RD 1970-A Environmental (Exhibit C)

RD Instruction 1970-A
Table of Contents
Page 1
PART 1970 – ENVIRONMENTAL
Subpart A – Environmental Policies
TABLE OF CONTENTS
Sec.
1970.1

Purpose, applicability, and scope.
(a)
(b)
(c)

1970.2
1970.3
1970.4
1970.5

1970.6

1970.7
1970.8
1970.9
1970.10
1970.11
1970.12

1970.13
1970.14

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Purpose.
Applicability.
Scope.

Page
1
1
1
1

[Reserved].
Authority.
Policies.
Responsible parties.

1
1
4
6

(a)
(b)

6
7

Agency.
Applicants.

Definitions and acronyms.

10

(a)
(b)

10
15

Definitions.
Acronyms.

[Reserved]
Actions requiring environmental review.
Levels of environmental review.
Raising the level of environmental review.
Timing of the environmental review process.
Limitations on actions during the NEPA process.

16
16
18
18
19
20

(a)
(b)
(c)
(d)

20
20
20
21

Limitations on actions.
Anticipatory demolition.
Recent construction.
Minimal expenditure

Consideration of alternatives.
Public involvement.

21
21

(a)
(b)
(c)
(d)
(e)
(f)

21
22
22
23
24
24

Goal.
Responsibility to involve the public.
Scoping.
Public notices.
Public availability.
Public comments.

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Table of Contents
Page 2

Sec.
1970.15

1970.16
1970.17
1970.18

Page
Interagency cooperation.

24

(a) Coordination with other Federal agencies.
(b) Adoption of documents prepared for or by
other Federal agencies.
(c) Cooperation with state and local governments.

24
24

Mitigation.
Programmatic analysis and tiering.
Emergencies.

26
26
26

(a)
(b)
(c)

26
27
27

Urgent response.
CE- and EA-level actions.
EIS-level actions.

1970.19 – 1970.50 [Reserved]
Exhibits -

A
B
C
D

-

25

27

Terms and acronyms
Definitions and acronyms for Electric and Telecom Programs
Environmental Document Checklist
Templates
Attachment 1: State Environmental Coordinator (SEC)
Recommended Amendment to Position Description
Attachment 2: Appointment of a State Environmental
Coordinator or Assistant State Environmental
Coordinator
Attachment 3: Recommended Training Program for
Environmental Coordinators

E -

Guide for and Principles of Effective Public Involvement
(PI)
Attachment 1: IAP2 spectrum table

F G H -

Guide for Preparing an Environmental Resource Directory
Coordination with Other Federal Agencies on Federally
Declared Disaster Recovery: Unified Federal Review (UFR)
Multi-tier agreement

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RD Instruction 1970-A
PART 1970 – ENVIRONMENTAL
Subpart A – Environmental Policies
§ 1970.1

Purpose, applicability, and scope.

(a) Purpose. The purpose of this part is to ensure that the Agency
complies with the National Environmental Policy Act of 1969, as amended
(NEPA) (42 U.S.C. 4321, et seq.), and other applicable environmental
requirements in order to make better decisions based on an understanding
of the environmental consequences of proposed actions, and take actions
that protect, restore, and enhance the quality of the human environment.
(b) Applicability. The environmental policies and procedures contained
in this part are applicable to programs administered by the Rural
Business-Cooperative Service (RBS), Rural Housing Service (RHS), and
Rural Utilities Service (RUS); herein referred to as “the Agency.”
(c) Scope. This part integrates NEPA with other planning,
environmental review processes, and consultation procedures required by
other Federal laws, regulations, and Executive Orders applicable to
Agency programs. This part also supplements the Council on
Environmental Quality (CEQ) regulations implementing the procedural
provisions of NEPA, 40 CFR parts 1500 through 1508. To the extent
appropriate, the Agency will take into account CEQ guidance and
memoranda. This part also incorporates and complies with the procedures
of Section 106 (36 CFR part 800) of the National Historic Preservation
Act (NHPA) and Section 7 (50 CFR part 402) of the Endangered Species Act
(ESA).
§ 1970.2 [Reserved]
§ 1970.3

Authority.

This part derives its authority from a number of statutes, Executive
Orders, and regulations, including but not limited to those listed in this
section. Both the Agency and the applicant, as appropriate, must comply with
these statutes, Executive Orders, and regulations, as well as any future
statutes, Executive Orders, and regulations that affect the Agency’s
implementation of this part.
(a)

National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.);

(b) Council on Environmental Quality Regulations Implementing the
Procedural Provisions of the National Environmental Policy Act (40 CFR
parts 1500 through 1508);
(c) U. S. Department of Agriculture, NEPA Policies and Procedures (7
CFR part 1b).
_____________________________________________________________________________
DISTRIBUTION: WSAL
Environmental Policies
and Procedures
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§ 1970.3 (Con.)

(d) Department of Agriculture, Enhancement, Protection, and Management
of the Cultural Environment (7 CFR parts 3100 through 3199);
(e) Archaeological and Historic Preservation Act of 1960, as amended,
(16 U.S.C. 469 et seq.);
(f) Archaeological Resources Protection Act of 1979 (16 U.S.C. 470aa et
seq.);
(g)

Bald and Golden Eagle Protection Act (16 U.S.C. 668 et seq.);

(h)

Clean Air Act (42 U.S.C. 7401 et seq.);

(i) Clean Water Act (Federal Water Pollution Control Act, 33 U.S.C.
1251 et seq.);
(j)

Coastal Barrier Resources Act (16 U.S.C. 3501 et seq.);

(k)

Coastal Barrier Improvement Act (42 U.S.C. 4028 et seq.);

(l)

Coastal Zone Management Act (16 U.S.C. 1456);

(m) Comprehensive Environmental Response, Compensation, and Liability
Act (42 U.S.C. 103) (CERCLA);
(n) Consolidated Farm and Rural Development Act, Sections 307(a)(6)(A)
(7 U.S.C. 1927(a)(6)(A)) and 363 (7 U.S.C. 2006e);
(o)

Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.);

(p)

Farmland Protection Policy Act (7 U.S.C. 4201 et seq.);

(q) Historic Sites, Buildings and Antiquities Act (16 U.S.C. 461 et
seq.);
(r) Housing and Community Development Act of 1992 (42 U.S.C.
542(c)(9));
(s)

Migratory Bird Treaty Act (16 U.S.C. 703-711);

(t)

National Historic Preservation Act (16 U.S.C. 470 et seq.);

(u)

National Trails System Act (16 U.S.C. 1241 et seq.);

(v) Native American Graves Protection and Repatriation Act (25 U.S.C.
3001 et seq.);

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RD Instruction 1970-A
§ 1970.3 (Con.)

(w)

Noise Control Act (42 U.S.C. 4901 et seq.);

(x)

Pollution Prevention Act of 1990 (42 U.S.C. 13101 et seq.);

(y)

Resource Conservation and Recovery Act (42 U.S.C. 6901);

(z)

Safe Drinking Water Act - (42 U.S.C. 300f et seq.);

(aa)

Wild and Scenic Rivers Act (16 U.S.C. 1271 et seq.);

(bb)

Wilderness Act (16 U.S.C. 1131 et seq.);

(cc) Compact of Free Association between the United States and the
Republic of the Marshall Islands and between the United States and the
Federated States of Micronesia (Public Law 108-188);
(dd) Compact of Free Association between the United States and the
Republic of Palau (Public Law 99-658);
(ee) Executive Order 11514, Protection and Enhancement of Environmental
Quality;
(ff) Executive Order 11593, Protection and Enhancement of the Cultural
Environment;
(gg)

Executive Order 11988, Floodplain Management;

(hh)

Executive Order 11990, Protection of Wetlands;

(ii) Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low Income Populations;
(jj)

Executive Order 12372, Intergovernmental Review;

(kk)

Executive Order 13112, Invasive Species;

(ll) Executive Order 13175, Consultation and Coordination with Indian
Tribal Governments;
(mm)

Executive Order 13287, Preserve America;

(nn) Executive Order 13016, Federal Support of Community Efforts along
American Heritage Rivers;

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RD Instruction 1970-A
§ 1970.3 (Con.)

(oo)

Executive Order 13352, Facilitation of Cooperative Conservation;

(pp) Executive Order 13423, Strengthening Federal Environmental,
Energy, and Transportation Management;
(qq) Executive Order 13653, Preparing the United States for the Impacts
of Climate Change;
(rr) Executive Order 13690, Establishing a Federal Flood Risk
Management Standard and a Process for Further Soliciting and Considering
Stakeholder Input;
(ss) Executive Order 13693, Planning for Federal Sustainability in the
Next Decade;
(tt) Agriculture Departmental Regulation (DR) 5600-2, Environmental
Justice;
(uu)

Agriculture Departmental Regulation (DR) 9500-3, Land Use Policy;

(vv) Agriculture Departmental Regulation (DR) 9500-4, Fish and Wildlife
Policy;
(ww) Agriculture Departmental Regulation (DR) 1070-001, U.S. Department
of Agriculture (USDA) Policy Statement on Climate Change Adaptation; and
(xx) Agriculture Departmental Manual (DM) 5600-001, Environmental
Pollution Prevention, Control, and Abatement Manual.
§ 1970.4

Policies.

(a) Applicants’ proposals must, whenever practicable, avoid or minimize
adverse environmental impacts; avoid or minimize conversion of wetlands
or important farmlands (as defined in the Farmland Protection Policy Act
and its implementing regulations issued by the USDA Natural Resources
Conservation Service) when practicable alternatives exist to meet
development needs; avoid unwarranted alterations or encroachment on
floodplains when practicable alternatives exist to meet developmental
needs; and avoid or minimize potentially disproportionate and adverse
impacts to minority or low-income populations within the proposed
action’s area of impact. Avoiding development in floodplains includes
avoiding development in the 500-year floodplain, as shown on the Federal
Emergency Management Agency’s (FEMA) Flood Insurance Rate Maps, where
the proposed actions and facilities are defined as critical actions in
§ 1970.6.

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RD Instruction 1970-A
§ 1970.4(a)

(Con.)

The Agency shall not fund the proposal unless there is a demonstrated,
significant need for the proposal and no practicable alternative exists
to the proposed conversion of the above resources.
(b) The Agency encourages the reuse of real property defined as
brownfields per Section 101 of the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) where the reuse of such
property is complicated by the presence or potential presence of a
hazardous substance, pollutant, or other contaminant, provided that the
level of such presence does not threaten human health and the
environment for the proposed land use. The Agency will defer to the
agency with regulatory authority under the appropriate law in
determining the appropriate level of contaminant for a specific proposed
land use. The Agency will evaluate the risk based upon the applicable
regulatory agency’s review and concurrence with the proposal.
(c) The Agency and applicant will involve other Federal agencies with
jurisdiction by law or special expertise, state and local governments,
Indian tribes and Alaska Native organizations, Native Hawaiian
organizations, and the public, early in the Agency’s environmental
review process to the fullest extent practicable. To accomplish this
objective, the Agency and applicant will:
(1) Ensure that environmental amenities and values be given
appropriate consideration in decision making along with economic and
technical considerations;
(2) At the earliest possible time, advise interested parties of the
Agency's environmental policies and procedures and required
environmental impact analyses during early project planning and
design; and
(3) Make environmental assessments (EA) and environmental impact
statements (EIS) available to the public for review and comment in a
timely manner.
(d) The Agency and applicant will ensure the completion of the
environmental review process prior to the irreversible and irretrievable
commitment of Agency resources in accordance with § 1970.11. The
environmental review process is concluded when the Agency approves the
applicability of a Categorical Exclusion (CE), issues a Finding of No
Significant Impact (FONSI), or issues a Record of Decision (ROD).

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§ 1970.4 (Con.)

(e) If an applicant’s proposal does not comply with Agency
environmental policies and procedures, the Agency will defer further
consideration of the application until compliance can be demonstrated,
or the application may be rejected. Any applicant that is directly and
adversely affected by an administrative decision made by the Agency
under this part may appeal that decision, to the extent permissible
under 7 CFR part 11.
(f) The Agency recognizes the worldwide and long-range character of
environmental problems and, where consistent with the foreign policy of
the United States, will lend appropriate support to initiatives,
resolutions, and programs designed to maximize international cooperation
in anticipating and preventing a decline in the quality of humankind’s
world environment in accordance with NEPA, 42 U.S.C. 4321 et seq.
(g) The Agency will use the NEPA process, to the maximum extent
feasible, to identify and encourage opportunities to reduce greenhouse
gas (GHG) emissions caused by proposed Federal actions that would
otherwise result in the emission of substantial quantities of GHG.
§ 1970.5

Responsible parties.

(a) Agency. The following paragraphs identify the general
responsibilities of the Agency.
(1) The Agency is responsible for all environmental decisions and
findings related to its actions and will encourage applicants to
design proposals to protect, restore, and enhance the environment.
(2) If the Agency requires an applicant to submit environmental
information, the Agency will outline the types of information and
analyses required in guidance documents. This guidance is available
on the Agency’s website. The Agency will independently evaluate the
information submitted.
(3) The Agency will advise applicants and applicable lenders of
their responsibilities to consider environmental issues during early
project planning and that specific actions listed in § 1970.12, such
as initiation of construction, cannot occur prior to completion of
the environmental review process or it could result in a denial of
financial assistance.

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RD Instruction 1970-A
§ 1970.5 (Con.)

(4) The Agency may act as either a lead agency or a cooperating
agency in the preparation of an environmental review document. If
the Agency acts as a cooperating agency, the Agency will fulfill the
cooperating agency responsibilities outlined in 40 CFR 1501.6.
(5) Mitigation measures described in the environmental review and
decision documents must be included as conditions in Agency
financial commitment documents, such as a conditional commitment
letter.
(6) The Agency, guaranteed lender, or multi-tier recipients will
monitor and track the implementation, maintenance, and effectiveness
of any required mitigation measures.
(b) Applicants. Applicants must comply with provisions found in
paragraphs (b)(1) through (8) of this section.
(1) Consult with Agency staff to determine the appropriate level of
environmental review and to obtain publicly available resources at
the earliest possible time for guidance in identifying all relevant
environmental issues that must be addressed and considered during
early project planning and design throughout the process.
(2) Where appropriate, contact state and Federal agencies to
initiate consultation on matters affected by this part. This part
authorizes applicants to coordinate with state and Federal agencies
on behalf of the Agency. However, applicants are not authorized to
initiate consultation in accordance with Section 106 of the National
Historic Preservation Act with Indian tribes on behalf of the
Agency. In those cases, applicants need the express written
authority of the Agency and consent of Indian tribes in order to
initiate consultation.
(3) Provide information to the Agency that the Agency deems
necessary to evaluate the proposal's potential environmental impacts
and alternatives.
(i) Applicants must ensure that all required materials are
current, sufficiently detailed and complete, and are submitted
directly to the Agency office processing the application.
Incomplete materials or delayed submittals may jeopardize
consideration of the applicant’s proposal by the Agency and
may result in no award of financial assistance.

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RD Instruction 1970-A
§ 1970.5(b)(3) (Con.)

(ii) Applicants must clearly define the purpose and need for
the proposal and inform the Agency promptly if any other
Federal, state, or local agencies are involved in financing,
permitting, or approving the proposal, so that the Agency may
coordinate and consider participation in joint environmental
reviews.
(iii) As necessary, applicants must develop and document
reasonable alternatives that meet their purpose and need while
improving environmental outcomes.
(iv) Applicants must prepare environmental review documents
according to the format and standards provided by the Agency.
The Agency will independently evaluate the final documents
submitted. All environmental review documents must be
objective, complete, and accurate in order for them to be
finally accepted by the Agency. Applicants may employ a
design or environmental professional or technical service
provider to assist them in the preparation of their
environmental review documents.
(A) Applicants are not generally required to prepare
environmental documentation for proposals that involve
Agency activities with no or minimal disturbance listed in
§ 1970.53. However, the Agency may request additional
environmental documentation from the applicant at any time,
specifically if the Agency determines that extraordinary
circumstances may exist.
(B) For CEs listed in § 1970.54, applicants must prepare
environmental documentation as required by the Agency; the
environmental documentation required for CEs is referred to
as an environmental report(ER).
(C) When an EA is required, the applicant must prepare an
EA that meets the requirements in subpart C of this part,
including, but not limited to, information and data
collection and public involvement activities. When the
applicant prepares the EA, the Agency will make its own
independent evaluation of the environmental issues and take
responsibility for the scope and content of the EA.

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RD Instruction 1970-A
§ 1970.5(b)(3)(iv)(c) (Con.)

