NEPA and Environmental Planning : Tools, Techniques, and Approaches for Practitioners - Chapter 1 pptx

Lynton Caldwell Congressional Testimony, 1998 National Environmental Policy Act NEPA analyses are frequently prepared that examine every conceivable impact, significant or otherwise, in

NEPA and Environmental Planning

Tools, Techniques, and Approaches for Practitioners

NEPA and Environmental Planning

Tools, Techniques, and Approaches for Practitioners

Charles H Eccleston

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To Our Son, Justin

We trained hard, but every time we began to form up teams we would be reorganized I was to learn later in life that we tend

to meet any new situation by reorganizing; and a wonderful method it can be for creating the illusion of progress while producing confusion, inefficiency, and demoralization.

Petronius Arbiter, 210 B.C.

Contents

Preface xxi

Acknowledgments xxv

Author xxvii

List of Acronyms xxix

Introduction xxxi

Chapter 1 Overview of the NEPA Process and Its Basic Requirements 1

1.1 Overview of the NEPA Planning Process 1

1.1.1 Three Levels of NEPA Compliance 2

1.1.2 Compliance with Other Laws 2

1.1.2.1 No “Grandfathering” 2

1.1.3 Adopting NEPA Implementation Procedures 2

1.1.4 Initiating NEPA 4

1.1.4.1 Identifying a Proposed Action 5

1.1.4.2 Supplemental EISs and the Smithsonian Solution 5

1.1.4.3 Reviewing Existing EAs 5

1.1.5 Categorical Exclusions 5

1.1.6 Environmental Assessments 5

1.1.6.1 Commonly Required Data 6

1.1.6.2 Comparison of the Size and Complexity of EAs versus EISs 6

1.1.7 Environmental Impact Statements 7

1.1.7.1 The EIS Process 7

1.1.7.2 Notice of Intent 7

1.1.7.3 The Draft and Final EIS Stage 8

1.1.7.4 Record of Decision, Monitoring, and Mitigation 9

1.2 Basic Concepts and Requirements 9

1.2.1 Complying to the “Fullest Extent Possible” 9

1.2.1.1 Calvert Cliffs 10

1.2.1.2 Conflict in Statutory Authority 11

1.2.1.3 Conflicts with Other Statutory Obligations 11

1.2.1.4 Is It Appropriate to Design an Action to Avoid NEPA? 11

1.2.2 When Must NEPA Be Initiated? 12

1.2.2.1 The Definition of a Proposal 13

1.2.3 When Must NEPA Be Completed? 13

1.2.4 Combining and Integrating Other Requirements 13

1.2.5 Actions Subject to NEPA 14

1.3 NEPA Litigation and Judicial Review 15

1.3.1 Statute of Limitations 15

1.3.2 Administrative Record and Judicial Review Standard 15

1.3.2.1 Arbitrary Capricious Standard 15

1.3.2.2 Recent Case Law Involving the “Hard Look” Standard 16

1.3.2.3 Institute for Environmental Conflict Resolution 16

1.3.3 Procedural versus Substantive 17

1.3.3.1 Case Law 17

1.3.3.2 Robertson v Methow 18

1.4 Closing Thoughts 18

Problems 19

References 19

Chapter 2 Tools, Techniques, and Approaches for Improving and Streamlining NEPA 21

