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					CATEGORICAL EXCLUSION
     EVALUATIONS




 USERS MANUAL



      FEBRUARY 2004
     Updated March 2008
                                   Categorical Exclusion Evaluation
                                            Users Manual
                                                               February 2004
                                                             Updated March 2008
        TOPIC                                                                                                                     PAGE

Table of Contents .................................................................................................................... i
List of Tables .......................................................................................................................... ii
List of Figures......................................................................................................................... ii

SECTION I - INTRODUCTION ......................................................................................... 1

SECTION II - CATEGORICAL EXCLUSION DETERMINATIONS ......................... 3
     A. Regulatory Basis for Categorical Exclusions ................................................... 3
     B. KYTC and FHWA Categorical Exclusion Agreement ................................... 3
     C. Context and Intensity Considerations for All CE Levels ............................... 4
     D. Programmatic CE Projects ............................................................................... 4
     E. Programmatic CE Processing and Documentation Procedures .................... 6
     F. Categorically Excluded Project Type Identification ....................................... 8
     G. Categorical Exclusion Levels .......................................................................... 10
         G. 1. CE Level ............................................................................................... 10
         G. 1. a. CE Level 1 Qualifying Conditions .................................................. 11
         G. 2. CE Level 2............................................................................................. 13
         G. 2. a. CE Level 2 Qualifying Conditions .................................................. 13
         G. 3. CE Level 3............................................................................................. 15
     H. Variations from Standard Practice ................................................................ 16
     I. Public Outreach............................................................................................... 16
     J. Surplus Properties........................................................................................... 16

SECTION III - COMPLETING THE CE ENVIRONMENTAL
            DETERMINATION CHECKLIST ............................................. 18
            A.     Project Information ........................................................................................ 18
            B.     Environmental Determination ....................................................................... 19
            C.     Alternatives Summary .................................................................................... 19
            D.     Comments and Coordination ......................................................................... 20
            E.     Environmental Commitments, Mitigation, Required Future
                      Actions, and Other Comments.................................................................. 20
            F.     Environmental Conditions and Consequences ............................................. 22
                   F. 1. Right-of-Way Impacts .......................................................................... 22
                   F. 2. Economic Impacts................................................................................. 23
                   F. 3. Social Impacts ....................................................................................... 23
                   F. 4. Local Land Use and Transportation Plans ........................................ 24
                   F. 5. Historic Resources ................................................................................ 26
                   F. 6. Archaeological Resources .................................................................... 28
                   F. 7. Section 4(f) ............................................................................................. 31
                   F. 8. Section 6(f) ............................................................................................. 33

                                                                               i
            F. 9. Noise Impact .......................................................................................... 34
            F. 10. Air Quality Impacts .............................................................................. 35
            F. 11. Hazardous Materials ............................................................................ 37
            F. 12. Threatened and Endangered Species .................................................. 39
            F. 13. Water Resources ................................................................................... 41
            F. 14. Construction Impacts ........................................................................... 48
         G. Procedures for Establishing Appropriate CE Levels................................... 49
         H. Re-evaluations of CE Projects........................................................................ 50
         I. Importance of the Administrative Record .................................................... 52
         J. Project Data Management .............................................................................. 53


GLOSSARY
APPENDICES

Appendix A          KYTC and FHWA Categorical Exclusion Agreement
Appendix B          Wetlands Finding
Appendix C          Categorical Exclusion Matrix
Appendix D          Categorical Exclusion Environmental Determination Checklist Form,
                    Assistance Request Form and Project Impacts Reevaluation Summary
Appendix E          Example Memo to Program Management for Programmatic CE Project
                    Notification
Appendix F          Project Purpose and Need and Logical Termini Guidance
Appendix G          Surplus Property CE Checklist Forms
Appendix H          Programmatic 4(f) Project Types
Appendix I          Air Quality PM2.5 and MSAT Exempt List & PM2.5 Checklist
Appendix J          Hazardous Materials Site/Property Types
Appendix K          USACE Public Notice: Limits of Jurisdiction
Appendix L          Advance Notification Agencies and Technical Support Data Sources

LIST OF TABLES                                                                                 PAGE
Table 1    Programmatic CE Project Identification List ........................................... 5
Table 2    CE Level 1, 2, or 3 Project Identification List ........................................... 8

LIST OF FIGURES______________________________________________________PAGE
Figure III. 1.          CE Process Flowchart .......................................... Follows page 17




                                                                    ii
I.     INTRODUCTION:

        The purpose of this Manual is to provide information and guidance for the preparation of
Categorical Exclusion (CE) determinations for Kentucky Transportation Cabinet (KYTC)
projects which are Federal actions and which meet the terms of the Categorical Exclusion
Agreement (see Appendix A) held between the Federal Highway Administration (FHWA) and
the KYTC dated August 21, 2003. Federal actions include, but are not limited to, projects which
may use federal-aid funding and/or require FHWA approval or authorization.

        This Manual, and the guidance and procedures recommended herein, has been designed
to help ensure compliance with and thorough documentation of, the processing requirements
stipulated in the CE Agreement. The development of that Agreement has created a streamlined
procedure that will reduce paperwork and processing time for certain KYTC projects. Through
the Agreement, a class of programmatic projects and three levels of CE project categories have
been established. These various classifications are based on specific project type and
circumstances, which dictate the degree of review and documentation required, and identify the
appropriate CE approval authority. Approval authority for programmatic projects and for Level
1 CEs resides with the District Offices. Approval authority for Level 2 CEs resides with the
Division of Environmental Analysis (DEA). Approval authority for Level 3 CEs resides with the
FHWA.

        Although programmatic projects and Level 1 and 2 CEs are not formally signed by the
FHWA, the FHWA retains ultimate responsibility for all CE determination documents.
Therefore, early coordination by the Districts with the DEA will be extremely important to
ensure that the FHWA is appropriately involved and that the CE classification is proper for the
project.

        This Manual is not regulatory; however, it has been prepared to document standard
methods and means by which KYTC and FHWA will ensure compliance with environmental
laws, regulations and guidance including but not limited to the following:

       The National Environmental Policy Act (NEPA) of 1969, as amended

       The Council on Environmental Quality (CEQ) Regulations for Implementing the
       Procedural Provisions of the National Environmental Policy Act (40 CFR 1500.1 et seq),
       as amended

       U.S. Department of Transportation, Environmental Impact and Related Procedures (23
       CFR 771.101 et seq), as amended

       U.S. Department of Transportation Order 5610.1C, Procedures for Considering
       Environmental Impacts



                                               1
       Federal Highway Administration, Technical Advisory 6640.8A, Guidance Material for
       the Preparation of Environmental and Section 4(f) Documents

       Federal Highway Administration, Federal Aid Policy Guide

       Federal Highway Administration, Environmental Policy Statement

       Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
       Populations and Low-Income Populations

       Executive Order 11988, Floodplain Management

       Executive Order 11990, Protection of Wetlands

       Executive Order 13112, Invasive Species

       The National Historic Preservation Act (NHPA) of 1966, as amended

       The Kentucky Antiquities Act (KRS 164.720 et seq)

       This Manual is a dynamic tool that will be revised and updated as necessary. The DEA,
in consultation with the FHWA, will issue updates whenever they are deemed appropriate. Any
questions, comments, or suggestions about this Manual should be directed to:

              Mr. David Waldner, P.E., Director
              Division of Environmental Analysis
              5th Floor
              200 Mero Street
              Frankfort, KY 40622
              Phone: (502) 564-7250
              e-mail: David.Waldner@ky.gov




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II.    CATEGORICAL EXCLUSION DETERMINATIONS:

       A.     Regulatory Basis for Categorical Exclusions

       The established criteria for determining whether or not the appropriate NEPA clearance
documentation is a CE, is based on regulatory direction promulgated under CEQ regulations and
codified in 40 CFR 1508.4, wherein it is stated:

       “Categorical Exclusion” means a category of actions which do not individually or
       cumulatively have a significant effect on the human environment and which have been
       found to have no such effect in procedures adopted by a Federal agency in the
       implementation of these regulations (Section 1507.3) and for which, therefore, neither an
       environmental assessment nor an environmental impact statement is required.

       The procedures adopted by the FHWA for implementation of the CEQ regulations, are
codified in 23 CFR 771.117, wherein it is stated:

       Categorical exclusions (CEs) are actions which meet the definition contained in 40 CFR
       1508.4, and, based on past experience with similar actions, do not involve significant
       environmental impacts. They are actions which: do not induce significant impacts to
       planned growth or land use for the area; do not require the relocation of significant
       numbers of people; do not have a significant impact on any natural, cultural,
       recreational, historic, or other resource; do not involve significant air, noise, or water
       quality impacts; do not have significant impacts on travel patterns; or do not otherwise,
       individually or cumulatively, have any significant environmental impacts.

       B.     The KYTC and FHWA Categorical Exclusion Agreement

        Under the authority of the Transportation Equity Act for the 21st Century (TEA-21) and
the Environmental Streamlining National Memorandum of Understanding of 1999, and
consistent with the FHWA and KYTC Interagency Consensus on Streamlining the NEPA
Process for Transportation Projects, the FHWA and the KYTC have entered into a Categorical
Exclusion Agreement (CE Agreement - see Appendix A) for the processing of CE actions as
defined in 23 CFR 771.117. Section 1309 of TEA-21 calls for a coordinated environmental
review process that will expedite Federal highway projects, by reducing unnecessary project
delays, in a manner which reinforces responsibilities to protect the environment.

        The CE Agreement between the FHWA and KYTC (see Appendix A), establishes the
basis for procedures which will reduce processing time and reduce unnecessary project delays,
for projects meeting the criteria defined in 23 CFR 771.117, without compromising
environmental quality. Through the execution of the CE Agreement, the FHWA and the KYTC
have agreed to a streamlined review and approval process for CE projects. The first streamlining
element of the CE Agreement provides the authorization for the KYTC to act on behalf of the
FHWA and delegates approval authority to the KYTC for certain CE projects. The second


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streamlining element of the process, is the provision for an expedited approach for documenting
actions which historically and consistently have not resulted in any significant environmental
effects. In carrying out the CE Agreement, the KYTC and the FHWA have agreed to the
establishment of four types of CE projects, a listing of programmatic project actions and three
levels of review and approval. The appropriate level of CE is determined based on the type of
action and the impact of the project.

       C.      Context and Intensity Considerations for All CE Levels

        Key elements in determining both the applicability of the CE process and the appropriate
CE level, are context and intensity (40 CFR 1508.27). A project’s context is based on its
unique set of circumstances related to locale, setting and sensitivity. The range of possible
effects of an action must normally be addressed in terms of several contexts such as society as a
whole, the affected region, the affected community, the affected interests or individuals, and the
affected resources. The significance of potential impacts will vary depending on the sensitivity
of each of the context components that make up the project setting. For example, a project to
add right turn storage lanes would not be expected, based on past experiences, to affect society as
a whole or a geographic region, but those same experiences remind us that such a minor project
could affect special interests and resources such as cohesive neighborhoods, or historic sites.
Because of the realm of possibilities that exist from project to project, it is important to establish
the context of the project as early as possible and to identify potential effects in both the short
and long terms.

         Intensity refers to the severity or degree of impact anticipated from project
implementation upon specific constituents that define the project’s context. In determining the
intensity of impacts, it may be necessary to enlist the assistance of a particular Subject Matter
Expert (SME) and/or make inquiries with jurisdictional authorities. It is the perceived intensity
of a site-specific action that will most often determine the applicability of the CE process and the
level of CE classification. Reviewers must bear in mind that if the implementation of a project
will, in the short or long term, have a significant impact on the human environment, then it
cannot be processed as a Categorical Exclusion.

       D.      Programmatic CE Projects

        Based on past experience with similar environmentally insignificant actions, and
consistent with 23 CFR 771,117(c), some KYTC projects and activities have repeatedly
demonstrated over time that they do not directly, indirectly, or cumulatively result in any
significant impacts to the human and natural environments. These actions meet the criteria of
CE status by definition (see 40 CFR 1508.4 and 23 CFR 771.117(a) and (c)), and normally do
not require any further NEPA reviews by the FHWA. For such projects, a joint memorandum to
the project file shall suffice for NEPA documentation. Minimal, if any, additional documentation
is necessary for these actions. As stipulated in the CE Agreement, and for the purposes of this
Manual, these actions are designated as “Programmatic CE Projects”.



                                                  4
        Programmatic CE projects are KYTC actions which generally involve little or no
physical construction activities. The types of actions listed in Table 1 below constitute an
inclusive list of projects which have been found, based on past experience with similar actions,
not to involve significant environmental impacts. Minimal documentation is necessary for these
projects and approval authority for Programmatic CE Project determinations resides within the
District Offices. The District Environmental Coordinator (DEC) shall confirm that these actions
meet the Programmatic CE criteria and the DEC and the Project Manager (PM) shall prepare a
joint memorandum (see Appendix E) to the Director, Division of Program Management stating
that the activity is a Programmatic CE Project Action. The Division of Program Management
shall note on the FHWA Programming Document (Form PR-1), that the activity is a
Programmatic CE. Programmatic CE Project Actions include the following:

                                             TABLE 1

       1.     General highway maintenance, including filling potholes, crack sealing, mill and
              resurfacing, joint grinding/milling, etc.

       2.     Guardrail replacement where no new bank stabilization is required.

       3.     The replacement of traffic signals within existing ROW (provided no work takes
              place within any historic Districts and no likelihood of encountering contaminated
              materials).

       4.     The installation or maintenance of signs, pavement markings and/or replacement
              fencing within the existing ROW.

       5.     General pavement marking or “line painting” projects.

       6.     The installation of raised pavement markers.

       7.     Herbicidal spraying within existing ROW.

       8.     Mowing or brush removal/trimming projects within existing ROW.

       9.     Improvements to existing KYTC/County maintenance facilities.

       10.    Study-type projects (i.e. feasibility studies, etc.).

       11.    Installation of new fencing, signs, small passenger shelters, traffic signals and
              railroad warning devices where no substantial land acquisition, traffic disruption
              or elimination of on-street parking will occur.

       12.    Approval of utility installations along or across a transportation facility provided
              no drainage of wetlands will occur.


                                                  5
                                        TABLE 1 (con’t)

       13.     Emergency repairs under 23 CFR 125. Necessary work to restore essential travel,
               typically within 180 days of the event. Includes emergency projects like mine
               collapse, flooding damage, etc.

       14.     Acquisition of scenic easements.

       15.     Transfer of federal lands pursuant to USC 317 when the subsequent action is not
               an FHWA action.

       16.     Improvement or construction of bicycle and pedestrian lanes, paths or facilities.

       E.      Programmatic CE Projects Processing and Documentation Procedures

        Projects determined to fall within the specifications of any of the classes of actions
described in Table 1 above will be identified by the District Environmental Coordinator (DEC)
when directed to do so by the Chief District Engineer (CDE) or his designee. In accordance with
the work schedule provided by the CDE or his designee, the DEC will initiate the advance
notification process and appropriate public outreach. Advance notification shall include the
solicitation of project area information from resource agencies and jurisdictional authorities (see
Appendix L). Public outreach shall consist of the method(s) deemed most appropriate and
necessary by the Project Team for insuring public awareness of the project (see Section II. I.).
The DEC shall conduct an on-site examination of the project location, and photodocument the
surrounding land uses. The DEC will determine that the project is consistent with the project
types specified in Table 1 and that they are actions which:

       1.      Do not induce significant impacts to planned growth or land use for the area.
       2.      Do not require the relocation of significant numbers of people.
       3.      Do not have a significant impact on any natural, cultural, recreational, historic, or
               other resource.
       4.      Do not involve significant air, noise or water quality impacts.
       5.      Do not have significant impacts on travel patterns, or
       6.      Do not otherwise, either individually or cumulatively, have any significant
               environmental impacts and are, therefore, excluded from the requirement to
               prepare an EA or EIS.
       In making the above determinations, the DEC may request assistance from the DEA, if
he/she deems it appropriate. Such request will be made, utilizing the Assistance Request Form
(see Appendix D), to the DEA and must include: (a) a brief project description and purpose and
need statement; (b) a map, exhibit, or plans identifying and defining the project location; (c) the
type of assistance needed; (d) the reason(s) for making the assistance request; and (e) a date by
which the assistance is needed. Within five (5) working days of receipt of the request, the EPM

                                                  6
or responsible SME will determine the appropriate action and provide, in writing, a response to
the DEC outlining what action will be taken.

        If no assistance is required, or, upon receipt of the required information from the
EPM/SME, the DEC will prepare the joint memorandum (see Appendix E). The joint
memorandum will include the photographic record and any supporting data, documenting the
DEC’s findings that the project meets the Programmatic project criteria. The Programmatic CE
Project determination joint memorandum will be prepared for the signature of both the DEC and
the Project Manager (PM). Execution of the CE Environmental Determination Checklist
(Appendix D) is not required for Programmatic CE projects.

        Upon confirmation by both the DEC and PM that the project meets Programmatic CE
Project criteria, the joint memorandum will be signed by both. The executed joint memorandum,
with a copy of all back-up data, will be sent to the Director, Division of Program Management
and copied to the Director, DEA and FHWA. The Program Management Division will be
responsible for placing a note on the FHWA Programming Document (Form PR-1), indicating
the PCE status of the project. An example joint memorandum is provided in Appendix E.




                                              7
       F.     Categorically Excluded Project Type Identification

        Under the terms of the KYTC - FHWA CE Agreement, and consistent with 23 CFR
771.117(d), when appropriately documented as having no significant impacts to the human and
natural environment, the types of actions listed in Table 2 below may be processed as a CE
Level 1, 2, or 3 document. Additional project types may also qualify as CEs after appropriate
consultation with the FHWA.

                                           TABLE 2

   1. Culvert and structure replacement/reconstruction that involve no more than minimal
      additional right-of-way necessary to grade around the new bridge/culvert plus any
      necessary channel work (All permits and coordination are still required).

   2. Beautification or facility improvement projects (i.e. landscaping, curb and gutter
      installation, installation of park benches, decorative lighting, etc.)

   3. Wetland mitigation activities.

   4. Tower lighting projects.

   5. Track and rail-bed improvements, maintenance activities or acquisition.

   6. Disposal of excess right-of-way or for joint or limited use of right-of-way where the
      proposed use would have minimal or no adverse social (including highway safety),
      economic or environmental impacts.

   7. Approvals for changes in access control that involve the National Highway System and
      limited access ROW in accordance with 23CFR Part 710 Subpart D - Real Property
      Management. (Projects that are processed with federal funds and require changes in
      access control must be approved by an FHWA ROW Officer.)