(D) Applicants must cooperate with and assist the Agency
in all aspects of preparing an EIS that meets the
requirements specified in subpart D of this part,
including, but not limited to, information and data
collection and public involvement activities. Once
authorized by the Agency in writing, applicants are
responsible for funding all third-party contractors used to
prepare the EIS.
(4) Applicants must provide any additional studies, data, and
document revisions requested by the Agency during the environmental
review and decision-making process. The studies, data, and
documents required will vary depending upon the specific project and
its impacts. Examples of studies that the Agency may require an
applicant to provide are biological assessments under the ESA,
archeological surveys under the NHPA, wetland delineations, surveys
to determine the floodplain elevation on a site, air quality
conformity analysis, or other such information needed to adequately
assess impacts.
(5) Applicants must ensure that no actions are taken (such as any
demolition, land clearing, initiation of construction, or advance of
interim construction funds from a guaranteed lender), including
incurring any obligations with respect to their proposal, that may
have an adverse impact on the quality of the human environment or
that may limit the choice of reasonable alternatives during the
environmental review process. Limitations on actions by an
applicant prior to the completion of the Agency environmental review
process are defined in CEQ regulations at 40 CFR 1506.1 and 7 CFR
1970.12.
(6) Applicants must promptly notify the Agency processing official
when changes are made to their proposal so that the environmental
review and documentation may be supplemented or otherwise revised as
necessary.
(7) Applicants must incorporate any mitigation measures identified
and any required monitoring in the environmental review process into
the plans and specifications and construction contracts for the
proposals.

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RD Instruction 1970-A
§ 1970.5(b)(7) (Con.)

Applicants must provide such mitigation measures to consultants
responsible for preparing design and construction documents, or
provide other mitigation action plans. Applicants must maintain, as
applicable, mitigation measures for the life of the loans or refund
term for grants.
(8) Applicants must cooperate with the Agency on achieving
environmental policy goals. If an applicant is unwilling to
cooperate with the Agency on environmental compliance, the Agency
will deny the requested financial assistance.
§ 1970.6

Definitions and acronyms.

(a) Definitions. Terms used
1508, 36 CFR 800.16, and this
section and in one or both of
term will have the meaning as

in this part are defined in 40 CFR part
section. If a term is defined in this
the other referenced regulations, such
defined in this subpart.

Agency. USDA Rural Development, which includes RBS, RHS, and RUS,
and any successor agencies.
Applicant. An individual or entity requesting financial assistance
including but not limited to loan recipients, grantees, guaranteed
lenders, or licensees.
Average megawatt. The equivalent capacity rating of a generating
facility based on the gross energy output generated over a 12-month
period or one year.
Construction work plan. An engineering planning study that is used
in the Electric Program to determine and document a borrower’s 2to 4-year capital construction investments that are needed to
provide and maintain adequate and reliable electric service to a
borrower’s new and existing members.
Cooperative agreement. For the purposes of this part, a
cooperative agreement is a form of financial assistance in which
the Agency provides funding that is authorized by public statute,
not to be repaid, and for a purpose that includes substantial
involvement and a mutual interest of both the Agency and the
cooperator.

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RD Instruction 1970-A
§ 1970.6 (Con.)

Critical action. Any activity for which even a slight chance of
flooding would be hazardous as determined by the Agency. Critical
actions include activities that create, maintain, or extend the
useful life of structures or facilities that produce, use, or store
highly volatile, flammable, explosive, toxic, or water-reactive
materials; maintain irreplaceable records; or provide essential
utility or emergency services (such as data storage centers,
electric generating facilities, water treatment facilities,
wastewater treatment facilities, large pump stations, emergency
operations centers including fire and police stations, and roadways
providing sole egress from flood-prone areas); or facilities that
are likely to contain occupants who may not be sufficiently mobile
to avoid death or serious injury in a flood.
Design professional. An engineer or architect providing
professional design services to applicants during the planning,
design, and construction phases of proposals submitted to the
Agency for financial assistance.
Distributed resources. Sources of electrical power that are not
directly connected to a bulk power transmission system, having an
installed capacity of not more than 10 Mega volt-amperes (MVA),
connected to an electric power system through a point of common
coupling. Distributed resources include both generators
(distributed generation) and energy storage technologies.
Emergency. A disaster or a situation that involves an immediate or
imminent threat to public health or safety as determined by the
Agency.
Environmental report. The environmental documentation that is
required of applicants for proposed actions eligible for a CE under
§ 1970.54.
Environmental review. Any or all of the levels of environmental
analysis described under this part.
Financial assistance. A loan, grant, cooperative agreement, or
loan guarantee that provides financial assistance, provided by the
Agency to an applicant. In accordance with 40 CFR 1505.1(b), the
Agency defines the major decision point at which NEPA must be
complete, as the approval of financial assistance.
Grant. A form of financial assistance for a specified purpose
without scheduled repayment.

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RD Instruction 1970-A
§ 1970.6 (Con.)

Guaranteed lender. The organization making, servicing, or
collecting the loan which is guaranteed by the Agency under
applicable regulations, excluding the Federal Financing Bank.
Historic property. Any prehistoric or historic district, site,
building, structure, or object included in, or eligible for
inclusion in, the National Register of Historic Places maintained
by the Secretary of the Interior. This term includes artifacts,
records, and remains that are related to and located within such
properties. The term includes properties of traditional religious
and cultural importance to an Indian tribe or Native Hawaiian
organization and that meet the National Register criteria. (See 36
CFR 800.16(l)).
Indian tribe. An Indian tribe, band, nation, or other organized
group or community, including a native village, regional
corporation or village corporation, as those terms are defined in
Section 3 of the Alaska Native Claims Settlement Act (43 U.S.C.
1602), which is recognized as eligible for the special programs and
services provided by the United States to Indians because of their
status as Indians (see 36 CFR 800.16(m)).
Lien sharing. Agreement to pro rata payment on shared secured
collateral without priority preference.
Lien subordination. The circumstance in which the Agency, as a
first lien holder, provides a creditor with a priority security
interest in secured collateral.
Loan. The provision of funds by the Agency directly to an
applicant in exchange for repayment with interest and collateral to
secure repayment.
Loan guarantee. The circumstance in which the Agency guarantees
all or a portion of payment of a debt obligation to a lender.
Loan/System design. An engineering study, prepared to support a
loan application under this part, demonstrating that a system
design provides telecommunication services most efficiently to
proposed subscribers in a proposed service area, in accordance with
the Telecommunications Program guidance.

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RD Instruction 1970-A
§ 1970.6 (Con.)

Multi-tier action. Financial assistance provided by specific
programs administered by the Agency, that provides financial
assistance to eligible recipients, including but not limited to:
intermediaries; community-based organizations, such as housing or
community development non-profit organizations; rural electric
cooperatives; or other organizations with similar financial
arrangements who, in turn, provide financial assistance to eligible
recipients. The entities or organizations receiving the initial
Agency financial assistance are considered “primary recipients.” As
the direct recipient of this financial assistance, “primary
recipients” provide the financial assistance to other parties,
referred to as “secondary recipients” or “ultimate recipients.” The
multi-tier action programs include Housing Preservation Grants (42
U.S.C. 1490m), Multi-Family Housing Preservation Revolving Loan Fund
(7 CFR part 3560), Intermediary Relending Program (7 U.S.C. 1932
note and 42 U.S.C. 9812), Rural Business Development Grant Program
(7 U.S.C. 940c and 7 U.S.C. 1932(c)), Rural Economic Development
Loan and Grant Program (7 U.S.C. 940c), Rural Microentrepreneur
Assistance Program (7 U.S.C. 1989(a), 7 U.S.C. 2008s), Household
Water Well System Grant Program (7 U.S.C. 1926e), Revolving Funds
for Financing Water and Wastewater Projects (Revolving Fund Program)
(7 U.S.C. 1926(a)(2)(B)), Energy Efficiency and Conservation Loan
Program (7 U.S.C. 901), Section 313A, Guarantees for Bonds and Notes
Issued for Electrification or Telephone Purposes (7 U.S.C. 940c-1),
Rural Energy Savings Program (7 U.S.C. 8107a), and any other such
programs or similar financial assistance actions to primary
recipients as described above.
No action alternative. An alternative that describes the reasonably
foreseeable future environment in the event a proposed Federal
action is not taken. This forms the baseline condition against
which the impacts of the proposed action and other alternatives are
compared and evaluated.
Preliminary Architectural/Engineering Report. Documents prepared by
the applicant’s design professional in accordance with applicable
Agency guidance for Preliminary Architectural Reports for housing,
business, and community facilities proposals and for Preliminary
Engineering Reports for water and wastewater proposals.

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§ 1970.6 (Con.)

Previously disturbed or developed land. Land that has been changed
such that its functioning ecological processes have been and remain
altered by human activity. The phrase encompasses areas that have
been transformed from natural cover to non-native species or a
managed state, including, but not limited to, utility and electric
power transmission corridors and rights-of-way, and other areas
where active utilities and currently used roads are readily
available.
Servicing actions. All routine, ministerial, or administrative
actions for Agency-provided financial assistance that do not involve
new financial assistance, including, but not limited to:
(1) Advancing of funds, billing, processing payments,
transfers, assumptions, refinancing involving only a change in
an interest rate, and accepting prepayments;
(2) Monitoring collateral; foreclosure; compromising,
adjusting, reducing, or charging off debts or claims; and
modifying or releasing the terms of security instruments,
leases, contracts, and agreements; and
(3) Consents or approvals provided pursuant to loan contracts,
agreements, and security instruments.
Substantial improvement. Any repair, reconstruction or other
improvement of a structure or facility, which has been damaged in excess
of, or the cost of which equals or exceeds, 50% of the market value of
the structure or replacement cost of the facility (including all “public
facilities” as defined in the Disaster Relief Act of 1974) before the
repair or improvement is started, or, if the structure or facility has
been damaged and is proposed to be restored, before the damage occurred.
If a facility is an essential link in a larger system, the percentage of
damage will be based on the relative cost of repairing the damaged
facility to the replacement cost of the portion of the system which is
operationally dependent on the facility. The term “substantial
improvement” does not include any alteration of a structure or facility
listed on the National Register of Historic Places or a State Inventory
of Historic Places. (See 44 CFR 59.1.)
Third-party contractor. Contractors for the preparation of EISs, under
the Agency’s direction, and paid by the applicant. Under the Agency’s
direction and in compliance with 40 CFR 1506.5(c), the applicant may
undertake the necessary paperwork for the solicitation of a field of
candidates. Federal procurement requirements do not apply to the Agency
because it incurs no obligations or costs under the contract, nor does
the Agency procure anything under the contract.
14

RD Instruction 1970-A
§ 1970.6 (Con.)

(b)

Acronyms.

aMW – Average megawatt
CE - Categorical Exclusion
CERCLA - Comprehensive Environmental Response, Compensation, and
Liability Act
CEQ – Council on Environmental Quality
EA - Environmental Assessment
ER – Environmental Report
EIS - Environmental Impact Statement
EPA - United States Environmental Protection Agency
ESA – Endangered Species Act
FEMA - Federal Emergency Management Agency
FONSI - Finding of No Significant Impact
GHG - Greenhouse Gas
kV - kilovolt (kV)
kW – kilowatt (kW)
MW – megawatt
MVA – Mega volt-amperes
NEPA - National Environmental Policy Act
NHPA - National Historic Preservation Act
NOI - Notice of Intent
RBIC - Rural Business Investment Company

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§ 1970.6 (Con.)

RBS - Rural Business-Cooperative Service
RHS - Rural Housing Service
RUS - Rural Utilities Service
ROD - Record of Decision
SEPA - State Environmental Policy Act
USDA – United States Department of Agriculture
USGS – United States Geological Survey
§ 1970.7

[Reserved]

§ 1970.8

Actions requiring environmental review.

(a) The Agency must comply with the requirements of NEPA for all
Federal actions within the:
(1) United States borders and any other commonwealth, territory, or
possession of the United States such as Guam, American Samoa, U.S.
Virgin Islands, the Commonwealth of the Northern Mariana Islands,
and the Commonwealth of Puerto Rico; and
(2) Republic of the Marshall Islands, the Federated States of
Micronesia and the Republic of Palau, subject to applicable Compacts
of Free Association.
(b) Except as provided in paragraphs (c), (d), and (e) of this section,
the provisions of this part apply to administrative actions by the
Agency with regard to the following to be Federal actions:
(1)

Providing financial assistance;

(2) Certain post-financial assistance actions with the potential to
have an effect on the environment, including:
(i)
(ii)

The sale or lease of Agency-owned real property;
Lien subordination; and

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RD Instruction 1970-A
§ 1970.8(b)(2) (Con.)

(iii) Approval of a substantial change in the scope of a
project receiving financial assistance not previously
considered.
(3) Promulgation of procedures or regulations for new or
significantly revised programs; and
(4)

Legislative proposals (see 40 CFR 1506.8).

(c) For environmental review purposes, the Agency has identified and
established categories of proposed actions (§§ 1970.53 through 1970.55,
1970.101, and 1970.151). An applicant may propose to participate with
other parties in the ownership of a project. In such a case, the Agency
will determine whether the applicant participants have sufficient
control and responsibility to alter the development of the proposed
project prior to determining its classification. Only if there is such
control and responsibility as described below will the Agency consider
its action with regard to the project to be a Federal action for
purposes of this part. Where the applicant proposes to participate with
other parties in the ownership of a proposed project and all applicants
cumulatively own:
(1) Five percent (5%) or less, the project is not considered a
Federal action subject to this part;
(2) Thirty-three and one-third percent (33 1/3%) or more, the
project shall be considered a Federal action subject to this part;
(3) More than five percent (5%) but less than thirty-three and onethird percent (33 1/3%), the Agency will determine whether the
applicant participants have sufficient control and responsibility to
alter the development of the proposal such that the Agency’s action
will be considered a Federal action subject to this part. In making
this determination, the Agency will consider such factors as:
(i) Whether construction would be completed regardless of the
Agency’s financial assistance or approval;
(ii)

The stage of planning and construction;

(iii)

Total participation of the applicant;

(iv)

Participation percentage of each participant; and

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RD Instruction 1970-A
§ 1970.8(c)(3) (Con.)

(v)
(d)

Managerial arrangements and contractual provisions.

Lien sharing is not an action for the purposes of this part.

(e) Servicing actions are directly related to financial assistance
already provided, do not require separate NEPA review, and are not
actions for the purposes of this part.
§ 1970.9

Levels of environmental review.

(a) The Agency has identified classes of actions and the level of
environmental review required for applicant proposals and Agency actions
in subparts B (CEs), C (EAs), and D (EISs) of this part. An applicant
seeking financial assistance from the Agency must sufficiently describe
its proposal so that the Agency can properly classify the proposal for
the purposes of this part.
(b) If an action is not identified in the classes of actions listed in
subparts B, C, or D of this part, the Agency will determine what level
of environmental review is appropriate.
(c) A single environmental document will evaluate an applicant’s
proposal and any other activities that are connected, interdependent, or
likely to have significant cumulative effects. When a proposal
represents one segment of a larger interdependent proposal being funded
jointly by various entities, the level of environmental review will
normally include the entire proposal.

(d) Upon submission of multi-year planning documents, such as
Telecommunications Program Loan/System Designs or multi-year Electric
Program Construction Work Plans, the Agency will identify the
appropriate classification for all proposals listed in the applicable
design or work plan and may request any additional environmental
information prior to the time of loan approval.
§ 1970.10

Raising the level of environmental review.

Environmental conditions, scientific controversy, or other
characteristics unique to a specific proposal can trigger the need for a
higher level of environmental review than described in subparts B or C of
this part.
As appropriate, the Agency will determine whether extraordinary
circumstances (see § 1970.52) or the potential for significant environmental
impacts warrant a higher level of review. The Agency is solely responsible

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RD Instruction 1970-A
§ 1970.10 (Con.)

for determining the level of environmental review to be conducted and the
adequacy of environmental review that has been performed.
§ 1970.11

Timing of the environmental review process.

(a) Once an applicant decides to request Agency financial assistance,
the applicant must initiate the environmental review process at the
earliest possible time to ensure that planning, design, and other
decisions reflect environmental policies and values, avoid delays, and
minimize potential conflicts. This includes early coordination with the
Agency, all funding partners, and regulatory agencies, in order to
minimize duplication of effort.
(b) The environmental review process must be concluded before
completion of the obligation of funds.
(c) The environmental review process is formally concluded when all of
the following have occurred:
(1) The Agency has reviewed the appropriate environmental review
document for completeness;
(2) All required public notices have been published and public
comment periods have elapsed;
(3) All comments received during any established comment period
have been considered and addressed, as appropriate by the Agency;
(4) The environmental review documents have been approved by the
Agency; and
(5) The appropriate environmental decision document has been
executed by the Agency after paragraphs (c)(1)through(4) of this
section have been concluded.
(d) For proposed actions listed in § 1970.151 and to ensure Agency
compliance with the conflict of interest provisions in 40 CFR 1506.5(c),
the Agency is responsible for selecting any third-party EIS contractor
and participating in the EIS preparation. For more information
regarding acquisition of professional services and funding of a thirdparty contractor, refer to § 1970.152.