2.1 NEPA and Processionary Caterpillars 21

2.1.1 Improving Federal Planning 21

2.2 Sliding Scale and the Rule of Reason 21

2.2.1 The Sliding-Scale Approach 22

2.2.2 Rule of Reason 22

2.3 Streamlining an Agency’s NEPA Process 22

2.4 VE Improvement Process 23

2.4.1 Preliminary Review 23

2.4.2 Seven Phases 23

2.4.2.1 Phase 1: Information Phase 24

2.4.2.2 Phase 2: Functional Analysis Phase 24

2.4.2.3 Phase 3: Creativity Phase 24

2.4.2.4 Phase 4: Evaluation and Analysis Phase 24

2.4.2.5 Phase 5: Development Phase 24

2.4.2.6 Phase 6: Presentation Phase 24

2.4.2.7 Phase 7: Post Study/Implementation Phase 25

2.4.3 Using VE in Preparing an EIS 25

2.4.3.1 Comparison of VE with NEPA 25

2.5 Using VE in Determining the Preliminary Scope of an EIS 26

2.5.1 Assembling an IDT 26

2.5.2 Information Phase 28

2.5.3 Decision-Identification Phase 28

2.5.4 Underlying Need and Purpose: Definition 28

2.5.5 Enhancing Effectiveness of the EIS Process 29

2.5.6 Investigating the No-Action Alternative 29

2.5.7 Eliminating Issues from the Scope 30

2.5.8 Identifying Other Related Requirements 30

2.5.9 Finalizing the Prescoping Effort 30

2.6 2.6.1 NEPA Provides an Ideal Implementation Mechanism 31

2.6.2 NEPA Provides a Comprehensive Decision-Making Process 32

2.6.3 Process for Integrating NEPA and P2 32

2.6.3.1 Categorical Exclusions 34

2.6.3.2 Environmental Assessment Process 37

2.6.3.3 EIS Process 37

2.7 NEPA and ISO 14001 38

2.7.1 An ISO 14001 Consistent EMS 38

2.7.2 Why NEPA and ISO 14001 Complement Each Other 40

2.7.2.1 Policy and Plan 41

2.7.2.2 Procedural versus Substantive 42

2.7.2.3 Analytical Similarities 42

2.7.2.4 Life Cycle Analysis 43

2.7.2.5 Public Participation 43

2.7.2.6 Significance 43

2.7.2.7 Integration of Environmental Requirements 43

A Strategy for Efficiently Implementing a Pollution Prevention Program 30

2.7.2.8 Integrating Pollution Prevention 43

2.7.2.9 Preventive and Corrective Action 44

2.7.2.10 Records and Documentation 44

2.7.2.11 Implementation, Training, Monitoring, and Continuous Improvement 44

2.7.2.12 Internal Auditing 44

2.7.3 Strategy for Integrating an EMS with NEPA 44

2.7.3.1 Policy and Planning Phase 45

2.7.3.2 Analysis, Significance, and Decision-Making 46

2.7.3.3 Implementation Phase 46

2.7.3.4 Monitoring and Enforcement Phase 46

2.8 An Integrated NEPA, AM, and EMS System 47

2.8.1 NEPA and AM 47

2.8.1.1 Requirements for Implementing AM 47

2.8.2 Potential Advantages 48

2.8.2.1 NEPA Documents 49

2.8.3 Using an EMS to Implement AM 50

2.8.3.1 An Integrated AM/EMS System 51

2.9 2.9.1 Dilemma 53

2.9.2 Criteria for Developing the Sufficiency Test Tool 53

2.9.3 The Sufficiency Test Tool 53

2.9.4 Applying the Sufficiency Test Tool 53

2.9.4.1 Advantages and Limitations 55

2.10 A 10-Step Formula for Improving the NEPA Process 56

2.10.1 Recommendations 56

2.10.2 Additional Recommendations for Improving NEPA 58

Problems 59

References 60

Chapter 3 NEPA Streamlining Provisions 63

3.1 Managing, Analyzing, and Preparing NEPA Documents 63

3.1.1 Integrating NEPA with SEPAs and Other Processes 67

3.2.1 Using Scoping to Narrow the Analysis 67

3.2.2 Tiering 67

3.2.3 Incorporation by Reference 68

3.2.4 Adoption 68

3.2.5 Piggybacking 69

3.3 Limitations on Actions and Interim Actions 69

3.3.1 Eligibility for Status as an Interim Action 70

3.3.2 Two Categories of Interim Actions 70

3.3.2.1 Additional Limitations 70

3.3.3 Limitations on Project-Specific Action 71

3.3.4 Limitations on Programmatic Actions 71

3.3.4.1 Justified Independently of the Program 71

3.3.4.2 Accompanied by an Adequate EIS 71

3.3.4.3 Not Prejudice the Ultimate Decision 72

3.3.5 Actions That Are Not Generally Permissible 72

3.3.6 Awarding Contracts Prior to Completing NEPA 72

Determining When Analysis Contains Sufficient Detail 52

3.2 Specific Streamlining Methods 67

3.4 Agency Management and Operational Changes 72

3.4.1 Revising NEPA Implementation Procedures 73

3.4.2 Delegation 73

3.5 Statistics on the NEPA Process 73

3.5.1 NEPA Activity 73

3.5.2 NEPA Effectiveness 74

3.5.3 Completion Time and Delays 75

3.5.3.1 Reasons for Delays 75

3.5.3.2 Reducing Delays as a Result of Law Suits 76

3.5.3.3 EA Completion Time 76

3.5.3.4 EIS Completion Time 76

3.5.4 Document Length 76

3.5.4.1 Environmental Assessments 76

3.5.4.2 Environmental Impact Statements 77

3.5.4.3 Congressional Taskforce 77

3.5.4.4 Environmental Protection Agency Study 77

3.5.4.5 Exceptions 77

3.5.5 Cost 78

3.5.5.1 Department of Energy and Air Force 78

3.5.5.2 CEQ Environmental Assessment Study 78

3.5.6 Lawsuits 79

3.5.6.1 NEPA Documents Challenged 79

3.5.6.2 Causes for Action 79

3.5.6.3 Plaintiffs 80

3.5.6.4 Injunctions 80

Problems 80

References 81

Chapter 4 Performing a Systematic and Integrated Planning and Analysis Process 83

