October 20, 2021

RAIL

MOVING AMERICA FORWARD

Lana Lau, Supervisory Environmental Protection Specialist (FRA)

The National Environmental Policy Act (NEPA) Process 

for Federal Grant Applicants Webinar

September 1, 2022
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Presenter

Lana Lau

Supervisory Environmental Protection Specialist, 

Office of Railroad Policy and Development
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Webinar Outline

• What is NEPA, and why is it required?

• Review types of NEPA documents used by the Federal Railroad Administration 

(FRA)

• Provide overview of FRA’s categorical exclusions (CEs)

• Discuss environmental considerations when applying for a Federal grant

• Share available resources

• Q&A
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At the end of today’s presentation, 

we hope you will have: • A clear understanding of what NEPA is and why it is required • Be better prepared to complete a competitive FRA grant application • Be better prepared to navigate the 

NEPA process if your project is 

selected for a grant

Today’s Goal
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What Is NEPA, 

and Why Is It Required?
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National Environment Policy Act (NEPA)

• Signed into Federal law on January 1st, 1970 (42 USC 4321 et seq)

• Establishes a national environmental policy and provides a framework for 

environmental planning and decision making by Federal agencies

• Procedural statute that directs Federal agencies to conduct environmental reviews 

to consider potential impacts on the environment by their proposed actions

• Established the Council on Environmental Quality (CEQ)

• Applies to all Federal agencies and their “actions”
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Agency Responsibilities

• NEPA requires decision-makers to be informed 

of the environmental consequences of their 

actions

• Through NEPA, agencies determine if their 

proposed actions will have significant 

environmental and related social and 

economic effects

• Agencies look to avoid, minimize, and mitigate 

those impacts
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Federal Actions

• At FRA, our actions are broad, and include:

o Funding (e.g., grants and loans)

o Issuing regulations (e.g., horn noise, 

safety) 

o Approving the use of new technology

• Other Federal agency actions may also 

include:

o Providing permits (e.g., use of waters of 

the U.S. Army Corps of Engineers Section 

404 permit; U.S. Coast Guard bridge 

permit)
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More than “Just NEPA”

The NEPA process or 

“umbrella” covers dozens of 

additional statutes, 

regulations, executive orders, 

and requirements. 
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NEPA Regulations 

• CEQ established NEPA regulations that apply to 

all federal agencies 

o Requires all federal agencies to assess the 

environmental effects of a proposed action 

prior to making a decision or approving a 

project (40 CFR 1500.1)

• Since 2018, FRA has shared environmental 

regulations with FHWA and FTA

• FRA/FTA/FHWA NEPA regulations can be found 

in Title 23, Code of Federal Regulations (CFR) 

771 

FHWA: Federal Highway Administration; FTA: Federal Transit Administration
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Type of NEPA Documents 

Used by FRA 
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Class of Action 

• Class of Action

o Is determined by the significance of the impacts 

o Prescribes the level of documentation required in the 

NEPA process

• Three types of NEPA documents that project sponsors 

may prepare in coordination with FRA (23 CFR 771.115):

o Categorical Exclusion (CE)

o Environmental Assessment/

Finding of No Significant Impact (EA/FONSI)

o Environmental Impact Statement/

Record of Decision (EIS/ROD)
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Type of NEPA Documents Used by FRA 

• EIS/ROD (23 CFR 771.123)

o Significant environmental impacts

o Most extensive and in-depth environmental review

o Public involvement throughout the process

• EA/FONSI (23 CFR 771.119)

o Used to determine if an EIS is needed or to document that there are no significant 

impacts, leading to FRA issuing a FONSI

o Public comment period

• CE (23 CFR 771.116)

o Types of actions based on FRA's past experience with similar actions, known to not 

have significant environmental impacts 
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Get to Know FRA’s CEs 
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FRA Categorical Exclusions

• FRA has identified 22 categories of 

actions/activities (CEs) that have been 

determined to have no significant impacts 

and do not require an EA or EIS (listed at 23 

CFR 771.116)