   8. Transportation corridor fringe parking facilities, park-and-ride lots and ridesharing
      activities which have no significant environmental impacts.

   9. Modernization of a highway by resurfacing, restoration, rehabilitation, reconstruction, or
      adding auxiliary lanes (e.g., parking, weaving, turning, climbing, shoulders). When
      adding through lanes on an interstate or interstate-like freeway, consultation and approval
      from FHWA is required.

   10. Highway safety, truck escape ramps or traffic operation improvement projects including
       the installation of ramp metering control devices and lighting.

   11. Bridge rehabilitation, reconstruction, or replacement.


                                                8
12. Construction of realignments on new location (not to exceed 2 miles in realignment
    length).

13. Construction of a minor new highway facility (with the exception of interstate or
    “interstate-like” freeways) on new location. (Must be less than 1 mile in length.)

14. Modification of an existing interchange or the construction of an interchange or a grade
    separation to replace an existing at grade intersection (with the exception of the interstate
    system).

15. Noise walls/mitigation projects.

16. Construction of new truck weigh stations or rest areas.

17. The construction of a grade separation to replace existing at grade railroad crossings, or
    the removal of existing railroad grade separation structures.

18. Rehabilitation, reconstruction or conversion of existing rail and bus buildings and
    ancillary facilities where only minor amounts of additional land are required and there is
    not a substantial increase in the number of users.

19. Construction or conversion of rail storage and maintenance facilities in areas used
    predominantly for industrial or transportation purposes where such construction is not
    inconsistent with existing zoning and where there is no significant noise impact on the
    surrounding community.

20. Construction of new bus storage and maintenance facilities in areas used predominantly
    for industrial or transportation purposes where such construction is not inconsistent with
    existing zoning and located on or near a street with adequate capacity to handle
    anticipated bus and support vehicle traffic.

21. Construction of bus transfer facilities (an open area consisting of passenger shelters,
    boarding areas, kiosks and related street improvements) when located in a commercial
    area or other high activity center in which there is adequate street capacity for projected
    bus traffic.

22. Construction of KYTC storage and maintenance facilities in areas used predominantly for
    industrial or transportation purposes where such construction is not inconsistent with
    existing zoning and where there is no significant environmental impact.




                                             9
   23. Bridge deck overlays, bridge deck replacements and other maintenance activities,
       including bridge painting projects provided the project doesn’t involve any work within
       or involve impacts to streams, rivers, scenic river corridors or historic properties.

   24. Disposal of excess ROW parcels wholly contained in recent Major Project Acquisitions.

        The classification of the project types listed in Table 2 as CE Level 1, 2, or 3, (as well as
any additional qualifying projects identified in consultation with the FHWA), will be dependent
upon the confirmation that the action or project, individually or cumulatively, will have no
significant environmental effects. Such determination will be made on a case-by-case basis
through the application of context and intensity factors (see Section II. C.) appropriate for the
action proposed. Based on project context and the intensity of project impacts, the FHWA and
KYTC have agreed to three (3) CE levels within which the projects listed in Table 2 may fall.
The nature and extent of the documentation required, and the approval authority for the CE
designation, will depend on which level of CE criteria the specific project meets. The process
and documentation for the determination of CE level on a case-by-case basis follows.

       G. Categorical Exclusion Levels

         Every transportation project begins with internal administrative actions. These actions
always include management functions related to project programming and funding, but they also
may include an early estimate of the class of NEPA document that will be required. If it has
been administratively determined that a project is expected to meet CE criteria, documentation
will be required to establish whether the project is a Programmatic CE or whether it meets the
criteria of one of the non-Programmatic levels. A synopsis of the principle elements which guide
the designation of the proper level of CE to be assigned are outlined in the CE Matrix provided
in Appendix C. For Programmatic CE projects, the procedures and documentation required have
been described previously for the inclusive list (Table 1) of applicable projects. Following are
the procedural and documentation requirements for the CE project types listed in Table 2.

           G. 1.   CE Level 1

           The District Office has approval authority for both the Programmatic CE Projects
(Table 1) and the documented CE Level 1 projects (Table 2). Both types of CEs, Programmatic
and Level 1, require the joint signatures of the DEC and the PM. While the Programmatic CE
project is to be documented by joint memorandum (see Appendix E), the CE Level 1 will require
additional supporting documentation, including the execution of a Categorical Exclusion
Environmental Determination Checklist (CE Checklist) (see Appendix D). The DEC, with EPM,
SME, and/or Project Team assistance as necessary, will be responsible for the execution of the
CE Checklist for CE Level 1 projects.

       The Presidents Council on Environmental Quality (CEQ) has consistently stated that CEs
should have minimal documentation developed at the time of specific action application and has
strongly discouraged procedures that require additional paperwork (40 CFR 1500-1508). The


                                                 10
CEQ has stated that only documentation used to establish CE status and demonstrate that there
are no extraordinary circumstances in which a normally excluded action may have a significant
environmental effect, is required. The use of the CE Checklist enables compliance with these
paperwork reduction recommendations while allowing for thorough consideration of issues with
minimal time and effort spent compiling data when minimal resources and few environmental
issues are involved. The executed CE Checklist will require the approval signatures of both the
DEC and the PM. All of the actions and project types listed in Table 2 may be eligible for CE
Level 1 designation when the conditions outlined in Section G. 1. a. below are met and properly
documented through the CE Checklist and appropriate materials appended thereto.

       G. 1. a.   CE Level 1 Qualifying Conditions

Projects involving any of the following will not be considered eligible for processing as a
Level 1 CE:

       1. Any disproportionately high and adverse impacts relative to environmental justice.

       2. Unresolved or substantial public and/or resource agency opposition.

       3. Impacts to areas of cultural or religious significance to Native American tribes.

       4. Projects resulting in nonconformity with air quality standards.

       5. Federal or proposed federal wild and scenic river corridor impacts that result in an
          Individual Section 4(f) Impact/Use.

       6. Impacts to federally listed threatened or endangered species.

       7. Individual Section 4(f) Impacts/Use.

       8. Section 6(f) impacts.

Projects that involve more than one of the following will not be considered eligible for
processing as a CE Level 1 without the written consent of the DEA Director or his designee.




                                               11
(If only one of the impact areas is affected, all necessary coordination and supporting
documentation must be attached to the CE Level 1):

       1. Programmatic 4(f) impacts (Approved by DEA and FHWA).

       2. Individual 404 Permit.

       3. The reconstruction and/or addition of through travel lanes of an existing facility,
          which is more than 1 mile in length of new ROW.

       4. Construction of an interchange to replace an existing at grade intersection.

Impacts of CE Level 1 Projects Can Involve:

       1. Minor right-of-way (ROW) acquisition involving a maximum of 10 acres or
          involving a maximum of 5 relocations ( see Relocations definition in Glossary).

       2. Minor amounts of hazardous materials ( involvement limited to petroleum related
          underground storage tanks and/or releases, asbestos and lead based paint).

       3. Wetland impacts that are below the threshold that require a Nationwide Permit.

       4. Section 106 impacts provided necessary documentation of consultation is included in
          the project files as required by 36 CFR Part 800.

       5. Section 4(f) impact/use that falls within the bounds of a Programmatic 4(f) provided
          that the determination has been approved by DEA and FHWA.

       6. Minor public or agency controversy on environmental grounds that has been resolved.


        Thresholds for CE Level 1 projects as outlined above, are summarized in the CE Matrix
located in Appendix C. It is the responsibility of the DEC to confirm that the action or project
meets the CE Level 1 criteria and that no significant impacts will result. In the process of
making this determination, the DEC may request assistance from the DEA, if he/she deems it
appropriate. Such request will be made utilizing the Assistance Request Form (see Appendix D)
submitted to the DEA, with copy to the EPM, and shall include: (a) a brief project description
and purpose and need statement; (b) a map, exhibit, or plans which identify and define the
project location and right-of-way limits; (c) the type of assistance needed; (d) the reason(s) for
making the assistance request; and (e) a date by which the assistance is needed to be provided.

       Within five (5) working days of receipt of the request, the EPM or responsible SME, will
determine the appropriate action and provide, in writing, a response to the DEC outlining what
action will be taken. If no assistance is determined to be required, or, upon receipt of the


                                               12
required information from the EPM/SME, the DEC will complete the CE Checklist and
documentation of the CE Level 1 criteria. Copies of the executed CE Checklist and supporting
documentation (exhibits, maps, photos, coordination letters, etc.) shall be provided to both the
DEA and the FHWA, and the project should continue to be advanced. The original materials will
be kept on file by the District. If the DEA or FHWA have any objections or reservations about
the CE Level 1 designation or the content of the CE Checklist, the DEC will be notified within
thirty (30) days of receipt by DEA and FHWA of the copied materials. Projects that are found
not to meet the CE Level 1 criteria or which, due to context and intensity analysis are deemed to
exceed Level 1 criteria, shall be recommended by the DEC and PM to the DEA for processing as
a CE Level 2 or higher.

       G. 2.       CE Level 2

        CE Level 2 actions and projects also have been determined over time to have little or no
impact to the environment; however, due to context and intensity issues, it has been determined
that they may require an additional level of review and analysis. The CE Level 2 approval
authority resides with the Director, DEA or his designee. The signatures of the DEC and the PM
on the CE checklist are also required. The DEC shall prepare the CE Checklist to the extent
possible and forward project information to the EPM for processing. The EPM, with SME,
DEC, and Project Team assistance as necessary, will be responsible for final execution of the CE
Checklist for CE Level 2 projects. When complete, the CE Checklist shall be returned to the
District for signature by the DEC and PM. The final determination that an action or project meets
the CE Level 2 criteria will be made by the DEA. The final documentation required for CE
Level 2 determination will be developed, or caused to be developed, by the DEA EPM using the
information initially prepared by the DEC. The EPM may, as necessary, delegate any part or all
of the acquisition of scientific and technical data needed to support the CE Level 2 designation to
the SMEs, the DEC, and/or to environmental consultant. All of the actions and project types
listed in Table 2 may be eligible for CE Level 2 designation when the conditions outlined in
Section G. 2. a. are met and properly documented.

       G. 2. a.    CE Level 2 Qualifying Conditions

Projects that involve any of the following will not be considered eligible for processing as a
CE Level 2:

       1. Any disproportionately high and adverse impacts relative to environmental justice.

       2. Unresolved or substantial public and/or resource agency opposition.

       3. Impacts to areas of cultural or religious significance to Native American tribes.

       4. Projects resulting in nonconformity with air quality standards.




                                                13
       5. Federal or proposed federal wild and scenic river corridor impacts that result in an
          Individual Section 4(f) Impact/Use.

       6. Impacts to federally listed threatened or endangered species.

       7. Individual Section 4(f) Impacts/Use.

       8. Section 6(f) impacts.

Impacts of CE Level 2 Projects Can Involve:

       1. Right-of-way (ROW) acquisition involving a maximum of 10 relocations and/or up to
          (25 acres) of permanent right-of-way.

       2. Section 106 impacts, provided necessary documentation of consultation is included in
          the project files as required by 36 CFR Part 800.

       3. Wetland impacts that arise to a Nationwide or Individual Permit.

       4. Section 4(f) impacts/use that fall within the bounds of a Programmatic 4(f) provided
          that the determination has been approved by FHWA.


       Upon completion of the execution of the CE Checklist by the EPM and/or their designee,
and receipt of all documentation required to support the CE Level 2 designation, the EPM will
transmit two (2) copies of the CE Checklist and supporting documentation to the DEC and PM
for review and approval signatures. Within five (5) work days of receipt, and absent any
reservations by the DEC and PM, the DEC will return one (1) copy of the signed CE Checklist
and supporting documentation and will retain one (1) copy in the District project file. If the DEC
and PM have reservations or disagree about the CE level designation or any aspect of the CE
documentation, their concerns will be communicated, in writing, to the EPM within the five (5)
work day review period. Projects that are found not to meet the CE Level 2 criteria or which,
due to context and intensity analysis are deemed to exceed Level 2 criteria, shall be
recommended by the EPM for processing as a CE Level 3 or elevated to a higher NEPA
documentation level (EA or EIS).




                                               14
       G. 3.      CE Level 3

        CE Level 3 actions and projects have been determined over time to have no significant
environmental impacts. However, due to context and intensity issues, it has been determined
that they may require a level of review not fully met by CE Level 2 criteria. The CE Level 3
approval authority resides with the FHWA; however, the signatures of the DEC, the DPM, and
the Director of DEA or his designee on the CE checklist are also required. The EPM, with
SME, DEC, and Project Team assistance as necessary, will be responsible for execution of the
CE Checklist for CE Level 3 projects. The final determination that an action or project meets the
CE Level 3 criteria will be made by the FHWA. In some cases, the FHWA may decide that the
project be elevated to an Environmental Assessment (EA). Projects in the CE Level 3 category
must meet the criteria and intent of 23 CFR 771.117. The documentation required for CE Level
3 determination will be developed by, or caused to be developed by the DEA. The DEA may, as
necessary, delegate any part or all of the acquisition of scientific and technical data needed to
support the CE Level designation to the DEC and/or to environmental consultant. Any of the
actions and project types listed in Table 2 that involve any of the following may only be
considered eligible for processing as a CE Level 3 with the written approval of FHWA.

       1. Any disproportionately high and adverse impacts relative to environmental justice.

       2. Unresolved or substantial public and/or resource agency opposition. CE
          documentation must demonstrate that the public or agency concerns have been
          adequately addressed and is attached.

       3. Impacts to areas of cultural or religious significance to Native American tribes.

       4. Projects resulting in nonconformity with air quality standards.

       5. Federal or proposed federal wild and scenic river corridor that results in an Individual
          Section 4(f) Impact/Use.

       6. Impacts to federally threatened or endangered species.

       7. Individual Section 4(f) Impacts/Use.

       8. Section 6(f) Impacts.

        Upon completion of the execution of the CE Checklist by the DEA or their designee, and
receipt of all documentation required to support the CE Level 3 designation, the DEA will
transmit two (2) copies of the CE Checklist and supporting documentation to the DEC and PM
for review and approval signatures. Within ten (10) work days of receipt, and absent any
reservations by the DEC and PM, the DEC will return one (1) copy of the signed CE Checklist
and supporting documentation and will retain one (1) copy in the District project file. If the DEC
and PM have reservations or disagree about the CE level designation or any aspect of the CE


                                               15
documentation, their concerns will be communicated, in writing, to the EPM within the ten (10)
work day review period. It will be the responsibility of the DEA to respond in a timely manner to
any concerns expressed by the DEC and PM. Upon receipt of the signed CE Checklist from the
DEC, the DEA will sign and forward the CE Checklist and supporting materials to the FHWA
for approval. The DEA will provide an FHWA approved copy of the CE Checklist to the DEC
immediately upon receipt. Projects that are found not to meet the CE Level 3 criteria or which,
due to context and intensity analysis are deemed to exceed Level 3 thresholds, shall be
recommended by the DEA to the FHWA for processing as an EA or elevated to a higher NEPA
documentation level (EIS). The final determination of the appropriate NEPA documentation
level will be made by the FHWA.

       H.    Variations From Standard Practice

       It should be noted, that when deemed necessary and appropriate, KYTC may request
individual CE review and approval from FHWA even though an action or project falls within the
bounds of CE Level 1 or 2, or the list of Programmatic CE projects. The determination for the
need for this exception to the standard procedures will be made by the DEA.

        Additional FHWA actions and projects, which are not specifically listed in Tables 1 and
2, may also be determined eligible for processing as Categorical Exclusions. These projects may
be evaluated against the various CE Level criteria on a case-by case basis and, if found to be
consistent with the criteria and intent of 23 CFR 771.117, may be recommended for CE
designation. The determination for the applicability of CE status for these types of actions or
projects will be made with the participation and approval of the FHWA.

       I.    Public Outreach

        Every federal action requires some level of public involvement ( 23 CFR 771.111(h)(2)(i)
& (ii)). The level of public involvement for CE projects should be commensurate with the
nature and complexity of the proposed action. When making this determination, remember
that stakeholder participation can be an essential element in garnering project support,
identifying critical issues, and establishing and refining project purpose and need. Even at the
CE project level, the KYTC and the FHWA promote openness and responsiveness to our
customers needs. By whatever means is deemed appropriate by the project team, it should be
insured that affected property owners, local governments, permitting authorities, and those who
have demonstrated an interest in the project are adequately informed and involved. The public
outreach method(s) utilized shall be documented with the project record.

       J.      Surplus Properties

The action of selling an excess ROW parcel is identified as qualifying for approval as a
categorical exclusion in CE agreement with FHWA (see Table 4, Project Type 6.) These
requests to dispose of surplus property can be processed as Level 1 CEs. The action of
approving the surplusing of property will not typically result in direct impacts to sensitive


                                                 16
environmental resources, including historic resources, wetlands, streams, and threatened or
endangered species or their habitat, however, the future use of the parcel may change as a result
of property owner actions. This change in use is considered an indirect impact of the surplusing
of the parcel which could cumulatively result in an impact upon sensitive resources. Due to the
unique circumstances surrounding disposal of excess property and the minimal potential for
impacts, these actions, though considered a CE Level 1, are documented in a different manner.

In approving the applications for surplus property, KYTC will disclose any sensitive resources
which may occur on the parcel or in its immediate vicinity. Any mitigation, coordination,
consultation and compliance with applicable federal and state rules and regulations will be the
responsibility of the property owner. In instances where a known National Register eligible
archaeological site exists on the parcel, it shall not be surplused without a deed restriction or
preservation easement that will protect the site from future disturbance.

When processing the CE Level 1 for a surplus property, the DEC or DEA staff will utilize the
Surplus Property Categorical Exclusion Impact Summary Sheet and the Surplus Property
Notification of Environmental Conditions Form. Completion of the form shall be in accordance
with guidance issued by the DEA on the matter dated December 3, 2004 or as superseded (See
Appendix G.) In the unlikely event that a Section 4(f) resource exists on the property, DEA
and FHWA must be consulted. ROW taking from these resources should have been minimized
during project development. In most cases, if there is surplus property available, it would likely
revert back to the park, refuge or historic property rather than be sold to a third party.

If an archaeological site is known to exist on the parcel, but its eligibility for the National
Register has not been determined, the Applicant/Purchaser shall be notified that they may need
to coordinate with the SHPO prior to conducting earth moving activities (see Notification form).
If it is unknown whether a site may exist, a DEA SME should be consulted and requested to
review available GIS data. The areas on the property where any restrictive provisions may
apply, should be described to the extent necessary for the Applicant/Purchaser to fully recognize
the area of concern. If an archaeological site eligible for the National Register is known to exist
on the parcel, the property shall not be surplused without a deed restriction or preservation
easement that will protect the site from future disturbance. If this is in conflict with
Applicant/Purchaser’s proposed use of the property, then they will need to conduct sufficient
investigations to satisfy the SHPO for release of the easement.