4.1 A Flexible Planning Process 83

4.2 Fostering Planning and Informed Decision-Making 84

4.2.1 Early and Open Process 85

4.2.2 Public Involvement 86

4.2.3 Determining the Scope 86

4.3 Systematic and Interdisciplinary Approach 86

4.3.1 Environmental Design Arts 87

4.4 Integrating Other Laws, Permits, and Orders 87

4.4.1 Environmental Quality Improvement Act of 1970 88

4.4.1.1 Executive Order for Protection and Enhancement of Environmental Quality 88

4.4.2 Federal Land Policy Management Act 89

4.4.2.1 Policy, Authority, and Responsibility 89

4.4.3 Natural Resource Damage Assessment 90

4.4.3.1 Assessment 91

4.4.3.2 Contingent Valuation Method 91

4.4.4 Pollution Prevention Act 92

4.4.4.1 Provisions 93

4.4.4.2 Executive Order and the CEQ Guidance 93

4.4.5 Clean Air Act Conformity and NEPA 93

4.4.5.1 General Conformity 93

4.4.5.2 Potential Problems with Nonconformance 94

4.4.5.3 EPA Issues 94

4.4.5.4 Documents on the Web 94

4.4.6 CO2 and Global Warming Issues in NEPA Documents 95

4.4.7 Endangered Species Act 95

4.4.7.1 Administration and Purpose 96

4.4.7.2 Implementing Regulations 96

4.4.7.3 Categories of Species 96

4.4.7.4 Scope 97

4.4.7.5 Section 7: Consultation 97

4.4.7.6 Consultation 97

4.4.7.7 Biological Evaluation and Assessment 98

4.4.7.8 Section 9 98

4.4.7.9 Section 10 99

4.4.7.10 Invasive Species and Executive Order 13112 99

4.4.8 Section 404 of the Clean Water Act 99

4.4.8.1 Section 404 99

4.4.8.2 Typical Activities and Exemptions 100

4.4.8.3 Basic Requirements 100

4.4.8.4 Swampbuster 100

4.4.8.5 Types of Permits 100

4.4.8.6 Permit Limitations and Mitigation 100

4.4.8.7 The 404 Permitting Process 101

4.4.8.8 Public Notice 101

4.4.8.9 Comment Period and Public Hearing 101

4.4.8.10 Permit Evaluation and Statement of Finding 101

4.4.9 Floodplain and Wetlands Executive Orders 101

4.4.10 Coastal Zone Management 101

4.4.10.1 Coastal Zone Management Act Consistency Regulations 102

4.4.10.2 Consistency Determination 102

4.4.10.3 NEPA and Project Planning 102

4.4.11 Wild and Scenic Rivers Act 102

4.4.11.1 Wild River Areas 103

4.4.11.2 Scenic River Areas 103

4.4.12 Fish and Wildlife Coordination Act 103

4.4.13 National Historic Preservation Act 103

4.4.13.1 State Historic Preservation Officer 104

4.4.13.2 National Register of Historic Places 104

4.4.13.3 Eligibility Criteria 104

4.4.13.4 Section 106 104

4.4.13.5 Section 106 Review Process 105

4.4.13.6 Consultation 105

4.4.13.7 Changes to Section 106 106

4.4.13.8 Archaeological Resource Protection Act 106

4.4.13.9 Archaeological and Historic Preservation Act 107

4.4.13.10 Indian Religious Freedom Act 107

4.4.13.11 Native American Graves Protection and Repatriation Act 107

4.4.14 Farmland and Protection Policy Act 107

4.4.14.1 Prime Farmland 107

4.4.14.2 Unique Farmland 107

4.4.14.3 Integration with NEPA 107

4.4.15 Environmental Justice 107

4.4.15.1 Executive Order 108

4.4.15.2 CEQ Guidance 108

4.4.15.3 Analysis 108

4.5 Environmental Impact Assessment 109

4.5.1 Actions 109

4.5.2 Environmental Disturbances 110

4.5.3 Receptors and Resources 110

4.5.4 Impact Analysis 110

4.5.5 Significance 111

4.5.6 Mitigation and Monitoring 111

4.5.6.1 Monitoring 112

4.5.7 Impact Assessment Methodologies 112

4.5.7.1 Environmental Checklists 112

4.5.7.2 Matrices 113

4.5.7.3 Networks 115

4.5.7.4 Carrying Capacity Analysis 116

4.5.7.5 Ecosystem Analyses 117

4.5.7.6 Cost–Benefit Analysis 118

4.6 Requirements for Performing an Analysis 121

4.6.1 Performing a Rigorous Analysis 121

4.6.2 Methodology 122

4.6.3 Fair and Objective 122

4.6.4 Investigating Reasonable Alternatives 122

4.6.4.1 “Would” versus “Will” 122

4.6.5 Writing Documents in Plain English 124

4.6.5.1 Reasonable Man Standard 124

4.6.6 Incomplete or Unavailable Information 124

4.6.6.1 Classified Information 125

4.6.6.2 Case Law 125

Problems 125

References 126

Chapter 5 Exemptions and Categorical Exclusions 129

5.1 Categorical Exclusions 129

5.1.1 Extraordinary Circumstances 130

5.1.2 Adopting CATXs 130

5.1.3 Applying CATXs 131

5.1.4 Documenting CATXs 132

5.1.5 Streamlining Recommendations 132

5.1.5.1 Electronic CATX Management Database 132

5.1.5.2 Additional Recommendations 134

5.2 Exemptions from NEPA 134

5.2.1 Presidential Exemptions 136

5.2.2 Explicit Congressional Exemptions 136

5.2.3 Functional Equivalency Exemptions 137

5.2.4 The EPA 137

5.2.5 Functional Equivalence with CERCLA 138

5.2.6 Functional Equivalence with RCRA 138

5.2.7 Implicit Statutory Conflicts 139