• FRA projects may also use CEs specific to 

FTA and FHWA (e.g., sidewalks or utility 

work)
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Get to Know FRA’s CEs

• CEs are the most common NEPA documents at FRA, with certain requirements for 

completion

• FRA CE categories (listed at 23 CFR 771.116)

o Planning and design activities

o Positive Train Control; safety and security improvements

o Track and track structure maintenance and improvement

o Minor rail line additions, new track within the right-of-way (ROW)

o Property acquisition, including safety equipment and rolling stock

o Bridge rehabilitation or replacement

o Emergency repairs

o Construction of small structures
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FRA’s CE Worksheet

Get to know FRA’s CE Worksheet

• Project purpose and need 

• Brief project description 

• NEPA study area map showing the project footprint

• Short summary of resources 

• Potential project impacts specific to your 

project area

• Include commitments to project design and other 

measures to minimize or eliminate impacts, 

if known

• Include attachments (or incorporate by reference, 

where possible) of any technical memoranda or 

reports supporting the document
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FRA’s CE Worksheet
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Environmental Considerations 

When Applying 

for a Federal Grant 
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Environmental Considerations When Applying for a Federal Grant 

• Read the NOFO carefully

• Provide as much known information about project description, project 

location, anticipated impacts, anticipated local/state/federal permits as 

possible

• FRA reviewers will be determining environmental readiness based only on 

the information provided with the application

• Provide more environmental information than less
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Environmental Considerations When Applying for a Federal Grant 

• Describe project planning done to date

• Document any past or present 

environmental studies associated to 

your proposed project in the grant 

application, including: 

o Any previously approved FRA, 

FTA, or FHWA project related to 

the grant proposal

o Any relevant permitting information, such as an Army Corps or Coast 

Guard permit (does your project cross wetlands or open water?)

• Document any past or anticipated public outreach or agency meetings 

about the proposed project, if appropriate
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Environmental Considerations When Applying for a Federal Grant 

• Consider providing a draft CE with your grant application (Track 3)

• If unable to complete draft CE worksheet, FRA recommends at a minimum 

identifying the anticipated CE category that the project may fall under (CEs 

are found at 23 CFR 771.116)

• For certain proposals not requiring ground disturbance (such as training 

and research in Track 4) simplified CE documentation may be considered

If your project does not fit clearly within a CE category, an EA or EIS might be 

needed depending on potential for significant environmental impacts
23 U.S. Department of Transportation

Federal Railroad Administration

National Historic Preservation Act

• National Historic Preservation Act (NHPA) 

o Enacted in 1966

• Section 106 of NHPA requires federal agencies to consider the impact 

of their actions on historic properties 

• Follows a decision-making process established in the Advisory Council 

on Historic Preservation’s (ACHP) regulations at 36 CFR 800

• Affords the ACHP a reasonable opportunity to comment on projects 

before implementation
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Section 106 of the National Historic Preservation Act

• Historic properties:

o Districts, sites, buildings, structures, or objects

o Generally, 50 years of age or older

o Listed in or eligible for listing in the National 

Register of Historic Places (NRHP)

• Have historic significance at the local, state, 

and/or national level

• Are associated with events, people, and/or 

cultural trends (e.g., engineering, architecture, technological advancements)

• Section 106 must consider historic properties that are listed in OR eligible for 

listing in the NRHP
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Section 106 of the NHPA

• Example of historic railroad infrastructure may include: 

o Bridges 

o Tunnels

o Culverts

• If known and within the project vicinity, these types of resources should be listed 

as part of the draft CE in the grant application

• If your project qualifies for a CE under NEPA, it still may still require consultation 

with a State Historic Preservation Officer (SHPO) 

• Assistance from a qualified consultant may be necessary to complete the process

• Must be complete prior to the obligation of FRA grant funding/FRA action and 

implementation of a project

o Passenger stations 

o Operations buildings
26 U.S. Department of Transportation

Federal Railroad Administration

Section 106 Program Comment for Rail ROW 

• Activities-Based Approach: 

o Focuses on activities with effects to historic rail properties that 

are foreseeable and minimal or not adverse

o Appendix A – Exempted Activities List 

o Effective as of August 17, 2018

• Optional Property-Based Approach: 
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Appendix A – Exempted Activities List of Program Comment for Rail ROW 

