FRA Categorical Exclusion Worksheet

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OMB No. 2130-0615

Federal Railroad Administration (FRA)

CATEGORICAL EXCLUSION WORKSHEET

For Agency Use: Categorical Exclusion Signature Approval

Date Class of Action was Determined by FRA:

Date Completed Document was Received by FRA: 

Reviewed By: Date:

Concurrence by Approving Official: Date:

For Agency Use: Section 4(f) Evaluation

Will the Project result in the use of a resource protected by 49 U.S.C. §303 [Section 4(f)] of the Department of 

Transportation Act of 1966? 

If answer is ‘YES,’ please include Section 4(f) documentation and coordination letters.

 YES NO

For Agency Use: FRA Required Mitigation

Does FRA require additional mitigation for this Project? 

If answer is ‘YES,’ please indicate additional mitigation in Section T below.

 YES NO

For Agency Use: Unusual Circumstances

Did FRA find that the Project falls within § 771.116 (b) Any action that normally would be classified as a CE 

but could involve unusual circumstances? 

If answer is ‘YES,’ please indicate under Project Description below, what FRA coordination and appropriate 

environmental studies were conducted to determine if the CE classification is proper.

 YES NO

Public reporting burden for this information collection is estimated to average 156 hour per response, including the time for reviewing instructions, 

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 

2130-0615. 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., S.E.., Washington D.C. 20590. 

 Expiration date: 01/31/2025
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Federal Railroad Administration (FRA)

CATEGORICAL EXCLUSION WORKSHEET

The purpose of this worksheet is to assist Project Sponsors in gathering and organizing materials for

environmental analysis required under the National Environmental Policy Act (NEPA), particularly for

projects that may qualify as Categorical Exclusions (CE). CEs are categories of actions (i.e. types of 

projects) that the FRA has determined, based on its experience, normally do not have a significant effect 

on the human environment and which generally do not require the preparation of either an environmental 

impact statement (EIS) or an environmental assessment (EA). Decisions to prepare EAs and EISs are 

made by FRA.

The Project Sponsor is responsible for providing FRA with a sufficient level of documentation and 

analysis to help inform FRA’s determination that a CE is the appropriate NEPA class of action.

Documentation and analysis may include background research, results of record searches, field

investigations, field surveys, and any past planning or studies.

Note: Submission of this worksheet by itself does not meet FRA’s NEPA requirements. FRA must 

make a final determination that a CE is appropriate. This worksheet also does not demonstrate 

compliance with other Federal laws that may be applicable to the Project. For questions regarding 

FRA’s NEPA requirements, please contact FRAenvironment@dot.gov.

Instructions for completing this CE worksheet are available on the FRA website at:

https://www.fra.dot.gov/Page/P0550. 

Submit the following documents along with this worksheet:

1. Map(s) or diagram(s) of the Project area that identify locations of critical resource areas,

wetlands, potential historic sites, or sensitive noise receptors such as schools, hospitals, and

residences.

2. Map(s) or diagram(s) of the proposed modifications to existing railways, roadways, and parking

facilities.

3. Copies of all agency correspondence particularly with permitting agencies.

4. Representative photographs of the Project area.

5. Any technical memoranda or report(s) developed to support this CE worksheet.

I. PROJECT DESCRIPTION

Project Sponsor Name Date 

Submitted to 

FRA

FRA Funding Program or other FRA 

Action Triggering NEPA (Unfunded)

Project Sponsor Contact Project 

Sponsor 

Phone

Project Sponsor E-mail address

Proposed Project Title (verify with FRA Regional Manager if part of a grant award and list grant 

award number)

Location (Include Street Address, City or Township, County, and State)

FRA NEPA Contact FRA NEPA Contact FRA NEPA Contact E-mail address
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Description of Project: 

Fully describe the Project. The description should focus on Project elements that may be of environmental 

concern, such as: widening an embankment to stabilize roadbed; repairing or replacing bridge pier 

foundations, extending culverts, adding rip-rap in a waterway; earthwork and altering natural (existing) 

drainage patterns and creating a 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. Also, identify the proposed construction schedule if 

known. Where applicable, fully describe the operational characteristics of the facility to be improved by the 

Project and any anticipated operational changes that may result.

Property Acquisition:

Describe the need to acquire property for the project, such as temporary easements for construction or 

permanent easements or right-of-way. Also, discuss outreach to the property owners and any concerns or 

possible opposition.