If there are any environmental conditions of the property that might require an action on the part
of or recognition of a restricted use by the Applicant/Purchaser, the Surplus Property
Notification of Environmental Conditions form is to be completed. The Applicant/Purchaser is
required to sign the form in the space provided, acknowledging their understanding of the
applicable conditions.




                                                17
III.   COMPLETING THE CE ENVIRONMENTAL DETERMINATION CHECKLIST

         The CE Environmental Determination Checklist (CE Checklist) has been designed to
simplify and streamline the process for providing the information needed to document, for the
record, the applicability of the CE project classification for minor actions that will not result in a
significant impact on the human environment. The CE Checklist provides for the identification
of the range of issues of concern and the environmental resources affected by the proposed
action. It supplies the means to document the presence or absence of particular resources
(context) and provides the opportunity to describe the degree of impacts (intensity) anticipated
from implementation of the proposed action. The Checklist is to be utilized for all three CE
Levels. The CE Environmental Determination Checklist is provided in Appendix B of the
Manual. General guidance for the completion of each major section of the Checklist is provided
in this Manual. A flowchart outlining the general PCE/CE process is also provided (see Figure
III. 1.). It is expected that individual and unique project circumstances will occur from time-to-
time that will require the enlistment of assistance in order to complete select categories of the
Checklist. When such assistance is deemed appropriate, the DEC will contact the DEA, with
copy to the EPM as early as possible. Early coordination is especially important with regard to
historic, archaeological, ecological, Section 4(f) and Section 6(f) issues since resolution of these
matters are often time consuming and have temporal components.

       A. PROJECT INFORMATION (CE Checklist Section 1)

        This section of the Checklist is to provide for; identification of the project (include the
Six Year Plan description), a brief description of the type of project being evaluated, limited
project development information, and a summary of project objectives. This section must be
completed by the DEC for all CE projects, including those recommended for elevation to higher
CE levels (see Section G, page 41). The topics presented in this section are self-explanatory;
however, key elements of this section are the Purpose and Need, and the Project Length blocks.

       It should be clearly explained in the Purpose and Need block why the expenditure of
public funds proposed is necessary and worthwhile. Although this explanation should be
concise, it must also convey the project’s importance so the merits of the proposed action can be
weighed against the potential impacts in order to provide decision makers and the public with the
information needed to reach a sound conclusion on what course of action to pursue. Purpose and
need will vary with project scope and will drive the process for consideration and development
of the range of alternatives and the depth of impact analysis. Purpose and need statements
developed from Planning phase activities should be reviewed and adopted or modified, as
appropriate. Without a well-defined and justified purpose and need, it will be difficult to
determine what project alternatives are reasonable, prudent, and practical.

        The Project Length block should be utilized to describe the project termini and explain
the logic behind their designation. This explanation should ensure that the perception of
project segmentation does not occur. It should disclose the rationale for independent utility,
i.e. how the project or project segment will be usable and a reasonable expenditure of funds


                                                 18
even if no additional transportation improvements are made. It should clarify how this project
will not restrict the consideration of other reasonably foreseeable improvements, and it must
ensure that the project is of sufficient length to address environmental matters on a broad
scope (i.e. the project termini are established to address the transportation need and not for the
purpose of avoiding environmentally sensitive or controversial issues). Completion of the
Purpose and Need and the Project Length explanations (with the exception of mile points)
may be addressed with an attachment if necessary, and such attachment must be referenced.
Additional guidance on Purpose and Need and Logical Termini is provided in Appendix F of
the Manual.

       B. ENVIRONMENTAL DETERMINATION (CE Checklist Section 2)

        This section of the Checklist provides for the disclosure of whether or not the project
meets CE criteria, identifies the CE level to which the identified project applies at a specific
point in time, and provides for the required approval signatures. Normally, this section will
be the last to be executed following completion of the CE evaluation and the inclusion of any
supporting documentation needed. If it is determined at anytime during the review process
that CE Level 1 is inappropriate and a higher CE Level may apply, or that the project may not
be classified as a CE at any level, then the DEC should complete the CE Checklist to the
extent possible and forward the information to the DEA, as described in Section III. G.

       C. ALTERNATIVES SUMMARY (CE Checklist Section 3)

        The development, evaluation, and comparison of alternatives is key to the environmental
documentation process. In this Section of the Checklist, the DEC should present a description of the
proposed action and a summary of all alternatives, in comparative form, to define issues and provide
a clear basis for choice among them. The presentation of alternatives should be consistent with
project type and complexity, the nature of the project’s context, and the intensity of its impacts. A
more detailed alternatives evaluation that concisely explains the rationale for the preferred course of
action may be needed, depending on these circumstances. On the other hand, and in many CE project
circumstances, a single course of action may be clearly apparent and entirely appropriate. The
consequences of these actions should be compared against the “do nothing” or “no action”
alternative.

        The CEQ considers the alternatives evaluation to be the “heart” of the environmental process.
CEQ guidelines require that agencies “Rigorously explore and objectively evaluate all reasonable
alternatives, and briefly discuss the reasons for eliminating alternatives from detailed study”; and, “
Devote substantial treatment to each alternative considered in detail so that reviewers may evaluate
their comparative merits.”

        In completing this Section of the Checklist, it should be made clear why the particular range
of alternatives were developed. It is important to be candid and thorough about the rationale for
generating, evaluating, and eliminating alternatives. Reasonable project alternatives not within the
jurisdiction of the FHWA or KYTC should also be addressed when appropriate. The alternative of


                                                   19
“no action” should also be addressed in all cases. The preferred alternative should be identified, and
the reasons for its preference should be listed in this Section of the Checklist.

       D.      COMMENTS AND COORDINATION (CE Checklist Section 4.)

        Each subject under this heading must be addressed and the appropriate box checked. As
noted earlier, every federal action requires some level of public involvement ( 23 CFR
771.111(h)(2)(i) & (ii)).      The level of public involvement should be commensurate with the
complexity of the project, project context, and the intensity of project impacts. The DEC must
identify in this Section, what types of public involvement and outreach were employed for the
proposed project. Copies of all correspondence, public meeting and project meeting minutes, notes,
and legal publications must be attached to the Checklist. If a public meeting/hearing was held and a
formal transcript prepared, a transcript summary must be attached to the Checklist.

       Evidence of resolution of any controversy and/or concerns about the project as expressed by
the public, property owners, government officials, resource agencies, and special interest groups,
must be provided in this Section. If no such controversy or concerns have been expressed, this should
also be noted. Any issues expressed about the project which remain unresolved at the time of
Checklist execution, or which have been deferred to later project phases for resolution, must be
disclosed and discussed in this Section.

       E.      ENVIRONMENTAL COMMITMENTS, MITIGATION, REQUIRED FUTURE
               ACTIONS AND OTHER COMMENTS (CE Checklist Section 5.)

        This Section of the Checklist is to be used to record all commitments made, identify all issues
that have been postponed or deferred, and specify all mitigation measures designed to address the
anticipated environmental consequences of the proposed project. Commitments are promises made to
an agency or the public in return for approval of, concurrence with, or acceptance of the project,
including deferred items. Mitigation measures are actions to be implemented with the project which
serve to moderate, reduce, or eliminate impacts deriving from the proposed action, or to enhance
project area conditions or characteristics in accordance with community or resource agency, and/or
KYTC goals. It is from this Section of the Checklist that the Project Manager (PM) will select and
enter appropriate information into the Communicating All Promises (CAP) document in the KYTC
Six Year Plan database.




                                                  20
21
   F. ENVIRONMENTAL CONDITIONS AND CONSEQUENCES (CE Checklist
        Section 6)

       This section of the Checklist provides the location for recording the presence or
absence of particular resources or issues, and supplies the opportunity to describe the level of
impacts anticipated to occur as a result of project implementation. Section 6 of the CE
Checklist is to be completed only for the selected alternative. Within the areas provided for
each evaluation topic, the range of issues of concern, relative to the alternative’s context, and
the scale of potential effects, relative to the intensity of the impacts, should be disclosed.
Threshold values for types of CEs by key functional areas are given in the Categorical
Exclusion Matrix in Appendix C. Technical assistance can be obtained for specific evaluation
categories as identified in Technical Support Data Sources in Appendix L. Additional
guidance and informational tools can be found at the DEA CE Website and through the
numerous Internet links provided in Appendix L.

       F. 1.   Right-of-Way Impacts (CE Checklist Section 6.A.):

        Each question under this heading must be addressed and the appropriate box checked.
The DEC or SME will consult with the appropriate Project Team member(s) to obtain all
necessary information required to complete this section. The number of anticipated
relocations and the total property to be acquired must be noted in the spaces provided. If the
fee simple acquisition acreage thresholds or relocation thresholds are exceeded, DEA
consultation will be required. The business and residential relocation thresholds can be by
individual category or in combination, but the applicable number is the total relocations. If
relocations include other categories (e.g. institutional, non-profit, industrial, etc.), they must
still be counted as relocations and described in the Describe Impacts/Comments box. The
acreage to be acquired is to include only that area to be converted to permanent KYTC
ownership. Temporary, and/or construction, easements should not be included in the
estimated acreage figure.

       Special care should be taken to avoid cemetery impacts to the extent practical. If
unavoidable, the DEC should make certain that the DEA archaeological SME is advised of the
proposed impact and that Section 106 requirements are appropriately addressed.

        The Describe Impacts/Comments box (A. 7.) should be used to identify any unique or
sensitive issues associated with any of the affected properties or businesses. This should include
a discussion of available relocation areas for both residents and businesses affected by the
project. If any regulated or protected land use types (e.g. Section 4(f), Section 6(f), Section 106,
Agricultural District, etc.) would be affected, this must be noted. If any coordination letters or
comment letters relating to right-of-way issues have been received, they must be summarized in
box A. 7., the Describe Impacts/Comments box, and appended to the Checklist.




                                                   22
       If any coordination letters or comment letters relating to right-of-way impact issues have
been received, they must be summarized in box A. 7. and appended to the Checklist. Local
experts, oral communications, and other resources utilized, must also be documented. Any
questions about the Right-of-Way Impacts heading should be directed to the DEA EPM or
Socioeconomics SME.

       F. 2.   Economic Impacts (CE Checklist Section 6. B.):

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. If commercial, industrial, business, and/or non-
profit establishments will be displaced, estimates of the number of job losses must be obtained,
the effects on employment opportunities must be estimated, the probability of the establishment
relocating in the same general area should be determined, and the overall impacts of the loss of
the establishment to the locale must be assessed. These evaluations must be summarized in the
Describe Impacts/Benefits box (B.3). If any coordination letters or comment letters relating to
economic impact issues have been received, they must also be summarized and appended to the
Checklist. Any questions about the Economic Impacts heading should be directed to the DEA
EPM or the Socioeconomics SME.

       F.3.    Social Impacts (CE Checklist Section 6. C.):

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. This topic area addresses the effects of the
proposed action on community values and quality of life factors. In establishing the context
within which these factors should be examined, such phenomena as community cohesion, family
clusters, and neighborhood continuity should be considered in conjunction with the
characteristics which may make these phenomena important in project decision making. Such
characteristics can include ethnicity and race, age, gender, income levels, educational attainment,
employment status, disability, or special dependencies on community facilities and services. In
analyzing the project relative to the intensity of potential impacts on any identified socially
important values, factors such as safety, mobility, employment, relocations, isolation, mode
choices, institutions, services, environmental justice factors, and land use changes should be
considered as they may apply to any special sociological contexts defined. The development and
use of good public involvement and outreach can be an invaluable tool for this process.

        A determination should be made whether or not the project area is included in any
comprehensive plans and, if so, how the proposed project may affect the expected uses. If
appropriate, based on social context, the social history of the project area should be reviewed and
estimates of how the project may affect on-going development trends and quality of life issues
should be made. If the project locale includes areas where indirect or cumulative impacts
attributable to the project could occur, these implications should also be addressed.



                                                23
       It is important to recognize that the social consequences of transportation undertakings
can be positive as well as negative. All positive impacts expected should also be noted.

        It is also critical at this juncture to identify any protected resources and uses in the project
area and determine whether or not they will be affected. Such protected community assets
include publicly owned parks, recreation areas, and wildlife and waterfowl refuges. They extend
to wetlands, agricultural Districts, and historic properties (e.g. Section 4(f)/Section 6(f), and
Section 106 land uses). If it is determined that any of these resources are present and may be
affected by the proposed action, the DEA should be consulted as early as possible.

       The relevant evaluations of potential social impacts attributable to the project, must be
summarized in the Describe Impacts/Benefits box (C.8.).           If any coordination letters or
comment letters relating to social impact issues have been received, they must be summarized in
the Describe Impacts/Benefits box and appended to the Checklist. Any questions about the
Social Impacts heading should be directed to the DEA EPM or Socioeconomics SME.

       F. 4.   Local Land Use and Transportation Plans (CE Checklist Section 6. D.)

         Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. It must be determined if any locally approved land
use plans, comprehensive plans, and/or transportation plans have been adopted for the project
area. Contact with local Planning and Zoning authorities may be necessary. If an approved Plan
exists, indicate whether or not the proposed project is included. If there are no adopted plans or
if the project is not included in approved plans, estimates must be made of the project’s impacts
on expected land use changes, growth, and development trends of the area’s residential and
commercial base. Consider development patterns and time frames and indicate what project
impacts might occur, positive or negative. With the information generated from research and
inquiry into future growth plans for the area, determine whether or not overall secondary and
cumulative impacts, as a result of project implementation, could occur. Indicate where and what
these impacts might be. In box D. 4., summarize information on the project from any approved
plan in which the project is included, and/or summarize the nature and extent of any adverse
impacts the project may have on land use plans or growth trends, including any estimable
secondary and cumulative effects.

       If any coordination letters or comment letters relating to local land use impact issues have
been received, they must also be summarized in box D. 4. and appended to the Checklist. Any
questions about the Land Use and Transportation Plan Impacts heading should be directed to the
DEA EPM or Socioeconomics SME.




                                                  24
       F. 5.   Historic Resources (CE Checklist Section 6. E.)

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. If there are any standing structures (including
bridges) in the project area, determinations of historic significance or potential historic
significance must be made. If it can be documented that all of the standing structures on parcels
affected by the project or within the project viewshed are less than 50 years of age, the DEC
must record this information in box E. 2., including the source of the determination of structure
age. Confirmation that no standing structures 50 years old or older are present in the project area
will permit inclusion in box E. 2. of the statement that “No historic resources will be affected by
the project.”, which should also be entered by the DEC.

        Structures less than fifty years of age are not eligible for the National Register of Historic
Places. The DEC should make every effort to determine whether any structures that are more
than 50 years old are located within the project viewshed. DECs should remember that once a
structure has been determined by any means to be 50 years of age, they may cease researching.
The basis for the determination of age and the results of any further research conducted should
be provided by the DEC to the Historic SME for further evaluation. The SME will be
responsible for any further activities/documentation necessary for the structure.

        There are several means of determining structure age. Before going to the field, the DEC
should review topographic maps, preferably maps more than fifty years old, to locate structures
of potential historic interest. After field visitation, having taken pictures from each side of any
structure that even remotely appears to be at least fifty years old, records from the tax assessor’s
office can be reviewed. In addition, to past property ownership, the tax roll may also provide
clues regarding periods of new construction. Deed and title searches can also be a valuable
courthouse resource, however, the DEC will need to consider the time required to conduct these
searches and may choose to exhaust other methods before conducting such research. It should be
recognized, that deed and title information are considered some of the most accurate means
available for establishing a thorough history of property ownership.

        Other local resources that can be utilized are the periodicals, census records, city
directories, telephone books, etc., at the local library. Another potential resource is a local
historian or the property owner. Care should be used in relying too heavily on this verbal record
as it may inherently contain inaccuracies.

       Finally, where more recent “kit-type” structures may be involved, the internet can be
used as a resource for locating copies of old catalogues (Sears, Aladdin, etc.). Web sites to
some of these resources are provided in Appendix L. These are useful for reviewing the
catalogue homes that were at one time available, including plan and exterior views. These can
be compared with the appearance of structures that have been seen in the project area.




                                                 25
        If it is determined that standing structures 50 years of age or older are present in the
project area the DEC must submit an Assistance Request Form along with a map or exhibit of
the proposed project area and identification of properties in question to the DEA with copy to the
EPM. Color photographs of each structure of concern and copies of all data gathered relative to
historic structures shall also be submitted with the Assistance Request Form (see Appendix D).
The SME shall advise the DEC within five (5) work days if the photos received are inadequate
for making a determination. The SME will instruct the DEC as to what actions are necessary to
provide adequate photos. Within five (5) work days of receipt of adequate site photographs, the
SME will determine if an on-site field review is necessary. If the SME advises, in writing, that
the standing structures in the project area are not significant, this will permit the inclusion in box
E.2. of the statement that “No Historic resources will be affected by the project.” If the SME
determines that an on-site field review is needed, the SME and DEC will schedule this review to
be conducted as soon as possible. If the SME determines that significant historic resources are
present, all required procedures and documentation from this point forward, must be initiated and
be completed by the DEA or their designee. The DEC and the project team will be kept
informed by the EPM of activities and schedules required to address historic resource issues.

       As soon as possible, the DEC will be provided with all correspondence necessary to
complete Section E of the Checklist. Where significant historic resources have been identified,
this must include a “No Effect” or a “No Adverse Effect” letter from the SHPO. If adverse
impacts to significant historic resources are identified, the DEC will be advised by the DEA that
due to historic resource issues and impacts, the project cannot be processed as a CE Level 1 and
environmental compliance responsibilities are being transferred to the DEA.

        If impacts to significant historic resources include the use of land from within the historic
site boundaries, appropriate Section 4(f) compliance activities (De minimis, Programmatic or
Individual), will also be required. These actions are the responsibility of the DEA EPM and
SME in consultation with the FHWA. The DEC will be provided with all correspondence
necessary to complete Section E of the Checklist as soon practicable (De minimis, Programmatic
4(f)), or the DEC will be advised by the DEA that due to Section 4(f) issues and impacts
(Individual 4(f)), the project cannot be processed as a CE Level 1 and environmental compliance
responsibilities are being transferred to the DEA. Whenever potential Section 4(f) issues are
apparent, early coordination by the DEC with the DEA is of paramount importance.(Also See
Checklist Section G. Section 4(f)).

