Source: https://www.fhwa.dot.gov/map21/qandas/qasect1306.cfm
Timestamp: 2019-01-21 23:50:26
Document Index: 734995206

Matched Legal Cases: ['§ 139', '§ 139', '§ 139', '§ 139', '§ 139', '§ 308', '§ 139', '§ 1536', '§ 1536', '§ 1344', '§ 403', '§ 1413', '§ 408', '§ 1801', '§ 535', '§ 1342', '§ 317', '§ 1278', '§ 317', '§ 139']

These Questions and Answers (Qs & As) are guidance to Federal Highway Administration (FHWA) and Federal Transit Administration (FTA) personnel in carrying out their responsibilities under the financial penalty provisions in Section 1306 of the Moving Ahead for Progress in the 21st Century Act (MAP-21) (23 U.S.C. § 139(h)(6)). The FHWA/FTA encourage early coordination and open and frequent communication among project partners, so that the circumstances that require the penalty-rescission of funds by a Federal agency of jurisdiction-can be avoided. This can be accomplished through strong partnerships and effective coordination efforts that may be established from the start of the environmental review process to avoid later delays. The FHWA/FTA environmental review process (23 U.S.C. § 139) provides multiple opportunities and tools for an integrated and effective review process, including the establishment of participating agencies, interagency Memoranda of Understanding/Agreements, and coordination and concurrence points for key decisions that influence the approvals required under the National Environmental Policy Act (NEPA) and other Federal laws (see http://environment.fhwa.dot.gov/strmlng/index.asp). Coordination plans and meetings encourage the early and frequent exchange of information and ideas, and assist in identifying the milestones-and potential bottlenecks-in a project's review process. These tools and approaches are further encouraged by NEPA, its implementing regulations (e.g. , establishing Federal lead agency, cooperating agencies, early coordination), and many Federal environmental requirements and regulations that encourage early coordination with Reviewing Agencies and integration of NEPA and other Federal environmental review requirements.
This guidance applies to those potentially rare instances where a decision on a permit, license, or other approval is not made within the deadlines established in 23 U.S.C. § 139(h)(6).
The financial penalty provision contained in MAP-21 Section 1306 and codified at 23 U.S.C. § 139(h)(6) establishes timeframe requirements for permits, licenses, and other approval decisions triggered under any applicable Federal law for highway projects, public transportation capital projects, or multimodal[1] projects that also require the preparation of an environmental impact statement (EIS) or an environmental assessment (EA) under FHWA/FTA's NEPA procedures. This section directs a "Federal agency of jurisdiction over an approval" (Reviewing Agency) to "complete any required approval on an expeditious basis using the shortest existing applicable process" and specifies financial penalties that may be applied when a Reviewing Agency does not render a decision by the applicable deadline.
Specifically, a Reviewing Agency must make a decision within 180 days from the later of (1) the date FHWA/FTA issues a Finding of No Significant Impact (FONSI) or Record of Decision (ROD), or (2) the date on which an application for the permit, license, or approval is complete[2] (see Q & A 5 for discussion of "complete application"). The office of the head of a Reviewing Agency that does not render a decision by the 180-day deadline will be subject to a rescission of funding on the 181st day and each week thereafter until the Reviewing Agency makes a decision, unless FHWA/FTA certifies that the failure to decide was not the fault of the Reviewing Agency (see Q & A 12). The rescission amount is equal to $20,000 per week if the project will be funded under Title 23 of the U.S. Code and is estimated to cost more than $100 million,[3] or $10,000 per week for any other projects requiring an EA or EIS.
A Reviewing Agency has 180 days to render a decision from the later of FHWA/FTA's issuance of a FONSI or a ROD, or the date on which an application or formal request[5] for the permit, license, or approval is complete. For example, if the Reviewing Agency receives a complete permit application from an applicant prior to issuance of the ROD, the Reviewing Agency would have the length of time between the receipt of the complete application and the issuance of the ROD, in addition to the 180 days following the date FHWA/FTA issues the ROD, to make its decision. Conversely, if FHWA/FTA has already issued the ROD when the Reviewing Agency receives a complete permit application, the Reviewing Agency would have 180 days from the confirmed receipt of a complete application to render a decision. The receipt confirmation could be in the form of a return receipt from the U.S. Postal Service, delivery confirmation from private courier, or electronic receipt for web-based or email submissions.[6]
The 180-day clock begins on the day of confirmed receipt of a complete application or formal request to the Reviewing Agency. While agencies differ in their procedures to determine completeness,[7] that determination would be completed within the 180-day review deadline. If the determination of completeness indicates that information is missing, then the 180-day deadline would not have started, and the Reviewing Agency would communicate to FHWA/FTA and the project applicant what information is necessary to complete its application or formal request. If the determination of completeness indicates that the project application or formal request is complete as submitted, then the 180-day deadline would have begun on the date of confirmed receipt. If an Agency does not have a protocol for reviewing an application or formal request for completeness and notifying the applicant of their determination, then FHWA/FTA will assume completeness and, absent notification of incompleteness within 30 days, the start date would be the date of confirmed receipt.