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§ 1970.12

Limitations on actions during the NEPA process.

(a) Limitations on actions. Applicants must not take actions
concerning a proposal that may potentially have an environmental impact
or would otherwise limit or affect the Agency’s decision until the
Agency’s environmental review process is concluded. If such actions are
taken prior to the conclusion of the environmental review process, the
Agency may deny the request for financial assistance.
(b) Anticipatory demolition. If the Agency determines that an
applicant has intentionally significantly adversely affected a historic
property with the intent to avoid the requirements of Section 106 of the
NHPA (such as demolition or removal of all or part of the property) the
Agency may deny the request for financial assistance in accordance with
section 110(k) of the NHPA.
(c) Recent construction. When construction is in progress or has
recently been completed by applicants who can demonstrate no prior
intent to seek Agency assistance at the time of application submittal to
the Agency, the following requirements apply:
(1) In cases where construction commenced within 6 months prior to
the date of application, the Agency will determine and document
whether the applicant initiated construction to avoid environmental
compliance requirements. If any evidence to that effect exists, the
Agency may deny the request for financial assistance.
(2) If there is no evidence that an applicant is attempting to
avoid environmental compliance requirements, the application is
subject to the following additional requirements:
(i) The Agency will promptly provide written notice to the
applicant that the applicant must halt construction if it is
ongoing and fulfill all environmental compliance
responsibilities before the requested financing will be
provided;
(ii) The applicant must take immediate steps to identify any
environmental resources affected by the construction and
protect the affected resources; and

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RD Instruction 1970-A
§ 1970.12(c)(2) (Con.)

(iii) With assistance from the applicant and to the extent
practicable, the Agency will determine whether environmental
resources have been adversely affected by any construction and
this information will be included in the environmental
document.
(d) Minimal expenditures. In accordance with 40 CFR 1506.1(d), the
Agency will not be precluded from approving minimal expenditures by the
applicant not affecting the environment (e.g., long lead-time equipment,
purchase options, or environmental or technical documentation needed for
Agency environmental review). To be minimal, the expenditure must not
exceed the amount of loss which the applicant could absorb without
jeopardizing the Government's security interest in the event the
proposed action is not approved by the Agency, and must not compromise
the objectivity of the Agency’s environmental review process.
§ 1970.13

Consideration of alternatives.

The purpose of considering alternatives to a proposed action is to
explore and evaluate whether there may be reasonable alternatives to that
action that may have fewer or less significant negative environmental
impacts. When considering whether the alternatives are reasonable, the
Agency will take into account factors such as economic and technical
feasibility. The extent of the analysis on each alternative will depend on
the nature and complexity of the proposal. Environmental review documents
must discuss the consideration of alternatives as follows:
(a)
For proposals subject to subpart C of this part, the
environmental effects of the "No Action" alternative must be evaluated.
All EAs must evaluate other reasonable alternatives whenever the
proposal involves potential adverse effects to environmental resources.
(b)
For proposals subject to subpart D of this part, the Agency will
follow the requirements in 40 CFR part 1502.
§ 1970.14

Public involvement.

(a) Goal. The goal of public involvement is to engage affected or
interested parties and share information and solicit input regarding
environmental impacts of proposals. This helps the Agency to better
identify potential environmental impacts and mitigation measures and
allows the public to review and comment on proposals under consideration
by the Agency. The nature and extent of public involvement will depend
upon the public interest and the complexity, sensitivity, and potential
for significant environmental impacts of the proposal.

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RD Instruction 1970-A
§ 1970.14 (Con.)

(b) Responsibility to involve the public. The Agency will require
applicant assistance throughout the environmental review process, as
appropriate, to involve the public as required under 40 CFR 1506.6.
These activities may include, but are not limited to:
(1) Coordination with Federal, state, and local agencies; Federally
recognized American Indian tribes; Alaska Native organizations;
Native Hawaiian organizations; and the public;
(2) Providing meaningful opportunities for involvement of affected
minority or low-income populations, which may include special
outreach efforts, so that potential disproportionate effects on
minority or low-income populations are reduced to the maximum extent
practicable;
(3)

Publication of notices;

(4)

Organizing and conducting meetings; and

(5) Providing translators, posting information on electronic media,
or any other additional means needed that will successfully inform
the public.
(c) Scoping. In accordance with 40 CFR 1501.7, scoping is an early and
open process to identify significant environmental issues deserving of
study, de-emphasize insignificant issues, and determine the scope of the
environmental review process.
(1) Public scoping meetings allow the public to obtain information
about a proposal and to express their concerns directly to the
parties involved and help determine what issues are to be addressed
and what kinds of expertise, analysis, and consultation are needed.
For proposals classified in §§ 1970.101 and 1970.151, scoping
meetings may be required at the Agency’s discretion.
The Agency may require a scoping meeting whenever the proposal has
substantial controversy, scale, or complexity.
(2) If required, scoping meetings will be held at reasonable times,
in accessible locations, and in the geographical area of the
proposal at a location the Agency determines would best afford an
opportunity for public involvement.

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RD Instruction 1970-A
§ 1970.14(c) (Con.)

(3) When held, applicants must attend and participate in all
scoping meetings. When requested by the Agency, the applicant must
organize and arrange meeting locations, publish public notices,
provide translation, provide for any equipment needs such as those
needed to allow for remote participation, present information on
their proposal, and fulfill any related activities.
(d)

Public notices.
(1) The Agency is responsible for meeting the public notice
requirements in 40 CFR 1506.6, but will require the applicant to
provide public notices of the availability of environmental
documents and of public meetings so as to inform those persons and
agencies who may be interested in or affected by an applicant’s
proposal. The Agency will provide applicants with guidance as to
specific notice content, publication frequencies, and distribution
requirements. Public notices issued by the Agency or the applicant
must describe the nature, location, and extent of the applicant's
proposal and the Agency's proposed action; notices must also
indicate the availability and location of pertinent information.
(2) Notices generally must be published in a newspaper(s) of
general circulation (both in print and online) within the proposal's
affected areas and other places as determined by the Agency. The
notice must be published in the non-classified section of the
newspaper. If the affected area is largely non-English speaking or
bilingual, the notice must be published in both English and nonEnglish language newspapers serving the affected area, if both are
available. The Agency will determine the use of other distribution
methods for communicating information to affected individuals and
communities if those are more likely to be effective. The applicant
must obtain an "affidavit of publication" or other such evidence
from all publications (or equivalent verification if other
distribution methods were used) and must submit such evidence to the
Agency to be made a part of the Agency’s Administrative Record.
(3) The number of times notices regarding EAs must be published is
specified in § 1970.102(b)(6)(ii). Other distribution methods may
be used in special circumstances when a newspaper notice is not
available or is not adequate. Additional distribution methods may
include, but are not limited to, direct public notices to adjacent
property owners or occupants, mass mailings, radio broadcasts,
internet postings, posters, or some other combination of public
announcements.

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RD Instruction 1970-A
§ 1970.14(d) (Con.)

(4) Formal notices required for EIS-level proposals pursuant to 40
CFR part 1500 will be published by the Agency in the Federal
Register.
(e) Public availability. Documents associated with the environmental
review process will be made available to the public at convenient
locations specified in public notices and, where appropriate, on the
Agency’s internet site. Environmental documents that are voluminous or
contain hard-to-reproduce graphics or maps should be made available for
viewing at one or more locations, such as an Agency field office, public
library, or the applicant's place of business. Upon request, the Agency
will promptly provide interested parties copies of environmental review
documents without charge to the extent practicable, or at a fee not to
exceed the cost of reproducing and shipping the copies.
(f) Public comments. All comments should be directed to the Agency.
Comments received by applicants must be forwarded to the Agency in a
timely manner. The Agency will assess and consider all comments
received.
§ 1970.15

Interagency cooperation.

In order to reduce delay and paperwork, the Agency will, when
practicable, eliminate duplication of Federal, state, and local procedures by
participating in joint environmental document preparation, adopting
appropriate environmental documents prepared for or by other Federal
agencies, and incorporating by reference other environmental documents in
accordance with 40 CFR 1506.2 and 1506.3.
(a) Coordination with other Federal agencies. When other Federal
agencies are involved in an Agency action listed in § 1970.101 or §
1970.151, the Agency will coordinate with these agencies to determine
cooperating agency relationships as appropriate in the preparation of a
joint environmental review document. The criteria for making this
determination can be found at 40 CFR 1501.5.
(b) Adoption of documents prepared for or by other Federal agencies.
The Agency may adopt EAs or EISs prepared for or by other Federal
agencies if the proposed actions and site conditions addressed in the
environmental document are substantially the same as those associated
with the proposal being considered by the Agency. The Agency will
consider age, location, and other reasonable factors in determining the
usefulness of the other Federal documents.

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RD Instruction 1970-A
§ 1970.15(b) (Con.)

The Agency will complete an independent evaluation of the environmental
document to ensure it meets the requirements of this part. If any
environmental document does not meet all Agency requirements, it will be
supplemented prior to adoption. Where there is a conflict in the two
agencies’ classes of action, the Agency may adopt the document provided
that it meets the Agency’s requirements.
(c) Cooperation with state and local governments. In accordance with
40 CFR 1500.5 and 1506.2, the Agency will cooperate with state and local
agencies to the fullest extent possible to reduce delay and duplication
between NEPA and comparable state and local requirements.
(1) Joint environmental documents. To the extent practicable, the
Agency will participate in the preparation of a joint document to
ensure that all of the requirements of this part are met.
Applicants that request Agency assistance for specific proposals
must contact the Agency at the earliest possible date to determine
if joint environmental documents can be effectively prepared. In
order to prepare joint documents the following conditions must be
met:
(i) Applicants must also be seeking financial, technical, or
other assistance such as permitting or approvals from a state
or local agency that has responsibility to complete an
environmental review for the applicant’s proposal; and
(ii) The Agency and the state or local agency may agree to be
joint lead agencies where practicable. When state laws or
local ordinances have environmental requirements in addition
to, but not in conflict with those of the Agency, the Agency
will cooperate in fulfilling these requirements.
(2)
Incorporating other documents. The Agency cannot adopt a
non-Federal environmental document under NEPA. However, if an
environmental document is not jointly prepared as described in
paragraph (c)(1) of this section (e.g., prepared in accordance with
a state environmental policy act [SEPA]), the Agency will evaluate
the document as reference or supporting material for the Agency’s
environmental document.

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RD Instruction 1970-A

§ 1970.16

Mitigation.

(a) The goal of mitigation is to avoid, minimize, rectify, reduce, or
compensate for the adverse environmental impacts of an action. The
Agency will seek to mitigate potential adverse environmental impacts
resulting from Agency actions. All mitigation measures will be included
in Agency commitment or decision documents.
(b) Mitigation measures, where necessary for a FONSI or a ROD, will be
discussed with the applicant and with any other relevant agency and, to
the extent practicable, incorporated into Agency commitment documents,
plans and specifications, and construction contracts so as to be legally
binding.
(c) The Agency, applicable lenders, or any intermediaries will monitor
implementation of all mitigation measures during development of design,
final plans, inspections during the construction phase of projects, as
well as in future servicing visits. The Agency will direct applicants
to take necessary measures to bring the project into compliance. If the
applicant fails to achieve compliance, all advancement of funds and the
approval of cost reimbursements will be suspended. Other measures may
be taken by the Agency to redress the failed mitigation as appropriate.
§ 1970.17

Programmatic analyses and tiering.

In accordance with 40 CFR 1502.20 and to foster better decision making,
the Agency may consider preparing programmatic-level NEPA analyses and
tiering to eliminate repetitive discussions of the same issues and to focus
on the actual issues ripe for decision at each level of environmental review.
§ 1970.18

Emergencies.

When an emergency exists and the Agency determines that it is necessary
to take emergency action before preparing a NEPA analysis and any required
documentation, the provisions of this section apply.
(a) Urgent response. The Agency and the applicant, as appropriate, may
take actions necessary to control the immediate impacts of an emergency
(see § 1970.53(e)). Emergency actions include those that are urgently
needed to restore services and to mitigate harm to life, property, or
important natural or cultural resources. When taking such actions, the
Agency and the applicant, when applicable, will take into account the
probable environmental consequences of the emergency action and mitigate
foreseeable adverse environmental effects to the extent practicable.

26

RD Instruction 1970-A
§ 1970.18 (Con.)

(b) CE- and EA-level actions. If the Agency proposes longer-term
emergency actions other than those actions described in paragraph (a) of
this section, and such actions are not likely to have significant
environmental impacts, the Agency will document that determination in a
finding for a CE or in a FONSI for an EA prepared in accordance with
this part. If the Agency finds that the nature and scope of proposed
emergency actions are such that they must be undertaken prior to
preparing any NEPA analysis and documentation associated with a CE or
EA, the Agency will identify alternative arrangements for compliance
with this part with the appropriate agencies.
(1) Alternative arrangements for environmental compliance are
limited to actions necessary to control the immediate impacts of the
emergency.
(2) Alternative arrangements will, to the extent practicable,
attempt to achieve the substantive requirements of this part.
(c) EIS-level actions. If the Agency proposes emergency actions other
than those actions described in paragraphs (a) or (b) of this section
and such actions are likely to have significant environmental impacts,
then the Agency will consult with the CEQ about alternative arrangements
in accordance with CEQ regulations at 40 CFR 1506.11 as soon as
possible.
§§ 1970.19 – 1970.50 [Reserved]
Exhibits -

A, B, C, D, E, F, G and H

oOo

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RD Instruction 1970-A
Exhibit A
Page 1

Glossary of NEPA Terms and Acronyms

ACHP
ACE
ACEC
AIRFA
APE
AQI
ARPA
ASEC
AST
ASTM
AWQC

Advisory Council on Historic Preservation
Army Corps of Engineers
Areas of Critical Environmental Concern
American Indian Religious Freedom Act
Area of Potential Effect
Air Quality Index
Archaeological Resources Protection Act
Assistant State Environmental Coordinator
Above-Ground Storage Tank
American Society for Testing and Materials
Ambient Water Quality Criteria

BA
BACT
BGEPA
BGL
BIA
BLM
BMP
BOD
BO/BiOp
BoR

Biological Assessment
Best Available Control Technology
Bald and Golden Eagle Protection Act
Below Ground Level
Bureau of Indian Affairs
Bureau of Land Management
Best Management Practices
Biological or Biochemical Oxygen Demand
Biological Opinion
Bureau of Reclamation

CA
CAA
CAIR
CBRA
CBRS
CE
CEA
CEQ
CERCLA
of 1980
CERCLIS

Corrective Action (under RCRA)
Clean Air Act
Clean Air Interstate Rule
Coastal Barrier Resources Act
Coastal Barrier Resources System
Categorical Exclusion
Cumulative Effects Assessment
Council on Environmental Quality
Comprehensive Environmental Response, Compensation and Liability Act

CFR
COC
COD
CWA
CZMA

Comprehensive Environmental Response, Compensation, and Liability
Information System
Code of Federal Regulations
Contaminant of Concern
Chemical Oxygen Demand
Clean Water Act
Coastal Zone Management Act

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RD Instruction 1970-A
Exhibit A
Page 2

DEIS
DO
DOD
DOE
DOI
DOJ
DOT
DR

Draft Environmental Impact Statement
Dissolved Oxygen
Department of Defense
Department of Energy
Department of the Interior
Departmental of Justice
Department of Transportation (Federal or state)
Departmental Regulation

EA
EIS
EJ
EMF
EO
ERD
EPA
ESA
ESA
ESRI

Environmental Assessment
Environmental Impact Statement
Environmental Justice
Electromagnetic Field
Executive Order
Environmental Resource Directory
Environmental Protection Agency
Endangered Species Act
Environmental Site Assessment per ASTM Standards
Environmental Systems Research Institute (GIS software)

FEIS
FEMA
FERC
FFRMS
FHBM
FHWA
FIRM
FOIA
FONSI
FPPA
FR
FS
FSA
FWCA
FWS
FY

Final Environmental Impact Statement
Federal Emergency Management Agency
Federal Energy Regulatory Commission
Federal Flood Risk Management Standard
Flood Hazard Boundary Map
Federal Highway Administration
Flood Insurance Rate Map
Freedom of Information Act
Finding of No Significant Impact
Farmland Protection Policy Act
Federal Register
Forest Service
Farm Services Agency
Fish and Wildlife Coordination Act
Fish and Wildlife Service
Fiscal Year

GAO
GhG
GIS
GPM

Government Accountability Office
Greenhouse Gas
Geographic Information System
Gallons per Minute