Note: A Project Sponsor must obtain authorization from FRA before acquiring property prior to 

completing the NEPA process and receiving written FRA concurrence in the NEPA 

recommendation or Federal financial participation in the Project may be jeopardized.
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II. FRA CATEGORICAL EXCLUSION

Please identify below the CE category or categories below that best fits the Project:

 Project uses FRA CE found at 23 CFR § 771.116:

[list CE number and description]

Note: If it is not clear if a CE category applies, contact FRA. The Project may require an EA or EIS. 

III. DISCUSSION OF EFFECTS

Analyze and identify potential impacts from both construction and changes to operations (where applicable) 

for each resource type below. Effects or impacts are reasonably foreseeable changes to the human 

environment, including those effects that occur at the same time and place and effects that are later in time 

or farther removed in distance from the proposed action or alternatives. Effects may be beneficial or 

detrimental. (40 CFR § 1508.1(g))

Where appropriate, the Project sponsor may commit to mitigation measures to avoid, reduce, or minimize 

impacts, including the use of Best Management Practices (BMP). Identify any mitigation measures 

necessary to comply with other laws or regulations in each section (e.g. Clean Water Act Section 404) and 

consider the impacts from mitigation.

Include reference to any technical reports, data collection methods (surveys, agency coordination), and 

compliance with applicable laws. Avoid noting specific location information about sensitive resources, 

which may include archaeological sites or threatened/endangered species.

Identify any resource topics that would not be affected by the proposed Project because the 

resource is not present in the Affected Environment. These topics do not require further 

discussion, except as noted in the corresponding section below:

Land Use (B)

Cultural Resources (C)

Parks and Recreational Facilities (D)

Transportation (E)

Noise and Vibration (F)

Air Quality (G)

Hazardous Materials and Waste (H)

Communities and Environmental Justice (I)

Waters of the US (J)

Floodplains (K)

Water Quality (L)

Navigable Waterways (M)

Coastal Zones (N)

Important Farmlands (O)

Listed Species (P)

Public Safety (Q)
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A. Affected Environment: Define the limits of the Project or analysis area and briefly describe the 

environmental conditions in and surrounding the area (defined as broadly as necessary to 

evaluate potential impacts and include maps as appropriate).

B. Land Use: Briefly describe the existing land use of the Project area and surrounding properties 

and resources and identify and discuss any potential inconsistencies the Project might have with 

local land use plans and policies.

C. Cultural Resources: Does the project include activities that have the potential to impact cultural 

resources (such as ground disturbing activities, building or landscape alterations, or the 

introduction of visual, audible or atmospheric elements)?

 Yes, explain how the Project is the type of activity that has the potential to impact cultural 

resources.

 No, explain how the Project is not the type of activity that has the potential to impact cultural 

resources. (Continue to D)

Is a Federal agency program alternative, established under Advisory Council on Historic 

Preservation regulations (36 CFR 800.14), applicable to the Project (either fully or 

partially)?

 Yes, a program alternative applies. Choose an item.

Explain applicability of the program alternative (Continue to D)

 No, there is no applicable program alternative. 

Note: Describe the: 1) Area of Potential Effects (APE); 2) identification of any cultural 

resources in the APE; 3) impact of the Project on cultural resources in the APE, if present; 

and 4) consultation with the State Historic Preservation Office. Attach relevant maps, 

correspondence, and reports.

What efforts have been made to determine if resources of interest to Federally-Recognized 

Indian Tribes are present in the Project area (e.g. archaeological sites, cultural 

landscapes, sacred places, or traditional use areas
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D. Parks and Recreational Facilities: Are any parks, wildlife and waterfowl refuges, or recreational 

areas in or directly adjacent to the Project area?

 No, include a short statement describing efforts to identify parks, wildlife refuges, and 

recreational facilities in or adjacent to the Project area.

 Yes, include a detailed description of the property, including map or drawing, describe the 

recreational uses of the property, any unique characteristics of the property, identify if the 

property or resource may be protected under Section 4f of the Department of Transportation Act, 

and discuss any coordination with the entity with legal jurisdiction over the property.

If Yes: Would the Project result in “use” of a 4f property or resource per Section 4f?

 No, explain why

 Yes, describe the potential use(s) and coordinate further with FRA on additional 

documentation requirements.

Would the Project result in other recreational impacts?