As it is the responsibility of the Reviewing Agency to make rescissions or request a no-fault certification (see Q & A 12 for a discussion on no-fault certifications), it is the Reviewing Agency's responsibility to make the determination of whether an application or formal request for a permit, license, or other approval is complete and track the 180-day period for their review.[8] Several permits, licenses, and other approvals have clearly defined requirements for determining completeness. Appendix A provides a table with some of the most commonly encountered or significant permits, licenses, and approvals that could be subject to the MAP-21 financial penalty provision, although it is not an exhaustive list. The table contains information on the requirements for these approvals and, where available, the timeframes in which the Reviewing Agency determines if a submittal is complete.[9]
If a Reviewing Agency does not define a complete application or formal request in its regulations or provide a timeframe for determining completeness, FHWA/FTA will presume completeness, and the 180-day review period will begin on the day of confirmed receipt of an application or formal request by the Reviewing Agency, unless the Reviewing Agency notifies FHWA/FTA and the applicant within 30 days of receipt that the application or formal request is incomplete. A notification that the application or formal request is incomplete should describe what information is needed to make it complete. The project sponsor, agency, or other entity seeking funding or approval for a project should notify FHWA/FTA (with a copy to the Reviewing Agency) when it has submitted an application or formal request to the Reviewing Agency. The Reviewing Agency should provide the applicant/requester certification of receipt, acknowledging that, absent its determination of incompleteness within 30 days, the Reviewing Agency will render a decision within 180 days. If the Reviewing Agency deems the application or formal request incomplete, the applicant should address the deficiency. The 180-day review period would then begin upon the date of confirmed receipt of the requested information with the same process described above as for the initial application or formal request.
FHWA/FTA and Reviewing Agencies may establish guidelines (e.g. , checklists) to facilitate a common understanding of the requirements for a complete application or formal request for the typical permits, licenses, and other approvals associated with the projects covered by 23 U.S.C. § 139(h)(6).
6. What happens with the timeframe to make a decision under the various possible scenarios encountered when applying for a permit, license, or other approval?
Prior to the FONSI or ROD, an application or formal request is confirmed received and determined complete by Reviewing Agency.
180 days to render decision after FONSI or ROD.
The starting date for the statutory timeframe is the day FHWA/FTA issues a FONSI or a ROD for the project.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, determined complete by Reviewing Agency within timeframe provided in the statute or regulation of the approval.
180 days to render decision from the date of confirmed receipt.
The starting date for the statutory timeframe is the day of confirmed receipt of the application or formal request.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, the Reviewing Agency does not communicate to the applicant and FHWA/FTA on its completeness, and the statute or regulation of the approval prescribes timeframe for completeness determination.
If the Reviewing Agency has clearly defined requirements to determine completeness, the statutory timeframe will begin once the Reviewing Agency has made their determination in accordance with their requirements. Absent such requirements, the starting date for the statutory timeframe is the day of confirmed receipt of the application or formal request, which is assumed to be complete.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, the Reviewing Agency does not communicate to the applicant and FHWA/FTA on its completeness, and there is no statutory or regulatory timeframe for completeness determination.
The starting date for the statutory timeframe is the day of confirmed receipt of application or formal request, which is assumed to be complete unless the Reviewing Agency notifies the applicant and FHWA/FTA of incompleteness within 30 days.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, the Reviewing Agency determines the application or formal request is incomplete, and communicates insufficiencies to the applicant and FHWA/FTA.
180 days does not start.
In these situations, the applicant would need to supplement application or formal request. The 180-day deadline does not start until a complete application or formal request is submitted.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, the Reviewing Agency either communicates that it is complete or is silent on completeness, the 180-day clock has started, but it is subsequently determined that additional information is needed from applicant to meet regulatory requirements of the approval.
Time is suspended from request of additional information until the additional information is submitted.