RD Instruction 1970-A
Exhibit A
Page 3

HAP
HAZWOPER
HCP
HEL
HIA
HUD

Hazardous Air Pollutant
Hazardous Waste Operation and Emergency Response
Habitat Conservation Plan
Highly Erodible Land
Health Impact Assessment
Department of Housing and Urban Development

IAQ
IHS
IPCC
IRIS

Indoor Air Quality
Indian Health Service
Intergovernmental Panel on Climate Change
EPA Integrated Risk Information System

JD

Jurisdictional Determination

LDR
LUST

Land Disposal Restrictions
Leaking Underground Storage Tank

MACT
MBTA
MOA
MOU
MSL
MW

Maximum Achievable Control Technology
Migratory Bird Treaty Act
Memorandum of Agreement
Memorandum of Understanding
Mean Sea Level
Megawatt

NAA
NAAQS
NAGPRA
NAEP
NEPA
NESHAP
NFIP
NGO
NHL
NHPA
NMFS
NOAA
NOA
NOI
NOx
NPDES
NPL

Nonattainment Area
National Ambient Air Quality Standards
Native American Graves Protection and Repatriation Act
National Association of Environmental Professionals
National Environmental Policy Act
National Emissions Standards for Hazardous Air Pollutants
National Flood Insurance Program
Nongovernmental Organization
National Historic Landmark
National Historic Preservation Act
National Marine Fisheries Service (part of NOAA)
National Oceanic and Atmospheric Administration
Notice of Availability
Notice of Intent
Oxides of Nitrogen
National Pollutant Discharge Elimination System
National Priority List

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RD Instruction 1970-A
Exhibit A
Page 4

NPOTW
NPS
NRCS
NRECA
NRHP
NRI
NSDWQ
NSPS
NSR
NWI
NWP

Non-Publicly Owned Treatment Works
National Park Service
Natural Resources Conservation Service
National Rural Electric Cooperative Association
National Register of Historic Places
Nationwide Rivers Inventory
National Standards for Drinking Water Quality
New Source Performance Standards
New Source Review
National Wetlands Inventory
Nationwide Permit

O&M
OPA
ORW
OSHA

Operations and Maintenance
Oil Pollution Act
Outstanding Resource Water
Occupational Safety and Health Administration

PA
PAH
PCB
PE
PEIS
PG
PLP
PM
POC
POTW
PPB
PPE
PPM
PRP
PSD
QA/QC
QAPP

Programmatic Agreement
Polycyclic Aromatic Hydrocarbon
Polychlorinated Biphenyl
Professional Engineer
Programmatic Environmental Impact Statement
Professional Geologist
Preferred Lender Program
Particulate Matter
Point of Contact
Publicly Owned Treatment Works
Part Per Billion
Personal Protective Equipment
Part Per Million
Potentially Responsible Party
Prevention of Significant Deterioration
Quality Assurance/Quality Control
Quality Assurance Project Plan/Program

RA
RBS
RCRA
RCRIS
RD
REC
RFP
RHS

Remedial Action or Risk Assessment for RCRA actions
Rural Business-Cooperative Service
Resource Conservation and Recovery Act
Resource Conservation and Recovery Information System
Rural Development
Record of Environmental Consideration
Request for Proposal
Rural Housing Service

RD Instruction 1970-A
Exhibit A
Page 5

RI
ROD
ROW
RUS

Remedial Investigation
Record of Decision
Right-of-Way
Rural Utilities Service

SARA
SBA
SCADA
SDWA
SEC
SEIS
SEPA
SHPO
SIP
SOP
SOW
SOx
SPCC
SWPP

Superfund Amendments and Reauthorization Act
Small Business Administration
Supervisory Control and Data Acquisition
Safe Drinking Water Act
State Environmental Coordinator
Supplemental Environmental Impact Statement
State Environmental Policy Act
State Historic Preservation Office/Officer
State Implementation Plan
Standard Operating Procedure
Scope of Work
Oxides of Sulfur
Spill Prevention Control and Countermeasures Plan
Stormwater Pollution Prevention Plan

T&E Species Threatened and Endangered Species
TCP
Traditional Cultural Property
TDS
Total Dissolved Solids
THPO
Tribal Historic Preservation Officer
TMDL
Total Maximum Daily Load
TRI
Toxic Release Inventory
TSCA
Toxic Substances Control Act
TSS
Total Suspended Solids
U.S.C.
USGCRP
USDA
USGS
UST

United States Code
United States Global Change Research Program
Department of Agriculture
Geological Survey
Underground Storage Tank

VA
VOC
Western
WNS
WSRA

Department of Veterans Affairs
Volatile Organic Compound
Western Area Power Administration
White Nose Syndrome
Wild and Scenic Rivers Act

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RD Instruction 1970-A
Exhibit A
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WTP
WUS
WWTP

Water Treatment Plant
Waters of the United States
Waste Water Treatment Plant

RD Instruction 1970-A
Exhibit A
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GLOSSARY OF NEPA TERMS
Affected environment

A description of the existing environment to be
affected by the proposed action (40 CFR 1502.15).

Alternative

Other options to the proposed action by which the
applicant can address the identified problem or
satisfy the stated need (40 CFR 1502.14).

Categorical exclusion A category of actions that do not individually or
(CE)
cumulatively have a significant impact on the quality
of the human environment (40 CFR § 1508.4). RD’s CEs
are found in 7 CFR Part 1970, Subpart B. Neither an
environmental assessment nor an environmental impact
statement is required when there is a CE, unless
extraordinary circumstances are identified in
accordance with § 1970.52.
Connected action

Actions that are “closely related” and “should be
discussed” in the same NEPA document (40 CFR 1508.25
(a)(1)) as the proposed action. Actions are connected
if they automatically trigger other actions that may
require an EIS; cannot or will not proceed unless
other actions are taken previously or simultaneously;
or if the actions are interdependent parts of a larger
action and depend upon the larger action for their
justification (40 CFR 1508.25 (a)(1)). Connected
actions are limited to actions that are currently
proposed (ripe for decision). Actions that are not yet
proposed are not connected actions, but may need to be
analyzed in a cumulative effects analysis if they are
reasonably foreseeable.

Cooperating agency

Any federal agency other than a lead federal agency
which has jurisdiction by law or special expertise
with respect to any environmental impact involved in a
major federal action significantly affecting the
quality of the human environment. Any state, tribal,
or local government jurisdiction with similar
qualifications may become a cooperating agency by
agreement with the lead agency (40 CFR 1508.5). A
cooperating agency assists the lead federal agency in
developing an EA or EIS.

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Table (Con.)
Council on
The agency created by NEPA to act as the environmental
Environmental Quality advisor to the President. The CEQ oversees federal
(CEQ)
agency implementation of NEPA to ensure compliance and
has promulgated regulations implementing the
procedural provisions of NEPA. It also resolves
interagency disagreements concerning proposed major
federal actions.
Cumulative impact

The impact on the environment which results from the
incremental impact of the action when added to other
past, present, and reasonably foreseeable future
actions regardless of what agency (federal or nonfederal) or person undertakes such other actions.
Cumulative impacts can result from individually minor
but collectively significant actions taking place over
a period of time (40 CFR 1508.7).

Direct impact

See Effect

Effect

There are two types of effects, direct and indirect. A
direct effect (also known as a direct impact) is
caused by the action and occurs at the same time and
place. An indirect effect (also known as an indirect
impact or secondary effect) is caused by the action
and occurs later in time or farther removed in
distance, but is still reasonably foreseeable.
Indirect effects may include growth inducing effects
and other effects related to induced changes in the
pattern of land use, population density or growth
rate, and related effects on air and water and other
natural systems, including ecosystems (40 CFR 1508.8).

Environmental
assessment (EA)

A concise public document prepared to determine
whether the impacts of a proposal would be significant
and thus warrant preparation of an EIS. If the effects
of the proposal are determined not to be significant,
a Finding of no Significant Impact (FONSI) is prepared
and published.

RD Instruction 1970-A
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Table (Con.)
Environmental
consequences

Environmental effects of reasonable project
alternatives, including the proposed action, any
adverse environmental effects which cannot be avoided
should the proposal be implemented, the relationship
between short-term uses of the human environment and
the maintenance and enhancement of long-term
productivity, and any irreversible or irretrievable
commitments of resources which would be involved if
the proposal should be implemented (40 CFR 1502.16).

Environmental impact
statement (EIS)

A detailed written statement prepared by a federal
agency documenting that agency’s analysis of the
potential environmental impacts of a proposal which
has been determined to be a major federal action
significantly affecting the quality of the human
environment.

Environmental justice The fair treatment and meaningful involvement of all
people regardless of race, color, national origin, or
income with respect to the development,
implementation, and enforcement of environmental laws,
regulations, and policies. Fair treatment means that
no group of people, including racial, ethnic, or
socioeconomic groups, should bear a disproportionate
share of the negative environmental consequences
resulting from industrial, municipal, and commercial
operations or the execution of federal, state, local,
and tribal programs and policies. Executive Order
12898 directs federal agencies to make achieving
environmental justice part of their missions by
identifying and addressing disproportionately high and
adverse effects of agency programs, policies, and
activities on minority and low-income populations.
Environmental
Protection Agency
(EPA), Office of
deral Activities

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EPA’s Office of Federal Activities is responsible for
administering the filing of all EISs prepared by
federal agencies. Draft and final EISs must be filed
with EPA before they are distributed to the public.
The process of EIS filing includes receiving and
recording of the EISs into EPA’s EIS database,
establishing the beginning and ending dates for public
comment periods for draft and final EISs, and
publishing these dates in a weekly Notice of
Availability in the Federal Register.

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Table (Con.)
Extraordinary
circumstance

A situation where a normally categorically excluded
action has the potential for significant environmental
impacts to the human environment, and requires a
higher level of environmental review such as an EA or
EIS.

Federal Register

The official federal government daily publication for
publishing rules, proposed rules, and other notices of
federal agencies and organizations, as well as
Executive Orders and other Presidential documents. The
Federal Register is published by the Office of the
Federal Register, National Archives and Records
Administration (NARA).

Finding of no
significant impact
(FONSI)

A document prepared by a federal agency briefly
presenting the reasons why an action for which the
agency has prepared an environmental assessment has no
potential to have a significant effect on the human
environment and thus will not require preparation of
an Environmental Impact Statement (40 CFR 1508.13). It
shall include the environmental assessment or a
summary of it and shall note any other environmental
documents related to it (40 CFR 1501.7(a)(5)).

Floodplain

Flat land areas adjacent to a stream or river that
stretches from the banks of its channel to the base of
the enclosing valley walls and is subject to periodic
inundation during periods of high water discharge from
any source, e.g., surface runoff, groundwater flows,
coastal areas subject to wind and wave action, etc.
Floodplains include floodways, which consist of the
stream channel and adjacent areas that actively carry
flood flows downstream. Areas that are subject to a
one percent or greater chance of flooding in any given
year (the 100-year floodplain) are termed the base
floodplains. The critical action floodplain is
defined as the 500-year flood plain (0.2 percent
chance of flooding in any given year).

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Table (Con.)
FFRMS floodplain

The area subject to flooding as determined by one of
the following approaches:
o Climate-informed Science Approach (CISA) –
The elevation and flood hazard area that
result from using a climate-informed
science approach that uses the bestavailable, actionable hydrologic and
hydraulic data and methods that integrate
current and future changes in flooding
based on climate science. This approach
will also include an emphasis on whether
the action is a critical action as one of
the factors to be considered when
conducting the analysis.
o Freeboard Value Approach (FVA) – The
elevation and flood hazard area that
result from using the freeboard value,
reached by adding an additional 2 feet to
the base flood elevation for non-critical
actions and from adding an additional 3
feet to the base flood elevation for
critical actions.
o 0.2-percent-annual-chance Flood Approach
(0.2PFA) – The area subject to flooding by
the 0.2-percent-annual-chance flood.
o The elevation and flood hazard area that
results from using any other method
identified in an update to the FFRMS.

Human environment

Includes the natural and physical environment and the
relationship of people with that environment. When
economic or social effects and natural or physical
environmental effects are interrelated, then the
analysis must discuss all of these effects on the
human environment (40 CFR 1508.14).

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RD Instruction 1970-A
Exhibit A
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Table (Con.)
Incorporation by
reference

Citation and summarization in a NEPA document of
material from another reasonably available document
that covers similar actions, issues, effects, or
resources. CEQ guidance recommends incorporation by
reference when the effect will be to reduce the size
of an environmental review document without impeding
agency and public review of the action. The
incorporated material shall be cited in the EA or EIS
and the document shall state how the referenced
document or material can be obtained. The contents of
the referenced materials should be briefly described.
No material may be incorporated by reference unless
it is reasonably available for inspection by
interested parties within the time allowed for
comment in the environmental review document.
Material based on proprietary data that are not
available for review and comment shall not be
incorporated by reference (40 CFR 1502.21).
Information that could be incorporated by reference
includes material that is not directly related to the
proposed action; relevant EISs or EAs; detailed
descriptions of the affected environment (e.g.,
“Affected Environment” chapters from previous EISs
when the affected environment for the proposed action
has not undergone noticeable changes); research
papers in the general scientific literature; and,
technical background papers that reviewers with
technical training may find useful.

Lead agency

The federal agency or agencies having primary
responsibility for preparing an Environmental Impact
Statement (40 CFR 1508.16).

Mitigation

Actions taken to avoid an impact altogether or by not
taking a certain action of parts of an action.
Minimizing impact by limiting the degree or magnitude
of the action and its implementation. Rectifying the
impact, reducing the impact over time by preservation
and maintenance operations during the life of the
action, or compensating for the impact by replacing
or providing substitute resources or environments (40
CFR 1508.20).

RD Instruction 1970-A
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Table (Con.)
National
Environmental Policy
Act (NEPA)

The National Environmental Policy Act (42 U.S.C. §§
4321 et seq.) is the federal government’s basic
national charter for the protection of the
environment. It establishes policies, sets goals, and
provides the means to make sure that federal agencies
act according to the letter and spirit of the Act.
It requires federal agencies to use an
interdisciplinary approach in planning and decisionmaking for actions that impact the environment and to
ensure that environmental information is available to
public officials and citizens before the federal
government takes its actions. For major actions
significantly affecting the human environment, NEPA
requires the preparation of an EIS.

No-Action Alternative The alternative that describes the future environment
in the absence of the proposed federal action (40 CFR
1502.14(d)). The "no action" alterative in such cases
would mean the proposed activity would not take
place, and the resulting environmental effects from
taking no action would be compared with the effects
of permitting the proposed activity or an alternative
activity to go forward. Thus this forms the baseline
condition against which the impact of a proposed
action and other alternatives are compared and
evaluated.
Notice of
availability (NOA)

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A notice published in the Federal Register and local
newspapers in the area affected by the proposal
announcing the availability of an environmental
impact statement (draft or final) or Record of
Decision for public review and comment. Publication
of a notice of filing of an EIS by the Environmental
Protection Agency formally begins the public comment
period. A NOA may also be published for an EA.

RD Instruction 1970-A
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Table (Con.)
Notice of Intent
(NOI)

A notice published in the Federal Register and local
newspapers in the area affected by the proposal
announcing that a federal agency intends to prepare
an environmental impact statement. Publication of
this notice formally starts the scoping process and
specifies the period for public comment. The notice
shall briefly (1) describe the proposed action and
possible alternatives; (2) describe the proposed
scoping process, including whether, when, and where
any scoping meetings will be held; and (3) state the
contact to whom questions should be addressed
regarding the action and the EIS.
The purpose of the NOI is to involve other government
agencies and interested persons as early as possible
in the planning and evaluation of actions which may
have significant impact. This notice shall encourage
public input in the preparation of a Draft EIS to
assure that environmental values will be identified
and considered from the outset. A NOI may also be
prepared for other purposes, such as when an agency
intends to adopt another agency’s environmental
document.

Preferred alternative An alternative evaluated in an environmental impact
statement that a federal agency prefers, if such an
alternative exists. The preferred alternative may not
be the environmentally preferable alternative;
overall preference may be based on business needs,
agency mission requirements, legislative or executive
direction, and other factors. If the agency has a
preferred alternative it must be identified in a
final environmental impact statement.
Programmatic
Environmental Impact
Statement (PEIS)

A broad environmental impact statement prepared and
used by a federal agency to evaluate and assess the
environmental impacts of proposed policies, programs,
plans, or projects for which subsequent actions will
be implemented based on the programmatic reviews. See
also “Tiering”.

Proposed action

A plan that contains sufficient details about the
intended actions to be taken, or that will result, to
allow alternatives to be developed and its
environmental impacts meaningfully analyzed (40 CFR
1508.23).

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Table (Con.)
Reasonable
alternatives

Agencies are required to “evaluate all reasonable
alternatives” in determining the scope of
alternatives to be considered (40 CFR 1502.14).
Reasonable alternatives include those that are
practical or feasible both technically and
economically, rather than simply desirable from the
applicant’s standpoint.

