Court Opinion

ID: 9461261
Source: CourtListenerOpinion
Date Created: 2023-08-04 22:09:52.12009+00
Date Added: 2024-06-11T17:36:58.230083
License: Public Domain

CHOY, Circuit Judge
(concurring):
I concur with my Brothers Wallace and Lydick in all of the foregoing majority opinion save that portion of it fixing the date of final design approval by the Secretary of Transportation as the controlling criterion for determining the applicability of NEPA to ongoing highway projects. Withal, I concur in the result reached by them affirming the judgment of the district court.
It strikes me as too mechanical, as well as wrong, to peg the date of final design approval for the purpose of applying NEPA to a highway project such as is involved here. I prefer the approach adopted in a number of recent decisions which determine the application of § 102(2)(C) of NEPA, 42 U.S.C. § 4332, not solely on the basis of the date of final design approval, but according to Council on Environmental Quality (CEQ) guidelines. Northside Tenants’ Rights Coalition v. Volpe, 346 F.Supp. 244 (E.D.Wis.1972); Indian Lookout Alliance v. Volpe, 345 F.Supp. 1167 (S.D.Iowa 1972); Southern Vermont, Inc. v. Volpe, 343 F.Supp. 761 (DVt.1972); Environmental Law Fund v. Volpe, 340 F.Supp. 1328 (N.D.Cal. 1972); Morningside-Lenox Park Asso*1372ciation v. Volpe, 334 F.Supp. 132 (N.D. Ga.1971).
As related in the majority opinion, CEQ, the watchdog created by NEPA, issued guidelines requiring all federal agencies to comply with. section 102(2)(C) to the máximum extent practicable, 36 Fed.Reg. 7727 (1971); and pursuant to a CEQ mandate that each agency develop its own formal procedures delineating when environmental impact statements were required, the Department of Transportation issued PPM 90-1 on August 24, 1971.
The guidelines require two distinct evaluations prior to the application of § 102(2)(C) to a federal highway project initiated prior to January 1, 1970. First, there must be further major federal action having a significant effect on the environment occurring after January 1, 1970. Second, preparation of an environmental impact statement must be practicable.
Federal participation in a highway project is not terminated when final design approval is given by the Secretary of Transportation. Design approval merely marks the completion of the third stage of a project.1 Title 23 specifies numerous additional steps which must be taken by the federal government. States often request that the Secretary of Transportation aid in the acquisition of rights-of-way.2 The Secretary must enter into a formal project agreement with the state concerning construction and maintenance.3 This agreement must include clauses as to use of and access to rights-of-way.4 The federal government plays an important role in regulating letting of contracts *1373for a federally financed highway.5 Actual construction cannot begin without final inspection and approval6 nor is a state entitled to payment without the approval of the Secretary.7 Federal participation permeates virtually every *1374aspect of a highway project. The Secretary does not merely monitor a highway project to assure compliance with statutory and contractual requirements but supervises contracting, construction, maintenance, and, in numerous instances, directly acquires rights-of-way. In the case before us, major federal action having a significant effect on the environment, in the form of the above statutorily prescribed steps, did occur after January 1, 1970.
Assuming that the first requirement of the CEQ guidelines is satisfied, we should consider whether it would be practicable to halt the construction of the highway segment involved while an impact statement is being prepared. We should examine the four factors suggested in Environmental Fund v. Volpe, supra at 1334-1335 of 340 F.Supp.: (1) the participation of the local community in the planning of a project; (2) the extent to which the state agency involved has attempted to take environmental factors into account in regard to a particular project; (3) the likely harm to the environment if the project is constructed as planned; and (4) the cost to the state of halting construction while it compiles an environmental impact statement.
The record reveals that the local community did participate extensively in the planning of the Richards Road to Lake Sammamish segment of 1-90. Robins-wood itself was consulted on at least three occasions and made a suggestion which was later adopted. The state did take environmental factors into consideration and prepared a report concerning social, economic and environmental factors as required by PPM 20-8, 23 C.F.R. Appendix A (1969). Though the report alone was not sufficient, these very issues were discussed at the combined corridor and highway design public hearing. The burden was on the appellants to establish the harm to the environment and this burden was not sustained by merely offering unsubstantiated allegations of potential damage. Finally, the State of Washington produced affidavits which estimated the potential loss because of inflation and breach of contract at $700,000 plus. An environmental statement is not practicable.
I would hold that under the CEQ guidelines an environmental statement is not required.
Contrary to the belief of the majority that deviating from the date of final design approval as the peg date would contravene our holding in San Francisco Tomorrow v. Romney, 472 F.2d 1021 (9th Cir. 1973), I discern no inconsistency in my position here and that holding. In San Francisco Tomorrow, we found that “[w]hen the National Environmental Policy Act became effective on January 1, 1970, the federal involvement in the Yerba Buena Project was virtually complete. In fact, for purposes of NEPA, major federal action had terminated on December 2, 1966 when HUD became contractually obligated to the San Francisco Redevelopment Agency for the loan and grants.” And we held that monitoring the municipality’s execution of the project to assure HUD that the undertakings of the December 2, 1966 contract were fulfilled involved no further major federal action. 470 F.2d at 1025. We were careful to distinguish decisional law in highway cases as misplaced when applied on this issue in *1375urban renewal cases, pointing out other stages besides the design phase at which the NEPA impact statement should be filed, id.
Here, as I point out above, there were some four major federal actions following the date of design approval of this ongoing highway project. I would affirm the district court’s holding that an impact statement was not required, but for the reasons stated above, not because final design approval had been given prior to the effective date of NEPA.