The Reviewing Agency will specify to the applicant and FHWA/FTA the information needed. The timeframe is stopped on the day the Reviewing Agency formally requests the additional information and resumes upon confirmed receipt of the requested information with the same process for determining completeness as described for the initial application or formal request.
After FHWA/FTA issue a FONSI or ROD, an application or formal request is confirmed received, the Reviewing Agency either communicates that it is complete or is silent on completeness, but it is later determined that additional information is needed from third party (State, Federal, local agency).
Time is suspended from notification to FHWA/FTA until additional information is obtained.
The Reviewing Agency will specify to the applicant and FHWA/FTA the information/decision needed from third party. The timeframe is stopped on the day the Reviewing Agency gives notice to the applicant and FHWA/FTA of the deficiency and resumes upon confirmed receipt of the requested information with the same process for determining completeness as described for the initial application or formal request.
After FHWA/FTA issue FONSI or ROD, an a application or formal request is confirmed received, the Reviewing Agency either communicates that it is complete or is silent on completeness, but significant new information or circumstances arise that warrant consideration.
Restart of timeframe.
FHWA/FTA/applicant inform the Reviewing Agency (or vice versa) of significant new information or circumstances. The 180 days restart upon confirmed receipt of new information to the Reviewing Agency.
Table 1 - Scenarios and effects to timeframe to make a decision under Section 1306
The financial penalty provisions could apply to FHWA/FTA-funded projects that would take place within Federal lands and require decisions from a Federal land management agency after the issuance of a FONSI or ROD by FHWA/FTA. Decisions include issuance of special use permits, access authorizations, easement deeds for use of Federal land, and rights-of-way. The financial penalty provisions would not apply to Federal land management agency-funded projects designed or constructed by FHWA under 23 U.S.C. § 308.
9. How will disputes related to the review, license, or approval be handled?
It is up to each Reviewing Agency to determine, in accordance with Office of Management and Budget (OMB) policy, how it will implement rescissions in accordance with the specific provisions in the statute (e.g. , the annual limit on rescissions and the prohibition on reprogramming funds).
11. Can FHWA/FTA waive the financial penalty?
401 Clean Water Act certification;
State Historic Preservation Officer or Tribal Historic Preservation Officer concurrence on a no effect or adverse effect determination under Section 106 of the National Historic Preservation Act;
Coastal zone consistency determination by a coastal zone management agency;
Stormwater Pollution Prevention Plan permit from an environmental quality agency;
Tribal concurrence for roads under the Tribal Transportation Program.
FHWA/FTA will make the no-fault certification on or as soon as possible after the 180th day following the later date of FHWA/FTA issuing a FONSI or a ROD, or the Reviewing Agency receiving a complete application or formal request. Generally, FHWA/FTA will not issue a no-fault certification prior to the 180th day, allowing the Reviewing Agency the full time period to make its decision. However, FHWA/FTA may issue a no-fault certification prior to the 180th day when it is clear that the Reviewing Agency cannot make its decision before the 180-day deadline due to circumstances that justify the certification. The Reviewing Agency should notify FHWA/FTA in writing of the expected delay as soon as possible and provide sufficient information so that FHWA/FTA can certify that the Reviewing Agency's failure to make a decision was no fault of the agency. FHWA/FTA will notify the Reviewing Agency if additional information is necessary and identify what is needed for FHWA/FTA to make a no-fault determination.
No. The purpose of the financial penalty provisions is to ensure a timely decision by a Reviewing Agency on a complete application or formal request for a permit, license, or other approval for a highway, public transportation capital project, or multimodal project. This provision did not provide the flexibility to grant extensions.
17. Would FHWA/FTA enforce the assessment of financial penalties?
Below is a list of the most frequent or significant permits, licenses, or other approvals that are required for highway projects, public transportation capital projects, or multimodal projects. This is not necessarily a complete list of approvals that will be needed for such projects. As indicated in the Qs & As above, it is expected that most of these decisions will be made as part of the NEPA review process before a decision document is finalized and therefore would not be affected by the financial penalty provisions. This table should be used as a reference for those situations where a permit, license, request, or other approval under the listed authorities occurs after the ROD or FONSI. With regard to the "Statutory or Regulatory Timeframe for Decision," it is important to remember that the financial penalties contained in 23 U.S.C. § 139(h)(6) are only triggered after passing the 180-day point, even if another statutory or regulatory requirement calls for a shorter deadline.