Reasonably
foreseeable action

Actions that are analyzed in the context of a good
faith evaluation of the indirect and cumulative
environmental impacts. These analyses must be based
on information from reliable sources on, for example,
existing decisions, funding, formal proposals, land
use plans and which are highly probable based on
known opportunities or trends. The action must be
likely to occur or probable, rather than those that
are merely possible. Federal agencies are not
required to speculate about all conceivable impacts
but must evaluate the reasonably foreseeable effects
of a proposed action.

Record of decision
(ROD)

A concise public document that records a federal
agency’s decision concerning a proposed action for
which the agency has prepared an environmental impact
statement. The ROD is prepared in accordance with the
requirements of the CEQ NEPA regulations (40 CFR
1505.2). The ROD states the decision, alternatives
considered, and the environmentally preferable
alternative(s); factors considered in the agency’s
decision; whether all practicable means to avoid or
minimize environmental harm have been adopted
(mitigation measures), and if not, why they were not;
and, a summary of monitoring and enforcement where
applicable for any mitigation. An agency may discuss
preferences among alternatives based on relevant
factors including economic and technical
considerations and agency statutory missions.

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RD Instruction 1970-A
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Table (Con.)
Scoping

An early and open process for determining the scope
of issues to be addressed and identifying the
significant issues related to a proposed action (40
CFR 1501.7). The responsible federal agency invites
the participation of affected federal, State, local,
and Tribal governments, the project proponent, and
other interested parties. The agency solicits
internal and external input on the issues and effects
that will be addressed, as well as the degree to
which those issues and effects will be analyzed in
the NEPA document. Scoping generally extends through
the development of alternatives (the public comment
periods for EIS review are not scoping). Scoping can
be both formal (scoping meetings) and informal (other
discussions or consultations that may inform the
analytical and decision-making processes).

Significance

This term, as used in NEPA, requires consideration of
both context and intensity (40 CFR 1508.27), where
context refers to analyzing the action in terms of
its current, short-and long-term effects on society
as a whole, the affected region, affected interests,
and the locality where significance varies with the
setting of the proposed action. Intensity refers to
the severity of the effect, that is, the degree to
which the action affects public health or safety or
sensitive or unique environmental resources, or where
effects are highly controversial or uncertain, among
other factors.

Supplemental
environmental impact
statement (SEIS)

A NEPA document prepared to amend an original EIS
when significant change in the action is proposed
beyond the scope of the original environmental
review, or when significant new circumstances or
information arise that could affect the proposed
action and its environmental impacts (40 CFR
1502.9(c)). SEISs may also be necessary when
significant changes to an action are proposed after a
FEIS has been released to the public.

RD Instruction 1970-A
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Table (Con.)
Tiering

The coverage of general matters in a broader or
programmatic NEPA document (such as a national
program or policy statement) with subsequent narrower
statements of environmental analysis (such as
regional or area-wide program environmental
statements or ultimately site-specific statements),
that concentrate on specific issues and incorporate
by reference the general discussions of the broader
document (40 CFR 1508.28). Tiering is appropriate
when the sequence of environmental reviews is: (a)
from a program, plan, or policy EIS (or EA) to a
program, plan, or policy statement or analysis of
lesser scope or to a site-specific environmental
review; or (b) from an EIS or EA on a specific action
at an early stage to a supplement or a subsequent
environmental review at a later stage. Tiering in
such cases is appropriate and encouraged because it
helps the lead agency focus on the issues that are
ripe for decision and exclude from consideration
issues already addressed or those that are premature
for review.

Traditional Cultural
Property (TCP)

A property that is associated with cultural practices
or beliefs of a living community that (1) are rooted
in that community’s history and (2) are important in
maintaining the continuing cultural identity of the
community. The TCP must be a tangible property, and
can be an entirely natural feature.

Unavoidable Adverse
Effects

Effects that cannot be avoided due to constraints in
alternatives. These effects do not have to be avoided
by the planning agency, but they must be disclosed,
discussed, and mitigated, if possible (40 CFR
1502.16).

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RD Instruction 1970-A
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Table (Con.)
Wetlands

The Army Corps of Engineers and the Environmental
Protection Agency define wetlands as “Those areas
that are inundated or saturated by surface or ground
water at a frequency or duration sufficient to
support, and that under normal circumstances do
support, a prevalence of vegetation typically adapted
for life in saturated soil conditions. Wetlands
generally include swamps, marshes, bogs and similar
areas.” A more general definition offered by the U.s
Environmental Protection Agency includes “Generally,
wetlands are lands where saturation with water is the
dominant factor determining the nature of soil
development and the types of plant and animal
communities living in the soil and on its surface
(Cowardin, December 1979). Wetlands vary widely
because of regional and local differences in soils,
topography, climate, hydrology, water chemistry,
vegetation, and other factors, including human
disturbance. Indeed, wetlands are found from the
tundra to the tropics and on every continent except
Antarctica.”

RD Instruction 1970-A
Exhibit B
Page 1

Glossary of Electric and Telecommunications Terms
Electrical Terms
Access Road: Roads constructed to each structure first to build the structure
and line, and later to maintain and repair it.
Alternate Current (AC): A flow of electricity through a conductor that
continuously reverses its direction of flow.
Ambient (Noise): Background noise generated by existing noise sources in the
surrounding area.
Ampere (amp): A measure of how much electricity is moving through a
conductor. Amperes equals watts divided by volts.
Anchor: Piece of equipment that is installed into the ground to transfer the
unbalanced force on a pole or structure to the earth without immediate
supports.
Angle Structures: Structures that support the transmission line at points
where it changes direction at an angle of 15 degrees or more.
Automated Meter Reading (AMR): The retrieval of meter consumption data from a
centralized location via a common communications channel (telephone lines,
radio frequency, power lines, cable lines, etc.) or a combination of such.
Avoided Cost: The cost of generating power that a utility avoids by
purchasing the same amount of power from another source. A commonly used form
consists of a forecast of future avoided costs, known as long range avoid
cost (LRAC) projections.
Base Load Unit: A generating unit operated close to its maximum output all
the time it is available for service; generally, units whose energy costs are
among the lowest on the system.
Baseline: A set of existing conditions against which change is to be
described and measured.

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Brace: A piece of equipment used solely for additional support to another
piece of equipment, such as a cross-arm or transformer.
British Thermal Unit (BTU): The quantity of heat required to raise one pound
of water one degree Fahrenheit. This unit can be used to measure energy input
and output.
Bundled Conductor: A number of parallel conductors used to increase the
amount of current that may be carried in a line.
Bus Bar: A primary power distribution point connected to the main power
source.
Bus Work: Work related to a heavy conductor, often made of copper in the
shape of a bar, used to collect, carry, and distribute powerful electric
currents, such as those produced by generators.
Capacitor: Two electrodes or sets of electrodes in the form of plates,
separated from each other by an insulating material called a dielectric.
Capacity: The potential for generating power at a power plant or the electric
load of a piece of equipment. Capacity is usually measured in watts.
Capacity (Electrical): The ability to store an electric charge.
Capacity Factor: For generating facilities, the ratio of actual output for a
specific time period to the maximum output possible during that period.
Circuit: A conductor, such as wire, through which electric current flows, and
the path that current takes from the power source to the device using the
power and then back to the source.
Circuit Breaker: An electromagnetic or thermal device that opens a circuit
when the current in the circuit exceeds a predetermined amount. Circuit
breakers can be reset.
Clearance: Clear space between the surface of the conductor and any other
surface. Different conductors (depending on voltage) need different
clearances as determined by the National Electric Safety Code.

RD Instruction 1970-A
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Cogeneration: Generally, the use of a single source to provide steam or other
energy for an industrial or commercial production or process and to generate
electricity.
Conductor: A material that allows an electric current to pass through it. It
is also the wire that carries electricity in an electric distribution or
transmission system.
Conduit: A tube or trough used for protecting electric wiring.
Corona: The electrical breakdown of air molecules in the vicinity of highvoltage conductors.
Corona Rings: Devices specified at the energized end of each insulator in a
line to reduce the effects of corona.
Conversion: Improvements involving the addition of electrical phases to
existing line segments or voltage conversion of an existing line segment.
This may require slight deviations in routing.
Cross-Arm: A high quality piece of wood mounted on a utility pole used to
hold up power lines or other equipment.
Current: A flow of electricity charged particles past a specified circuit
point per unit of time, measured in amperes.
Customer Charge: The charge to a customer, which is designed to compensate
the utility for the costs it incurs as a result of that customer’s
subscription to utility service, irrespective of the customer’s eventual
demand or energy use. For example, metering costs, including the cost of the
meter and the cost of meter reading, are components which contribute to the
customer charge.
Danger Tree: A tree that presents a hazard to powerlines and other
infrastructure; it may be located outside of a utility easement.
Dead-end Structures: Heavier, 3-pole structures designed for use where the
transmission line loads the structure primarily in tension rather than
compression, such as in turning large angles along a line or bringing a line
into a substation. These structures are capable of supporting the highest
tension of all attached wires.

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RD Instruction 1970-A
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Decibel: A unit used to express relative difference in power or intensity,
usually between two acoustic or electric signals.
Demand: The electrical load averaged over a specified interval of time.
Demand is expressed in kilowatts, kilovolt amperes, kilovars, amperes, or
other suitable units. The interval of time is generally 15 minutes, 30
minutes, or 60 minutes.
Demand Charge: The charge to a customer based on the maximum demand
(generally measured in kilowatts) its use of electricity places on the
system. The demand charge is designed to compensate the utility for the fixed
costs of equipment required to meet the demand.
Demand-Side Management (DSM): The deliberate planning or implementation of
activities to influence consumer use of electricity provided by a
distribution borrower to produce beneficial modifications to the system load
profile. Beneficial modifications to the system load profile ordinarily
improve load factor or otherwise help in utilizing electric system resources
to best advantage consistent with acceptable standards of service and lowest
system cost. Load profile modifications are characterized as peak clipping,
valley filling, load shifting, strategic conservation, strategic load growth,
and flexible load profile (see publications of the Electric Power Research
Institute (EPRI), especially ‘‘Demand-Side Management Glossary’’ EPRI TR–
101158, Project 1940–25, Final Report, October 1992). DSM includes energy
conservation programs. It does not include sources of electrical energy such
as renewable energy systems unless the power flow into the grid from such an
interconnected resource is incidental to the operation of the source. A small
scale renewable energy source with a nameplate capacity 50 percent or less
than the average anticipated load of the associated end user(s) is presumed
to be incidental.
Demand Savings: The quantifiable reduction in the load requirement for
electric power, usually expressed in kilowatts (kW) or megawatts (MW) such
that it reduces the cost to serve the load.
Direct Current: An electric current that flows in one direction only.
Distributed Generation: The generation of electricity by a sufficiently small
electric generating system as to allow interconnection of the system near the
point of service at distribution voltages or customer voltages. A distributed
generating system may be fueled by any source, including but not limited to
renewable energy sources.

RD Instruction 1970-A
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Distribution Line: A circuit in a distribution system.
Distribution System: The circuits that deliver power directly to the
customer. These are operated at relatively low voltages.
Double Circuit: A method of power delivery via a transmission or distribution
line where two circuits run in close proximity with inductive coupling
between conductors. Double circuits are more space efficient than single
circuits.
Double Phase: One circuit consisting of two conductors where the current and
voltage in each conductor (phase) is 90° (quarter cycle) out of phase with
each other phase.
Easement: A grant of certain rights to the use of a piece of land (which
becomes a right-of-way; ROW). This includes the right to enter the ROW to
build, maintain, and repair the facilities. Permission for these activities
is included in the negotiation process for acquiring easements over private
and public land.
Electricity: Electric current or power that results from the movement of
electrons in a conductor from a negatively charged point to a positively
charged point.
Electric Utility System: As defined in 7 CFR 1710, an electric system refers
to all of an Agency borrower's interests in all electric production,
transmission, distribution, conservation, load management, general plant and
other related facilities, equipment or property, and in any mine, well,
pipeline, plant, structure, or other facility for the development,
production, manufacture, storage, fabrication, or processing of any fuel or
in any facility or rights with respect to the supply of water, in each case
for use, in whole or in major part, in any of the borrower's generating
plants, including any interest or participation of the borrower in any such
facilities or any rights to the output or capacity thereof, together with all
lands, easements, rights-of-way, other works, property, structures, contract
rights, and other tangible and intangible assets of the borrower in each case
used or useful in such electric system.
Electromagnetic Interference: Interference of an electrical device caused by
the presence of an electromagnetic field.

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RD Instruction 1970-A
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Energy Audit: An inspection and analysis of energy flows in a building,
process, or system with the goal of identifying opportunities to enhance
energy efficiency. The audit should result in an objective standard-based
technical report containing recommendations for improving the energy
efficiency at the (consumer) premises. The report should also include a costbenefit analysis reflecting the estimated benefits and costs of pursuing each
recommendation.
Energy Efficiency and Conservation Measures: Equipment, materials, and
practices that when installed and used at a consumer’s premises result in a
verifiable reduction in energy consumption, measured in BTUs relative to a
base level of output. The ultimate goal is the reduction of utility energy
needs at the consumer premises.
Flash Over: An unintended electrical discharge to ground or another phase.
Flashovers can occur between two conductors, across insulators to ground, or
equipment bushings to ground.
Fuel Switching: The short-term use of a substitute energy source in place of
electricity during peak demand. In demand side management programs, an energy
utility may encourage consumers to change from electricity to another for a
particular end-use service. For example, an electric utility might encourage
consumers to transfer from electric heating to gas heating during times of
peak electricity demand.
Grid: A high-voltage transmission network. A system of interconnected
transmission lines and power generating facilities that allows large
quantities of electrical power to be shared on a regional basis.
Ground Rod: Rod that connects to a ground wire that is placed in the ground
to route lightning strike electricity into the earth.
Ground Wire: Wires placed above the conductors to route lightning-strike
electricity to the ground.
Guy Wire: a tensioned cable that anchors a structure to the ground to provide
extra stability.
Guy Wire Anchors: Anchor plates buried into the ground to which guy wires are
attached.

RD Instruction 1970-A
Exhibit B
Page 7

High Voltage: Voltage in a power line higher than the 120 to 240 volts
typically used to deliver power to residences.
Insulator: A material such as glass or porcelain with negligible electrical
or thermal conductivity.
Investor Owned Utility: A utility organized to provide a return on capital to
the investment community. Unlike a cooperative, which is owned by the users
of the service, power company ownership bears no relationship to use. Voting
control of most power company stock is exercised by relatively few large
financial institutions and insurance companies.
Kilohertz (khz): A unit of alternating current or electromagnetic wave
frequency equal to one thousand hertz (Hz).
Kilovolt (kv): A unit of electromotive force equal to 1,000 volts.
Kilowatt (kw): The basic unit of electric demand, equal to 1,000 watts. A
kilowatt-hour (kwh) is the basic measure of electric energy generation or
use.
Load: The electricity delivered to power utilization equipment performing its
normal function.
Load Factor: The ratio of the average load over a designated period of time
to the peak load occurring in the same period. It is a measure of actual
electricity consumed relative to total potential consumption. Used when
analyzing electricity consumption, a loading factor of 0.5 means that, on
average, end users are consuming 50 percent of the amount of power that would
have been used if energy usage was at the highest demand level during the
entire designated period.
Load Forecast: Minimizes risk by predicting future consumption of power
transmitted or delivered by a system.
Load Management: Steps taken to reduce power demand at peak load times or to
shift some of it to off-peak times (e.g. peak hours, peak days and/or peak
seasons).

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RD Instruction 1970-A
Exhibit B
Page 8

Long Range Plan: Planning with a focus on forecasting to ensure a system will
meet future needs.
Megawatt (MW): Equal to 1,000 kilowatts or 1 million watts.
Meter: A device used to measure and record the amount of electricity used.
Metering Point: A number that denotes a user’s unique meter and supply.
Name Plate Rating: Generator nameplate capacity (installed) that is the
maximum rated output of a generator, prime mover, or other electric power
production equipment under specific conditions designated by the
manufacturer.
Net Utility Plant: The amount constituting the total utility plant of the
borrower, less depreciation, computed in accordance with RUS accounting
requirements.
Neutral Wire: Wire in a system that is connected to the circuit and is
grounded.
Non-Utility Generator (NUG): Any of a variety of unregulated suppliers of
capacity or energy to a regulated utility. Sometimes referred to as an
Independent Power Producer (IPP) or a merchant power plant.
O&M Survey: A survey to identify equipment problems, maintenance solutions,
and potential operating problems.
Off-Peak: Period of relatively low demand on a utility’s generating system.
On-Peak: Period of relatively high demand on a utility’s generating system,
season and time-of-day specific for each utility.
Peak Demand (or Maximum Demand): The highest demand measured over a selected
period of time, such as one month.
Peak Demand Reduction: A decrease in demand on an electric utility system
during the system's peak period, calculated as the reduction in maximum
average demand achieved over a specified interval of time.
Peaking Unit: A generating unit used to meet the portion of peak load that
cannot be met by base load units. Generally, these are higher energy cost
units, such as gas turbines.