5.2.7.1 Ministerial 139

5.2.8 Emergency Situations 140

5.2.8.1 CEQ Guidance 140

5.2.8.2 Examples of Past Emergencies 141

Problems 142

References 142

Chapter 6 The Threshold Question: When Is an EIS Required? 145

6.1 Detailed Statement 145

6.2 Proposals 145

6.3 Legislation 146

6.4 The Term “Major” 146

6.5 The Term “Federal Agency” 147

6.5.1 Factors That May Federalize an Action 147

6.5.1.1 Federal Support by Contract, Grant, Loan, or Financial Assistance 148

6.5.1.2 Enablement by Permit, Lease, License, or Entitlement 148

6.5.1.3 Federal Control 149

6.5.1.4 Continuing Agency Involvement That 6.5.1.5 Causation 149

6.5.2 Basis for a General-Purpose Tool 149

6.5.3 General-Purpose Tool for Determining When Nonfederal Actions Become Federalized 149

6.5.3.1 Using the Tool 151

6.6 Actions 151

6.6.1 Inaction 152

6.6.2 Applicability of NEPA to International Actions 152

6.6.2.1 Executive Order 152

6.6.2.2 Transboundary Effects 152

6.6.2.3 Case Law 153

6.7.1 6.7.2.1 Context 157

6.7.2.2 Intensity 157

6.8 Affecting 162

6.9 Human Environment 162

6.9.1 The Physical Environment 162

6.9.2 Impact and Effect 163

6.9.3 Environmental Impacts That Do Not Have to Be Considered 163

Problems 164

References 165

Is Modified or Terminated 149

6.7 Significance 156

The Role of the Courts in Determining Significance 156

6.7.2 Regulatory Definition 157

6.7.2.3 Significant Departure 160

6.7.3 Significance and the National Historic Preservation Act 161

6.7.4 Determining a Significance Baseline 161

Chapter 7 Preparing Environmental Assessments 167

7.1 Overview 167

7.1.1 The Purpose of an EA 167

7.1.2 Comparison of EAs to EISs 168

7.1.3 Time Periods 169

7.2 Preparing and Issuing the Assessment 169

7.2.1 Public Involvement 169

7.2.1.1 Public Notification 169

7.2.1.2 The Public Review Process 171

7.2.1.3 Consultation 171

7.2.1.4 Case Law 171

7.2.2 Performing the Analysis 171

7.2.2.1 The Proposed Action 172

7.2.2.2 Reserving Significance Findings for the FONSI 172

7.2.3 Addressing Cumulative Impacts in EAs 172

7.2.3.1 Cumulative Impact Study 172

7.2.4 The Cilix Method 173

7.2.4.1 Standard Approach 173

7.2.4.2 Cilix Methodology 173

7.2.4.3 Restrictions 174

7.2.4.4 Application Scenarios 174

7.2.4.5 Advantages 175

7.2.4.6 Example 175

7.2.4.7 Justification 177

7.3 Issuing a FONSI 177

7.3.1 Waiting Period 177

7.4 The EA Documentation Requirements 177

7.4.1 Page Limitations 178

7.4.2 Requirements 178

7.4.2.1 Need for the Proposal 178

7.4.2.2 Proposed Action and Alternatives 178

7.4.2.3 Environmental Impacts of the Proposed Action and Alternatives 179

7.4.2.4 Agencies and Persons Consulted 179

7.4.3 Suggested Outline 179

7.4.3.1 Suggested Outline for Section on Alternatives 180

7.4.3.2 Pollution Prevention 180

7.5 The FONSI 180

7.5.1 Documentation Requirements for FONSIs 181

7.5.1.1 EA Checklist Format 182

7.5.1.2 Judicial Review of EAs and FONSIs 182

7.6 Mitigation 183

7.6.1 Types of Mitigation 183

7.6.2 Advantages and Disadvantages 183

7.6.3 Analyzing the Effectiveness of Mitigation Measures 184

7.6.4 Legal Criteria for Mitigation 184

7.7 Streamlining the EA Process 184

7.7.1 Reducing Duplication and Delays 185

7.7.2 Tiering 185

7.7.3 Reducing the Length of Assessments 185

Problems 185

References 186

Chapter 8 Preparing Environmental Impact Statements 189

8.1 Overview of Fundamental EIS Concepts 189

8.1.1 Lead and Cooperating Agencies 189

8.1.1.1 Disputes 189

8.1.2 Selecting the Lead Agency 190

8.1.2.1 Lead Agency Responsibilities 190

8.1.2.2 Applicants 191

8.1.3 Schedule and Timing Requirements 191

8.1.3.1 When Should an EIS Begin? 192

8.1.3.2 How Long Should an EIS Take? 192

8.1.3.3 What Is the Maximum Page Limit for an EIS? 193

8.1.4 EIS Contractors 194

8.1.4.1 EIS Contractors and Conflicts of Interest 194

8.1.5 Integrating Other Environmental Requirements 195

8.1.5.1 Pollution Prevention 195

8.1.6 National Register of Historic Places 195

8.1.6.1 Endangered Species 196

8.1.6.2 Floodplain and Wetlands Requirements 196

8.1.7 Classified Proposals, Emergency Situations, and Periodic Reviews 196

8.1.7.1 Classified Proposals 197

8.1.7.2 Emergency Situations 197

8.1.7.3 Guidance on Periodically Reexamining EISs 197

8.2 Preparing the EIS 197

8.2.1 Notice of Intent 197

8.2.1.1 Federal Register 198

8.2.2 The Scoping Process 198

8.2.2.1 Purpose of Scoping 199

8.2.2.2 Initiating the Scoping Process 199

8.2.2.3 Performing the Scoping Process 200

8.2.3 Decision-Based Scoping and Decision-Identification Tree 200

