O3)

Particulate Matter (PM10)

H.

Hazardous Materials: Does the proposal involve the use or handling of hazardous materials?
No (continue)
Yes, describe use and measures that will mitigate any potential for
release and contamination.

I.

Hazardous Waste: If the proposal site is in a developed area or was previously developed or
used for industrial or agricultural production, is it likely that hazardous materials will be
encountered by undertaking the proposal? (Prior to acquiring land or a facility with FRA funds,
FRA must be consulted regarding the potential presence of hazardous materials)
No, explain why not and describe the steps taken to determine that hazardous
materials are not present on the proposal site and then continue to question I.
Yes, complete a Phase I site assessment and attach.
If a Phase I survey was completed, is a Phase II site assessment recommended?
No (continue)
Yes, describe the mitigation and clean-up measures that will be taken to
remediate any hazardous materials present and what steps will be taken to ensure that the
local community is protected from contamination during construction and operation of the
proposal.

J.

Property Acquisition: Is property acquisition needed for the proposal?
No (continue)
Yes, indicate whether the acquisition will result in relocation of
businesses or individuals.
Note: To ensure eligibility for Federal participation, grantees may not acquire property with
either local matching or Federal funds prior to completing the NEPA process and receiving
written FRA concurrence in both the NEPA recommendation and property appraisals.

K.

Community Disruption and Environmental Justice: Does the proposal present potentially
disruptive impacts to adjacent communities?
No (continue)
Yes, provide a socio-economic profile of the affected community.
Indicate whether the proposal will have a disproportionately high and adverse effect on
minority or low-income populations. Describe any potential adverse effects and any
community resources likely to be impacted. Describe outreach efforts targeted specifically
at minority or low-income populations.

L.

Impacts On Wetlands: Does the proposal temporarily or permanently impact wetlands or
require alterations to streams or waterways?
No (continue)
Yes, show wetlands and waters on the site map and classification.
Describe the proposal’s potential impact to on-site and adjacent wetlands and waters and
attach any coordination with the State and US Army Corps of Engineers.

M.

Floodplain Impacts: Is the proposal located within the 100-year floodplain or are regulated
floodways affected?
No (continue)
Yes, describe the potential for impacts due to changes in floodplain
capacity or water flow, if any. If impacts are likely, attach scale maps describing potential
impacts and describe any coordination with regulatory entities.

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N.

Water Quality: Are protected waters of special quality or concern, essential fish habitats, or
protected drinking water resources present at or directly adjacent to the proposal site?
No (continue)
Yes, describe water resource and the potential for impact from the
proposal, and any coordination with regulatory entities.

O.

Navigable Waterways: Does the proposal cross or have effect on a navigable waterway?
No (continue)
Yes, describe potential for impact and any coordination with US Coast Guard.

P.

Coastal Zones: Is the proposal in a designated coastal zone?
No (continue)
Yes, describe coordination with the State regarding consistency with the
coastal zone management plan and attach the State finding if available.

Q.

Prime and Unique Farmlands: Does the proposal involve the use of any prime or unique
farmlands?
No (continue)
Yes, describe potential for impact and any coordination with the Soil
Conservation Service of the US Department of Agriculture.

R.

Ecologically Sensitive Areas And Endangered Species: Are any ecologically sensitive
natural areas, designated wildlife or waterfowl refuges, or designated critical habitat areas
(woodlands, prairies, wetlands, rivers, lakes, streams, and geological formations determined to
be essential for the survival of a threatened or endangered species) within or directly adjacent to
the proposal site?
No (continue)
Yes, describe them and the potential for impact. Describe any
consultation with the State and the US Fish and Wildlife Service about the impacts to these
natural areas and on threatened and endangered fauna and flora that may be affected. If
required prepare a biological assessment and attach.

S.

Safety And Security: Are there safety or security concerns about the proposal?
No (continue)
Yes, describe the safety or security concerns and the measures that
would need to be taken to provide for the safe and secure operation of the proposal after its
construction.

T.

Construction Impacts: Are major construction period impacts likely?
No (continue)
Yes, describe the construction plan and identify impacts due to
construction noise, utility disruption, debris and spoil disposal, and address air and water quality
impacts, safety and security issues, and disruptions of traffic and access to property and attach
scale maps as necessary.

U.

Cumulative Impacts: Are cumulative impacts likely?
A “cumulative impact" is the impact on the environment that results from the incremental
impact of the action when added to other past, present, and reasonably foreseeable future actions
regardless of what agency (Federal or non-Federal) or person undertakes such other actions.
Cumulative impacts may include ecological (such as the effects on natural resources and on the
components, structures, and functioning of affected ecosystems), aesthetic, historic, cultural,
economic, social, or health, whether direct, indirect, or resulting from smaller actions that
individually have no significant impact. Determining the cumulative environmental consequences
of an action requires delineating the cause-and-effect relationships between the multiple actions
and the resources, ecosystems, and human communities of concern.
No (continue)
Yes, describe the reasonably foreseeable:
(a) Direct impacts, which are caused by the action and occur at the same time
and place.
(b) Indirect impacts, which are caused by the action and are later in time or
farther removed in distance, but are still reasonably foreseeable. Indirect
impacts may include growth inducing effects and other effects related to
induced changes in the pattern of land use, population density or growth
rate, and related effects on air and water and other natural systems, including
ecosystems.

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V.

Related Federal, State, or Local Actions: Indicate whether the proposal requires any of the
following actions (e.g., permits) by other Agencies and attach copies of relevant correspondence.
It is not necessary to attach voluminous permit applications if a single cover Agency transmittal
will indicate that a permit has been granted. Permitting issues can be described in the relevant
resource discussion in sections B-S above.
Section 106 Historic and Culturally Significant Properties
Section 401/404 Wetlands and Water
USCG 404 Navigable Waterways
Executive Orders Wetlands, Floodplains, Environmental Justice
Clean Air Act Air Quality
Endangered Species Act Threatened and Endangered Biological Resources
Magnuson-Stevens Fishery Conservation and Management Act Essential Fish Habitat
Safe Drinking Water Act
Other State or Local Requirements (Describe)

X.

Mitigation: Describe mitigation measures which address identified impacts and have been
incorporated into the proposal, if any.

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