RD Instruction 1970-A
Exhibit B
Page 9

Phase: In electronic signaling, phase is a definition of the position of a
point in time (instant) on a waveform cycle. A complete cycle is defined as
360 degrees of phase (i.e., from beginning to end of the waveform). Phase can
also be an expression of relative displacement between or among waves having
the same frequency.
Pole Ground Wire: Wire (typically running down a pole) that connects an
aerial ground wire directly to ground.
Power: The rate of generating, transferring, or using energy. The basic unit
is the watt, where one watt is approximately 3.41213 BTU/hr.
Primary (and Secondary) Lines: The electric lines delivering power from the
substation to the customer are primary and secondary lines.
Primary Wires: Wires located at the top of a power pole and carry voltage
from the substation.
Public Power District/Systems: A utility owned and controlled by the
taxpayers of a city, district, or other public area and operated as a
function of the government. Also referred to as a municipal system.
Pulling and Tensioning: Process of installing and tightening new conductors
or optic power ground wires (fiber optic cable).
Pulling Station/Site: The location where equipment is staged for pulling
wires.
Rate: The cost per kilowatt-hour for electricity.
Rating: The nominal value of an energizing quantity that appears in the
designation of a relay.
Right-of-Way (ROW): A servient easement over which facilities, such as power
lines and access drives, are built.
Re-Conductor: Improvement involves the replacement of a new line segment in
place of an existing line. It may involve replacing the conductors and
insulators or rebuilding an entire line segment.

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RD Instruction 1970-A
Exhibit B
Page 10

Replacement: Improvement involves the replacement of an existing facility
generally aging or damaged facilities. It may include deviations in routing.
Sag: The vertical distance between the point where the line is joined to the
tower and the lowest point on the line.
Seasonal Energy Efficiency Rating (SEER): A commonly used measure of
efficiency of consumer central air conditioners and heat pumps. It is the
ratio of cooling output divided by electric energy input.
Service Drop: A connection from a distribution line to the end use consumer.
Also known as a customer connection.
Shield Wire: A wire or ground wire that routes lightning strikes to ground on
a transmission line. The shield wire is the highest wire(s) attached to the
top of a structure.
Single Circuit: A single circuit configuration has three conductors for the
three phases.
Single Phase: The distribution of electric power using a system in which the
voltage is taken from one phase of a three phase source.
Smart Grid Investments: Capital expenditures for devices or systems capable
of providing real-time, two-way (utility and consumer) information and
control protocols for individual consumer-owned or operated appliances and
equipment, usually through a consumer interface or smart meter.
Sock Line: The line or rope connected to a steel wire that is used to pull
the conductors through the structures during installation.
Splice: A location on a wire where a joint or bond must be created.
Staging Area/Yard: A temporary area used to store and assemble personnel,
materials, and equipment during construction.
Statewide Cooperative: A statewide rural electric organization, voluntarily
supported by the operating electric cooperatives. It provides coordinated,
commonly desired services to member systems and gives a unified voice to
rural electrification within the state.

RD Instruction 1970-A
Exhibit B
Page 11

Static on Ground Wire: A grounded safety wire laid to conduct excess
electricity, as in the case of a lightning strike.
Substation: An electrical facility that contains equipment for controlling
the flow of electricity from supplier to user.
Substation Dead-end Structures: Structures within a substation where incoming
or outgoing transmission lines end. Substation dead-ends are typically the
tallest structure within a substation.
Surge Arresters: A device used to protect equipment from over-voltage
transients caused by external or internal events.
Suspension Structure: A structure designed to support conductors strung along
a virtually straight line with only small turning or descending or ascending
angles.
Switching Station: A substation without transformers that operates at a
single voltage level. Used for switching current line to back-up line if
needed.
Tracking: A leakage of electric current between two points separated by an
insulating material, caused by dirt, carbon particles, moisture, etc.
Transformer: A device used to raise or lower voltage in electric distribution
or transmission lines.
Transmission: The transportation of electric energy in bulk at high voltages,
generally from a generating unit to a substation or for transfer between
utility systems.
Turning Structure: Structures that support the transmission line at points
where it changes direction (also see angle structure).
Utility Service Provider (Utility): An entity in the business of providing
retail electric service to consumers (distribution entity), wholesale
electric supply to distribution entities (generation entity), or transmission
service to distribution or generation entities (transmission entity). In each
case, the entities provide the applicable service using self-owned or
controlled assets under a published tariff that the entity and any associated
regulatory agency may adjust.

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RD Instruction 1970-A
Exhibit B
Page 12

V Phase: A two-phase distribution line.
Vibration Dampers: Devices attached to insulators in order to minimize
vibration of the conductors in windy conditions.
Volt (V): A unit of electric force that measures the pressure of electricity.
The amount of electric force carried through a high-voltage transmission line
is measured in kilovolts (kV).
Watt: Named for James Watt, a 19th-century Scottish Engineer, it is a measure
of the power that can be generated by an electrical current. It is equal to
1/746 horsepower.
Electric Dictionaries
http://www.dps.ny.gov/glossary.html#B
https://www.maximintegrated.com/en/glossary/definitions.mvp/terms/all
http://www.youngco.com/young2.asp?ID=4&Type=3#I
https://www.summit.com/resources/glossary-of-electrical-terms/AListings-of-Electrical-Terms

RD Instruction 1970-A
Exhibit B
Page 13

Telecommunication Terms
3G and 4G: The third and fourth generations of mobile communication
standards.
Access Network: The part of a telecommunications network that connects
subscribers to an internet service provider.
Access Line: The circuit connecting a subscriber to a telecommunication
company’s central office.
Backbone Network: A telecommunications network that covers a wide or broad
area.
Bandwidth: The available or consumed resources in a broadband network,
expressed in bits/second or multiples of that measurement.
Broadband: The ability to transfer large amounts of information (data) over
telecommunications networks very quickly.
Central Office: A telecommunications company’s central office that houses its
equipment including telephone switches.
Central Office Equipment: Switching and related equipment on the company’s
premises.
Collocation: Physical collocation is the placement of competitor’s equipment
in a local exchange carrier’s central offices in order to provide comparably
efficient interconnection. Virtual collocation refers to arrangements short
of physical collocation intended to provide comparably efficient
interconnection.
Centrex: Also known as central office exchange service. A service offering of
local exchange carriers that provides access to the network as well as
intercom functions within a subscriber’s premise. Centrex competes with the
capabilities and functions of customer provided private branch exchanges.
Digital Subscriber Line (DSL): A family of technologies that provide Internet
access by transmitting digital data over copper wires. DSL networks may be
used in conjunction with optic fiber facilities in a single network.
Drop Wire: The wire connecting the telecommunications company’s external
cable to the subscriber’s premises. Also known as a service drop or customer
connection.

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RD Instruction 1970-A
Exhibit B
Page 14

End Office/Central Office: A local exchange carrier switch where subscriber
loops are terminated to interconnect for toll and calling.
Federal Communications Commission (FCC): The regulatory agency for interstate
communications.
Fiber Optic Cable: A cable made of many individual glass optical fibers that
can transmit large amounts of information at the speed of light.
Fiber Optic Communication: A method of transmitting information from one
place to another by sending pulses of light through an optic cable.
Hybrid Fiber Coax: A broadband network that uses optic fiber and coaxial
cable.
Independent telephone company: A non-Bell operating company.
Integrated Services Digital Network (ISDN): A telecommunications system which
employs new technologies to convert voice, data, and video transmissions into
digital signals for high speed transmission over existing telephone networks.
Internet Service Provider: An entity that provides subscribers with access to
the internet.
Land Line Telephone: Traditional telephone service delivered over copper
wires.
Last Mile Network: The final leg of delivering internet connectivity which
spans the distance from the central office to the customer’s home or office.
Latency: Measure of time delay experienced in a network.
Loop: A pair of wires (or equivalent) linking a customer’s premises with the
central office serving the premises.
Local Area Networks: Interconnects computers in a local area such as an
office or a home.
Microwave: A form of wireless communications that uses frequencies between
300 MHz and 300 GHz.
Middle Mile Networks: Connects an Internet service provider’s access network
with the rest of the internet or the wide area network.
Mobile Switching Center: The main connection point for the mobile network
operator.

RD Instruction 1970-A
Exhibit B
Page 15

Telecommunication: The transmission of information over significant distances
to facilitate communication.
Wide Area Network: See Backbone Network.
Wired Network: A computer network that connects subscribers to the internet
via wires including copper, fiber optic, coaxial, and hybrid coaxial.
Wireless Network: A computer network that connects subscribers to the
Internet via wireless technologies.

Telecom Dictionaries:
http://www.tiaonline.org//resources/telecom-glossary
http://atis.org/glossary/
http://www.itu.int/terminology/index.html

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RD Instruction 1970-A
Exhibit B
Page 16

Acronyms
A: Amperes
AAAC: All Aluminum Alloy Conductor
AC: Alternating Current
ACAR: Aluminum Conductor Alloy Reinforced
ACSR: Aluminum Conductor Steel Reinforced
ANSI: American National Standards Institute
APLIC: Avian Power Line Interaction Committee
ASTM: American Society of Testing and Materials
BCMPs: Best Construction Management Practices
BMP: Best Management Practices
DB: Decibels
DC: Direct Current
EHV: Electric High-Voltage
EMF: Electric and Magnetic Fields
IEEE: Institute of Electrical and Electronic Engineers
IOU: Investor Owned Utility
IPP: Independent Power Producers
IWO: Inventory Work Order
kemil: 1,000 circular mils (unit of area that describes the size of the
conductor to be used)
kv: Kilovolts (unit of electrical potential)
kva: Kilovolt Amperes

RD Instruction 1970-A
Exhibit B
Page 17

kv/m: Kilovolts Per Meter
kw: Kilowatt
ma: Milliamperes (unit of electric current)
mg: Milligauss (unit of field strength)
mw: Megawatt
NEC: National Electric Code
NESC: National Electric Safety Code
OHGW: Overhead Ground Wire
OV: Overhead
PPM: Parts Per million
PPD: Public Power District
REA: Rural Electrification Administration
RI: Radio interference
TVI: Television interference
URD: Underground
V/M: Volt Per meter
V AC: Volts AC (alternating current)
WSCC: Western Systems Coordinating Council

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RD Instruction 1970-A
Exhibit C
Page 1

ENVIRONMENTAL DOCUMENTATION CHECKLIST

PROJECT:
__________

PROGRAM:

DATE:

LOAN AMOUNT:________________
GRANT AMOUNT:___________

____

MORTGAGE SECURITY SOURCE: _____________________
Please fill in the blank in front of each item with either a X, a Yes (or Y),
N/A (for not applicable), or N/R (for no response)
(a)

Rural Development Forms
(1)

Categorical Exclusion/Environmental Assessment

Categorical Exclusion Form
Letter of Acceptance of Environmental Reports/Environmental
Assessments from Environmental Staff to Processing/Approval Official
Letter of Recommendation of Finding of No Significant Impact
from Environmental Staff to Approval Official
Finding of No Significant Impact
(2)

Environmental Impact Statement
Record of Decision
Memorandum of Understanding with Applicants

(b)

Public Notice Documentation
(1)

Categorical Exclusion/Environmental Assessment

Preliminary/Final Notices for Conversion of Important
Resource(s)
Letter to Applicant to Publish a Public Notice Announcing
the Availability of an Environmental Assessment
Public Notice Announcing the Availability of an
Environmental Assessment (May Also Contain Language for
Potential Impacts to Important Resources), with Publisher’s
Affidavit

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RD Instruction 1970-A
Exhibit C
Page 2

Letter to Applicant to Publish Public Notice Announcing the
Availability of a Finding of No Significant Impact
Public Notice Announcing the Availability of a Finding of No
Significant Impact (May Also Contain Language for Potential Impacts
to Important Resources), with Publisher’s Affidavit
(2)

Environmental Impact Statement

Public Notice of Intent to Prepare an Environmental Impact
Statement and Hold Public Scoping Meetings
Public Notice Announcing the Availability (and Public Meeting,
If Appropriate) of the Draft Environmental Impact Statement
Public Notice Announcing the Availability of the Final
Environmental Impact Statement (May Also Contain Language for
Potential Impacts to Important Resources)
Public Notice Announcing the Availability of the Record of
Decision (May Also Contain Language for Potential Impacts to
Important Resources)
(c)

Supporting Documentation
(1)

Project Maps and Photos
Project Map
Location Map
Topographic Map
Aerial Photos
Ground-level Photos

(2)

Formally Classified Land
Request for Review Letter Sent to Agency(ies)
National Park Service Review Letter
Bureau of Land Management Review Letter
National Oceanic and Atmospheric Administration Review Letter
Forest Service Review Letter
Fish and Wildlife Service Review Letter
Other: _______________________________

(3)

Important Farmland
Request for Review Letter Sent to NRCS
NRCS Review Letter with AD-1006, “Farmland Conversion Impact
Rating,” or NRCS-CPA-106, “Farmland Conversion Impact Rating for
Corridor Type Projects”

RD Instruction 1970-A
Exhibit C
Page 3

NRCS Web Soil Survey Important Farmland Map with Project
Marked
NRCS Review Letter/Email
Letter/Email Returning Completed AD-1006 to NRCS
(4)

Floodplains
Request for Review Letter Sent to Expert Agency(ies)
FEMA Maps with Project Marked
FEMA Form 86-0-32, “Standard Flood Hazard Determination Form”
Private Party Notice for Floodplains
FEMA Form 86-0-33, “Elevation Certificate”
8-Step Alternatives Analysis
Other: _______________________________

(5)

Wetlands
Request for Review Letter Sent to Expert Agency(ies)
Soil Survey Hydric Soils Map with Project Marked
National Wetland Inventory Map with Project Marked
Army Corps of Engineers Review Letter
Wetlands Delineation According to Army Corps of Engineers
Standards
Other: _______________________________
(6)

Historic Properties
Other: _______________________________

Section 106
(i) Consultation with SHPO
Section 110(k) of NHPA Notice to Applicant
Letter or Form Initiating Consultation with the SHPO
Letter of Response from SHPO to Consultation Request (If
Not a Concurrence Letter)
RD’s Letter to SHPO with Finding of No Historic
Properties Affected or No Adverse Effect
SHPO Concurrence Letter
Historical Database Documentation
Archaeological Survey Report
Historic Properties Study
(ii)

Consultation with Tribe(s)
Applicant Tribal Notification and Invitation for Tribal
Engagement
Agency Invitation for Tribal Consultation (If Sent in
Addition to the Above)

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RD Instruction 1970-A
Exhibit C
Page 4

Agency Invitation for Initiating Government-to-Government
Tribal Consultation
THPO/Tribal Official Consultation Response Letter
RD’s Letter to THPO/Tribal Official with Finding of No
Historic Properties Affected or No Adverse Effect
THPO/Tribal Official Concurrence Letter
(iii)

Adverse Effect
Form to Submit Notice of Adverse Effect and Draft Section
106 Agreement for National Office Review
Memorandum of Agreement
Notification and Invitation to Advisory Council on
Historic Preservation
(7)

Biological Resources
Request for Review Letter Sent to Expert Agency(ies)
State Environmental Agency(ies) Review Letter(s)
Letter/Email to FWS/NMFS for Designation of Non-Federal
Representative for Consultation
Informal Consultation Request Letter to FWS
FWS/NMFS Review Letter
FWS IPAC Report
RD’s Section 7 Finding
FWS/NMFS Concurrence Letter
Letter to USFWS/NMFS for Formal Consultation
Geological Survey Review Letter
Forest Service Review Letter
Bureau of Land Management Review Letter
Other: _______________________________
(8) Water Quality, Coastal Resources, Air Quality, Transportation,
Noise, Scenic Rivers, etc.
Request for Review Letter Sent to Expert Agency(ies)
State Environmental Agency Review Letter(s) (If More than One
State Environmental Agency Is Contacted)
EPA Review Letter, if in Sole Source Aquifer Area
Agency Letter if Coastal Barrier (FWS) or Wild & Scenic River
(FWS, NPS)
Consistency Determination Documentation
State or County Transportation Department Review Letter
Regional or County Planning Commission Review Letter
State or Local Health Department Review Letter
Other: ______________________________________
Notice of Violation

RD Instruction 1970-A
Exhibit C
Page 5

Agreed Order
Long-term Control Plan
(9)

Socio-Economic Issues
Form RD 2006-38, “Civil Rights Impact Analysis Certification”
Environmental Justice Maps

(10)

Environmental Due Diligence
Signed and Dated Narrative of Site Visit by RD, If Required
Transaction Screen Questionnaire (TSQ)
Phase I Environmental Site Assessment
Phase II Environmental Site Assessment
Certificate of Decontamination

(11)

Intergovernmental Review
Intergovernmental Review Request to SPOC/Clearinghouse
Intergovernmental Review Response from SPOC/Clearinghouse
Local Government Review Letter

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RD Instruction 1970-A
Exhibit D
Attachment D-1
Page 1
State Environmental Coordinator (SEC)
Recommended Amendment to Position Description
As the SEC, the incumbent works under the authority of the State Director and
has the following responsibilities:
1. Acts as advisor to the state director, and provides technical assistance
as needed to State and field office staffs on environmental matters and
coordinates the requirements of the Agency's regulations, environmental
policies and procedures.
2. Reviews all Agency actions under 7 CFR part 1970. Recommends to the
approving official either project approval, disapproval, or modification and
acceptability of environmental review documents after analyzing and
considering the following:
a.
b.
c.
d.