8.2.3.1 Decision-Based Scoping 200

8.2.3.2 Constructing the DIT 201

8.2.4 Preparing the Draft EIS 203

8.2.4.1 Issuing the Notice of Availability and the EPA Filing Process 204

8.2.4.2 Publication of the Notice in the Federal Register 204

8.2.4.3 EPA EIS Repository 205

8.2.4.4 Circulating the Draft EIS 206

8.2.4.5 Circulating a Summary 206

8.2.5 EPA Review under Section 309 of the CAA 207

8.2.5.1 EPA Review Responsibilities 207

8.2.5.2 EPA’s Rating of the Draft EIS 208

8.2.6 Scope of Draft EPA Comments 209

8.2.6.1 EPA Review of the Final EIS 210

8.2.6.2 EPA Monitoring and Follow-Up 210

8.2.6.3 Inviting Comments on the Draft EIS 210

8.2.7 Preparing the Final EIS 211

8.2.7.1 Issuing the Final EIS 212

8.2.7.2 Procedures for Issuing the Final EIS 212

8.2.7.3 Mandatory 30-Day Waiting Period 212

8.2.7.4 Exceptions 212

8.3 The ROD 213

8.3.1 Issuing the ROD 213

8.3.1.1 Selecting a Course of Action 213

8.4 Referrals 213

8.4.1 Procedure for Referrals 213

8.4.2 The Referral Process in Reality 214

8.5 Post EIS Monitoring and Enforcement 215

8.6 Legislative EISs 215

8.6.1 Preparing a Legislative EIS 215

8.7 Supplemental EIS 216

8.7.1 Requirements Governing S-EISs 216

8.7.1.1 Additional Direction 216

8.7.1.2 Reviewing the Agency’s Decision 217

8.7.2 Tiering and Supplementing EISs 217

8.7.3 Smithsonian Solution: Determining When a Change Triggers Additional NEPA 217

8.7.3.1 Procedural Mechanisms Have Not Eliminated the Potomac Paradox 218

8.7.3.2 Rationale for a Defensible Tool 218

8.7.3.3 Criteria for Assessing Changes 218

8.7.3.4 Smithsonian Solution Tool 219

8.8 Programmatic EISs 221

8.8.1 Example of a Recent P-EIS 221

8.8.2 Tiering and P-EISs 221

8.8.3 Cumulative Impact Scoping Dilemma 222

8.8.3.1 High-Level versus Low-Level Scoping 222

8.8.3.2 Dilemma 222

8.8.3.3 Resolving the Dilemma 223

8.8.4 Determining the Appropriate Scope of a P-EIS 223

8.8.4.1 The Basis for a Scoping Tool 223

8.8.4.2 A Tool for Determining Programmatic Scope 224

8.8.5 Case Law 226

8.8.5.1 Programs 226

8.8.5.2 Programmatic Alternatives 226

8.8.6 Strategic EAs 226

8.9 Streamlining the Review Process 227

Problems 227

References 228

Chapter 9 The Scope of Analysis 231

9.1 De-Emphasizing the Scope of Analysis 231

9.2 Managing Public Scoping Meetings 231

9.3 Actions, Alternatives, and Effects 231

9.4 Three Types of Actions 232

9.4.1 Connected Actions 232

9.4.2 Cumulative Actions 233

9.4.2.1 Cumulative Actions versus Cumulative Impacts 233

9.4.3 Similar Actions 234

9.4.4 Categories of Federal Actions 234

9.4.4.1 Policies 234

9.4.4.2 Plans 234

9.4.4.3 Programs 234

9.4.4.4 Projects 235

9.4.5 Segmentation 235

9.4.5.1 Case Law 235

9.5 Three Types of Alternatives 235

9.5.1 No-Action Alternative 236

9.5.1.1 The No-Action Alternative versus the Affected Environment 236

9.5.1.2 Describing the No-Action Alternative 236

9.5.2 Reasonable Alternatives 237

9.5.2.1 Dismissing Unreasonable Alternatives 238

9.5.2.2 Alternatives beyond an Agency’s Control 238

9.5.2.3 Court Direction on Preparing Alternatives 238

9.5.2.4 Defining a Range of Reasonable Alternatives 239

9.5.2.5 Describing Alternatives 239

9.5.2.6 Evaluating Hypothetical Scenarios 239

9.5.3 Mitigation Measures 240

9.6 Three Types of Impacts 240

9.6.1 Direct Impacts 240

9.6.2 Indirect Impacts 240

9.6.3 Cumulative Impacts 240

9.6.3.1 Innocuous Activities Have Cumulatively Significant Impacts 241

9.6.3.2 Defining Spatial and Temporal Bounds 241

9.6.3.3 Assessing Cumulative Effects 243

9.6.3.4 Litigation and Judicial Review 245

9.6.3.5 Court Direction on Performing CIA 246

9.6.4 Resolving Eccleston’s Cumulative Impact Paradox 246

9.6.4.1 The Paradox 247

9.6.4.2 Why It Is Important to Resolve This Paradox 248

9.6.4.3 Interpreting Significance 248

9.6.4.4 Significant Departure Principle 249

9.7 Special Impact Issues 255

9.7.1 Adequacy of the Analysis 255

9.7.2 Socioeconomic Impacts 255

9.7.2.1 Analysis of Socioeconomic Impacts 256

9.7.3 Short-Term versus Long-Term Impact 256

9.7.4 Bounding Analysis 256

9.7.5 Are Accident Scenarios Subject to NEPA’s Requirements? 256

9.7.5.1 Accident Analyses and Case Law 257

9.7.5.2 Sliding-Scale Approach 257

Problems 258

References 258

Chapter 10 Planning and Mitigating Effects of Natural

Disasters and Terrorist Attacks 261

10.1 Can Planning for a Disaster Prevent a Disaster? 261

10.1.1 Catastrophic Events and the Human Environment 261

10.1.2 Significance 262

10.2 NRC Rules Terrorism Reviews Are Not Required 262