. See majority opinion, n. 1.

. 23 U.S.C. § 107 provides in pertinent part as follows:
§ 107. Acquisition, of rights-of-way — Interstate System
(a) In any ease in which the Secretary is requested by a State to acquire lands or interests in lands (including within the term “interests in lands”, the control of access, thereto from adjoining lands) required by such State for right-of-way or other purposes in connection with the prosecution of any project for the construction, reconstruction, or improvement of any section of the Interstate System, the Secretary is authorized, in the name of the United States and prior to the approval of title by the Attorney General, to acquire, enter upon, and take possession of such lands or interests in lands by purchase, donation, condemnation, or otherwise in accordance with the laws of the United States (including the Act of February 26, 1931, 46 Stat. 1421), if—
(1) the Secretary has determined either that the State is unable to acquire necessary lands or interests in lands, or is unable to acquire such lands or interests in lands with sufficient promptness ; and
(2) the State has agreed with the Secretary to pay, at such time as may be specified by the Secretary an amount equal to 10 per centum of the costs incurred by the Secretary, in acquiring such lands or interests in lands, or such lesser percentage which represents the State’s pro rata share of project costs as determined in accordance with subsection (c) of section 120 of this title.

. 23 U.S.C. § 110 provides as follows:
§ 110. Project agreements
(a) As soon as practicable after the plans, specifications, and estimates for a specific project have been approved, the Secretary shall enter into a formal project agreement with the State highway dejjartment concerning the construction and maintenance of such project. Such project agreement shall make provision for State funds required for the State’s pro rata share of the cost of construction of such project and for the maintenance thereof after completion of construction.
(b) The Secretary may rely upon representations made by the State highway department with respect to the arrangements or agreements made by the State highway department and appropriate local officials where a part of the project is to be constructed at the expense of, or in cooperation with, local subdivisions of the State. Pub.L. 85-767, Aug. 27, 1958, 72 Stat. 894.

. 23 U.S.C. § 111 provides as follows :
§ 111. Agreements relating to use of and access to rights-of-way — Interstate System
All agreements between the Secretary and the State highway department for the construction of projects on the Interstate System shall contain a clause providing that the State will not add any points of access to, or exit from, the project in addition to those approved by the Secretary in the plans for such project, without the prior approval of the Secretary. Such agreements shall also contain a clause providing that the State will not permit automotive service stations or other commercial establishments for serv*1373ing motor vehicle users to be constructed or located on tlie riglits-of-way of the Interstate System. Such agreements may, however, authorize a State or political subdivision thereof to use or permit the use of the airspace above and below the established grade line of the highway pavement for such purposes as will not impair the full use and safety of the highway, as will not require or permit vehicular access to such space directly from such established grade line of the highway, or otherwise interfere in any way with the free flow of traffic on the Interstate System. Pub.L. 85-767, Aug. 27, 1958, 72 Stat. 895; Pub.L. 87-61, Title I, § 104(a), June 29, 1961, 75 Stat. 122.