Anticipated adverse environmental impacts.
Anticipated benefits.
Action's consistency with the requirements of 7 CFR part 1970.
Completeness and correctness of environmental review documentation.

Authorizes the type and content of public notices, and determines the need
for any unique or enhanced review or notice requirements.
3. Represents the state director at conferences and meetings dealing with
any environmental or historic preservation matters affecting implementation
of State Office-administered programs.
4. Maintains communication on State Office environmental matters with
interested public groups and local, state, and other federal agencies and the
National Office. Coordinates with co-funding agencies to reduce duplication
of effort in environmental reviews.
5. Solicits as necessary expert advice and assistance of other professional
staff members within the State or National Offices in order to properly
implement the Agency's environmental policies and procedures.
6. Through review and oversight, assures that adverse environmental impacts
are appropriately mitigated and reviews implementation as needed.

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RD Instruction 1970-A
Exhibit D
Attachment D-1
Page 2

7. Assists in resolving post-approval environmental matters and determines
if additional review or public noticing is required.
8. Assures that project files contain information and documentation
necessary for the administrative record for environmental reviews of Agency
actions.
9. Provides direction and training to State and Field office staff,
applicants, and consultants on environmental policies and procedures to meet
the requirements of relevant laws and agency/departmental regulations and
guidance.
10. Monitors the State Office's compliance with the Agency's regulations,
environmental policies and procedures and advises the state director of the
results of the monitoring process.
SEC
Incorporating Environmental Duties in Performance Work Plans
Performance Element
If the appointee is full-time or the SEC duties require at least 25 percent
of the appointee’s time, SEC responsibilities should be incorporated into and
evaluated on the appointee’s Performance Work Plan. Evaluation may be
through the use of a generic performance element (e.g., program management)
or through the creation of a unique element in Block 14 of Form AD-435. Use
of the unique element is preferred. The unique element should be titled
“State Environmental Coordinator.”
The following language is recommended to describe the standards of
performance for the SEC duties under a unique element. The same language
should be used as further clarification for a generic element that covers the
SEC duties. Suggested Standards:


Work normally completed to meet critical deadlines.



Environmental issues, problems, and concerns are adequately
identified and resolved in a timely manner. Assures that feasible
alternatives and effective mitigation measures are developed when
impacts to resources are identified. Work products are understandable,
clearly presented, and can typically be accepted by the State Director
without modification. On rare occasions, there may be minor technical
issues that require correction or resolution.

RD Instruction 1970-A
Exhibit D
Attachment D-1
Page 3


Analyzes training needs and develops and provides environmental
training for the State and Field office staff and
applicants/consultants. Training materials are typically completed in
time for distribution and use at training sessions, meet the training
objectives, and are accurate with few technical errors.



(Optional) Advises and represents state director on environmental
matters at meetings of State Office nature and solicits expert advice
from local, state, and other federal agencies concerning recommended
courses of action in sufficient time for policy decisions and
implementation. Serves as the point of contact for the National Office
on environmental issues, and brings important concerns or issues to
National Office attention as appropriate. Assures that environmental
reviews are complete and correct, and sufficient to support Agency
decision-making. Provides technical assistance in a timely manner as
needed to State and field office staffs. Maintains sufficient
administrative records.

Assistant State Environmental Coordinator (ASEC)
Recommended Amendment to Position Description
As the ASEC, the incumbent works under the general guidance of the SEC on
environmental review issues and has the responsibilities listed below.
When the SEC is absent, the incumbent may be delegated full authority as
ASEC, provided the ASEC has the necessary training.
1. Aids the SEC in addressing and resolving environmental matters and
assists in coordinating the requirements of the Agency’s regulations,
environmental policies and procedures at the State Office level.
2. Assists the SEC in all other aspects of that position, as listed above.
When delegated authority as ASEC, recommends to the approving official either
approval, disapproval, or modification or acceptability of environmental
review documents after analyzing the potential impacts and benefits of
proposed actions and the adequacy and regulatory sufficiency of review
documentation.

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RD Instruction 1970-A
Exhibit D
Attachment D-1
Page 4
ASEC
Incorporating Environmental Duties in Performance Work Plans
Performance Element
If the ASEC duties require less than 25 percent of the appointee’s time, the
ASEC responsibilities should be evaluated on the Performance Work Plan
through the use of a generic performance element (e.g., Execution of Duties).
If the ASEC duties require 25 percent or more of the appointee’s time, the
ASEC responsibilities can be evaluated through a generic performance element,
but creation of a unique element in Block 14 of Form AD-435 is preferred.
The unique element should be titled “Assistant State Environmental
Coordinator.”
The following language is recommended to describe the standards of
performance for the ASEC duties under a unique element. The same language
should be used as further clarification for a generic element that covers the
ASEC duties.
Suggested Standards:


Work normally completed to meet critical deadlines.



Most environmental issues, problems, and concerns are adequately
identified and resolved.



Assures that alternatives and mitigation measures are developed when
impacts to resources are identified. Work products are understandable,
clearly presented, and can typically be accepted by the state director
without modification. On rare occasions, there are minor technical
issues that require correction or resolution.



Assists the SEC in preparing training materials for the State and Field
Office staffs. Training materials are typically completed in time, meet
the training objectives, and are accurate with few technical errors.

RD Instruction 1970-A
Exhibit D
Attachment D-2
Page 1

Fax to PSS at (202) 690-4335
and to EES at (202) 690-0649
TO: Director
Program Support Staff
Director
Engineering and Environmental Staff
SUBJECT: Appointment of a State Environmental Coordinator or
Assistant State Environmental Coordinator

Please be advised that the following individual has been selected to
assume the environmental responsibilities as shown:
Name:
______________________________________________________________________
______
Selected to serve as (check one):

SEC _______ or ASEC_______

Telephone number: ______________________ Fax: ___________________
Email: ____________________________________________________
Present Position: ____________________ Job Series/Grade: _____________
Individual's training, work experience, or education that is relevant
to the appointment:

________________________________________________________________
Proposed training program and schedule for the appointee:
(refer to Exhibit 4, attachment 3 for recommended training):

________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________________________
________________________________________________
________________________________
______
State Director
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Date:______________________

RD Instruction 1970-A
Exhibit D
Attachment D-3
Page 1
Recommended Training Program for Environmental Coordinators
Most individuals serving as SEC or ASEC do so as a collateral duty, and often
do not have specialized training for these responsibilities. To better
enable appointees to understand Agency environmental compliance
responsibilities and resolve complex environmental issues, it is critical
that adequate training programs be initiated for these personnel before or
immediately upon appointment. The costs of such training will be borne by
the State Office. In some instances, training is available free of charge
from federal agencies, and on-line courses are becoming increasingly
available. The National Office PSS and EES staffs can recommend vendors and
agencies.
Training recommended for:
SEC
ASEC

All Items
Items 1-6E.
(a)

Review the following regulations and guidance documents:
(1) 7 CFR 1970, Environmental Policies and Procedures, Including
Subparts A-O.
(2)

RD Instruction 426.2, “National Flood Insurance.”

(3)

RD Instructions 1970-A through O, 1970 Staff Instructions.

(4)

Related National and State ANs and/or PNs.

(5)

State Environmental Resource Directory.

(b) Review the following environmental compliance Ag Learn training
courses (in the following order):
(1)

National Environmental Policy Act

(2) Considering Project Effects Under the National Environmental
Policy Act(NEPA)
(3)

Historic Preservation Issues

(4)

Coastal Use Issues

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RD Instruction 1970-A
Exhibit D
Attachment D-3
Page 2

(5)

Land Use Issues

(6)

Water Issues

(7)

Environmental Justice

(8)

Lender Liability

(c) Review recently completed environmental review documents prepared
under 7 CFR 1970 to become familiar with the format and content:
Categorical Exclusion (CE);
Environmental Report for Categorical Exclusions under 7 CFR 1970.54;
Environmental Assessment (EA).
(d) Complete an environmental assessment to become familiar with the
process.
(e) Meet with program directors and loan specialists to become
familiar with the interrelationship between the environmental review
process and loan processing.
(f) As workload and funding permit, complete the following courses (in
approximate order of priority):
(1) “New SEC Orientation Training” by National Office Staff
(PSS/EES).
(2)

Introduction to NEPA (private vendor).

(3) "Introduction to Section 106 Review" offered by the Advisory
Council on Historic Preservation (ACHP).
(4) Federal Emergency Management Agency (FEMA) training on
floodplains, FEMA maps, and flood insurance (FEMA, online).
(5)

Cross-training with a SEC in another state.

(6) “Health and Safety Training for Hazardous Waste Operations,”
which is a 40-hour initial Hazardous Waste Operations and Emergency
Response (HAZWOPER) course provided by outside vendors and/or
government agencies. Follow up annually with the 8-hour refresher
courses.

RD Instruction 1970-A
Exhibit D
Attachment D-3
Page 3

(7) “Phase I Environmental Site Assessment Practices For Commercial
Real Estate: Transaction Screen & Phase I Site Assessment” American
Society for Testing and Materials (ASTM) course on how the ASTM
Environmental Site Assessment Standard Practices for the Phase I
Site Assessment and the Transaction Screen Process (E1527-00 and
E1528-00) were developed, how to use the standards, and how the
standards affect business practices.
(8) Basic Wetlands Regulation and Policy Course and the Federal
Wetland/Waters Regulatory Policy Course (private vendors), or review
Army Corps of Engineers Regulatory Program webpage and applicable
Regulatory Guidance Letters.
(9)
(10)

Outside classes on laws relating to hazardous substances.
Advanced classes in NEPA document review by outside vendors.

(11) Any available course work relating to environmental laws or
regulations as it applies to Rural Development programs including,
but not limited to, the following. Also review agency websites to
become familiar with online tools such as Web Soil Survey (NRCS); EJ
Geographic Assessment Tool (EPA); Online ESA Section 7 compliance
tools such as Information for Planning and Conservation (IPaC)(USFWS
Field Offices):
(i)

Clean Water Act

(ii)

Farmland Protection Policy Act

(iii)
(iv)
(v)
(vi)

Endangered Species Act
National Historic Preservation Act

Clean Air Act
Wild and Scenic Rivers Act

(vii) For applicable states, Coastal Zone Management Act and
Coastal Barrier Resources Act.

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RD Instruction 1970-A
Exhibit E
Page 1
Guide for and Principles of Effective Public Involvement (PI)
(a)

Purpose

The purpose of this exhibit is to provide a background to, and
principles/practices of, PI activities that would typically be employed
for Agency projects. The Exhibit summarizes the goals of PI and
describes methodologies that can be employed to effectively involve the
public in Agency decision-making. Specific actions and processes such as
public notices, scoping, and other public meetings are described in
other 1970 Instructions and will not be covered here (see the Resources
section in this Exhibit for a list of specific rule-related
Instructions). Similarly, tribal consultation under Section 106 of the
National Historic Preservation Act, addressed in Subpart H, is not
covered. The focus of this exhibit is to suggest principles and
practices that can inform and improve specific actions and processes.
This exhibit is not intended to provide prescriptive instructions. PI is
often thought of in terms of notices, meetings, hearings, or other
direct methods or forums for engaging the public. This exhibit will
address these in a broad sense.
For the purposes of this document, the term “involvement” is also used
broadly and somewhat inclusively. In fact the International Association
for Public Participation (IAP2) developed a “Public Participation
Spectrum” on which involvement, or to involve, is one level in a
spectrum ranging from informing the public to empowering the public
(Attachment 1). This scheme suggests that increasing levels of
participation also have an increasing impact on the decision, as well as
associated goals and promises to the public. While it is useful to keep
such a spectrum in mind when engaging the public, this Exhibit will
consider “involvement” to be inclusive of the potential engagement
levels.
(b)

Background

Prior to the passage of many foundational environmental laws and
regulations in the late 1960s and early 1970s, particularly the National
Environmental Policy Act of 1969 (NEPA), public participation in
government decision-making was limited to non-existent. In addition to
mandating the consideration of environmental and social values along
with economic and technical considerations, these statutes recognized
the need for the public engagement in decisions that in many cases
directly affected their lifestyles, livelihoods, or physical
surroundings. The result of this recognition was the establishment of
formal mechanisms and practices for informing and involving the public
and considering their viewpoints and concerns in agency actions.

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RD Instruction 1970-A
Exhibit E
Page 2

One source (Calabash) has stated that “During its evolution, PI in the
EIA (environmental impact assessment) process has become a key
criterion that distinguishes EIA as a participatory decision support
tool.”
(c)

Definitions

Public Involvement (PI) – From the International Association for Impact
Assessment (in part): PI is a process for involving the public in
decision-making. The same source has defined public participation as
the involvement of individuals and groups that are positively or
negatively affected by or interested in a proposed intervention (e.g., a
project, program, plan or policy) subject to a decision-making process.
Public – Individuals, permanent or ad hoc groups, and officials at all
levels of government who have an interest in or may be affected by
(agency)-assisted activities. [from NRCS Public Participation Policy
(General Manual, Part 400)]
Stakeholder – A somewhat broader term that includes not only the
affected public but the decision-making organization or agency itself
and all its members and customers.
Agency – USDA Rural Development
Decision-maker – Agency officials who have administrative, planning, or
approval authority to affect the outcome of Agency activities.
(d) Principles
These principles cover those identified in a number of sources and are
suggested to form the basis of effective PI. Several of the principles
overlap.
(1) The Agency needs to be committed to the process – There is an
understanding that PI is not just a procedural requirement, but adds
value to the impact assessment process and fosters effective action.
(2) Be clear on what the agency can and cannot implement – The
public may expect of the Agency more than it can legally,
statutorily, or procedurally undertake in order to respond to public
comments or concerns. It may be useful in correspondence, notices,
or meeting materials to define the limits of agency authority,
including any regulatory or policy constraints.

RD Instruction 1970-A
Exhibit E
Page 3
(3) Timeliness/early engagement – Inform the public early and
throughout the process. Early involvement enables the public to
voice concerns before Agency decisions, even preliminary or planning
decisions, are made. Awareness of such concerns early in the process
allows for better planning and may help to avoid or minimize issues
that become larger and more difficult to address later in the
process.
(4) Transparency – Within any legal or policy constraints, freely
share information to inform the public, and be open about agency
processes and procedures. Clarify how the participatory process and
its outputs will be used in decision-making. Identify any agency
policies or regulatory requirements that specify how public
participation is to be conducted or used.
(5) Inclusiveness – Identify and make efforts to include all
individuals and organizations that may have an interest in the
proposed action, and employ appropriate techniques or methodologies
to reach those that may require special or unique outreach.
(6) Informed Process - Public participation should be fully
incorporated into environmental assessment and decision-making
processes. Efforts to invite participation are wasted if the results
are not considered in planning and decision-making.
(7) Accountability – Consider all information received and document
its disposition or how it was included in decision-making. The
public needs to be informed that while it is not possible to fully
accommodate all of their concerns, at least their voices were heard
and their input was given thoughtful consideration.
(e) Practices
The following are some suggested practices for implementing various
aspects of PI.
(1) Identify and resolve issues up front to avoid conflict later –
conduct informal scoping prior to application submittal; identify
problems or concerns prior to the assessment (i.e., NEPA) process
beginning. This is perhaps most important for large, complex, or
potentially controversial projects. Early identification of issues
may be best accomplished with organized stakeholder groups such as
industry or cooperative associations, technical assistance
providers, or citizen action groups. During this process, it is
important that the Agency make it clear that no decisions have been
made and that it is sincerely looking for input. The public will be
more willing to participate if they sense this agency commitment.