        If any coordination letters or comment letters relating to historic resource impact issues
have been received, they must be summarized in box E. 2. and appended to the Checklist. Local
experts, oral communications, and other resources utilized, must also be documented. Any
questions about the Historic Resources Checklist heading should be directed to the DEA EPM
or Historic Resources SME.




                                                 26
       F. 6.   Archaeological Resources (CE Checklist Section 6. F.)

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. If the proposed project does not require any new
right-of-way acquisition (temporary or permanent), all of the “No” boxes in this section can be
checked and the statement that “No archaeological resources will be affected due to no new
right-of-acquisition” can be entered in section F. 9., by the DEC.

       If acquisition of minor amounts of new right-of-way (temporary or permanent) is
required for the proposed project, the necessity of an archaeological investigation can depend on
the extent and type of disturbance that may have occurred in an area. Examples of disturbance
that could impact archaeological sites or deposits include ditches, culverts, retention basins,
parking lots, roads, underground utilities, and cut and fill for road construction. Buildings may
also impact archaeological deposits, but in many cases, houses or businesses may be built over
the remains of older buildings and archaeological deposits associated with the earlier structures
may still be intact.

        When considering the necessity of archaeological investigations, the extent of the
disturbance (both vertically and horizontally) across the project area must be determined.
Disturbance of soil to bedrock across the project area would automatically eliminate the need for
an archaeological investigation. Other more limited surface disturbance must be assessed to
determine whether archaeological deposits might remain intact beneath the disturbance.

         An archaeological site investigation will not be required when the depth of the
disturbance exceeds the depth at which archaeological deposits are expected to occur. This depth
can vary depending upon geographic location, site conditions, etc. In some rare instances, such
as in floodplains or thick colluvial soils, archaeological deposits may occur at depths of greater
than 40 feet. Even in dense urban areas, archaeological sites may have been buried by previous
fill and construction episodes to depths of 20 feet or more.

         When making an assessment of any previous disturbance the DEC must consider whether
the disturbance extends throughout the project area, how deep the disturbance extends into the
soils, and what type of archaeological resources could be expected to occur in the project area. In
many cases, the answers to these considerations may not be readily apparent, especially with
regards to depth of the disturbance. Resources that may aid in determining if the archaeological
potential of a project area has been eliminated through disturbance include old road construction
plans, county soil surveys, historic maps and atlases for the area, and geological quadrangles.
From the geological quadrangles and the county soil surveys, the DEC can estimate the depth of
soils in the project area, and possibly whether buried soils occur in the project. Historic maps and
atlases can provide information on what type of historic resources may occur in the project area,
and if the project area has the potential to contain intact resources not readily identified by
surface inspection (e.g., cemeteries). The Office of State Archaeology GIS database may help
determine if sites have been recorded in deep floodplain or colluvial soils in the area (but not the
depth at which those sites may have been identified).

                                                27
        If, after reviewing the available resources and assessing the type, depth and extent of any
disturbances, the DEC has questions, they should contact the archaeological SME. Unless it can
be determined that the project area has been disturbed throughout and to a depth that exceeds that
at which archaeological deposits or sites may be expected to occur, an archaeological
investigation shall be required.

        If it can be verified that all of the area to be acquired has been previously disturbed, all of
the “No” boxes can be checked and the statement that “No archaeological resources will be
affected due to prior disturbance of all areas to be acquired”, can be entered in section F. 9., by
the DEC. A thorough description of the basis for the determination of prior disturbance of all
project areas must also be given in these cases.

        If the proposed project will require the acquisition of new right-of-way which has not
been previously disturbed by human activities, or if prior disturbance cannot be clearly
determined, then consultation of official archaeological resource databases and archaeological
resource expertise must be completed. The DEC must utilize data compiled and distributed by
the Office of State Archaeology (OSA) to identify known archaeological resources in the project
vicinity that are on or eligible for the National Register, and all recorded sites, Districts, or
archaeological resources within the project area that the proposed project could potentially
impact. The DEC should also consult with any local archaeological resource agencies and
experts. Upon review of data provided by the OSA and receipt of any data provided by local
agencies/experts, the DEC will request assistance from the DEA utilizing the Assistance Request
Form. (The DEA EPM must be copied on SME assistance requests).

        Color photographs of each area of concern and copies of all data obtained from the OSA
and local sources, must be submitted to the SME, along with any request for assistance. The
request for assistance, submitted on the Assistance Request Form (see Appendix D), must also
include the following information: (a) a brief project description and purpose and need
statement; (b) a map, exhibit, or plans which identify and define the project location and right-of-
way limits or anticipated maximum construction limits; (c) the type of assistance needed; (d) the
reason(s) for making the assistance request; and (e) a date by which the assistance is needed to
be provided. Within five (5) work days of receipt of adequate site information, the SME will
determine if an on-site field review is necessary. If the SME advises, in writing, that there is no
potential for archaeological resources in the project area and an on-site review is not necessary,
this will permit the inclusion in box F. 9. of the statement that “No archaeological resources will
be affected by the project.” The SME correspondence must be attached to the Checklist.

        If the SME determines that an on-site field review is needed, the SME and DEC will
schedule this review to be conducted as soon as possible. If the SME subsequently determines
that archaeological resources are or may be present, all required procedures and documentation
from this point forward, must be initiated and be completed by the DEA or their designee. The
DEC and the project team will be kept informed by the SME through the EPM of activities and
schedules required to address archaeological resource issues. As soon as possible, the DEC will
be provided with all correspondence necessary to complete Section F of the Checklist, or the

                                                  28
DEC will be advised by the DEA that due to archaeological resource issues and impacts, the
project cannot be processed as a CE Level 1 and environmental compliance responsibilities are
being transferred to the DEA. (Also See Checklist Section G. Section 4(f))

        Whenever archaeological investigations have been conducted for projects involving
federal aid, excluding only those specifically conducted to assess historic archaeological sites,
Native American Consultation (NAC) is required. Consultation must be conducted using nation-
to-nation protocols. Preparation of all NAC shall be the responsibility of the NAC SME.

     DEA Archaeological SMEs will coordinate these activities with the appropriate NAC
SME. Consultation shall typically occur as soon as possible following report concurrence by the
SHPO. Only after consultation with and approval of FHWA shall NAC be conducted prior to
SHPO concurrence.

        All NAC correspondence shall be prepared by the NAC SME for the signature of the
FHWA and shall be copied to appropriate District and central office staff. NAC shall conclude
45 days following FHWA signing and distribution of the documents. Dates of NAC letters shall
be documented in box F. 8. of the CE Checklist. FHWA shall provide DEA with copies of all
related correspondence received from the tribes during the comment period along with their
notification that the comment period has ended. The date of the FHWA letter shall be captured
in box F.8 as the “FHWA Closure Date.” In the rare instance that a tribe expresses an objection
to a project, FHWA shall provide DEA with a copy of the letter upon its receipt. FHWA, DEA
and the DEC shall consult as necessary to resolve any tribal objections. If a tribe requests to
further consult as additional data is developed this shall be indicated in box F.8.

       The Archaeological SME shall notify the EPM and DEC of the outcome of the
consultation, any project implications, and will provide copies of all correspondence received.
Copies shall be attached to the CE checklist.

        If any coordination letters or comment letters relating to archaeological resource impact
issues have been received, they must be summarized in box F. 9. and appended to the Checklist.
Local experts, oral communications, and other resources utilized, must also be documented. Any
questions about the Archaeological Resources Checklist heading should be directed to the DEA
EPM or Archaeology SME.




                                               29
F. 7.   SECTION 4(f) (49 USC 303) (CE Checklist Section 6.G):

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. Properties subject to Section 4(f) of the U.S.
Department of Transportation Act (49 USC 303) are publicly owned parks, recreation areas,
and/or wildlife and waterfowl refuges. Significant historic sites ( i.e. NRHP listed or NRHP
eligible) are subject to Section 4(f) regardless of ownership. Significant archaeological sites (i.e.
NRHP listed or NRHP eligible) are subject to Section 4(f) regardless of ownership, if they are
designated for in-place preservation. Section 4(f) only permits the use of any of these protected
lands for a transportation project when:

        a. there is no “feasible and prudent” alternative to the use of the Section 4(f) property;
           and
        b. the project includes all possible planning to minimize harm to the Section 4(f)
           property resulting from such use.

        Generally, Section 4(f) is triggered when a project will “use” land from a protected
resource. “Use” has been defined to include any permanent fee simple acquisition as well as
“constructive use”. Therefore, if it is determined that any Section 4(f) property(s) is present in
the project area, the DEA EPM, Historic, or Archaeological Subject Matter Expert (SME) must
be consulted and consultation with the FHWA will be required.

        Section 4(f) resource impacts can be addressed utilizing a De minimis finding,
Programmatic Section 4(f) Evaluations or Individual Section 4(f) Statements. With the passage
of SAFETEA-LU came greater flexibility for addressing 4(f) protected resources. If it can be
determined, in consultation with the official having jurisdiction over the resource, that the project
is having only de minimis impacts, then Section 4(f) requirements are considered satisfied. The
official with jurisdiction over the resource must be notified of the FHWA finding that the project
will not adversely affect the resource and of the Agency’s intent to make a de minimis
determination. The official with jurisdiction must concur, in writing, with the determination.
The public must also have been afforded an opportunity to comment on the project’s potential
impacts on the resource. With the de minimis finding, no analysis of prudent and feasible
alternatives is required. Measures to minimize harm must still be considered and implemented.

       The FHWA has established Nationwide Programmatic 4(f) Evaluations for: (1)
Federally-Aided Highway Projects with Minor Involvement with Public Parks, Recreation
Lands, Wildlife and Waterfowl Refuges; (2) Federally-Aided Highway Projects with Minor
Involvement with Historic Sites; and (3) Programmatic Section 4(f) Evaluation and Approval for
FHWA Projects that Necessitate the Use of Historic Bridges. Copies of these documents are
included in Appendix H. For projects meeting the programmatic 4(f) evaluation criteria, the
processing of qualifying projects can be streamlined by eliminating a certain amount of internal
review and interagency coordination The specific thresholds enabling the use of programmatic
4(f) evaluations are contained in the Nationwide Section 4(f) Evaluations published by the


                                                 30
FHWA. Projects requiring Individual Section 4(f) Statements are more complex and exceed the
strict criteria of the programmatic evaluations. The processing of Individual Section 4(f)
Statements is time consuming and restrictive and should be avoided if at all possible. In both
cases, programmatic or individual, the use of Section 4(f) protected lands can only be used when
there is no feasible and prudent alternative. Therefore, regardless of the type of Section 4(f)
compliance documentation that may be applicable, the DEA must be notified of any potential
Section 4(f) involvement as early as possible.

        Color photographs of each property of concern and copies of all relevant data gathered on
the significance of the resource, should be submitted by the DEC to the DEA, along with the
Assistance Request Form (see Appendix D), copied to the EPM. Within five (5) work days of
receipt of adequate property information, the SME will determine what action is necessary, and
will so advise the DEC in writing. If the EPM or SME advises that Section 4(f) resources are not
present, or that the Section 4(f) resource(s) is not significant, this will permit the completion of
all boxes in Section G by the DEC. The EPM and/or SME correspondence must be attached to
the Checklist.

        If the EPM or SME determines that an on-site field review is needed, a schedule to
conduct this review will be developed and the field visit will be completed in a timely manner.
If the EPM or SME determines that Section 4(f) resources are present but will not be used by the
project, the EPM or SME will so advise the DEC in writing. This will permit the completion of
all boxes in Section G by the DEC. The EPM and/or SME correspondence must be attached to
the Checklist.

        If the EPM or SME determines that Section 4(f) property(s) is present and will be used by
the proposed project, all required procedures and documentation (de minimis, Programmatic
Section 4(f) or Individual 4(f)) from this point forward, must be initiated and be completed by
the DEA or their designee, in consultation with the FHWA. The DEC and the project team will
be kept informed by the EPM of activities and schedules required to address Section 4(f)
resource issues. As soon as possible, the DEC will be provided with all correspondence and
direction necessary to complete Section G of the Checklist (de minimis, Programmatic 4(f)), or
the DEC will be advised by the DEA that due to Section 4(f) resource issues and impacts, the
project cannot be processed as a CE Level 1 and environmental compliance responsibilities are
being transferred to the DEA (Individual Section 4(f)). (Also See Checklist Section H. Section
6(f))

        If any coordination letters or comment letters relating to Section 4(f) resource impact
issues have been received, they must be summarized in box G.4 and appended to the Checklist.
Any questions about the SECTION 4(f) Checklist heading should be directed to the DEA EPM
or appropriate SME.




                                                31
       F. 8.   SECTION 6(f) (16 USC 460L) (CE Checklist Section 6. H.):

       Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. Properties subject to Section 6(f) (3) of the Land
and Water Conservation Fund (LWCF) Act of 1965 are those which have been purchased or
improved with LWCF grants from the U.S. Department of the Interior, National Park Service
(NPS). Section 6(f) (3) of the LWCF Act states:


       No property acquired or developed with assistance under this section, shall, without the
       approval of the Secretary of the Interior, be converted to other than public outdoor
       recreation uses. The Secretary shall approve such conversion only if he finds it to be in
       accord with the then existing comprehensive statewide outdoor recreation plan and only
       upon conditions as he deems necessary to assure the substitution of other recreation
       properties of at least equal fair market value and of reasonable equivalent usefulness and
       location.

         Therefore, when in conjunction with the project, it is proposed to acquire (temporary or
permanent acquisition) any land from any publicly owned outdoor recreation resource, it must be
determined if Section 6(f) property would be involved. If any publicly owned recreation land is
to be utilized by the project, as early as possible, the DEC will submit maps or exhibits of the
proposed project area to the Governor’s Office for Local Development (GOLD) (see Appendix
L) , along with a request for determination of the presence of Section 6(f) property(s). If the
GOLD provides written confirmation that Section 6(f) property(s) is NOT affected, this will
enable the DEC to complete Checklist Section H. If the GOLD provides confirmation that
Section 6(f) property(s) IS affected, the DEA EPM must be notified. All required Section 6(f)
procedures and documentation from this point forward, must be initiated and be completed by
the DEA or their designee. The DEC and the project team will be kept informed by the EPM of
activities and schedules required to address Section 6(f) resource issues. If, due to Section 6(f)
resource issues and impacts, the project cannot be processed as a CE Level 1, environmental
compliance responsibilities will be transferred to the DEA.

        If any coordination letters or comment letters relating to Section 6(f) resource impact
issues have been received, they must be summarized in box H.4 and appended to the Checklist.
Any questions about the SECTION 6(f) Checklist heading should be directed to the DEA EPM.




                                               32
       F. 9.       Noise Impact (23 CFR Part 772) (CE Checklist Section 6. I.):

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. The DEC will examine the project area and
determine if any noise sensitive sites or land use are present, as early as possible in the project
development phase. Noise sensitive sites and uses include any occupied property where frequent
exterior human use occurs (e.g. residential subdivisions) and a lowered noise level would be of
benefit, or any occupied structures where normal interior human uses could be hampered or
negatively affected by discernable increases in noise levels (e.g. libraries, schools, hospitals,
churches, nursing homes, theaters, etc.). If noise sensitive receptors are NOT present, the DEC
will complete Checklist Section I. and no further noise considerations are required. If noise
sensitive receptors ARE present, additional noise considerations must be made.

       With the presence of noise sensitive receivers/land uses, it will be necessary to conduct a
noise analysis for the project if the proposed project involves any of the following conditions:

       1.   A new roadway on new alignment;
       2.   The addition of one or more through travel lanes;
       3.   A significant change in vehicle mix or travel speed;
       4.   A significant change in vertical or horizontal alignment; or
       5.   A change in the character of the existing roadway that substantially reduces the
            highway noise shielding effect of adjacent landforms or existing noise barriers.

         If the proposed project does NOT involve any of the above listed conditions, it should be
so noted in Checklist box I. 5. and no further noise considerations are required. If the proposed
project DOES involve one or more of the above listed conditions, a project specific Noise Impact
Analysis must be performed. As soon as this determination has been made, the DEC will notify
the DEA with the submittal of an Assistance Request Form, copied to the EPM. Within five (5)
work days of receipt of the request, the SME will advise the DEC as to what project data is
required (e.g. mapping/plans, cross-sections, traffic volumes, design geometrics, etc.). The DEC
will provide the specified data to the SME as soon as possible. All required noise analysis
procedures and documentation from this point forward, must be initiated and be completed by
the DEA or their designee. The DEC and the project team will be kept informed by the EPM of
activities and schedules required to address highway noise issues. As soon as possible, the DEC
will be provided with all correspondence and direction necessary to complete Section I of the
Checklist, or the DEC will be advised by the DEA that due to highway noise impact issues, the
project cannot be processed as a CE Level 1 and environmental compliance responsibilities are
being transferred to the DEA.

       If any coordination letters or comment letters relating to project noise impact issues have
been received, they must be summarized in box I. 5. and appended to the Checklist. Any
questions about the NOISE IMPACT Checklist heading should be directed to the DEA EPM or
Noise SME.


                                                33
       F. 10. Air Quality Impacts (42 USC 7400) (CE Checklist Section 6. J.):

       Each subject under this heading must be addressed and the appropriate box checked.
Projects have the potential for air quality impacts on a regional level and a local level. The
potential air quality impacts of transportation projects are analyzed and updated as a whole at
least once every two years through the development of the Statewide Transportation
Improvement Program (STIP). It is developed by the Kentucky Transportation Cabinet (KYTC)
Division of Program Management in consultation with the Federal Highway Administration
(FHWA), Federal Transit Authority (FTA), Environmental Protection Agency (EPA),
Metropolitan Planning Organizations (MPOs), and governing air quality agencies (Kentucky
Division for Air Quality or Metropolitan Louisville Air Pollution Control District).

        At the present time (March 2008), there are nonattainment areas in Kentucky for eight-
hour ozone and PM 2.5. Maintenance areas in Kentucky, for the eight-hour ozone standard are
areas that were previously in violation of the one-hour standard for ozone, and currently (March
2008) include all of Boyd, Jefferson, Oldham, Bullitt, and Christian Counties. A map of these
nonattainment and maintenance areas is provided in Appendix I and is available at the DEA CE
website. In December of 2004, EPA released the list of counties in Kentucky which have been
designated as nonattainment with respect to PM2.5 (inhalable particulates). Conformity
requirements for these pollutants became applicable on April 5, 2006. A map of the PM2.5
nonattainment areas is provided in Appendix I. EPA is currently in the process of redesignating
both eight-hour ozone and PM 2.5 areas nationwide. Any changes in the designations of
counties or areas in Kentucky shall be conveyed by the SME when the information becomes
available.