10.2.1 Nuclear Fuel Storage Case 262

10.2.1.1 Basis for NRC’s Conclusion 264

10.2.1.2 Court Rejects Reasoning 265

10.2.2 DOE Practice 265

10.2.2.1 DOE Litigation 266

10.3 Why NEPA Can Provide an Ideal Framework for Evaluating Terrorist and Natural Disaster Scenarios? 266

10.4 Using NEPA to Plan for Potential Terrorist Acts and Natural Disasters 266

10.4.1 Strategic and Programmatic Reviews 266

10.4.2 Project-Specific Reviews 267

10.4.2.1 Environmental Impact Statements 267

10.4.2.2 Environmental Assessments 268

10.4.2.3 Categorical Exclusions 268

10.5 Differences between the Use of an EA and an EIS 269

10.5.1 Maximum Reasonably Foreseeable Events 269

10.5.1.1 Bounding 269

10.5.2 An EA versus an EIS Analysis 269

10.6 Analytical Methodology 270

10.6.1 Evaluating Potential Threats 270

10.6.1.1 Accident Analyses 271

10.6.2 Determining a Reasonable Range of Scenarios 271

10.6.3 Significance and Potentially Catastrophic Scenarios 272

10.6.3.1 Decision-Making Criteria 272

10.6.4 Risk–Uncertainty Significance Test 273

10.6.4.1 Uncertainty 273

10.6.4.2 Risk 274

10.6.4.3 Frequency 274

10.6.4.4 Severity 275

10.6.4.5 Assessing Significance of a Potential Event 275

10.6.5 Modifications to the Approach 276

10.7 A Tool for Determining If an Accident, Natural Disaster, or Terrorist Event Should Be Evaluated 276

Problems 278

References 278

Chapter 11 Emergency Planning for Continuity of Business Operations 279

11.1.1 Developing the Business Continuity Plan 280

11.1.2 Business Risk 280

11.1.3 Benefits of Business Continuity 280

11.2 Focusing on Continuity of Operations 282

11.2.1 Getting Started 282

11.2.2 Planning and Communicating the Program 282

11.1 Essential Concepts and Benefits 280

11.2.3 Gathering Information 283

11.2.3.1 Inventory of Essential Elements 284

11.2.4 Risk Assessment 285

11.3 Business Impact Analysis 285

11.3.1 Regulatory, Legal, and Contractual Review 286

11.3.1.1 Legal Risk Management Strategy 286

11.3.1.2 Potential Recommendations 287

11.3.2 Assessing and Analyzing Risks 287

11.3.2.1 Severity and Probability 287

11.3.2.2 Developing a BIA Process 288

11.4 Mitigation Strategies 289

11.4.1 Executive Decision-Making 289

11.4.2 Mitigation Implementation Plan 290

11.4.2.1 Plan Outline 290

11.4.2.2 Mitigation Budget 290

11.4.3 Potential Fixes 290

11.5 Implementing and Testing Preventive Measures 291

11.5.1 Testing and Action Plans 291

11.5.2 Quality Assurance 292

11.5.3 Training 292

11.6 Developing Contingency Plans 293

11.6.1 Contingency Planning Goals 293

11.6.2 Contingency Planning Factors 293

11.6.3 Potential Solutions 293

11.6.4 Types of Contingency Plans 294

11.6.5 Staffing Resources 294

11.6.6 Writing the Plan 294

11.6.7 Auditing and Testing 295

11.6.8 Management Approval 295

11.7 Monitoring Results: A Recap 295

11.7.1 Response and Resumption Resources 296

11.7.1.1 Critical Staffing Resources 296

11.7.2 Writing Procedures 296

11.7.3 Auditing the Documentation Process 296

Problem 297

References 297

Chapter 12 International Environmental Impact Assessment 299

12.1 NEPA and the International Community 299

12.1.1 Status of EIA Legislation in Developing Countries 299

12.1.2 International Organizations 300

12.1.2.1 United Nations 300

12.1.2.2 World Bank 300

12.1.2.3 European Union 301

12.1.2.4 NAFTA and Executive Order 13141 301

12.2 Fostering International Democracy 301

12.3 Introduction to the EIA Process 302

12.3.1 Typical EIA Process 302

12.3.2 EIA Document Content 304

12.3.3 EIA Problems and Limitations 304

12.4 Introduction to SEA 305

12.4.1 Goals of SEA 306

12.4.1.1 Performance Criteria 306

12.4.2 Relationship between SEA and EIA 306

12.4.2.1 Comparison of SEA and EIA 307

Problems 308

References 308

Chapter 13 Environmental Policy, Decision-Making, and Economics 311

13.1 Easter Island and the Tragedy of the Commons 311

13.1.1 Tragedy of the Commons 312

13.2 Limits to Growth, Gaia, and Sustainability 313

13.2.1 Malthus, Simon, and Limits to Growth 313

13.2.1.1 The Malthusian Growth Model 314

13.2.1.2 Julian Simon 315

13.2.2 The Gaia Hypothesis 316

13.2.3 Sustainability 318

13.2.3.1 Definitions 318

13.2.3.2 Agenda 21 318

13.2.3.3 Sustainable Development, NEPA, and EPA 320

13.2.3.4 Business and Dow Jones Concepts of Sustainability 320

13.2.3.5 Adoption of Sustainability Policies 320

13.2.3.6 Basic Requirements 321

13.3 Methodologies for Dealing with Policy and Uncertainty 321

13.3.1 Precautionary Principle 322

13.3.2 Cost–Benefit Analysis 323

