Intergovernmental Review of FAA Programs and Activities

U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION SUBJ: INTERGOVERNMENTAL REVIEW OF FAA PROGRAMS AND ACTIVITIES 1. PURPOSE. This order assigns responsibilities and provides guidance to increase cooperation between the Federal Government and state and.loca1 governments in the review of federally assisted and direct development programs as prescribed in Executive Order 12372, Intergovernmental Review of Federal Programs. This order also implements and transmits as Appendix 1, Order DOT 4600.13, Intergovernmental Review of Department of Transportation Programs and Activities.

2. DISTRIBUTION. This order is distributed to the director level in Washington with branch level distribution in the Program Engineering and Maintenance, Acquisition and Materiel, and Systems Engineering Services, the and Airport Planning and Programming, and Offices of Environment and Energy the Metropolitan Washington Airports; to the branch level in the regional Airway Facilities, Airports, and Logistics Divisions; and limited distribution to the Airports District Offices.

3. CANCELLATION. This order cancels Order 1200.21A, Evaluation, Review and Coordination of FAA Direct Development Programs and Projects, dated April 30, 1981.

4. EXPLANATION OF CHANGES.

This order updates Order 1200.21A by: a. Changing notification procedures.

b . Deleting all references to clearinghouses, and notifications will now be given to state single points of contact.

5. RESPONSIBILITIES. All offices, services, regions, and centers responsible for the implementation of Federal assistance programs or direct Federal development or capital investment programs or projects affecting state, local, or areawide plans or programs, which may involve Facilities and Equipment; Facilities, Engineering and Development; Research, Engineering and Development; Metropolitan Washington Airports; or Program Engineering and Maintenance Operations budgetary expenditures, shall adhere to the provisions of this order. FAA regional airports divisions shall notify airport sponsors that the appropriate state single points of contact (whose name and address will be provided) should be contacted for information regarding compliance with respective state processes prior to preapplication submittal.

Distribution: A-W (minus PM/LG/Es/EE/PP/MA)-1; A-w (PM/LG/ES/ Initiated By: APO-120 EE/PP/MA)-3; A-X (AF/AS/LG)-3; A-FAS-1 (Ltd) 6. EXEMPTION. Reserved.

7 . ENVIRONMENTAL PROCESS. Environmental assessment procedures are specified in FAA Order 1050.1D, Policies and Procedures for Considering Environmental Impacts. For any project which requires an environmental assessment, FAA and the sponsor may use the review procedures prescribed in appendix 1 to solicit input from state and local agencies on environmental impacts.

8. NOTIFICATION PROCEDURES. The regions w i l l use appendix 1 as basic procedures in performing notification required by Executive Order 12372.

9 . AUTHORITY TO CHANGE THIS ORDER. The Director of Aviation Policy and Plans is authorized to issue revisions to this order after appropriate coordination, if there is no significant change of policy, delegation of authority, or assignment of responsibility.

Donald D . Engen Administrator Par 6 Page 2

ORDER

1200.21B U.S. Department of i - Transportation DOT 4600.13 Appendix 1 Office of the secretary of Transportation INTERGOVERNMENTAL REVIEW OF DEPARTMENT OF TRANSPORTATION Subject: PROGRAMS AND A C T l V l T l ES 1. PURPOSE. T h i s O r d e r f u r n i s h e s guidance f o r implementing Executive O r d e r 12372, lntergovernmental Review o f Federal Programs, and 49 CFR 17, l ntergovernmental Review o f Department of Transportation Programs and Activities. T h e i n t e n t is t o increase cooperation between t h e Department o f Transportation (DOT) a n d state and local governments i n t h e review of DOT assistance programs and projects.

2. CANCELLATION. DOT 4600.4C, EVALUATION, REVIEW AND COORDINATION.

OF DEPARTMENT OF TRANSPORTATION ASSISTANCE PROGRAMS AND PROJECTS, of 4-12-76.

3. BACKGROUND.

a. Recognizing t h a t close intergovernmental cooperation can reduce areas of waste and conflict, provisions were included i n t w o legislative acts, and an Executive O r d e r was issued t o increase coordination i n planning and reviewing programs and projects i n v o l v i n g Federal assistance. These provisions and t h e Executive O r d e r on which t h i s O r d e r is based are: Section 204 of t h e Demonstration Cities and Metropolitan Development (1) A c t of 1966; Section 401 of t h e lntergovernmental Cooperation A c t of 1968; and (2) (3) Executive O r d e r 12372, lntergovernmental Review o f Federal Programs.

b. Consultation between state and local officials and Federal agencies concerning Federal programs and activities has taken place t h r o u g h a process established by t h e Office o f Management and Budget (OMB) C i r c u l a r A-95, Evaluation, Review and Coordination o f Federal and Federally Assisted Programs and Projects. T h e A-95 system r e q u i r e d state and local governments t o follow prescribed procedures t o review Federal programs. On J u l y 14, 1982, Executive O r d e r 12372 was issued.