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RD Instruction 1970-A
Exhibit E
Page 4
(2) Define agency expectations and how the PI results will be used
– This is where a PI plan may be useful. Plans can be developed for
an individual project or a program. The plan should describe the
level of involvement that will be sought, the techniques or methods
that will be used, an approximate schedule if appropriate, and a
description of how the input received will be summarized and
incorporated into decision-making. The National Academy of Sciences
noted that the failure of some PI exercises can be partially
attributed to confusion over the function public input is to play in
the policy making process; confusion results when public input is
solicited by (agencies) without much regard for the function it is
to play in developing policy.
(3) Build on the principles, but one size does not fit all - The
approach to PI needs to be tailored to the nature of the project or
program, the type of audience(s), and what the agency hopes to
accomplish. What worked in the past may not necessarily serve the
current situation. To the extent that it is feasible, it may be
valuable to involve the public in designing a particular approach;
in this way, the widest number of stakeholders can be reached, and
the public will feel more invested in the process.
(4) Make documents available – The standard approach has been to
make documents available at Agency offices (national, state, area),
at a public location near to the project area, and sometimes at the
proponent’s office. But additional locations may be needed if these
(state or area) locations are far from the actual project area.
Consider adding more locations at times of the year when travel may
be difficult, such as winter. Be aware that some locations may have
limited hours. Though some individuals, especially in rural areas,
may have difficulty accessing the internet, documents should be made
available online if at all possible. Be sure that web links are
current and spelled out accurately in public notices or other
announcements.
(5) Holding meetings or hearings – Detailed guidance on conducting
public meetings can be found in Exhibit D-7. Other than hearings
required to take public comments on environmental impact statements
(40 CFR §§ 1501.7, 1503.1, 1506.6), holding meetings is at the
Agency’s discretion, and public requests for meetings should have a
legitimate and pressing basis. Work with local contacts/applicant
to identify a suitable site which should be accessible to all
individuals, and be sure necessary equipment or resources are on
hand (audio-visual equipment, tables/dais, sufficient seating, need
for court reporter). Consider the need for security if public
controversy or opposition is expected. Plan how the meeting will be
conducted, a schedule, time of day the meeting is conducted, and the
need for any formal presentations.

RD Instruction 1970-A
Exhibit E
Page 5

(6) Ensure ability to reach all audiences – Does the information
being disseminated need to be interpreted or translated into other
languages? Alternative or additional means of posting notices may be
necessary where newspaper coverage is limited or non-existent. These
could include libraries, post offices, community centers, or other
locations that may be frequented by the local population.
(7) Conflict resolution or facilitation – Projects or agency
actions that either have or are expected to engender controversy or
conflict may require professional assistance in the form of conflict
resolution or facilitation. These approaches provide a neutral third
party that may be better equipped to defuse tensions, resolve areas
of disagreement or conflict, or break deadlocks that will enable
forward progress or suitable outcomes for all parties involved.
Professional services are widely available.
(f) Coordination with other Federal Agencies on Proposals and Federally
Declared Disaster Recovery
When multiple Federal agencies are conducting, supporting (including
funding), or allowing projects in the same geographic area, early
coordination is essential to avoid application of conflicting standards.
Accordingly, when the Agency is engaged in an action with, or in the
same area as, another Federal agency, the Agency should coordinate as
early in the planning process as possible to coordinate the
environmental review including the application of E.O. 11988, as amended
by EO 13690.
Following a Presidentially-declared disaster, the Unified Federal Review
process offers additional coordination opportunities for Federal
agencies to coordinate. The Agency, as a party to the memorandum of
understanding establishing the UFR process, has committed to exercising
flexibility in conducting environmental reviews and has agreed to an
issue elevation provision that can be invoked in instances where
agreement on a common approach reaches an impasse (Memorandum of
Understanding Establishing the Unified Federal Environmental and
Historic Preservation Review Process 2014http://www.achp.gov/docs/Final%20Signed%20UFR%20MOU%207_30_14.pdf).

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RD Instruction 1970-A
Exhibit E
Page 6

(g)


Resources
7 CFR 1907 Subparts B, C, D, and H:

Subpart B, Exhibit B, Categorical Exclusion Form and Instructions
Subpart C, Exhibit C, Public Notices for Environmental Assessments
Subpart D, Exhibits D, Public Notices for Environmental Impact
Statements; and, Exhibits G, Public Meeting Guidance


International Association for Public Participation www.iap2.org



Public Participation in Environmental Assessment and Decision
Making www.nap.edu/catalog/12434



Calabash Initiative (specific to Southern African region, but has
numerous international resource
references)www.saiea.com/calabash/index



OMB/CEQ Memorandum on Environmental Collaboration and Conflict
Resolution, 2012
www.udall.gov/documents/Institute/OMB_CEQ_Memorandum_2012



U.S. Institute for Environmental Conflict Resolution
udall.gov/OurPrograms/Institute/Institute

IAP2
spectrum

RD Instruction 1970-A
Exhibit E
Attachment E-1
Page 1

developed by the international association for public participation

PUBLIC
PARTICIPATION
GOAL

PROMISETO
THE PUBLIC

INFORM

CONSULT

INVOLVE

COLLABORATE

EMPOWER

To provide
the public
with balanced
and objective
information to
assist them in
understanding
the problem,
alternatives and/or
solutions.

To obtain public
feedback
on analysis,
alternatives and/or
decision.

To work directly
with the public
throughout the
process to ensure
that public concerns
and aspirations
are consistently
understood and
considered.

To partner with
the public in each
aspect of the
decision including
the development of
alternatives and the

To place final
decision-making
in the hands of
the public.

We will keep you
informed.

We will keep you
informed, listen to
and acknowledge
concerns and
aspirations, and
provide feedback
on how public input
influenced the
decision.

We will work with
you to ensure that
your concerns
and aspirations are
directly reflected
in the alternatives
developed and
provide feedback
on how public input
influenced the
decision.

We will implement
We will look to you
what you decide.
for advice and
innovation in
formulating solutions
and incorporate
your advice and
recommendations
into the decisions to
the maximum extent
possible.

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preferred solution.

RD Instruction 1970-A
Exhibit F
Page 1

Guide for Preparing an Environmental Resource Directory
1.0

INTRODUCTION

The Agency mission of assisting rural Americans must be consistent with
protecting the environment of rural areas and the renewable and non-renewable
resources upon which they depend. The Environmental Resource Directory (ERD)
can assist Agency staff and applicants in meeting environmental protection
goals through NEPA reviews.
The basic purpose of the ERD is to compile state-specific resource, policy,
and agency contact information to assist the environmental review process.
This document should be tailored to meet each individual State Office’s
important state, regional, and local environmental conditions; it may be
further delineated by regions or districts within the state.
Every state and field office should have a hard copy of the ERD and hard
copies should be made available to applicants as requested. The ERD should
also be available electronically and added to the State Office’s web page for
easy access.
2.0

DEVELOPMENT AND USE

The ERD should provide pertinent and focused information that enables users
to readily identify resources of concern and appropriate agency contacts. It
should meet the practical needs of its users by being kept current and
containing relevant information on environmental resources and agency
contacts important to conducting the environmental review process. It need
not duplicate readily available materials and policy/guidance, but refer to
relevant web pages or other reference sources as necessary.
Direct contact or web queries should be made with state or area/field offices
of federal agencies and state and local agencies to determine the
availability of relevant information. This information is typically
available at no cost since it is often part of agency regulatory or public
service duties.
At a minimum, the ERD should contain the names and contact information of the
federal area/field regulatory agencies and state environmental regulatory
agencies having jurisdiction by law or special expertise over the
environmental resources in each state. The directory should also list any
unique state environmental or land use requirements, state-designated lands,
or other unique resources that may need to be considered in Agency
environmental reviews; this can be listed by resource/issue.

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RD Instruction 1970-A
Exhibit F
Page 2

The ERD should also describe any state intergovernmental review process
requirements (for federal intergovernmental review requirements, refer to 7
CFR Part 1970, Subpart I). To provide consistency with federal environmental
statutes and Agency policy, all state ERDs (and any revisions thereto) shall
be reviewed at the National Office.
ERDs should be reviewed by the state environmental coordinator at least every
two years and updated as necessary to reflect newly identified environmental
resources or contact information.
3.0

CONTENTS

Consistent with its role to complement existing regulations, policies, and
agency guidance, the ERD should contain only state-specific information
necessary to assist state staff, applicants, and report preparers in
completing their analyses and documentation.
Along with providing agency contact information and web addresses, the ERD
can cite applicable federal and state statutes and regulations and
Departmental or Agency policies tied to specific environmental resources. But
the intent of the ERD is not to duplicate information already assembled in
other related guidance documents such as the Staff Instructions at 1970
Subparts A-O. The development of lengthy and complex guides that amass huge
volumes of data is not the goal. It is important to remember that this is a
tool for staff and applicants to assist in planning and analysis.
The ERD should have a cover sheet with a header providing the name of the
document, the original issue date, any revision dates, and a table of
contents. Other sections can include an introduction, a list of statespecific acronyms and definitions, resource-specific information and
jurisdictional agency contacts, copies of forms that might be used, and
supporting exhibits, maps, or other graphic materials.
The following section provides a suggested outline for an ERD, including
annotations where appropriate to clarify the types of information to be
included.
4.0

SUGGESTED ERD OUTLINE
Cover Sheet/Table of Contents
I.

Introduction

State the basic purpose, content and use of the ERD.

RD Instruction 1970-A
Exhibit F
Page 3

II.

List of Acronyms and Definitions

This list should complement, but not duplicate Exhibit A-1 of Subpart
A. Focus on other acronyms and definitions applicable to the particular
state and its resources.
III.

Intergovernmental Review Requirements

Include any additional state-specific intergovernmental environmental
review processes, Agency responsibilities (e.g., which projects are
subject to intergovernmental review), and state clearinghouse contact
information where applicable.
IV.

Environmental Resource Information

This section is organized according to the resources/issues addressed
in Rural Development (RD) environmental reports, as described in
Subparts B, C, and D. Other resource areas or topics can be added at
the state’s discretion. Where applicable, the ERD should include one or
more of the following types of information for a given resource area:
Agency jurisdiction and contact information/websites (federal,
regional, state, or local agencies having jurisdiction or special
expertise that should be contacted for assistance);
Unique examples, sites, or features designated for special
protection or consideration;
Information sources (brief description of where to obtain
additional information regarding a particular resource or site).
(a) Air Quality [repeat breakout below for each resource area, where
appropriate and applicable; recommended information in parentheses]
(1)

Agency Jurisdiction (including contact information)

(2) Unique Resource Information or Location (include maps or
figures as necessary)
(b) Biological Resources (agency contact information, focus on websites
for state-specific resource information/assessment, databases,
inventories, etc.)
(c) Coastal Resources (state agency responsible for Coastal Management
Plan, where applicable)

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RD Instruction 1970-A
Exhibit F
Page 4

(d) Floodplains (state or local floodplain management agencies, permit
requirements)
(e) Formally Classified Lands (agency contact information, maps showing
boundaries of designated lands)
(f) Historic Properties (SHPO and THPO(s), locational data for historic
sites or districts)
(g) Land Use (agency that lists state important farmland and
forestland)
(h) Solid Waste and Hazardous Materials/Substances (state site
listings, information on compliance processes)
(i)

Transportation (primarily roads)

(j) Water Quality and Sole Source Aquifers (state permitting
authorities)
(k) Wetlands (state permitting requirements, states that have assumed
S. 404 permitting authority)
(l) Other Factors (placeholder if needed)
This is a placeholder for any other factors that a given state considers
necessary to include. Examples might include energy, recreation (if not
covered elsewhere), aesthetics/viewsheds, and geologic hazards and
constraints (if not covered elsewhere).
(m) State inventories or planning documents identifying important land
uses, wildlife refuges and other important habitat, and resources with
aesthetic value. This section could include links to where this
information can be found, to the extent that it is not included in the
sections above.
V.

Exhibits

[Placeholder for additional information, such as forms that might be
used, maps of specially protected resource locations (e.g., wild and
scenic rivers, coastal zone), and other graphic material, as
appropriate for a given state.]

RD Instruction 1970-A
Exhibit G
Page 1
Coordination with Other Federal Agencies on Federally Declared Disaster
Recovery
Section 429 of Sandy Recovery Improvement Act (SRIA) directed the President,
in consultation with the Council on Environmental Quality and the Advisory
Council on Historic Preservation, to “establish an expedited and unified
interagency review process to ensure compliance with environmental and
historic requirements under Federal law relating to disaster recovery
projects, in order to expedite the recovery process, consistent with
applicable law.” Prior to SRIA, state, tribal, territorial, and local
governments who applied for assistance to recover from damage caused by a
disaster were required to have their recovery projects undergo different
agencies’ environmental and historic preservation reviews. Often the same
data was required from various agencies to comply with the legal
requirements.
The Unified Federal Review (UFR) process provides an opportunity to expedite
environmental and historic preservation reviews that must be completed prior
to the release of Federal assistance or permits so the disaster recovery
project can proceed without delays.
The goal of the process is to formalize and standardize the unification of
both environmental and historic preservation regulatory requirements so that
agencies can take advantage of the same project approval mechanisms and
resources to expedite the environmental and historic preservation reviews
necessary for more timely decisions on disaster recovery projects.
Following a Presidentially-declared disaster, the UFR process offers
additional coordination opportunities for the Agency and other federal
agencies. The Agency, as a party to the Memorandum of Understanding (MOU)
establishing the UFR process, has committed to exercising flexibility in
conducting environmental and historic preservation reviews and has agreed to
an issue elevation provision that can be invoked in instances where agreement
on a common approach reaches an impasse.
UFR webpage: https://www.fema.gov/unified-federal-environmental-and-historicpreservation-review-presidentially-declared-disasters
Unified Federal Environmental and Historic Preservation Review Guide for
Federal Disaster Recovery Assistance Applicants (Applicant Guide)
UFR process: Unified Federal Review (UFR) Process
MOU: interagency Memorandum of Understanding

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RD Instruction 1970-A
Exhibit H
Page 1

Multi-tier Action Environmental Compliance Agreement
Overview
In accordance with § 1970.55, CEs for Multi-tier Actions, primary
recipients must agree in writing to certain conditions prior to obligation of
financial assistance by the Agency to the primary recipient (see
1970.55(a)(1-4)).
Once this agreement has been signed by the primary recipient, the
Agency may move forward with obligation of the initial aggregated funds to
the approved eligible primary recipient (primary loan). At that point, the
primary recipient may then re-loan the funds (secondary loan) to the
individual borrowers (ultimate recipients).

Environmental Compliance Agreement Stipulations
As a multi-tier program primary recipient I hereby agree to
comply with the following provisions:
(1) Policy and Procedures - Maintain a copy of the 7 CFR
1970 Environmental Policies and Procedures Rule and Staff
Instruction (electronic or hard copy) and a copy of this agreement
in a central location which can be accessed by staff at all times.
Identify one individual for each ultimate recipient that serves as
point of contact for all Environmental Compliance Agreement
Reviews by the primary recipient. This individual will have had
training in National Environmental Policy Act Compliance in order
to accomplish the goals of this agreement;
(2) Screening Proposals - Conduct a screening of all reloans to ultimate recipients to ensure that they qualify as
activities which fall within the descriptions as stated in §
1970.53 or § 1970.54 as a categorical exclusion (Attachment 1).
Determine if extraordinary circumstances (as described in §
1970.52) are present for all proposals;
(3) Historic Properties and Listed Species/Critical Habitat
- If unable to receive concurrence from the State Historic
Preservation Officer or the FWS/National Marine Fisheries Service
under Section 106 of the National Historic Preservation Act or
Section 7 of the Endangered Species Act, respectively, the primary
recipient will contact the Agency for further assistance;

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RD Instruction 1970-A
Exhibit H
Page 2
(4) File Documentation - Document and maintain all
environmental review documentation and the primary recipient’s
conclusions regarding the applicability of a categorical exclusion
in accordance with 7 CFR 1970 in its official environmental file
for Agency verification. Provide additional information as needed
to comply with the Agency’s environmental compliance and audit
processes;
(5) Agency Review Required - Refer all proposals that do
not meet listed categorical exclusions in § 1970.53 or § 1970.54,
and proposals that may have extraordinary circumstances (as
described in § 1970.52), including Section 7 of the ESA and
Section 106 of the NHPA compliance to the Agency for further
review; and,
(6) Terms of Agreement - Failure to meet the requirements
of this agreement may result in penalties that may include written
warnings, withdrawal of Agency financial assistance or
authorization, suspension from participation in Agency programs,
or other appropriate action.
I (primary recipient) will comply with each of the above
conditions on each proposal prior to issuance of funds to
borrowers, and will document the recipient file with our findings.
I will fully cooperate with and assist USDA Rural Development in
the preparation of any necessary environmental reviews for
borrower proposals.
________________________________
Signature of Primary recipient

_____________________
Date