 No

 Yes, describe the potential impacts

E. Transportation: Would the Project have any effect (beneficial or adverse) on transportation 

including but not limited to other railway operations, road traffic, pedestrian, or increase the 

demand for parking?

 No, explain why the Project would have no effect (beneficial or adverse) on transportation.

 Yes, describe potential transportation, traffic, and parking impacts, and address capacity 

constraints and potential impacts to existing railroad and highway operations. Also, summarize 

any coordination that has occurred with other railroads or highway authorities whose operations 

this Project would be impacted.
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F. Noise and Vibration: Are any sensitive receptors in or near the Project area?

 No, identify the steps taken to confirm no sensitive receptors (residences, parks, schools, 

hospitals, public gathering spaces) are in or near the Project area. (Continue to G) 

 Yes, will the Project change the noise and/or vibration exposure of the sensitive receptors 

when applying the screening distances for noise and vibration assessment found in FRA’s and 

the Federal Transit Administration’s most recent noise impacts assessment guidance manuals.

Such changes in exposure might include changes in noise emissions and/or noise events, or 

changes in vibration emissions and/or vibration events.

Note: If the Project is anticipated to change the noise or vibration exposure of sensitive 

receptors, complete and attach a General Noise and/or Vibration Assessment. Describe 

the results of the Assessment and any mitigation that will address potential impacts.

G. Air Quality: Is the Project located in a National Ambient Air Quality Standard (NAAQS) NonAttainment or Maintenance area?

 No, identify any air emissions increases or benefits that the project will create.

(Continue to H)

 Yes, for which of the following pollutants:

Carbon Monoxide (CO) Ozone (O3) Particulate Matter (PM10) or PM2.5

Nitrogen Oxide (NOx) Sulphur Dioxide (SO2) Lead (Pb)

Emissions from volatile organic compounds (VOC)

Will the Project, during construction and/or operation, result in new emissions from:

Carbon Monoxide (CO), Ozone (O3), Particulate Matter (PM10 or PM2.5), Nitrogen Oxide 

(NOx,), Sulphur Dioxide (SO2) and Lead (Pb) or volatile organic compounds?

 No 

 Yes, attach an analysis showing the emissions for the applicable pollutant that would result 

from construction and operation of the Project. 

Note: In some cases, FRA will require additional information to comply with the Clean Air 

Act’s General Conformity requirements. 
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H. Hazardous Materials and Waste: Would the Project involve the use, handling, disposal, or 

disturbance of hazardous materials or waste?

 No, describe the steps taken to determine that hazardous materials or waste would not be a 

concern (continue to I)

 Yes, describe the concerns and measures that will mitigate any potential for release and 

contamination.

If yes, is it likely that hazardous materials will be encountered as a result of the Project? 

(Prior to acquiring land or a facility with FRA funds, consult with FRA regarding the 

potential presence of hazardous materials)

 No, explain why it is unlikely that hazardous materials will be encountered.

 Yes, complete a Phase I site assessment and attach.

If a Phase I survey was completed, is a Phase II site assessment recommended?

 No

 Yes, provide a copy of the Phase II site assessment and describe mitigation and clean-up 

measures to remediate any hazardous materials present identified in the Phase II site 

assessment, and describe what steps will be taken to ensure that the local community is 

protected from contamination during construction and operation of the Project.

I. Communities and Environmental Justice: Is the Project likely to result in impacts to adjacent 

communities? Impacts might be both beneficial (e.g. economic benefits) or adverse (e.g. 

reduction in community cohesion).

 No, describe the steps taken to determine whether the Project might result in impacts to 

adjacent communities. (Continue to L)

 Yes, characterize the socio-economic profile of the affected community, including the 

presence of minority or low-income populations. 

Describe any potential adverse effects to communities, including noise, visual and barrier 

effects. Indicate whether the Project could have a disproportionately high and adverse 

effect on minority or low-income populations. Describe outreach efforts targeted 

specifically at minority or low-income populations.
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J. Waters of the US.: Would the Project temporarily or permanently impact wetlands or require 

alterations to streams or waterways?

 No, describe the steps taken to determine that the Project is not likely to temporarily or 

permanently impact wetlands or require alterations to streams or waterways. (Continue to M)

 Yes, show wetlands and waters on the site map and classification. Describe the Project’s 

potential impact to on-site and adjacent wetlands and waters and attach any correspondence 

with the US Army Corps of Engineers.

Is a Section 404 Permit necessary?