T h e Executive O r d e r revoked OMB C i r c u l a r A-95, and p r o v i d e d a new system of intergovernmental consultation i n v o l v i n g a state process f o r review of Federal activities.

c. When state and local elected officials use t h i s new process t o n o t i f y t h e Department of t h e i r concerns r e g a r d i n g Departmental projects, t h e Department w i l l have t o make an e f f o r t t o accommodate t h e i r concerns.

For those cases where t h e concerns cannot be accommodated, t h e DISTRIBUTION: A1 1 S e c r e t a r i a1 O f f i ces OPI: O f f i c e o f A1 1 O p e r a t i n g A d m i n i s t r a t i o n s I n s t a l l a t i o n s and L o g i s t i c s DOT 4600.13 Page 2 . , 10-3-83 L.lthg Department w i l l p r o v i d e a w r i t t e n explanation o f i t s decision i n a timely manner. T h i s accommodation o r explanation p r o v i s i o n gives g r e a t e r w e i g h t t o state o r local views t h a n p r o v i d e d by C i r c u l a r A-95.

State a n d local o f f i c i a l s can s t i l l make t h e i r views known d i r e c t l y t o t h e Department; however, t h e requirement t o accommodate o r explain o n l y applies t o state process recommendatons .

d. T h e E x e c u t i v e O r d e r was implemented i n t h e Department by 49 CFR 17 issued o n J u n e 24, 1983. C o n c u r r e n t w i t h t h e issuance o f implementing regulations, t h e Department p u b l i s h e d a l i s t o f prograins a n d a c t i v i t i e s c o v e r e d by t h e regulation. T h e E x e c u t i v e O r d e r also r e q u i r e s OMB t o r e p o r t t o t h e President on Federal agency compliance w i t h t h e E x e c u t i v e O r d e r , a n d OMB has requested each Department t o establish c e n t r a l r e c o r d k e e p i n g o f nonaccommodations, waivers, a n d complaints. T h i s O r d e r p r o v i d e s f u r t h e r i n s t r u c t i o n s 'regarding implementation o f t h e E x e c u t i v e O r d e r w i t h i n t h e Department.

4. DEFINITIONS.

a. Departmental elements a r e t h e o p e r a t i n g administrations a n d t h e O f f i c e o f t h e S e c r e t a r y (OST) .

b. D i r e c t Federal development i n c l u d e s t h e p l a n n i n g a n d c o n s t r u c t i o n o f p u b l i c works, p h y s i c a l facilities a n d installations o r l a n d a n d real p r o p e r t y development ( i n c l u d i n g t h e acquisition, use a n d disposal o f real p r o p e r t y a n d t h e issuances o f permits a n d licenses) u n d e r t a k e n by a n d f o r t h e use o f t h e Federal Government.

5. A P P L I C A T I O N . T h e i n s t r u c t i o n s contained i n p a r a g r a p h 6 o f t h i s O r d e r a r e applicable t o all Departmental elements.

6. RESPONSIBILITIES. Each Departmental element, w h e r e v e r t h e i n s t r u c t i o n s o f t h i s O r d e r appiy, shall i n c o r p o r a t e p r o v i s i o n s t o implement t h e rules l i s t e d i n t h e f o l l o w i n g s u b p a r a g r a p h s i n t o guidance material issued t o actual a n d p o t e n t i a l applicants. T h e new and/or r e v i s e d documents should b e d i s t r i b u t e d o n t h e widest possible basis t o e n s u r e t h a t i n t e r e s t e d state and local agencies a r e i n f o r m e d o f t h e requirements p r i o r t o s u b m i t t i n g applications f o r assistance.

a. Program Coverage. T h e Assistant S e c r e t a r y f o r Administration is responsible f o r (1 ) o b t a i n i n g a p p r o p r i a t e clearances a n d p u b l i s h i n g changes t o t h e Departmental l i s t o f programs a n d activities subject t o requirements o f 49 CFR 17, a n d (2) r e c e i v i n g a n d d i s t r i b u t i n g i n i t i a l selections a n d subsequent changes b y states of programs a n d activities t o b e c o v e r e d by a state's process. Departmental elements shall follow r e v i s e d state p r o g r a m coverage as soon as feasible; however, implementation shall o c c u r w i t h i n 90 days o f receipt o f state revision.

Departmental elements a r e a u t h o r i z e d t o w o r k w i t h i n d i v i d u a l states t o r e v i s e t h e i r state p r o g r a m coverages; however, all revisions shall b e submitted t o t h e Assistant Secretary f o r A d m i n i s t r a t i o n .