13.3.3 Robust Planning and Assessment 323

13.4 Environmental Decision-Making 324

13.4.1 Ellsberg Paradox 324

13.4.1.1 NEPA and Environmental Decision-Making 325

13.4.1.2 Dealing with Uncertainty in NEPA Documents 325

13.4.2 Decision-Making and the Delphi Method 325

13.4.2.1 The Process 326

13.4.2.2 Advantages and Disadvantages 326

13.4.2.3 NEPA and Environmental Policy 326

13.5 Environmental Economics 326

13.5.1 Cost–Benefit Analysis 327

13.5.2 Economic Surplus 327

Problems 327

References 327

Glossary 329

Appendix A 335

Appendix B 343

12.3.4 Disadvantages of Project-Specific EIAs 305

Preface

From one perspective NEPA may be seen as the capstone of national environmental policy; more

importantly, it should be viewed as the foundation for the future.

Lynton Caldwell Congressional Testimony, 1998

National Environmental Policy Act (NEPA) analyses are frequently prepared that examine every

conceivable impact, significant or otherwise, in excruciating detail, yet blatantly ignore the most

basic regulatory requirements regarding planning, decision-making, and efficiency Such practice

can lead to increased costs and delays and sometimes even to poorly planned projects This book is

not about preparing bigger analyses; it is about producing better ones

This book integrates three separate but interrelated themes into a single comprehensive

frame-work: (1) environmental planning procedures and practices, (2) NEPA, and (3) emergency response

planning As a special feature, this book provides the reader with the first comprehensive approach

using a NEPA (or a NEPA-like) process for identifying potential natural or human-induced threats

and evaluating potential consequences and alternatives; its intention is to help planners and

decision-makers in preparing for and mitigating the worst effects of potential terrorist attacks,

nat-ural disasters, and other emergencies The processes described in these chapters have widespread

implications for the ways civilian agencies, communities, and the corporate world plan and prepare

to mitigate the impacts of such threats

OBJECTIVES OF THIS BOOK

Emphasis is placed on addressing problems and dilemmas that have traditionally hindered NEPA

and other environmental planning This book is unique in that it focuses on providing practitioners

and decision-makers with state-of-the-art tools, techniques, and approaches for resolving the

fol-lowing 10 elemental problems (Top 10 Problems) encountered in environmental impact assessment

and decision-making:

Sufficiency Test—A defensible and systematic tool for determining how much information

and description are necessary or sufficient to adequately describe a topic, action, or impact

in a NEPA document (Section 2.9)

Smithsonian Solution—A defensible and streamlined tool for determining to what extent a

project can be changed (new circumstances or information) before that change triggers the need for new or supplemental NEPA documentation (Section 8.7)

Action-Impact Model—There is a great diversity in both the quality and methodologies used

to assess the environmental consequences of a proposal In professional practice, the spectrum ranges from use of no systematic methodology to employing highly complex approaches author’s action-impact model provides novices and practitioners alike with a systematic yet easy-to-use approach for assessing environmental impacts ( Section 4.4)

Integrated NEPA/ISO 14001 EMS—A systematic approach for managing implementation

of NEPA decisions An integrated NEPA/ISO 14001 environmental management system (EMS) and adaptive management system (AMS) can significantly improve project imple-mentation while reducing cost and delays (Sections 2.7 and 2.8)

Nonfederal Assessment Tool—A systematic tool for determining what constitutes a

“federal action.” This tool provides a defensible and streamlined method for consistently

determining when a nonfederal action becomes “federalized” triggering the requirements

of NEPA (Section 6.5)

Decision-Based Scoping—A decision-identification tree (DIT) in conjunction with

decision-based scoping (DBS) can result in a superior scoping process that more closely supports the agency’s final decision (Section 8.2)

Integrated Federal Planning—NEPA provides a flexible and general-purpose process

for integrating federal project or program plans, such as a pollution prevention program

or assessing potential terrorist events into a single comprehensive planning process(Chapters 4, 10, and 11)