        The determination of whether an air quality analysis is required for a project meeting
applicable criteria for clearance with a CE will be made by either the DEC or DEA Air Quality
SME. Generally, project specific air quality analysis for carbon monoxide is not required for
projects which will not be adding new signalized intersections, provided that the project is listed
in the STIP. The DEC, as early as possible in project development, will determine if the project
is included in the current STIP. The STIP is available through the Cabinet’s Internet web page.
A link to the site has been placed in the Air Quality section of CE References on the DEA web
page. If the project is not in the STIP, and is to be located in an area managed by an MPO, the
TIP should also be reviewed for project inclusion. Contact information for the various MPO’s
and web addresses for TIP’s, if available, are provided in Appendix L. If a project is not listed in
the STIP, but found to be included in the local TIP, the DEC must contact the DEA Air Quality
SME for assistance. The DEA SME will work with others within the KYTC responsible for
making revisions to the STIP. The project must be added to the STIP prior to approval of the
environmental document.

        If listed in the STIP and if the project does not add signalized intersections with an “open
to traffic” year ADT > 80,000 vehicles per day or additional through lane capacity, then no
project specific air quality analysis for carbon monoxide is required and the DEC can complete
question J.3 of the checklist. The checkbox can be populated indicating that “This project does


                                                34
not exceed the Kentucky CO screening criteria for project-level analysis and is not expected to
produce a violation of the CO standards (35 ppm over a one-hour period or 9 ppm over a one-
hour period)”. If the project does not meet these criteria, an air quality analysis may be
necessary and the DEA Air Quality SME must be advised, with the submittal of a Request for
Assistance form (Appendix D), also copied to the EPM.          Once assistance is determined
necessary, coordination between the Air Quality SME and the DEC shall be in accordance with
procedures outlined later in this section.

         For all federal-aid projects, a statement regarding the project’s potential to contribute
Mobile Source Air Toxics (MSAT’s) to the surroundings is required. FHWA has developed a
list of project types that would not be reasonably expected to contribute to an increase in MSAT
concentrations. A list of these project types can be found in 40 CFR 93.126. If a project is in the
exempt list and meets the criteria specified then the DEC can complete the checklist indicating
that the project will have “No Potential For Meaningful MSAT Effects”. If the project type is
not on the exempt list, the DEC shall submit a Request for Assistance to the SME with a copy to
the EPM as described in procedures described later in this section.

       For projects located wholly or partially within counties or areas that are in nonattainment
for PM 2.5, the DEC should contact the SME to determine if the PM 2.5 Checklist and Inter
Agency Consultation (IAC) process has been completed in the Central Office. If not, the DEC
may fill out the PM 2.5 Checklist (Appendix I) and initiate the Inter Agency Consultation (IAC)
process or request the assistance of the Air Quality SME with submittal of a Request for
Assistance to the SME with a copy to the EPM as described in procedures described below.
Completion of the checklist is not required if the project is not located in a PM 2.5
nonattainment area.

        The DEC shall request the assistance of the Air Quality SME if either directed by
procedures established in this section or if engaging special expertise is considered appropriate.
The request shall be made using the Assistance Request Form (Appendix D), with copy also
provided to the appropriate EPM. With the request, the DEC shall also provide the TIP or STIP
information (project identification and page number) and a thorough project description. Within
five (5) work days of receipt of adequate information, the SME will determine what action is
necessary, and will so advise the DEC in writing. Once engaged to assist in project review, if the
SME advises that an air quality analysis is not required, this will permit the completion of all
boxes in Checklist Section J by the DEC. The SME correspondence must be attached to the
Checklist. If the SME determines that an on-site field review is needed, the SME and DEC will
schedule a timely review. If the SME determines that an air quality analysis is required, the
SME will so advise the DEC, in writing. All required procedures and documentation from this
point forward, must be initiated and be completed by the DEA or their designee. The DEC and
the project team will be kept informed by the EPM of activities and schedules required to address
Air Quality issues. As soon as possible, the DEC will be provided with all correspondence and
direction necessary to complete Section J of the Checklist, or the DEC will be advised by the
DEA that due to air quality impact issues, the project cannot be processed as a CE Level 1 and
environmental compliance responsibilities are being transferred to the DEA.


                                                35
       If any coordination letters or comment letters relating to Air Quality Impact issues have
been received, they must be summarized in box J. 5. and appended to the Checklist. This
includes, but is not limited to, copies of all interagency consultation and the checklist prepared to
address PM 2.5 requirements. Any questions about the AIR QUALITY IMPACT Checklist
heading should be directed to the DEA SME.

       F. 11. Hazardous Materials (CE Checklist Section 6. K.)

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. As early as possible in project development, the
DEC will conduct an on-site inspection of the project area and determine if any of the structure
types, sites, or land uses listed in Appendix J are present in the project area. If no such
structures, sites or land uses are present, or if the project would have no effect upon any such
structures, sites or land uses, then the DEC can complete Checklist Section K. In Checklist box
K 6., the DEC will provide a statement briefly explaining the basis of the no sites/land uses
present or no sites/land uses affected determination.

       If any potential hazardous materials sites (see Appendix J) are present in the project area
and would be affected by the proposed project, then the DEA Hazardous Materials SME must be
consulted.

        The DEC will provide to the SME, a copy of the maps or exhibits showing the location of
potential hazardous material sites relative to the project area, color photographs of the sites of
concern, a map or exhibit showing where the impacts would occur, and a complete project
description, along with a written request for assistance. (The DEA EPM must be copied on SME
assistance requests). Within five (5) work days of receipt of adequate information, the SME will
determine what action is necessary, and will so advise the DEC in writing.

        If the SME advises that no hazardous materials permits, authorizations, or site specific
Environmental Site Assessments (ESA) are required, this will permit the completion of all boxes
in Checklist Section K by the DEC. The SME correspondence must be attached to the Checklist.
If the SME determines that an on-site field review is needed, the SME and DEC will schedule
this review to be conducted as soon as possible. If the SME subsequently determines that any
hazardous materials permits, authorizations, or special mitigation plans, are required, and/or an
ESA must be performed, the SME will so advise the DEC, in writing. All required procedures
and documentation from that point forward, must be initiated and completed by the DEA or their
designee. The DEC and the project team will be kept informed by the EPM/SME of activities
and schedules required to address hazardous materials impact issues. As soon as possible, the
DEC will be provided with all correspondence and direction necessary to complete Section K of
the Checklist, or the DEC will be advised by the DEA that due to Hazardous Materials impact
issues, the project cannot be processed as a CE Level 1 and environmental compliance
responsibilities are being transferred to the DEA.



                                                 36
         Though every effort should be made to complete Phase II investigations prior to
requesting FHWA authorization of ROW funds, circumstances may dictate that Phase II or Phase
III work be deferred. Consultation between the DEA EPM and FHWA must precede any
decision to defer Phase II investigations. Documentation of the consultation must be attached to
the checklist and the issue of deferral discussed in the box K 6 and Section 5 of the checklist and
in the CAP, as appropriate. The CE may be processed for the purpose of completing design and
initiating the right-of-way phase; however, hazardous materials compliance activities must be
fully addressed prior to any request for construction authorization.

        If any coordination letters or comment letters relating to Hazardous Materials Impact
issues have been received, they must be summarized in box K. 6. and appended to the Checklist.
Any questions about the HAZARDOUS MATERIALS IMPACTS Checklist heading should be
directed to the DEA HAZMAT SME.




                                                37
F. 12. Threatened and Endangered Species (16 USC 1530) (CE Checklist
              Section 6. L.)

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC or SME will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. The DEC shall review the most current Species
List provided to KYTC by the USFWS as well as available Internet resources maintained by the
Kentucky State Nature Preserves and the Kentucky Department of Fish and Wildlife Resources
to determine the federally threatened and endangered species (T&E) that can be expected to
occur in the project vicinity. The web sites for these resources are included in Appendix L and
on the DEA CE web page. All three resources must be checked. Species identified by KSNPC
or KDFWR as Threatened or Endangered shall supplement those identified on the USFWS
Species list Species identified as potentially present shall be listed in the CE Checklist (Section
6.K.1)

Following identification of all species that may potentially occur in the project vicinity, the DEC
will determine if habitat for the identified species is present following procedures established for
use of the Habitat Assessment Manual (HAM). A CE may not be approved without the
completion of a habitat assessment. The DEC shall address species for which there is no habitat
by preparing a “No Effect” finding. A copy of the finding must be attached to the CE, and a
copy provided to DEA. Species for which a No Effect finding has been made shall be listed in
the CE Checklist (6.K.2). If the DEC is uncertain regarding the presence of habitat for particular
species, A CE Request for Assistance form shall be submitted to DEA to enlist the assistance of
a Biology SME in making the appropriate determination. If unable to make a “No Effect”
finding for all potentially affected species, remaining species shall be identified on the CE
checklist as requiring a Biological Assessment (6.K.2).

If habitat exists for the Indiana bat, the DEC, or the Biology SME as needed, shall assess
whether the project can be determined Not Likely to Adversely Affect (NLTAA) the species in
accordance with the Biological Opinion (BO) issued to the FHWA on June 9, 2006 and
subsequently amended June 18, 2007. All forms required for the completion of a NLTAA
determination per the BO and the HAM shall be attached to the CE Checklist. If an NLTAA
determination can not be made for Indiana bat, any conditions that have been agreed upon to
address minimizing project impacts to the species, such as acceptance of tree cutting restrictions
or use of the Indiana Bat Conservation Fund, are to be documented. Finalizing these
commitments is NOT required for completion of the CE. Rather than either of these approaches,
scheduling of a BA may also be a desirable future activity. Regardless of which of these
approaches are taken, if such decisions have been made prior to completion of the CE, they shall
be documented in the checklist (6.L.3). If Indiana bat issues have not been fully addressed it is
to be noted and a schedule for completion outlined in the checklist (6.L,7).




                                                38
       If assistance is needed to analyze the impacts of the project on threatened and endangered
species, the DEC will provide a Request for Assistance including color photographs showing the
land use types in the project area, and a complete project description. (The DEA EPM must be
copied on SME assistance requests).

       Within five (5) work days of receipt of adequate information, the SME will determine
what action is necessary, and will so advise the DEC in writing.

         If the SME advises that an Ecological Impact Assessment and/or Biological Assessment
(BA) is not required, this will permit the completion of all boxes in CE Checklist Section L by
the DEC. The SME correspondence must be attached to the CE Checklist. If the SME determines
that an on-site field review is needed, the SME and DEC will schedule this review to be
conducted as soon as possible. If the SME subsequently determines that an Ecological Impact
Assessment and/or BA is required, the SME will so advise the DEC, in writing. All required
procedures and documentation from this point forward, must be initiated and completed by the
DEA or their designee. The DEC and the project team will be kept informed by the EPM of
activities and schedules required to address T & E issues. As soon as possible, the DEC will be
provided with all correspondence and direction necessary to complete Section L of the Checklist,
or the DEC will be advised by the DEA that due to T & E impact issues, the project cannot be
processed as a CE Level 1 and environmental compliance responsibilities are being transferred to
the DEA. This will occur if a project is determined to adversely affect a T&E species.

        If T & E compliance activities require preparation of a BA. This should be completed
prior to requesting right-of-way authorization but must be completed prior to requesting
construction authorization. Due to seasonal restrictions, it may be desirable to defer the required
BA activities to a future point in time. Such deferrals must be addressed in the scheduling of
future activities addressed in 6.L.7.. This may also be appropriate for inclusion in the CAP.

        If any coordination letters or comment letters relating to T & E Impact issues have been
received, they must be summarized in box 6.L.7 and appended to the Checklist. Any questions
about the THREATENED AND ENDANGERED SPECIES IMPACT Checklist heading should
be directed to the DEA Subject Matter Expert (SME).




                                                39
       F. 13 Water Resource Impacts (CE checklist Section 6. M)

        Each subject under this heading must be addressed and the appropriate box checked. The
DEC will consult with the appropriate Project Team member(s) to obtain all necessary
information required to complete this section. As soon as possible in the project development
phase, the DEC will determine whether any water resources will be impacted. The water
resources impact determination will be used to ascertain permitting or other actions that may
need to be taken to comply with state and/or federal regulations or requirements. Special
consideration will be given to those projects located within close proximity to Special Use
Waters. Project development and permitting activities will both reflect appropriate consideration
of these resources and may also include protective measures to prevent or minimize harm.
Consideration of impacts to Waters of the United States (U.S.) (defined as Federally regulated
perennial, intermittent, and ephemeral streams, lakes/ponds or wetlands), Drinking Water
Resources (public or private, surface or groundwater), Wellhead Protection Areas, MS4
regulated areas, and karst areas will also be given. Impacts below the Ordinary High Water
Mark (OHWM) of Waters of the U.S. will be of particular interest in assessing permitting
requirements. The need for a U.S. Coast Guard Section 9 permit or US Army Corps of
Engineers Section 10 permit for crossing of a Navigable Water must also be determined. In
addition, the DEC will also assess the need for a KPDES permit for discharge of storm water
during project construction and any influence that resources in the area, such as Special Use
Waters, may have on project requirements.

        If Special Use Waters are not present in the project vicinity, surface disturbance will be
less than one acre, project is not located within a MS4 community, is not within a 100 year
floodplain, does not impact drinking water supplies, Waters of the U.S are NOT present, karst
areas are not present, and if no work will occur below OHWM, the DEC will complete Checklist
Section M. and provide the basis of the no impacts determination in Checklist box M.13.


       Special Use Waters

       As soon as possible in the project development phase, the DEC will determine if there are
any Special Use Waters in the project vicinity. This must be completed prior to the completion
of the CE checklist. Special Use Waters are rivers, streams and lakes listed in Kentucky
Administrative Regulations or the Federal Register as Cold Water Aquatic Habitat, Exceptional
Waters, Reference Reach Waters, Outstanding State Resource Waters, Outstanding National
Resource Waters, State Wild Rivers and Federal Wild and Scenic Rivers. Not included as
Special Use Waters are water bodies designated by default as Warm Water Aquatic Habitat,
Primary Contact Recreation and Secondary Contact Recreation. The Kentucky Division of
Water web site for Special Use Waters (http://www.water.ky.gov/sw/specialwaters/) provides a
means for identifying and locating these resources.

       Highway project development within the watersheds of Special Use Waters may
require additional coordination or permitting activities with resource agencies responsible


                                               40
for administration and protection of these designated waters. If there ARE Special Use
Waters in the project area, the DEC shall request the assistance of the DEA Bio-Engineering
Branch Manager utilizing the Assistance Request Form (see Appendix D). The DEC will
provide a copy of the maps or exhibits showing the location of the Special Use Waters
boundaries relative to the project area, a map or exhibit showing where direct and/or indirect
impact would occur, and a complete project description, along with the written request for
assistance. (The DEA EPM must be copied on assistance requests). Within five (5) workdays of
receipt of adequate information, the Bio-Engineering Branch Manager will determine what
action may be necessary, and will so advise the DEC in writing.

        If there are NOT Special Use Waters present in the project area that could be either
directly or indirectly impacted, the DEC will complete Checklist Section M.1 and provide the
basis of the no impacts determination in Checklist box M.13.

        If any coordination letters or comment letters relating to Special Use Waters impact
issues have been received, they must be summarized in box M.13 and appended to the Checklist.
Any questions about the SPECIAL USE WATERS IMPACTS Checklist heading should be
directed to the Manager of the DEA Bioengineering Branch (SME).


       KPDES KYR10 Storm Water Permit

        If the project will result in a surface disturbance greater than one (1) acre a KPDES
KYR10 storm water permit will be required. Surface disturbance includes all disturbance related
to the highway construction including staging areas, excess material disposal sites, utility
relocation, or other disturbances. If “Yes” is checked the DEC must notify the project manager
and the District Construction Branch Manager of the need for a KPDES KYR10 permit. This
notification should result in the development and submittal of the KYR10 notification to the
Division of Water prior to construction. If Special Use Waters are present within the project
area, the DEC must contact the DEA Bio-Engineering Branch Manager for additional guidance
with regard to the KPDES permitting requirements. The presence of Special Use Waters may
require additional coordination with the Division of Water, an Individual KPDES permit
(requiring a public notice), or other requirements.

       Small Municipal Separate Storm Sewer Systems (MS4)

       If the project is located wholly or partially within a designated MS4 community (see
Appendix L) M.3 should be checked “Yes” and the DEC must coordinate with the DEA MS4
SME to determine if the project is in compliance with the overall KYTC MS4 program. The
DEC or designated District MS4 contact must also coordinate with the local MS4 program to
determine if the project is in compliance with any local requirements, ordinances, or restrictions
that require consideration before, during, or after construction. This coordination must be
completed prior to completion of the CE checklist.



                                               41
        The DEC will provide to the DEA MS4 SME, a copy of the maps or exhibits showing the
location of the project, along with a complete project description and a written request for
assistance. (The DEA EPM must be copied on SME assistance requests). Within five (5)
workdays of receipt of adequate information, the SME will determine what action is necessary,
and will so advise the DEC in writing.

        Copies of the results of these consultations with the MS4 community and the MS4 SME
shall be attached to the checklist and discussed in M.13. Any specific requirements of the local
MS4 that will affect design or that will need to be reflected in final plans should be noted in both
M.13 and Section 5.

       Floodplains

        Floodplain encroachments have the potential to increase flood elevations or decrease
storage capacity . The KYTC Division of Highway Design, Drainage Branch assesses the
impact of floodplain encroachments during final design. Coordination with FEMA and the
Division of Water, if necessary, is conducted as part of that design and review. Indication of
floodplain impacts in section M.4 will serve as notice to the Drainage Branch that this issue will
require consideration as design proceeds. No further coordination or consultation is required for
completion of the checklist and approval of the CE.

       Drinking Water Supplies

        Prior to completion of the CE checklist the DEC must determine if public or private
drinking water sources (including groundwater sources and/or wellhead protection areas) are
present in the project area and if the potential exists for those drinking water sources to be
affected (directly or indirectly) by the project during or after construction. This may require
interviewing affected landowners and consulting with local water utilities to determine their
water sources. If area residents are found to be using groundwater or surface water as a drinking
water supply, the DEC shall coordinate with the Manager of the DEA Bioengineering Branch.
This is of the utmost importance if the project lies within a wellhead protection area or the
watershed of a municipal drinking water supply. Plans for avoiding or minimizing harm to these
resources will be coordinated by the DEC with the DEA Bioengineering Branch Manager.