Page 3 DOT 4600.13 10-3-83 b. State Process.

Departmental elements shall use a state's process as soon as feasible (1) a f t e r a state notifies t h e Department o f t h e process o r o f changes t o t h e process; however, implementation shall o c c u r w i t h i n 90 d a y s of t h e state's n o t i f i c a t i o n t o t h e Department. T h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n w i l l n o t i f y t h e state when t h e Department w i l l s t a r t u s i n g t h e state process, e x c e p t t h a t Departmental elements a r e a u t h o r i z e d t o n o t i f y a state f o r t h e i r own programs a n d a c t i v i t i e s .

Departmental elements shall advise t h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n if t h e y choose t o d o t h e i r own notifications,' a n d shall p r o v i d e a c o p y o f all notifications t o t h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n . Departmental elements shall n o t i f y a state a n d t h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n whenever t h e Departmental .

element decides t o waive t h e use o f a state's process as p r o v i d e d i n 49 CFR 17.13, o r p r o v i d e s less t h a n t h e 60 d a y comment p e r i o d p r o v i d e d i n 49 CFR 17.8(a).

A state has t h e o p t i o n t o designate a single agency ( e . g . , a t r a n s p o r t a t i o n department) t o s e r v e as t h e single p o i n t o f contact f o r t r a n s p o r t a t i o n m a t t e r s . T h i s designation, as a minimum, shall i n c l u d e r e s p o n s i b i l i t y t o coordinate all t r a n s p o r t a t i o n programs -and a c t i v i t i e s w h i c h t h e State selects f o r review i n accordance w i t h 49 CFR 17. If a State designates a t r a n s p o r t a t i o n contact, t h i s contact shall b e responsible f o r c o o r d i n a t i n g t h e review o f all t r a n s p o r t a t i o n a c t i v i t i e s among State, areawide, regional a n d local officials a n d s u b m i t t i n g t h e State process recommendation a n d comments d i r e c t l y t o t h e Departmental element responsible f o r a d m i n i s t e r i n g t h e p r o g r a m b e i n g reviewed.

c. Federal Assistance Programs. T h e Departmental elements p r o v i d i n g assistance u n d e r t h e programs covered by 49 CFR 17 shall e n s u r e t h a t - - assistance p r o j e c t s a r e reviewed i n accordance w i t h 49 CFR 17.

A p p l i c a n t s shall b e i n s t r u c t e d t o follow t h e state process p r i o r t o submission o f applications t o Departmental elements if r e q u i r e d by t h e state process. I n those cases where Departmental elements cannot accommodate state process recommendations o r reach a m u t u a l l y agreeable solution, t h e Departmental element shall explain i n w r i t i n g t h e reasons f o r t h e Department's decision t o t h e state's p o i n t o f contact. A n informational c o p y o f t h e explanation shall b e sent t o t h e Assistant S e c r e t a r y f o r r e c o r d k e e p i n g a n d submission t o t h e Assistant A d m i n i s t r a t i o n f o r c e n t r a l S e c r e t a r y f o r Governmental A f f a i r s f o r Secretarial notification, if a p p r o p r i a t e . Where environmental impact information is r e q u i r e d , t h e a p p l i c a n t may use t h e state process t o obtain comments o n t h e p r o j e c t a n d i t s impact f r o m state, area-wide a n d local agencies a u t h o r i z e d t o develop a n d enforce environmental standards, o r h a v i n g e x p e r t i s e o r j u r i s d i c t i o n w i t h respect t o t h e environmental impact o f t h e p r o j e c t p u r s u a n t t o Section 102(2) (c) o f t h e National Environmental Policy A c t o f 1969. If an environmental document is c i r c u l a t e d f o r review t h r o u g h state process, Page 4 DOT 4600.13 10-3-83 Departmental elements shall i n s t r u c t applicants t o have t h e state p o i n t o f contact f o r w a r d all comments received t o t h e a p p l i c a n t f o r subsequent submission t o t h e Departmental element according t o t h e ' p r o c e d u r e s i n DOT 5610.1 C, Procedures f o r C o n s i d e r i n g Environmental Impacts.

d. D i r e c t Federal Development. T h e Departmental elements responsible f o r d i r e c t Federal development w i l l assure t h a t such e f f o r t s are, t o t h e maximum e x t e n t feasible, consistent w i t h state, regional a n d local plans a n d programs. T o achieve a h i g h degree of consistency, Departmental elements a r e r e q u i r e d t o : P r o v i d e a w r i t t e n n o t i f i c a t i o n t o state, area-wide, regional a n d local (1) officials, t h r o u g h t h e state process o r otherwise, o f a n y plan o r p r o j e c t f o r d i r e c t development i n t h e state o r locality. T h i s notification shall t a k e place a t t h e earliest p r a c t i c a b l e time i n p r o j e c t .