• 95 total exempted activities

• 13 category types

o Track and Trackbed

o Bridges and Tunnels

o Railroad Buildings and Boarding Platforms

o Signals, Communications, and Power Generation

o Roadway At-Grade Crossing and Grade Separations

o Safety and Security

o Erosion Control, Rock Slopes, and Drainage

o Environmental Abatement

o Operations

o Landscaping, Access Roads, and Laydown Areas

o Utilities

o Bicycle and Pedestrian Facilities, Shared Use Paths, and Other Trails

o Construction/Installation of New Railroad Infrastructure
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Section 4(f) of the USDOT Act of 1966

• Applied to USDOT funded/permitted projects

• Protects publicly owned parks, recreational facilities, wildlife refuges, and 

certain historic properties

• Section 4(f) Regulations are in 23 CFR Part 774

• If properties protected by Section 4(f) will/may be 

impacted by your proposed project, please include as 

part of the draft CE in the grant application 

• Avoidance or minimization of impacts to these 

protected properties may be necessary
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Toolbox for the 

NEPA Process at FRA 
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NEPA Resources/Links

• FRA NEPA Procedures 

https://railroads.dot.gov/rail-network-development/

environment/fra-legislation-regulations

• FRA’s Categorical Exclusion Worksheet: 

https://railroads.dot.gov/elibrary/categorical-exclusion-worksheet-0

• FRA CE Companion Guide:

https://railroads.dot.gov/elibrary/fra-categorical-exclusion-companion-guide

• U.S. DOT NEPA Resources 

https://www.transportation.gov/policy/transportation-policy/environment
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NEPA Resources/Links

• Council on Environmental Quality Website

https://ceq.doe.gov

• A Citizen’s Guide to the NEPA

• AASHTO Center for Environmental Excellence 

Practitioners’ Handbooks 

https://environment.transportation.org/resources/practitioners-handbooks/
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• Section 106 Regulations (36 CFR Part 800): 

https://www.ecfr.gov/current/title-36/chapter-VIII/part-800

• Section 106 Review Process:

https://www.achp.gov/sites/default/files/2018-

05/Section%20106%20Review%20Process.Handout.2017.jpg

• A Citizen’s Guide to Section 106 Review:

https://www.achp.gov/sites/default/files/documents/2019-04/CitizenGuide2015v4-

spreads%20layout.pdf

• Section 106 and Infrastructure Projects: 

https://www.achp.gov/section-106-and-Infrastructure-Projects

• Program Comment

https://railroads.dot.gov/rail-network-development/environment/final-section-106-

program-comment-rail-rights-way

Section 106 Resources/Links
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Helpful Hints and Key Take-Aways 

 Read the NOFO Carefully

 Provide more environmental information than less with your application

 Fully describe your project, its purpose and anticipated impacts

 Clearly describe how your project will address the climate change, 

environmental justice, and racial equity considerations in the NOFO

 If your application is selected for funding, compliance with NEPA and 

potentially several other environmental laws will be necessary

 Completing the NEPA process may require assistance of qualified consultant 

to evaluate impacts to certain resources like Wetlands, Section 106, 4(f), or 

Endangered Species Act 
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Helpful Hints and Key Take-Aways 

 Use FRA’s Categorical Exclusion Companion Guide and online resources 

contained there, to help complete the FRA CE Worksheet for the resources 

present within your project area

 Provide a draft CE with your application if possible

 Contact FRA, your Federal partner, at FRAenvironment@dot.gov with 

questions

 Fully utilize the information on FRA's website and our tips to expedite your 

environmental review process!

FRA will verify and approve NEPA once all documentation 

requirements are met after grant is awarded
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QUESTIONS?
Contact Us

Federal Railroad Administration

1200 New Jersey Avenue, SE

Washington, DC 20590

Connect with us USDOTFRA

Lana Lau

Supervisory Environmental Protection Specialist 

Federal Railroad Administration

Email: lana.lau@dot.gov

General mailbox: FRAenvironment@dot.gov