       The DEC will provide to the DEA Bioengineering Branch Manager, a copy of the maps
or exhibits showing the location of the surface or groundwater user and source of water, along
with a complete project description and a written request for assistance. (The DEA EPM must
be copied on SME assistance requests). Within five (5) workdays of receipt of adequate
information, the SME will determine what action is necessary, and will so advise the DEC in
writing.

       After coordination with the landowners, local officials or other affected parties, and
consideration of appropriate measures to be incorporated in the design for protection of the water
supply, the DEC may complete Section M.5 of the checklist. Copies of the consultation with the


                                                42
DEA Bioengineering Branch Manager and the affected parties shall be attached to the checklist.
The outcome of the consultation shall be discussed in Section M.13. Any commitments, special
provisions or protective measures to be employed, especially those that will require specific
consideration during detailed design will also be reported in Section 5.

401/404 Permits

       OHWM Impacts

        If Waters of the U.S ARE present in the project area and the DEC determines that stream
impacts will occur below the Ordinary High Water Mark, the DEC will determine the potential
for and nature of the impacts. If stream impacts will occur, then the DEA Permitting SME must
be consulted. It is anticipated that if a “Yes” is checked in any of Sections M.7 – M.12 that a
Section 404/401 permitting action will be likely and the DEA Permitting SME must be consulted
prior to issuance of CE.

        The DEC will provide to the DEA Permitting SME, a copy of the maps (including but not
limited to USGS 7.5’ Quadrangle maps and Highway Design Plans) showing the location of
stream and wetland impact areas, and a complete project description, along with a written request
for assistance. (The DEA EPM must be copied on SME assistance requests). Within five (5)
workdays of receipt of adequate information, the SME will determine what action is necessary,
and will so advise the DEC in writing.

        If the SME advises that no 401/404 permits are required, this will allow the completion of
all boxes in Checklist Section M.7-11 by the DEC. The SME correspondence must be attached
to the Checklist. If the SME determines that an on-site field review is needed, the SME and
DEC will schedule a timely review of the project area. If the SME subsequently determines that
any permits are required, the SME will so advise the DEC, in writing. The DEC and the project
team will be kept informed by the EPM of activities and schedules required to address stream
permitting issues. As soon as possible, the DEC will be provided with all correspondence and
direction necessary to complete Section M.7-11 of the Checklist, or the DEC will be advised by
the DEA that due to the Special Use Waters impact issues, the project can not be processed as a
CE Level 1 and environmental compliance responsibilities are being transferred to the DEA.

       Special Aquatic Sites

        In the instance that a Water of the U.S. has been identified as being impacted by the
project then as early as possible in project development, the DEC will determine if the project
will result in the loss of a Special Aquatic Site (SAS). In Kentucky, a SAS may be defined as
wetlands or Riffle-Pool Complexes.

        To address wetland concerns, the DEC will obtain National Wetland Inventory (NWI)
mapping of the project area. NWI coverage can be obtained using the in-house KYTC ArcView
layers or from various internet sources. Since NWI maps are often incomplete or inaccurate, this


                                               43
information must also be supplemented by a review of soils maps, which may identify hydric
soils in the project area. The DEC will request soils maps from the local NRCS office (see
Example Request Letter in Appendix L). Soils on this map, which are identified as hydric or as
map units that contain hydric inclusions, reveal a strong possibility for the presence of wetlands
even if the area(s) is not identified as wetland on the NWI map.

        Utilizing both the NWI map and the hydric soils information, the DEC must field assess
the project area and determine if any wetlands or potential wetlands may be present. Riffle-Pool
Complexes may also exist within stream reaches to be impacted. Field review must also
investigate for these features.

       If no SAS or potential SAS is present, or if the project would have no effect upon any
SAS present, then the DEC can complete Checklist Section M.10. The DEC will provide a
statement, briefly explaining the basis of the no SAS present or no SAS affected determination
and will attach a copy of the NWI map and soils map to the Checklist.

        If, based on field inspection, the DEC determines that a SAS may be present, then a DEA
Permitting SME must be consulted. If there is any uncertainty about the possible presence of a
SAS, the DEC shall coordinate with the DEA SME. The DEC will provide to the SME, color
photographs showing the SAS and/or potential SAS in the project area, and a complete project
description, along with a written request for assistance. (The DEA EPM must be copied on SME
assistance requests). If the SAS is potentially wetland, the DEC shall also provide a copy of the
NWI and soils Map(s). Within five (5) work days of receipt of adequate information, the SME
will determine what action is necessary, and will so advise the DEC in writing.

        If the SME advises that the site in question is not a SAS this will allow the DEC to
complete box M.10 in the Checklist. The SME correspondence must be attached to the
Checklist. If the SME determines that an on-site assessment is needed, the SME and DEC will
schedule a timely field review. If the SME subsequently determines that a SAS is affected, the
SME will so advise the DEC, in writing. All required procedures and documentation from this
point forward, must be initiated and completed by the DEA or their designee. The DEC and the
project team will be kept informed by the EPM of activities and schedules required to address
SAS issues. Wetland impacts in excess of five (5.0) acres will require consultation with the
FHWA. As soon as possible, the DEC will be provided with all correspondence and direction
necessary to complete Section M.10 of the Checklist, or the DEC will be advised by the DEA
that due to SAS impact issues, the project cannot be processed as a CE Level 1 and
environmental compliance responsibilities are being transferred to the DEA.

        If any coordination letters or comment letters relating to wetland impact issues have been
received, they must be summarized in box M.13 and appended to the Checklist. Any questions
about this topic should be directed to the DEA Permitting SME.




                                               44
       Section 10 of The Rivers and Harbors Act and Section 9 USCG Permits

        The DEC shall determine if impacts to Waters of the U.S. will be regulated by Section 10
of the Rivers and Harbors Act of 1899 and/or require a Section 9 Coast Guard Permit. The DEC
shall use U.S. Army Corps of Engineers Public Notice No. 83-LD-016 (Appendix K) to
determine whether a Section 10 Water will be impacted or they may consult with the appropriate
DEA Permitting SME. This information will allow the DEC to complete the designated
questions of Section M.12 concerning these issues. Section 9 Waters are a subsection of Section
10 Waters and are defined as navigable waters currently used as a means of transporting
interstate or foreign commerce. If the DEC is unsure whether a project occurs in a navigable
waterway then the DEA Permitting SME must be consulted. If a Section 9/10 Permit is required,
the DEC will contact the DEA Permitting SME. If a Section 9 Permit is required, the DEC will
coordinate with the Division of Structural Design as well as the DEA Permitting SME.

       Permitting Requirements

        In instances when the DEC can not complete the checklist without assistance from the
DEA Permitting SME, the DEC and SME may determine that an on-site field review is needed.
The SME and DEC will schedule a timely field review. If the SME subsequently determines that
water quality permits (Section 401, Section 404, KPDES, etc.), special mitigation plans, and/or
other authorizations are required, the SME will so advise the DEC in writing. If an Individual
404 permit is required, and the project consists of either an interchange to replace an existing at
grade intersection or a programmatic 4(f) finding is required, the DEC must consult with DEA to
determine whether elevation of the project to a Level 2 or Level 3 is appropriate. If desired that
the project remain a Level 1, the DEC shall prepare and submit to the Director of DEA, a request
and a justification for the action. The request shall discuss overall impacts of the project and
coordination efforts anticipated to resolve identified issues.

       Once 404/401 permitting is determined to be necessary, the DEA shall be responsible for
preparation of the 404/401 permit application packages. The DEC and the project team will be
kept informed by the SME and EPM, of activities and schedules required to address stream
impact and water quality issues. Completion of permitting activities is not required for issuance
of the CE, however, project permitting needs must be identified in the appropriate locations of
Section 6.M. These findings may also need to be reiterated in Section 5 if future actions are
required to address issues. Should impacts warrant, the DEC will be advised by the DEA that
due to surface water and water quality impact issues, the project cannot be processed as a CE
Level 1 and environmental compliance responsibilities are being transferred to the DEA.

       Once KPDES permitting needs have been identified the District Construction Branch or
Central Office Construction will be responsible for completing the appropriate KPDES permit
application and submitting the application to the Division of Water.

       If any coordination letters or comment letters relating to water resource issues have been
received, they must be summarized in box M.13 and appended to the Checklist. Any questions


                                                45
about the Water Resource Impacts Checklist heading should be directed to the DEA Bio-
Engineering Branch Manager or Permitting SME as outlined in this section.

       Significant Water Resources/Karst Policy

         Prior to completion of the CE checklist the DEC must determine if ANY significant
water resources are present that may be affected by the project. These may include but are not
limited to Special Use Waters, Drinking Water Supplies, Wellhead Protection areas, karst areas,
etc. If any of these features or characteristics are present in the project area, the project may be a
candidate for use of the Department’s Policy on Best Management Practice (BMP) to be Used
for Karst and Significant Resource Areas (Design Memorandum 12-05). If so, “Yes” should be
checked and a request for assistance sent to the appropriate DEA SMEs as application of the
“Karst Policy” may serve to comply with several programs as well as minimize impacts to
various resources. _______________________________________________________________




                                                 46
       F. 18. Construction Impacts (CE Checklist Section 6. N.)

        Potential project effects and impacts unique to construction phase activities should not be
overlooked. As early as possible in project development, the DEC should evaluate the project
area for conditions and circumstances that may be sensitive to construction processes. It should
be determined if highly erodible soils are present and if special measures to control silt and
sediment from entering surface streams or groundwater conduits during construction are
necessary. It should be determined if special consideration must be given to any state or local
ordinances or laws relative to dust control, open burning, or other air quality issues. It should be
determined if any noise sensitive land uses are present which could affect time and duration of
construction operations. It should be determined if construction period detours will be required
and if such detours would adversely affect neighborhoods or businesses. It should be determined
if any specific areas (e.g. wetlands, archaeological sites, wildlife habitat, sensitive vegetation,
etc.) should be restricted from equipment or materials storage or staging. These factors and any
other anticipated project consequences from construction which could adversely affect the
environment, should be discussed by the DEC, in this Section of the CE Checklist.

       If any coordination letters or comment letters relating to Construction Impact issues have
been received, they must be summarized and appended to the Checklist. Any questions about
the CONSTRUCTION IMPACTS Checklist heading should be directed to the DEA Subject
Matter Expert (SME).




                                                47
       G.      Procedures for Establishing Appropriate CE Levels

        The project types listed in Table 2, as well as any additional qualifying projects approved
by the FHWA, may be classified as CEs, upon the confirmation that the action or project,
individually or cumulatively, will have no significant environmental effects.                  Such
determinations are to be made on a case-by-case basis through the application of context and
intensity factors (see Section II.C.) appropriate for the action proposed. During the course of
examination and evaluation of a project under the various CE criteria, it is expected that
individual and unique project circumstances will occur from time-to-time that may require a
determination for elevation of the project to a higher processing level or processing at a lower
level. The recommendation for elevation of a CE Level 1 to a CE Level 2, will be initiated by
the DEC. Elevation of a CE Level 2 to a CE Level 3, EA, or EIS will be initiated by the DEA.
Elevation of a CE Level 3 to an EA or EIS, will be as directed by the FHWA.

        All CEs will be initiated by the DEC. Processing should be considered as beginning at the
time of initial field assessment or earlier, if appropriate. If during the course of project
evaluation, the DEC determines that the project exceeds the established criteria for processing as
a Programmatic CE or CE Level 1, the DEC shall prepare and submit sufficient project
information to the Director, DEA for further evaluation and processing by DEA. The request will
be made in writing, and include the following information: (a) a description of the issue(s) which
create the need for elevation; (b) a map, exhibit, or plans identifying and defining the project
location and disclosing the location of any elements relevant to the elevation request; (c) a
recommendation of the CE Level or environmental documentation deemed appropriate; (d) any
coordination letters or comment letters received; (e) a date by which a determination is needed;
and (f) a copy of the CE Checklist developed up to the point at which the decision was made that
elevation was appropriate. The Project Information Section and other sections of the CE
Checklist, as appropriate to fulfill the minimum data requirements for a CE request, must
be completed and submitted to the Director, DEA. Such requirements are outlined in
Memorandum from John Mettille, Director of DEA, dated March 22, 2000 (see Appendix
L.) The request is to be submitted both in hard copy to the Director, DEA and electronically via
email to the appropriate EPM. It is not required that any attachments not readily available
electronically be transmitted via email. If it is determined that continued processing by DEA is
appropriate, DEA shall utilize the electronic checklists and attachments for the completion of the
documentation.

        If the thresholds established in the Agreement for a CE Level 1 are exceeded, but the
DEC believes that the context and intensity of the impacts are such that the project does not
warrant elevation to a higher level, the DEC may petition the Director, DEA for approval to
continue processing as a CE Level 1. The DEC shall provide sufficient information about the
project and its anticipated impacts for an informed decision regarding the appropriate Level for
processing. This should include the CE checklist, completed to the extent possible at the time of
making the request, along with any attachments that have been developed. The criteria




                                                48
exceeding the Level 1 thresholds shall be identified and a thorough discussion of context and
intensity as applicable to each threshold exceeded shall be provided to justify processing at the
lower Level.

         Within ten (10) working days of receipt of an adequately supported request for Level
establishment (higher or lower), the Director, DEA will determine the appropriate action and
provide, in writing, a response to the DEC outlining what action will be taken. If no elevation is
determined to be required, the DEC will be notified, in writing, to continue with the execution of
the CE Checklist and documentation of the CE Level 1 criteria. Normal CE Level 1 processing
requirements will be followed. If it is determined that elevation is appropriate, the DEC will be
notified, in writing, that the DEA is assuming responsibility for environmental documentation
requirements and any additional information that has been identified as necessary for processing
of the CE Level 2 or 3. The DEC and the project team will be kept informed by the EPM of
activities and schedules required to complete the environmental documentation deemed
necessary.

       H.      Re-Evaluation of CE Projects

        CE determinations must be periodically reevaluated to assure that the decision reflects the
current project and that effects and impacts previously identified have not significantly changed.
Reevalution of a project decision is appropriate if:

       1. The scope of the project has changed. This may mean that terminus, alignments or
          other significant aspects of the previous analysis and approval are substantively
          different Though not necessarily considered a change of scope, a reevaluation must
          also consider the minor changes that occur between preliminary and final design.
          These refinements may incorporate additional right of way, affect additional
          residences, or create impacts not addressed by the original determination.

       2. Regulations have changed. Passage of new regulations or changes that may occur
          within existing regulations may render a previous determination invalid. When
          reevaluated, projects must be assessed in accordance with regulations that exist at the
          time of reevaluation, not those that were in effect at the time of the original decision.

       3. Conditions have changed. After approval of a document, conditions in the area of the
          project may be altered. This would most typically occur as a result of the
          introduction of man-made features or influences on the landscape but may also
          include significant catastrophic events such as fires, floods, etc. Any significant
          changes that have occurred within the landscape where the project will be located that
          alter previous determinations of impact or effect must be considered.

        Prior to requesting subsequent major project approvals from the FHWA, all expired CE
projects must be re-evaluated to establish whether or not conditions have changed, rendering the
CE classification invalid. A CE approval is considered to have expired if it is more than two (2)


                                                49
years old. Projects which were processed as Programmatic CE Projects and CE Level 1, will be
re-evaluated by the DEC. Projects which were approved as CE Level 2 or 3, or approved
through the EA/FONSI process, will be re-evaluated by the DEA. The DEC should coordinate
with the DEA EPM in advance of planned major project actions to assure reevaluation of CE
Level 2 and CE Level 3 documents as needed to maintain project schedules.

        In each re-evaluation situation, all of the documentation developed for the CE
determination or FONSI approval will be reviewed and compared with the current circumstances
surrounding the proposed project. As with the initial evaluation/approval, project context and
intensity factors will be key to the re-evaluation. If the re-evaluation finds that there have been
no significant changes in the project or in the range of factors that led to the initial CE
determination no further NEPA coordination for the project is required. This finding must be
documented in the project file with the completion of the Categorical Exclusion Project Impacts
Reevaluation Summary (Appendix D). If project conditions and circumstances are found to have
changed to such a degree that the CE classification should be reexamined or elevated, a new CE
evaluation process must be initiated regardless of whether two years have passed since the
approval.

       If it is determined that a Programmatic CE Project should be elevated to CE Level 1, the
required documentation will be developed by the DEC. If it is determined that a Programmatic
CE project or CE Level 1 project should be elevated to CE Level 2 or higher, the DEC will
provide all available project and environmental information to the DEA EPM, along with a
recommendation for project elevation.

        Within ten (10) work days of receipt of adequate project information, the EPM will
determine what action is necessary, and will so advise the DEC in writing. If the EPM finds that
the project can be processed at the same CE Level as initially approved (i.e. Programmatic CE
Project or CE Level 1), the EPM will return the documentation to the DEC, along with guidance
and recommendations for execution of the re-evaluation documents. If the EPM determines that
an on-site field review is needed, the EPM, with any SME assistance as may be deemed
necessary, will schedule this review to be conducted with the DEC as soon as possible. If the
EPM subsequently determines that CE Level elevation is required, the EPM will so advise the
DEC, in writing. All required procedures and documentation from that point forward, must be
initiated and completed by the DEA or their designee. The DEC and the project team will be
kept informed by the EPM of activities and schedules required to complete the CE re-evaluation
process. As soon as possible, the DEC will be provided with the final re-evaluation
documentation and any direction necessary to advance the project.

        If a CE Level 2 or 3 project is deemed, through the re-evaluation process, to require
elevation, the execution of the appropriate NEPA requirements will be the responsibility of the
DEA. The DEC and the project team will be notified by the EPM of the decision, apprized of
the actions, activities, and schedule to complete the re-evaluation process.




                                                50
I.     Importance of the Administrative Record

        The administrative record is the entire body of the written record for a project, which
provides the support for the agency’s decisions. It will be vitally important for the project
administrative record for CE projects to support the determination that the proposed action does
not individually or cumulatively result in a significant impact on the human environment.

        Information developed for the administrative record in support of this conclusion should
include, as appropriate; professional staff and expert opinions, research study results, past NEPA
action records, and examples of similar previously approved CE actions. The administrative
record must show that agency decision makers understood the legal standard applying to the
decision, that they applied it properly evaluating all relevant factors and terms, and that the
action taken was reasonable in light of these factors and terms. It should be expected, that in the
case of a legal proceeding challenging a CE project designation, the entire project file will be
subject to review.