planning, b u t i n all cases a t least 60 d a y s p r i o r t o t h e actual b e g i n n i n g o f c o n s t r u c t i o n on a n y p r o j e c t . T h e notification shall contain: Name o f t h e organization p r o p o s i n g t h e project; (a) Geographic location o f t h e project; (b) (c) B r i e f d e s c r i p t i o n o f t h e p r o j e c t . t h a t w i l l e n s u r e a p p r o p r i a t e d i s t r i b u t i o n ; Program t o b e s u p p o r t e d by t h e project; a n d ( d ) (e) Date o n w h i c h t h e actual development, c o n s t r u c t i o n o r o t h e r a c t i v i t i e s i n v o l v e d i n t h e p h y s i c a l implementation of t h e p r o j e c t a r e scheduled t o b e g i n .

(2) I n areas w h e r e n o state process exists, f o r w a r d t h e notification l e t t e r d i r e c t l y t o affected state, areawide, regional, a n d local e n t i t i e s w i t h i n s t r u c t i o n s t o review a n d coordinate t h e p r o j e c t .

Make e v e r y e f f o r t t o accommodate t h e "state process recommendation," i n accordance w i t h 49 CFR 17. When t h e attempt is unsuccessful, a n d t h e Departmental element desires t o proceed w i t h t h e project, t h e explanation f o r n o t accommodating t h e recommendation a n d c u r r e n t p r o j e c t implementation plans shall b e f u r n i s h e d t o t h e state p o i n t o f contact p r i o r t o s t a r t i n g w o r k on t h e p r o j e c t . Except f o r d i r e c t Federal highway projects, a l l such communication shall b e submitted t o t h e Assistant Secretary f o r A d m i n i s t r a t i o n f o r a p p r o p r i a t e clearances w i t h i n OST. F o r d i r e c t Federal h i g h w a y projects, an informational copy o f explanations t o states o f nonaccommodations shall b e sent t o t h e Assistant Secretary f o r A d m i n i s t r a t i o n .

DOT 4600.13 Page 5 10-3-83 (4) Use t h e state process, w h e r e a p p r o p r i a t e , t o o b t a i n comments o n environmental statements i n accordance w i t h D O T 5610.1C.

(5) N o t i f y state a n d local officials, t h r o u g h t h e state process o r otherwise, a t least 60 days p r i o r t o g r a n t i n g Federal licenses o r p e r m i t s . T h i s n o t i f i c a t i o n is n o t r e q u i r e d f o r p e r m i t s issued f o r t h e c o n s t r u c t i o n o f b r i d g e s o v e r navigable waters on Federal-aid o r d i r e c t Federal h i g h w a y projects, p r o v i d i n g t h e p r o j e c t has complied w i t h t h e p r o v i s i o n s o f 49 CFR 17.

e. State Plans. T h e Departmental elements w h i c h administer programs r e q u i r i n g , by s t a t u t e o r regulation, a state p l a n as a condition o f assistance shall advise r e c i p i e n t s w h e r e t o send s t a t e plans t h a t simplify, consolidate o r s u b s t i t u t e f e d e r a l l y r e q u i r e d state plans. I n those cases, w h e r e t h e Departmental element cannot accept t h e state's plan, t h e element shall n o t i f y t h e state o f necessary steps t o b r i n g t h e state's p l a n i n t o compliance w i t h Federal requirements. Copies o f all disapprovals o f modified state plans shall b e sent t o t h e A s s i s t a n t S e c r e t a r y f o r Governmental A f f a i r s .

7. MONITORING COMPLIANCE. T h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n is responsible f o r m o n i t o r i n g compliance w i t h t h e E x e c u t i v e O r d e r a n d f o r r e v i e w i n g concerns raised by states t h a t t h e Department has n o t made a p p r o p r i a t e use o f a state process. T h e A s s i s t a n t . S e c r e t a r y f o r A d m i n i s t r a t i o n i s also responsible f o r maintaining r e c o r d s o f all nonaccomrnodation notices, waivers a n d complaints.

8. IMPLEMENTATION. T h e p o l i c y a n d p r o c e d u r e s contained i n t h i s O r d e r a r e e f f e c t i v e immediately. Implementing d i r e c t i v e s s h o u l d b e submitted t o t h e A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n w i t h i n 60 d a y s f o l l o w i n g p u b l i c a t i o n o f t h i s O r d e r .

FOR THE SECRETARY OF TRANSPORTATION: R o b e r t L. F a i r m a n A s s i s t a n t S e c r e t a r y f o r A d m i n i s t r a t i o n