. 23 U.S.C. § 112 provides as follows:
§ 112. Lettint/ of contracts
(a) In all cases where the construction is to be performed by the State highway department or under its supervision, a request for submission of bids shall be made by advertisement, unless some other method is approved by the Secretary. The Secretary shall require such plans and specifications and such methods of bidding as shall be effective in securing competition.
(b) Construction of each project, subject to the provisions of subsection (a) of this section, shall be performed by contract awarded by competitive bidding, unless the Secretary shall affirmatively find that, under the circumstances relating to such project, some other method is in the public interest. All such findings shall be reported promptly in writing to the Committees on Public Works of the Senate and the House of Representatives. Contracts for the construction of each project shall be awarded only on the basis of the lowest responsive bid submitted by a bidder meeting established criteria of responsibility. No requirement or obligation shall be imposed as a condition precedent to the award of a contract to such bidder for a project, or to the Secretary’s concurrence in the award of a contract to such bidder, unless such requirement or obligation is otherwise lawful and is specifically set forth in the advertised specifications.
(c) The Secretary shall require as a condition precedent to his approval of each contract awarded by competitive bidding pursuant to subsection (b) of this section, and subject to the provisions of this section, a sworn statement, executed by, or on behalf of, the person, firm, association, or corporation to whom such contract is to be awarded, certifying that such person, firm, association, or corporation has not, either directly or indirectly, entered into any agreement, participated in any collusion, or other-wise taken any action in restraint of free competitive bidding in connection with such contract.
(d) No contract awarded by competitive bidding pursuant to subsection (b) of this section, and subject to the provisions of this section, shall be entered into by any State highway department or local subdivision of the State without compliance with the provisions of this section, and without the prior concurrence of the Secretary in the award thereof.
(e) The provisions of this section shall not be applicable to contracts for projects on the Federal-aid secondary system in those States where the Secretary has discharged his responsibility pursuant to section 117 of this title. Pub.L. 85-767, Aug. 27, 1958, 72 Stat. 895.

. 23 U.S.C. § 114 provides in pertinent part as follows:
§ 114. Construction
(a) The construction of any highways or portions of highways located on a Federal-aid system shall be undertaken by the respective State highway departments or under their direct supervision. Except as provided in section 117 of this title, such construction shall be subject to the inspection and approval of the Secretary. The construction work and labor in each State shall be performed under the direct supervision of the State highway department and in accordance with the laws of that State and applicable Federal laws. Construction may be begun as soon as funds are available for expenditure pursuant to subsection (a) of section 118 of this title. On any project where actual construction is in progress and visible to highway users, the State highway department shall erect such informational sign or signs as prescribed by the Secretary,'identifying the project and the respective amounts contributed therefor by the State and Federal Governments.

. 23 U.S.C. § 121 provides in pertinent part as follows:
§ 121. Payment to States for construction
(a) The Secretary may, in his discretion, from time to time as the work progresses, make payments to a State for costs of construction incurred by it on a project. These payments shall at no time' exceed the Federal share of the costs of construction incurred to the date of the voucher covering such payment plus the Federal share of the value of the materials which have been stockpiled *1374in the vicinity of such construction in conformity to plans and specifications for the project.
(b) After completion of a project in accordance with the plans and specifications, and approval of the final voucher by the Secretary, a State shall be entitled to payment out of the appropriate sums apportioned to it of the unpaid balance of the Federal share payable on account of such project.
(c) No payment shall be made under this chapter, except for a project located on a Federal-aid system and covered by a project agreement. No final payment shall be made to a State for its costs of construction of a project until the completion of the construction has been approved by the Secretary following inspections pursuant to section 114 (a) of this title.