        With this level of inquiry in mind, it is often useful to include in the administrative
record, internal memoranda, notes, and other information showing the deliberative process at
work. Documents disagreeing with actions taken should not be intentionally excluded, as they
tend to demonstrate openness and fairness in the decision making process. The record must
reflect how the information developed and received was handled in the decision making process.
It must also show how negative information or information which tended against the project was
considered. Since the CE evaluation process is an environmental process requiring the
consideration of all environmental impacts, then the record must reflect that all environmental
impacts were considered. Failure to consider even a single significant impact can be critical.
The administrative record must reflect a sincere desire to comply with all applicable legal
requirements.

        Remember, the administrative record is the primary way in which the agency can present
its factual case to a court. Therefore, a concise and sequential, easy to follow and easy to
understand administrative record should be maintained throughout the life of the project. It
should be organized in an acceptable fashion; properly indexed, with decision documents clearly
marked and accessible. All members of the project team and key decision makers should know
what the administrative record says.

       Failure to have an adequate administrative record is almost always fatal to a major court
proceeding. Time spent in preparation of a good administrative record is always time wisely
spent.




                                                51
         J.      Project Data Management
         All environmental data management for CEs will be accomplished within the
Environmental Analysis Tracking System (EATS) and be entered in accordance with training
provided by Central Office on the subject. EATS includes activities for each CE level in the
Project Management Section. The responsible EPM or DEC, depending on CE Level, will
initiate the activity in EATS and populate the Requested Date (initiation date) and other
appropriate attributes. For PCE and CE Level 1 projects, the DEC shall be responsible for
maintaining sufficient information in the tracking system such that others in the Department
reviewing the data will be able to recognize the current status of the project. This will be the
responsibility of the EPM for CE Level 2 and CE Level 3 projects. Maintaining current status
and populating attributes of the activity are key to the usefulness of the tracking system.

        EATS also includes a “CE Evaluation/Checklist” activity within each subject matter area
(Air Quality, Noise, Biology, etc.) for tracking of reviews and clearances. If SMEs are requested
to assist during the review of a project, a CE Evaluation/Checklist activity is to be initiated. This
is to be done by the responsible DEC/EPM at the time that the DEA Request for Assistance is
sent, to reflect the initiation of the SME activity and document the submittal of the request in the
tracking system.

In addition to many general statuses, there are several statuses that are unique and specific to the
CE Evaluation Checklist activity such as:

       CE Request for Assistance Sent by EPM
       CE Request for Assistance Sent by DEC
       CE Request for Assistance Received
       CE Request for Assistance Response
       Field Survey Required
       Field Survey Complete; KYTC to Finish
       Field Survey; Consultant Needed
       Checklist Complete; To EPM/DEC

These statuses are sufficient for tracking the request for assistance, response to schedule the
assistance requested, subsequent actions to address the needs of the project and delivery of
response to the DEC or EPM who initiated the activity. If additional studies are required in order
to fully address the Request for Assistance, these may require the initiation of additional
activities (phase 1 Survey, Habitat Assessment, etc.) Until the needs identified in the Request for
Assistance have been fully addressed, the CE Evaluation/Checklist activity should remain open
(Further Work Required (Activity): Yes).

Once the CE has been completed, the Actual Completion Date and Expiration Date are to be
populated. Remembering to populate the Expiration Date is significant to the rest of the
Department as this field is reported in numerous Oracle Six Year Plan reports and used by
Department personnel as an indicator of environmental status.




                                                 52
        EATS is also equipped to track reevaluations of CE projects. In the Project Management
section, reevaluation activities are available for each level of CE (CE Level 1 RE, CE Level 2
RE, etc.) When a reevaluation is determined to be necessary, the responsible environmental
manager (EPM or DEC) shall initiate the reevaluation activity in EATS. If plan changes have
occurred that warrant the involvement of SMEs in the review of the project, CE
Evaluation/Checklist activities will be initiated within the subject matter areas as earlier
described.




                                              53
GLOSSARY:


ACE - Army Corps of Engineers (see also USACE).

ACHP - Advisory Council on Historic Preservation. The ACHP is an independent federal
agency responsible for the federal review process to ensure that cultural resources are considered
during federal project planning and implementation.

ACM - Asbestos-containing material. Any material or product that contains more than 1%
asbestos.

ADD - Area Development District

AST - Above ground storage tank.

BA - Biological Assessment. A formal study and written document which specifically addresses
the potential impact of a project on federally listed threatened and/or endangered species in
compliance with Section 7 of the Endangered Species Act. A BA must be approved by the U.S.
Fish and Wildlife Service.

CAAA - Clean Air Act Amendments. The federal law which sets air quality requirements and
milestones, mandates integration of transportation and air quality planning procedures, and
establishes penalties for failure to meet requirements.

CAP - Communicating All Promises. The “CAP” is the umbrella under which all
commitments and promises are tracked and communicated through the life of a project.
Commitments and promises are to be accumulated in the PRECON database system (see Project
Development Memorandum No. 1-2003).

CE - Categorical Exclusion. CE refers to a classification of federally aided or permitted
projects or actions that do not have a significant impact on the environment, either individually
or cumulatively. Specific individual types of CE projects and classes of CE projects are defined
by FHWA regulations. Projects which meet CE classification criteria are not subject to the
clearance requirements of the National Environmental Policy Act (NEPA).

CEQ - Council on Environmental Quality.

CIA - Community Impact Assessment
Constructive Use (23 CFR 771.135(p)) - Applying to Section 4(f) resources, a constructive use
of a 4(f) property can occur without an actual physical “taking” and may occur if the action
results in sufficiently serious impacts that would substantially impair the value of the resource in
terms of its significance and enjoyment. According to FHWA regulations, substantial
impairment may be construed only when the protected activities, features, or attributes of the
resource are substantially diminished. The degree of impairment should be determined in
consultation with the jurisdictional officials; however, FHWA is the final decision-maker on
constructive use applicability.

Cultural Historic Resource Assessment - A formal technical study and written document
which presents a professional evaluation of all structures, sites, properties and Districts which are
50 years old or older, as to their National Register eligibility, their historic site boundaries, and
the effects of a project upon all such sites listed on or determined eligible for the National
Register of Historic Places.

Cumulative Impact - The sum of all direct, indirect and secondary impacts resulting from
construction and operation of a transportation improvement project.

CWA - Clean Water Act.

DEA - Division of Environmental Analysis.

DEC - District Environmental Coordinator.

DEIS - Draft Environmental Impact Statement

Determination of Effect - A finding made by the FHWA, in consultation with the State Historic
Preservation Officer (SHPO) and the ACHP, which determines whether or not a proposed project
affects a property included on or determined eligible for the National Register of Historic Places
(NRHP).

Determination of Eligibility - The process of researching, assembling, and presenting
documentation to render a professional evaluation of the historic significance of a property, site,
structure, or District. This process involves the application of the National Register criteria, in
consultation with the KYTC, the FHWA, and the SHPO.

Direct Effects - Influences or occurrences anticipated to be caused by an action(s) associated
with a project and occurring at the same time as the action(s).

EA - Environmental Assessment.
EIS - Environmental Impact Statement. The EIS process consists of three documentation
phases, the DEIS (Draft Environmental Impact Statement), the FEIS (Final Environmental
Impact Statement), and the ROD (Record Of Decision).

EJ - Environmental Justice (Executive Order 12898) - Refers to the specific consideration of
and efforts undertaken to avoid disproportionately high and adverse effects upon minority and
low income populations with respect to human health and the environment.

Ephemeral Stream - A stream with flowing water only during, and for a short duration after,
precipitation events in a typical year. Streambeds are located above the watertable year-round.
Precipitation is the primary source of water for stream flow. (Fed. Reg./Vol. 65, No. 47, 3/9/00).

EPM - Environmental Project Manager in the Division of Environmental Analysis.

ESA - Environmental Site Assessment - ESA is also known as a Phase I Site Assessment and
is associated with environmental studies conducted to assess the potential for hazardous and
toxic materials contamination of a property.

FEIS - Final Environmental Impact Statement.

FHWA - Federal Highway Administration.

FPPA- Farmland Protection Policy Act - Refers to the process required to assess the impacts
of a project on prime or unique farmland or farmland of statewide or local importance. FPPA
requirements are accomplished in consultation with the U.S. Department of Agriculture, Natural
Resources Conservation Service (NRCS).

FONSI - Finding Of No Significant Impact - Documentation of the findings and reasons why
a project is not anticipated to have any significant effect on the human environment and for
which an EIS will not be prepared. The FONSI shall include the EA or a summary of the EA and
shall reference any other environmental documents related to it.

Headwaters - Refers to rivers, streams, and their lakes and impoundments, including adjacent
wetlands, that are part of a surface tributary system to an interstate or navigable water of the
U.S., upstream of the point on the river or stream at which the average annual flow is less than
five cubic feet. per second (5 cfs). For streams that are dry for long periods of the year, the
Corps of Engineers may establish the headwaters as that point where a flow of 5 cfs is equaled or
exceeded 50% of the time.

Human Environment - The human environment is interpreted comprehensively to include the
natural and physical environment and the relationship of people with that environment.

Independent Utility - A project is considered to have independent utility when it can be
demonstrated that it provides a usable section which meets project purpose and need objectives
and would constitute a reasonable expenditure of highway funds even if no other adjacent
highway improvements were ever made.

Indirect Effects - Project effects or impacts that can be expected to result from a given project
and occur later in time and/or farther removed in distance from the area of direct effects.

Intermittent Stream - A stream that has flowing water during certain times of the year, when
groundwater provides for stream flow. During dry periods, intermittent streams may not have
flowing water. Precipitation is a supplemental source of water for stream flow. (Fed. Reg./Vol.
65, No. 47, 3/9/00).

Jurisdictional Determination - Refers to a field survey and/or document review performed by
the Corps of Engineers to officially determine whether or not a specific land area is subject to
regulation (Section 404 of the Clean Water Act) as “waters of the United States”, and, if so, the
extent of the area to which the regulations apply. This is generally applied to wetlands but may
also be used to determine jurisdictional issues associated with headwaters, ephemeral streams,
ditches, and similar surface drainage.

KPDES - Kentucky Pollution Discharge Elimination System.

Logical Termini - Logical termini for a project represent connecting points with known features
(intersecting roads, land uses, economic areas, population concentrations, etc.) at either end,
which serve to create a useable route and enhance good transportation planning.

MPO - Metropolitan Planning Organization (23 USC 134) - Section 8 of the Federal Transit
Act, as amended, requires that a MPO be designated for each urbanized area and that the
metropolitan area has a continuing, cooperative, and comprehensive transportation planning
process that results in plans and programs that consider all transportation modes and supports
metropolitan community development and social goals. The MPO must work cooperatively with
the State and transit operators to determine their mutual responsibilities in the conduct of the
planning process and in the development of the unified planning work program, transportation
plan, and transportation improvement program. In air quality nonattainment or maintenance
areas, the MPO shall coordinate the development of the transportation plan with the SIP
development process including the development of transportation control measures, and the
MPO shall not approve any transportation plan or program which does not conform with the SIP
(40 CFR 51). For additional information on Kentucky’s nine MPOs, see the Division of
Multimodal Programs page on the KYTC Internet Web Site (www.transportation.ky.gov).

NEPA - National Environmental Policy Act - Passed in 1969, this is the federal legislation
which requires federal agencies to document the environmental impacts of transportation
projects. It establishes the mandate for the EIS, to be prepared for all major federal actions
which are anticipated to have significant impacts on the human environment. NEPA also created
the framework for other types of environmental documentation (EA, FONSI, CE, etc.). NEPA
required each federal agency to develop their own regulations for implementing NEPA, and
KYTC is most often subject to the NEPA regulations of the FHWA. NEPA also established the
Council on Environmental Quality, which developed the core regulations and whose
responsibility it is to oversee the NEPA process on behalf of the President. CEQ also arbitrates
NEPA disputes.
NRCS - Natural Resources Conservation Service of the U.S. Department of Agriculture.

NRHP - National Register of Historic Places - The official federal listing of buildings,
structures, sites, Districts, and objects which have been determined to possess national, state, or
local significance in American history, architecture, engineering, archaeology, or culture. It is
maintained by the Keeper of the National Register in the National Park Service of the
Department of the Interior.

NRHP Criteria for Evaluation - The criteria used to determine whether or not a property is
eligible for listing have been codified at 36 CFR 800. The criteria are set out as follows:

The quality of significance in American history, architecture, archaeology, engineering, and
culture is present in Districts, sites, buildings, structures and objects that possess integrity of
location, design, setting, materials, workmanship, feeling and association, and:

        A.      that are associated with events that have made a significant contribution to the
                broad patterns of our history; or
        B.      that are associated with the lives of persons significant in our past; or
        C.      that embody the distinctive characteristics of a type, period, or method of
                construction, or that represent the work of a master, or that possess high artistic
                values, or that represent a significant and distinguishable entity whose
                components may lack individual distinction; or
        D.      that have yielded, or may be likely to yield, information important in prehistory or
                history.

Non-Attainment Areas - Counties that do not meet national ambient air quality standards
(NAAQS). They are ranked by the severity of their problem as marginal, moderate, serious,
severe, or extreme. Under the requirements of the CAAA, these areas must take specific
measures to reduce emissions to meet NAAQS by a specified time.

Notice of Intent - The official announcement published in the Federal Register advising
interested parties that an EIS will be prepared for a specific project and soliciting information
and comments on that project.

Ordinary High Water (OHW) - OHW is defined as “that line on the shore established by the
fluctuations of water indicated by physical characteristics such as clear, natural line impressed on
the bank, shelving changes in the character of soil, destruction of terrestrial vegetation, the
presence of litter and debris, or other appropriate means that consider the characteristics of the
surrounding areas” (33 CFR 328.3(e)). The OHW mark is the elevation at and below which
USACE jurisdiction begins.
PM – The District or Central Office individual who has been assigned the overall responsibility
for management and oversight of a KYTC project.

Project Area - All of the area between logical project termini wherein direct and indirect project
effects can reasonably be determined as likely to occur.

Relocations - The number of residential dwellings, individual businesses, and other parcels
which are displaced by a proposed highway project.

ROD - Record Of Decision - A document approved by the Division Office of the FHWA that
officially presents the basis for selecting and adopting a specific transportation project alternative
that has been evaluated through the various environmental and engineering studies required by
NEPA and for which an FEIS has been approved and circulated for comment.

Secondary Impacts or Effects - A general term used to define probable project impacts which
can be attributed to the project’s implementation and which take place later in time or farther
removed in distance but are still reasonably foreseeable.

Section 106 Procedures (36 CFR 800) - Defines the broad range of required procedures based
on Section 106 of the National Historic Preservation Act of 1966 which governs the
identification, evaluation, and protection of significant historical and archaeological resources
that may be affected by a federally-aided transportation project. Principal elements include:
establishment of the Area of Potential Effect (APE), designation of Consulting Parties,
identification of significant resources, establishment of boundaries for those resources, and
determinations of effect upon those resources.

Section 4(f) (49 USC 303) - The broad range of procedures required under the U.S. Department
of Transportation Act on federally-aided transportation projects, by which the FHWA determines
whether or not a proposed project will use land from a publically owned park, recreation area,
wildlife or waterfowl refuge, or any significant Section 106 resource, and confirms that there are
no “prudent and feasible” alternatives to the use of land from the protected resource (23 CFR
771.135).

Section 6(f) (16 USC 460) - A provision in the Federal Land and Water Conservation Fund Act
that protects public recreation properties which have been developed or enhanced using funds
provided to states or municipalities under the Act. Section 6(f) compliance procedures require a
study and analysis of alternatives to demonstrate that there are no practical alternatives to the
conversion of the land to non-recreational uses and they require the replacement of land taken
with lands of reasonably equivalent usefulness and location (16 USC 460).

Section 7 Consultation - Formal consultation conducted between the KYTC, the FHWA, and
the USFWS for threatened and endangered species when it is determined that a project may
adversely affect a federally listed species (16 USC 1531-1543).
Section 401 Water Quality Certification - The broad range of procedures required by Section
401 of the Federal Clean Water Act (CWA) for projects involving the discharge of materials into
surface waters, including wetlands. Project applicants must demonstrate that activities will
comply with water quality standards and other provisions of federal and state law and regulations
regarding conventional and nonconventional pollutants, new source performance standards, and
toxic pollutants.

Section 404 Permits - Permits issued by the U.S. Army Corps of Engineers (USACE) to
authorize the discharge of dredged or fill material into the waters of the United States pursuant to
Section 404 of the Clean Water Act (CWA).

Significance, Significantly, and Significant Impacts (40 CFR 1508.27) - Great care should
be exercised when using this terminology and these terms should be avoided in CE
documentation and discussions. As used in NEPA parlance, significance, and its variants,
requires considerations of both context and intensity. Context means that the significance of an
action must be analyzed in several contexts such as society as a whole, the affected region, the
affected interests, and the locality. Significance varies with the setting of the proposed project
and both short-and long-term effects are relevant. Intensity refers to the severity of impact.
Responsible officials and stakeholders should be consulted on decisions about the intensity of
impacts. The following should be considered in evaluating intensity: (1) Impacts that may be
both beneficial and adverse. A significant effect may exist even if the Federal agency believes
that on balance the effect will be beneficial; (2) The degree to which the proposed action affects
public health or safety; (3) Unique characteristics of the geographic area such as proximity to
historic or cultural resources, park lands, prime farmlands, wetlands, wild and scenic rivers, or
ecologically critical areas; (4) The degree to which the effects on the quality of the human
environment are likely to be highly controversial; (5) The degree to which the possible effects on
the human environment are highly uncertain or involve unique or unknown risks; (6) The degree
to which the action may establish a precedent for future actions with significant effects or
represents a decision in principle about a future consideration; (7) Whether the action is related
to other actions with individually insignificant but cumulatively significant impacts.
Significance exists if it is reasonable to anticipate a cumulatively significant impact on the
environment. Significance cannot be avoided by terminating an action temporary or by breaking
it down into small component parts; (8) The degree to which the action may adversely affect
Districts, sites, highways, structures, or objects listed in or eligible for listing in the National
Register of Historic Places or may cause loss or destruction of significant scientific, cultural, or
historical resources; (9) The degree to which the action may adversely affect an endangered or
threatened species or its habitat that has been determined to be critical under the Endangered
Species Act of 1973; and (10) Whether the action threatens a violation of Federal, State, or local
law or requirements imposed for the protection of the environment.

SME - Subject Matter Expert in the Division of Environmental Analysis (DEA).