Permit, License, Approval
Statutory or Regulatory Timeframe for Decision
Letter of Concurrence (Informal Consultation) Letter U.S. Fish and Wildlife Service/National Marine Fisheries Service ESA, Sec. 7
16 U.S.C. § 1536 50 CFR 402.12(f) and 50 CFR 402.13 30 days from receipt of biological assessment
(50 CFR 402.12(j)) N/A
Biological Opinion (Formal Consultation) U.S. Fish and Wildlife Service/National Marine Fisheries Service ESA, Sec. 7
16 U.S.C. § 1536 50 CFR 402.14(c) 30 days from receipt of request to initiate formal consultation
Discharges of dredged or fill material (Sec. 404 Permit) U.S. Army Corps of Engineers Clean Water Act, Sec. 404
33 U.S.C. § 1344 33 CFR 325.1(d) and 325.3(a) 15 days from receipt of application (33 CFR 325.2(a)(1)-(2)) 60 days after receipt of a complete application with exceptions (33 CFR 325.2(d)(3))
Obstructions to navigable waters (Sec. 10 Permit) U.S. Army Corps of Engineers Rivers and Harbors Act, Sec. 10
33 U.S.C. § 403 33 CFR 325.1(d) and 325.3(a) 15 days from receipt of application (33 CFR 325.2(a)(1)-(2)) 60 days after receipt of a complete application with exceptions (33 CFR 325.2(d)(3))
Ocean disposal of dredged material (Sec. 103 Permit) U.S. Army Corps of Engineers Marine Protection, Research, and Sanctuaries Act, Sec. 103
33 U.S.C. § 1413 33 CFR 325.1(d) and 325.3(a) 15 days from receipt of application (33 CFR 325.2(a)(1)-(2)) 60 days after receipt of a complete application with exceptions (33 CFR 325.2(d)(3))
Alteration or modification of a Federal project (Sec. 408 approval) U.S. Army Corps of Engineers 33 U.S.C. § 408 N/A N/A N/A
No adverse effect to essential fish habitat, or
Essential Fish Habitat Conservation Recommendations National Marine Fisheries Service Magnuson-Stevens Fishery Conservation and Management Act
16 U.S.C. §§ 1801â€“1884 50 CFR 600.920(e) N/A 30 days from receipt of application for abbreviated procedures (50 CFR 600.920(h)(4)) 60 days from receipt of application for expanded procedures (50 CFR 600.920(i)(4))
Bridge Permit U.S. Coast Guard Rivers and Harbors Act , Sec. 9
33 U.S.C. § 535 Bridge Permit Application Guide, http://www.uscg.mil/hq/cg5/
cg551/CP_16591_3C.pdf Within 30 days of receipt of the application, Coast Guard sends letter to applicant requesting any additional information if required. N/A
National Pollutant Discharge Elimination System Permit- for Stormwater Discharges from Construction Activities Environmental Protection Agency Clean Water Act Sec. 402
33 U.S.C. § 1342 40 CFR 122.21 and 122.26 As specified in the permit. N/A
Highway Easement Deed for the use of park lands for Federal Aid highways/roads FHWA for the National Park Service (NPS) 23 U.S.C. §§ 317 and 107(d) Official letter of request from FHWA to NPS for use of park land, includes executed and approved compliance documents. N/A 4-month period after receipt of letter of request for NPS to approve or deny the request.
Wild and Scenic Rivers Act Consistency (Sec. 7 Determination) U.S. Forest Service (USFS)/
Bureau of Land Management/ U.S. Fish and Wildlife Service WSR Act, Sec. 7
(16 U.S.C. § 1278) 36 CFR 297.4 (USFS) N/A Not Applicable
Letter of Consent Bureau of Land Management (BLM) 23 U.S.C. §§ 317 and 107(d Official written request for appropriation, accompanied by a map showing the location of lands it desires to appropriate, a statement of its determination, a copy of the EA, and/or EIS N/A 120 days after receipt of the request and attachments, the BLM will review the material and notify the FHWA, in writing, either (a) that the appropriation would be contrary to the public interest or inconsistent with the proposes for which the public lands or material are being managed or (b) that the BLM is in agreement, subject to conditions of adequate protection and utilization of public lands. If the BLM does not respond, such lands may be considered appropriated by FHWA
[1] 23 U.S.C. § 139(a)(5) establishes that a multimodal project is a project funded, in whole or in part, under Title 23 or Chapter 53 of Title 49 and involving participation of more than one Department of Transportation Operating Administration.