 Yes, attach all permit related documentation

 No

K. Floodplains: Is any portion of the Project area located within a 100-year floodplain, a special 

flood hazard area, or regulated floodway?

 No (Continue to N)

 Yes, describe the potential for impacts due to changes in floodplain capacity or water flow, if 

any and how the Project will comply with Executive Order 11988. 

If impacts are likely, attach scale maps describing potential impacts and describe any 

coordination with regulatory entities.

L. Water Quality: Are waters of special quality or concern, or protected drinking water resources 

present at or adjacent to the Project area?

 No, describe the proximity of the project area to surface waters and the steps taken to identify 

protected waters of special quality or concern, or protected drinking water resources present at or 

adjacent to the Project area.

 Yes, describe surface and/or ground water resources and the potential for impact from the 

Project.

Is a Section 402 Permit necessary?

 Yes, attach all permit related documentation 

 No

M. Navigable Waterways: Would the Project cross or affect a navigable waterway?

 No (continue to P)

 Yes, describe potential for impact and any coordination with US Coast Guard and/or US 

Army Corps of Engineers.
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N. Coastal Zones: Is the Project in a designated coastal zone as defined in 16 U.S.C. 1453(1) or 

does it have the potential to affect coastal resources?

 No (continue to Q)

 Yes, describe coordination with the applicable coastal state(s) regarding consistency with the 

coastal zone management plan and attach the coastal state’s finding if available.

O. Important Farmlands: Would the Project impact any prime or unique farmlands?

 No, describe the steps taken to identify impacts to important farmlands.

 Yes, describe potential for impact and any coordination with the Natural Resources

Conservation Service of the US Department of Agriculture.

P. Listed Species: Does designated critical habitat overlap the Project area?

 No (continue to next question).

 Yes, identify species with critical habitat that overlaps and describe the steps taken to verify 

field conditions and the potential for impact.

Is habitat for any threatened, endangered, or other special-status species located in or 

adjacent to the Project area?

 No, describe the steps taken to determine that no special-status species would be affected.

 Yes, describe the species and their habitat and the potential for impact. 

Describe any coordination with the US Fish and Wildlife Service, National Marine Fisheries 

Service, or State, as appropriate, about the impacts to critical habitat and to threatened 

and endangered species. If additional consultation is required, contact FRA to prepare a 

biological assessment and attach it and any applicable agency correspondence. 

Q. Public Safety: Will the Project result in any public safety impacts?

 No, describe method used to determine whether the Project results in any safety or security 

impacts.

 Yes, describe the impacts to safety or security and any measures that would need to be 

taken to provide for the safe and secure operation of the Project during and after its construction.
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R. Mitigation: Describe all mitigation measure commitments as noted on CE worksheet, which 

address identified impacts that have been incorporated into the Project, if any.

What is the Project sponsor’s plan to enforce and monitor the mitigation proposed?

What are FRA’s additional mitigation requirements (if any)?

S. Public Notification: Briefly describe any public outreach efforts undertaken on behalf of the 

Project, if any. Indicate opportunities the public has had to comment on the Project (e.g., Board 

meetings, open houses, special hearings). 

Has the Project generated any public discussion or concern, even though it may be 

limited to a relatively small subset of the community? Indicate any concerns expressed by 

agencies or the public regarding the Project.

T. Other Resource Area: Use this section only if the project affects another resource area not 

otherwise listed.

U. Related Federal, State, or Local Actions: Does the Project require any additional actions (e.g., 

permits) pursuant to another Federal environmental law? Attach copies of relevant 

correspondence with Federal permitting agency. It is not necessary to attach voluminous permit 

applications if a single cover agency transmittal will indicate that a permit has been granted. 

Describe permitting issues in the relevant resource discussion above.

 Section 106 of the National Historic Preservation Act Historic Properties

 Section 401/404 of the Clean Water Act Waters of the U.S.

 Section 402 of the Clean Water Act Water Quality

 Section 9 or 10 of the Rivers and Harbors Act Navigable Waterways

 Migratory Bird Treaty Act

 Endangered Species Act Threatened and Endangered Species

 Magnuson-Stevens Fishery Conservation and Management Act Essential Fish Habitat

 Safe Drinking Water Act

 Section 4(f) Department of Transportation Act

 Section 6(f) Land and Conservation Act

 Other Federal Requirements (Describe)

 Other State or Local Requirements (Describe)