STIP - Statewide Transportation Improvement Program (see MPO definition above and Air
Quality Impacts, pg. 31 for additional information).
SYP - Six Year Plan - The KYTC official identification document for projects funded, and
approved by the State Legislature, for implementation of various project phases for the six year
period beginning with the current fiscal year.

TIP - Transportation Implementation Plan (see MPO definition above and Air Quality Impacts,
pg. 31 for additional information).

USACE - U. S. Army Corps of Engineers.

UST - Underground Storage Tanks

Waters of the United States - Refers to all interstate and intrastate waters such as streams
(including intermittent and ephemeral streams), lakes, and wetlands which are subject to USACE
jurisdiction under Section 404 of the CWA.

Wetlands - Includes all areas that are inundated or saturated by surface or ground water at a
frequency and duration sufficient to support, and, under normal circumstances do support, a
prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands must
demonstrate the presence of three criteria including wetland vegetation, wetland soils, and
wetland hydrology.
            ADVANCE NOTIFICATION AGENCIES
1.   U.S. Department of the Interior              Phone: 502-695-0468
     Fish and Wildlife Service                    Fax: 502-695-1024
     J. C. Watts Federal Building
     330 W. Broadway Rm. 265
     Frankfort, KY 40601

     Web Site: http://www.fws.gov/frankfort/contact.html

     Email Point of Contact: General question; Lee Andrews - lee_andrews@fws.gov

                            Website Questions; Holly Jewell- holly_jewell@fws.gov

2.   U.S. Department of Agriculture
     Forest Service
     Forest Supervisor
     Daniel Boone National Forest Headquarters
     1700 Bypass Road
     Winchester, KY 40391

     Phone (859) 745-3100
     FAX (895) 744-1568

     Point of Contact:      Mr. Paul Finke

     London Ranger District (Estill, Jackson, Laurel, Lee, Owsley, Rockcastle, Whitley)
     P.O. Box 907
     U.S. Highway 25 South
     London, KY 40743

     Phone (606) 864-4163
     FAX (606) 878-0811

     Point of Contact:      Mr. John Strojan

     Cumberland Ranger District (Bath, Menifee, Morgan, Rowan, Estill, Lee, Menifee, Powell,
                                 Wolfe)
     2375 Kentucky 801 South
     Morehead, KY 40351

     Phone (606) 784-5624
     FAX (606) 784-6435

     Point of Contact:      Mr. Dave Manner
2. US Forest Service (con’t)

Redbird Ranger District (Clay, Harlan, Knox, Leslie, Owsley, Perry)
      HC 68, Box 65
      Big Creek, KY 40914

       Phone (606) 598-2192
       FAX (606) 598-3648

       Point of Contact:       Mr. John Kinney

       Stearns Ranger District (McCreary, Wayne, Whitley)
       U.S. Highway 27 North
       P.O. Box 429
       Whitley City, KY 42653

       Phone (606) 376-5323
       FAX (606)376-3734

       Point of Contact:       Mr. Fred K. Noack

       Land Between the Lakes (LBL)
       100 Van Morgan Drive
       Golden Pond, KY 42211

       Phone (270) 924-2131
       FAX (270) 924-2060

       Point of Contact:       Ms. Barbara Wysock
2. US Forest Service (con’t)

EXAMPLE COORDINATION LETTER

Date

Mr. / Ms.
(Applicable Headquarters or Ranger District or LBL)
(see USFS Addresses)


Subject:       (Project Identification)

Dear                     :

The Kentucky Transportation Cabinet is gathering environmental information concerning
proposed improvements to (project description). The USGS 7.5-minute quadrangle maps that
apply are (identify applicable quad maps). I have enclosed a copy of a map with the project
area delineated.

As part of my efforts to coordinate with state and federal agencies, I am requesting from you
any information you might have concerning threatened and endangered species with the
potential to occur within the project area. Also, please identify any sensitive species or sensitive
ecological areas that may occur in the project area. Information concerning previous studies
conducted within the area would be beneficial. If you have any concerns about the potential
impacts this project will have, please include those as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).

Sincerely,



Environmental Coordinator
District



cc:    EPM

Enclosure
3.     U.S. Department of Agriculture
       Natural Resources Conservation Service (NRCS)
       (See U.S. Government listings for each county)

EXAMPLE COODINATION LETTER

Date


                   , District Conservationist
USDA-NRCS
(address in each county)

Subject:       (Project Identification)

Dear                    :

The Kentucky Transportation Cabinet is gathering environmental information concerning
proposed improvements to (project description). The USGS 7.5-minute quadrangle maps that
apply are (identify applicable quad maps). I have enclosed a copy of a map with the project
area delineated.

My assessment will analyze the potential environmental ramifications of the project.     Please
send me any information on the soils makeup of the area, with particular attention to hydric,
hydric inclusive, highly erodible, and prime farmland soils from the area. A soils survey book
would be very much appreciated. It is my desire to have your input on the project, so that I may
present the most accurate environmental account possible. If you have any concerns about this
project, please include them as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number)

Sincerely,


Environmental Coordinator
District

cc:    EPM

Enclosure
4.     Kentucky Environmental and Public Protection Cabinet
       Division of Water
       Groundwater Branch
       14 Reilly Road
       Frankfort, KY 40601

       Phone (502) 564-3410
       FAX (502) 564-0111

       Point of Contact:      Mr. Pete Goodman

EXAMPLE COORDINATION LETTER

Date

Mr. Peter Goodman
Groundwater Branch
Division of Water
14 Reilly Road
Frankfort, KY 40601

Subject:        (Project Identification)

Dear Mr. Ray:

The Kentucky Transportation Cabinet is gathering ecological information concerning proposed
improvements to (project description). The USGS 7.5-minute quadrangle maps that apply are
(identify applicable quad maps). I have enclosed a copy of a map with the project area
delineated.

Please send me any information you have regarding the groundwater recharge areas within the
project area. Please include any groundwater tracing studies that have occurred in this area.

I would also be interested in information on the location of wellhead protection areas or water
supply protection areas that are within the project area. Please indicate if these areas are
protecting public or private water supplies. I also would like any information on springs and
private well locations within the area. If you have any concerns about the effects this project will
have on the groundwater in the project vicinity, please include those as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).

Sincerely,


Environmental Coordinator
District

cc:    EPM
5.      Kentucky Environmental and Public Protection Cabinet
        Division of Water
        Water Quality Branch
        14 Reilly Road
        Frankfort, KY 40601
        http://water.nr.state.ky.us/dow/dwhome.htm

        Phone (502) 564-3410
        FAX (502) 564-0111

        Point of Contact:       Mr. Mike Mills

EXAMPLE COORDINATION LETTER

Date

Mr. Mike Mills
Ecological Support Section
Water Quality Branch
Division of Water
14 Reilly Road
Frankfort, KY 40601

Subject:          (Project Identification)

Dear Mr. Mills:

The Kentucky Transportation Cabinet is gathering ecological information concerning proposed
improvements to (project description). The USGS 7.5-minute quadrangle maps that apply are
(identify applicable quad maps). I have enclosed a copy of a map with the project area
delineated.

Please send me any information you have regarding wild rivers and outstanding resource
waters within the project area. Please include any water quality studies that have occurred in
this area. If you have any concerns about the effects this project will have on the water quality
in the project vicinity, please include those as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).

Sincerely,


Environmental Coordinator
District

cc:    EPM

       Enclosure
6.     Kentucky Environmental and Public Protection Cabinet
       Division of Forestry
       627 Comanche Trail
       Frankfort, KY 40601

       Phone (502) 564-4496 or (800) 866-0555
       FAX (502) 564-6553

       Point of Contact:      Ms. Diana Olszowsky

EXAMPLE COORDINATION LETTER

Date


Ms. Diana Olszowsky
Landowner Education
Division of Forestry
627 Comanche Trail
Frankfort, KY 40601

Subject:        (Project Identification)

Dear Mr. Lee:

The Kentucky Transportation Cabinet is gathering ecological information concerning proposed
improvements to (project description). The USGS 7.5-minute quadrangle maps that apply are
(identify applicable quad maps). I have enclosed a copy of a map with the project area
delineated.

Please send me any information regarding any state and national champion trees that may
occur within the project area. Please identify any state forests that may be impacted by the
proposed project. If you have any concerns about this project, please include those as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).


Sincerely,



Environmental Coordinator
District

cc:    EPM

Enclosure
7.     Kentucky Environmental and Public Protection Cabinet
       Division of Conservation
       663 Teton Trail
       Frankfort, KY 40601

       Phone (502) 564-3080
       FAX (502) 564-9195

       Point of Contact:      Mr. Stephen Coleman

EXAMPLE COORDINATION LETTER

Date


Mr. Stephen Coleman
Division of Conservation
663 Teton Trail
Frankfort, KY 40601

Subject:       (Project Identification)

Dear Mr. Coleman:

The Kentucky Transportation Cabinet is gathering environmental information concerning
proposed improvements to (project description). The USGS 7.5-minute quadrangle maps that
apply are (identify applicable quad maps). I have enclosed a copy of a map with the project
area delineated.

Please send me any information regarding any certified agricultural districts that may occur
within the project area. Please identify significant agricultural resources that may be impacted
by the proposed project. If you have any concerns about this project, please include those as
well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).


Sincerely,



Environmental Coordinator
District

cc:    EPM

Enclosure
8.     Kentucky Department of Fish and Wildlife Resources
       Arnold L. Mitchell Building
       #1 Game Farm Road
       Frankfort, KY 40601

       Web Site: www.kdfwr.state.ky.us/kfwis/speciesInfo/speciesInfo.asp
       Phone (502) 564-7109
       FAX (502) 564-6508

       Point of Contact:      Ms. Tracy Helmberger

EXAMPLE COORDINATION LETTER

Date

Ms. Tracy Helmberger
KY Department of Fish and Wildlife Resources
Arnold L. Mitchell Bldg.
#1 Game Farm Road
Frankfort, KY 40601


Subject::      (Project Identification)


Dear Mr. Davis:

The Kentucky Transportation Cabinet is gathering environmental information concerning
proposed improvements to (project description). The USGS 7.5-minute quadrangle maps that
apply are (identify applicable quad maps). I have enclosed a map with the project area
delineated.

I would like any information you have regarding threatened or endangered species and their
habitats, trout streams/fish spawning areas and critical habitat areas within the project vicinity.
If you have any previous studies that were conducted within the project area, please include this
information. If you have any concerns about the potential impacts this project will have on the
environment within the project vicinity, please advise.

If you have questions or need further information, please call me at your earliest convenience at
(complete phone number).

Sincerely,


Environmental Coordinator
District

cc:    EPM
       Enclosure
9.     Kentucky State Nature Preserves Commission
       801 Schenkel Lane
       Frankfort, KY 40601

       Web Site: www.naturepreserves.ky.gov/NR/rdonlyres/C48714A7-0DE0-4B51-B064-
       BC31B9E35DA6/0/countylist2002
       Phone (502) 573-2886
       FAX (502) 573-2355

       Point of Contact:       Ms. Sara Hines

EXAMPLE COORDINATION LETTER

Date


Ms. Sara Hines
Data Manager
Kentucky Nature Preserves Commission
801 Schenkel Lane
Frankfort, KY 40601

Subject:       (Project Identification)

Dear Ms. Hines:

The Kentucky Transportation Cabinet is gathering ecological information concerning proposed
improvements to (project description). The USGS 7.5-minute quadrangle maps that apply are
(identify applicable quad maps). I have enclosed a copy of a map with the project area
delineated.

Please send me any information you have regarding threatened and endangered species and
exemplary natural communities monitored by the KSNPC within the project vicinity. If you have
any previous studies that were conducted within the project area, please include this
information. If you have any concerns about the potential impacts this project will have on the
environment within the project vicinity, please advise.

If you have questions or need further information, please call me at (complete phone number). Thank you
for your time and attention to this matter.

Sincerely,


Environmental Coordinator
District

cc:    EPM
       Enclosures
10.    Kentucky Department for Local Government
       1024 Capital Center Drive, Suite 340
       Frankfort, KY 40601-8204

       Phone (502) 573-2382
       FAX (502) 573-2512

       Point of Contact:      Ms. Jodie L. McDonald

EXAMPLE COORDINATION LETTER

Date


Ms. Jodie McDonald
Department for Local Government
1024 Capital Center Drive, Suite 340
Frankfort, KY 40601-8203

Subject:       (Project Identification)

Dear Ms. McDonald:

The Kentucky Transportation Cabinet is gathering environmental information concerning
proposed improvements to (project description). The USGS 7.5-minute quadrangle maps that
apply are (identify applicable quad maps). I have enclosed a copy of a map with the project
area delineated.

Please send me any information regarding any Section 6(f) resources that may occur within the
project area. Please identify any outdoor recreational resources that may be impacted by the
proposed project. If you have any concerns about this project, please include those as well.

Thank you for your time and attention to this matter. If you need additional information, please
feel free to call me at (complete phone number).


Sincerely,



Environmental Coordinator
District

cc:   EPM
Enclosure
11.   Local Planning and Zoning Agencies
      (See Local Listings for Project Area)

12.   Local Parks and Recreation Agencies
      (See Local Listings for Project Area)

13.   Chambers of Commerce
      (See Local Listings for Project Area)

14.   Local Historic Preservation Agencies
      (See Local Listings for Project Area)
SECTION 106
TEMPLATES
TECHNICAL
 SUPPORT
   DATA
 SOURCES
   AND
REFERENCES
AIR QUALITY
1. Current STIP:
http://transportation.ky.gov/progmgmt/Stip/pdf/7-2002_STIP_PROJECTS.pdf

2. If is not located in the current STIP, reference the local TIP

Henderson County:
TIP: Transportation Improvement Program for the Evansville-Henderson Urbanized Area
MPO: EUTS
MPO Contact: Pam Drach 812-436-7833
Link: http://www.kytc.state.ky.us/multimodal/METROTRANS.htm (TIP not online)

Christian County:
TIP: Transportation Improvement Program for the Clarksville Urbanized AreaTIP:
Transportation Improvement Program for the Clarksville Urbanized Area
MPO: Clarksville Urbanized Area Metropolitan Planning Organization
MPO Contact: 615-645-7448
Link: (TIP not online)

Boyd and Greenup (partial) Counties:
TIP: Ashland Urbanized Area Transportation Improvement Program
MPO: FIVCO
MPO Contact: Terry Sicking 606-739-5191MPO Contact: Terry Sicking 606-739-5191
Link: http://www.fivco.org/ (TIP not online)Link: (TIP not online)

Daviess and Hancock (partial) Counties:
TIP: Owensboro-Daviess County Transportation Improvement Program
MPO: GRADD
MPO Contact: Keith Harpole 270-926-4433
Link: http://www.gradd.com/ (TIP not online)

Bullitt, Jefferson, and Oldham Counties:
TIP: Transportation Improvement Program for the Louisville Urbanized Area
MPO: KIPDA
MPO Contact: Randy Simon 502-266-6084
Link: http://www.kipda.org/TRANSPORT/DOCUMENTS.ASP (TIP is online)

Fayette and Jessamine Counties:
TIP: Transportation Improvement Program for Fayette and Jessamine Counties
MPO: LAMPO
MPO Contact: Dave Schaars 859-258-3160
Link: http://www.lfucg.com/PlanDiv/TransportPlan.asp (TIP is online)
Boone, Kenton, and Campbell Counties:
TIP: OKI Transportation Improvement Program
MPO: OKI
MPO Contact: Andy Reser 513-621-6300
Link: http://www.oki.org/transportation/tip.html (TIP is online)

Hardin, Meade, and Warren Counties:
Currently preparing local TIPS, expected by October, 2005.

ARCHAEOLOGY
http://www.state.ky.us/agencies/khc/khchome.htm

CATEGORICAL EXCLUSIONS
http://www.state.ky.us/envanalysis

ENDANGERED SPECIES
Kentucky State Nature Preserves List of Species by County:
     http://www.naturepreserves.ky.gov/NR/rdonlyres/C48714A7-0DE0-4B51-
     B064-BC31B9E35DA6/0/countylist2002.pdf

US Fish and Wildlife (Cookeville):
     http://cookeville.fws.gov/docs/endspec/ky/cnty_txt.html

Kentucky Dept. of Fish and Wildlife:

     Search by Quad or County -
     http://www.kdfwr.state.ky.us/kfwis/speciesInfo/speciesInfo.asp

     Statewide Species List:
     http://www.kdfwr.state.ky.us/kfwis/speciesInfo/speciesList.asp?strGroup=3&st
     rSort1=CommonName&strSort2=ScientificName&strSort3=Class

FLOODPLAINS
Flood Insurance Rate Maps (FIRM)
http://gis.msc.fema.gov/Website/DFIRM_Viewer/viewer.htm
GENERAL
FHWA Environmental Guidebook:
http://environment.fhwa.dot.gov/guidebook/index.htm

Environmental Regulations List: http://hydra.gsa.gov/pbs/pt/call-in/statutes.htm

OnLine Map Resource: http://ukcc.uky.edu/~maps/

HISTORIC
http://www.achp.gov/

Kit Homes: Sears Homes of Chicago, Illinois
      http://www.searsmodernhomes.com/imagebank.html

Kit Homes: Aladdin Homes of Bay City, Michigan
      http://www.webbhistory.org/aladdin/pics.htm

Kit Homes: Lustron Homes of Chicago, Illinois
                           .
      http://home.earthlink.net/~ronusny/index.html

Kentucky Heritage Council
http://www.state.ky.us/agencies/khc/khchome.htm


NOISE
http://www.fhwa.dot.gov/environment/ab_noise.htm
http://www.tiac.net/users/a1f04/tnm/


NATIONAL ENVIRONMENTAL POLICY ACT
http://www.whitehouse.gov/ceq/

SOCIOECONOMICS
http://www.census.gov/sdc/www/kysdc.html
http://www.ksdc.louisville.edu/affiliate_list.htm
http://factfinder.census.gov
SOIL SURVEY
Available surveys: http://soils.usda.gov/survey/printed_surveys/kentucky.html

SPECIAL USE WATERS
Div. of Water, Special Use Waters site: http://www.water.ky.gov/sw/specialwaters


UNDERGROUND STORAGE TANKS
http://www.waste.ky.gov/programs/ust/default.htm

WETLANDS
General EPA site: http://www.epa.gov/owowwtr1/

 National Wetlands Inventory Maps: http://kymartian.ky.gov/wetlands1z/index.html
Appendix A
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
Appendix H
Appendix I
Appendix J
Appendix K
Appendix L

				
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