Cumulative Impact Assessment—The significant-departure principle (SDP) provides a

systematic and defensible method for addressing the assessment of cumulative impacts and resolving the cumulative impact paradox (Section 9.3)

P-EIS Scoping (P-EIS) Tool—Programmatic EISs (P-EISs) are often bloated, lengthy, and

costly This defensible and streamlining tool provides a systematic technique for ing the appropriate scope of a P-EIS (Section 8.8)

determin-Risk–Uncertainty Significance Test—One of the most difficult challenges in assessing the

significance of an impact is determining when a very low probability event with potentially high or catastrophic consequences is significant and must be evaluated in an EIS This test provides decision-makers and practitioners with a systematic and defensible procedure for determining significance based on the severity and frequency of an event (Section 10.6)

The subject matter has been carefully organized to assist the reader in locating issues, problems,

and topics of interest in a quick and effective manner Some of the important features that

distin-guish this book include, but are not limited to, the following:

Describing NEPA and environmental planning from the perspective of a true planning process as opposed to simply conducting a document preparation effort A step-by-step approach is used to provide a detailed description of the entire environmental and NEPA planning process

Providing the reader with a strategic approach using a NEPA (or a NEPA-like) process for identifying threats and evaluating potential consequences and alternatives, in an effort to prepare for and mitigate the effects of potential terrorist attacks or natural disasters

Describing the latest concepts, direction, and guidance from the Council on tal Quality (CEQ), professional societies, and practitioners for improving and streamlining NEPA implementation and the field of environmental planning practice

Environmen-AUDIENCE

This book is designed for use by beginners and experts alike It begins with fundamental elements

and advances progressively into more complex issues in later chapters Professionals interested in

streamlining or improving the effectiveness of their environmental planning processes will find this

text particularly useful

The book is also aimed at professionals in government and consulting, and those in the private

sectors who are involved in some way with NEPA and project planning and who seek to master it

NEPA practitioners may use the book as a resource to review quickly any issues of special

inter-est The book provides a comprehensive examination of all key NEPA planning and compliance

requirements

The organization of the book equally lends itself to individuals who desire a step-by-step

intro-duction to the disciplines of NEPA and environmental planning Each chapter includes a list of

questions or problems that make the book an ideal text for use in undergraduate and graduate

envi-ronmental and planning classes

Chapters 10 and 11 provide government and corporate planners and managers with a detailed

process for identifying threats and evaluating potential consequences and alternatives for

imple-menting an emergency response and recovery program Taken together, these chapters describe

the process for preparing emergency response plans for mitigating the impacts of terrorist attacks,

accidents, and natural disasters

Professionals, individuals, and groups who will find this book interesting include

environmen-tal planners, project engineers, analysts, scientists, regulators, decision-makers, students and

educa-tors, and lawyers Citizen and advocacy groups involved in NEPA compliance issues will also find

this book particularly useful in their role of reviewing and perhaps challenging an agency’s NEPA

compliance process

If you have technical questions or issues, or need assistance, you may contact the author at

env_planning@msn.com

Charles H Eccleston

Acknowledgments

The author is indebted to the many people who reviewed and provided comments on this book

Although space constraints make it difficult to mention all individuals by name, I would like to call

attention to the following professionals

Peyton Doub, a biologist, seasoned NEPA practitioner, and close associate, performed a review

of Chapter 7

I am indebted to Victoria Leighton, a recognized expert on Business Continuity Planning, who

wrote Chapter 11 of this book

Many thanks go to Professor Daniel Mandelker, author of the textbook NEPA Law and

Litiga-tion Dr Mandelker conducted a legal review on much of this book and provided detailed comments

on Chapters 5, 6, and 9

Keith Bradley (president of KBA Enviroscience, Inc.), who teaches environmental law and

reg-ulatory classes around the country, provided a thorough critique of Chapter 4

Matthew McMillen, a particularly well-qualified expert in NEPA practice, performed an

in-depth review of the Preface, Introduction, and Chapters 1, 2, and 8 As in the past, Mr McMillen

made many improvements to the quality and accuracy of this text

Many thanks go to Donald Sayre, author of the celebrated text Inside ISO 14000 (St Lucie

Press) and an internationally respected expert on ISO 14001, who reviewed Chapter 2, with

empha-sis on the integrated NEPA/ISO 14001 methodology He also reviewed Chapter 13 and contributed

to the sections on root-cause analysis (Chapter 2) and sustainability (Chapter 13)

I am indebted to Dr Robert Smythe, owner and principal of Potomac Resource Consultants

and a former senior staff member of the President’s Council on Environmental Quality (CEQ)

Dr Smythe reviewed and contributed important comments on Chapters 12 and 13

Special thanks go to Fred March of Sandia National Laboratories, who is the author of two

widely read books on NEPA A friend and close associate, he reviewed and provided important

comments on Chapters 3 and 10

Particular mention goes to Wendy Read, a close associate of the late Dr Lynton Caldwell, who

performed a painstaking review of the entire manuscript, edited the draft document and corrected

technical errors, and provided numerous suggestions for improving the book

I am indebted to my late friend and mentor, Professor Lynton Caldwell, the father of NEPA,

who wrote the early endorsement to the publisher for the draft manuscript before he passed away

Finally, special thanks go to my wife, Alicia, who provided inspiration, support, and technical

assistance in preparing this book