SEQR Handbook: Introduction

A. The SEQR Handbook -- What Is It?

The SEQR Handbook provides agencies, project sponsors, and the public with a practical reference guide to the procedures prescribed by the State Environmental Quality Review Act (SEQR)--Article 8 of the Environmental Conservation Law. It addresses common questions that arise during the process of applying SEQR. The Handbook also attempts to address the needs of individuals who have varying degrees of experience with SEQR . Topics range from an introduction to the basic SEQR process to discussions of important procedural and substantive details.

The Handbook is one of four key documents which establish and describe the SEQR process:

the law, Article 8 of the Environmental Conservation Law,
the regulations, 6 NYCRR Part 617,
the SEQR Cookbook (pdf file, 343 kb), and
this SEQR Handbook.

The law and regulations prescribe the goals, processes, and decision criteria for environmental reviews under SEQR. The latter two are companion documents. The Cookbook uses a flow-chart approach to describe the steps to take when applying SEQR to a project, while this Handbook provides more detail and guidance.

This is the third edition of the SEQR Handbook, and it entirely replaces the previous editions. This edition reflects the State Environmental Quality Review (SEQR) process as it now stands. It is based on crucial court decisions which have molded the process and the most recent revisions to the statewide SEQR regulations, Part 617 of Title 6 of New York's Codes, Rules and Regulations.

This Introduction offers basic instruction in the use of the Handbook, as well as a history and description of the nature of the SEQR law. It also discusses the concept of reasonableness as it applies to SEQR.

Chapters I through VIII contain guidelines on specific SEQR issues as well as detailed explanations of the SEQR process. They are organized by topic to parallel the sequential steps in the required procedures (generally paralleling the regulations and the SEQR Cookbook). They also include special sections on how local land use procedures relate to SEQR plus the relationship of any other review procedures that relate to SEQR. Chapter IX briefly reviews significant court decisions on SEQR.

Whenever possible, subjects are cross-referenced to other portions of the Handbook, to Article 8, or to Part 617.

User Tips:

Each topic is addressed through a series of questions and answers.

Before reading about a particular topic, skim all the questions pertaining to the topic to quickly gain a sense of related issues.

While reading about specific issues in the Handbook, it is always advisable to keep the following basic principles about SEQR in mind:

Have you determined what the whole action is?
Have all the relevant environmental impacts been considered?
If an environmental impact statement is required, has the appropriate range of alternatives been considered, including the "no action" alternative?
Have you complied with all the steps in the SEQR process?
Is the information about the action, and its analysis, reasonable and adequate?

In concept, SEQR is a simple and logical evaluation process. However, it does have its own vocabulary of terms and specific required forms. To assist state and local governmental agencies, and the public at large about SEQR, the DEC has posted a great deal of information on the DEC website at http://www.dec.ny.gov/public/357.html including the regulations (6 NYCRR Part 617), brochures, the SEQR Cookbook, this handbook and other SEQR related materials.

Where to find more information:

If, after you have explored the on-line information, you still have questions or need clarification on some aspect of the SEQR process, feel free to contact us. There is an "e-mail us" link on the right hand side of each of the SEQR web pages. This will allow you to contact the SEQR staff directly. Questions may also be addressed to:
SEQR Coordinator
Division of Environmental Permits
NYSDEC
625 Broadway, Albany, NY 12233-1750
Telephone 518- 402-9167
E-mail depprmt@gw.dec.state.ny.us

Training for local government agencies is offered through the Department of State, Division of Local Government Services. They can be contacted at:
New York State Department of State
Division of Local Government Services
41 State Street
Albany, NY 12231-0001
E-mail: localgov@dos.state.ny.us
Telephone: (518) 473-3355
Fax: (518) 474-6572
Their website is: http://www.dos.state.ny.us/lgss/index.htm

In addition, the Association of Towns, the bar associations, the Planning Federation and Regional Planning Groups, academic organizations and private trainers periodically offer SEQR training for local government officials and the general public.

B. What is the Purpose of the Act?

When it enacted SEQR, the New York State Legislature stated that its intent was:

"...to declare a state policy which will encourage productive and enjoyable harmony between man and his environment; to promote efforts which will prevent or eliminate damage to the environment and enhance human and community resources; and to enrich the understanding of the ecological systems, natural, human and community resources important to the people of the state."

SEQR establishes a process to systematically consider environmental factors early in the planning stages of actions that are directly undertaken, funded or approved by local, regional and state agencies. By incorporating environmental review early in the planning stages, projects can be modified as needed to avoid adverse impacts on the environment.

C. What are the Key Elements?

SEQR is both a procedural and a substantive law. In addition to establishing environmental review procedures, the law mandates that agencies act on the substantive information produced by the environmental review. This often results in project modifications and can lead to project denial if the adverse environmental impacts are overriding and adequate mitigation or alternatives are not available.

The initial step in assessing a proposed action is to determine whether SEQR applies. The SEQR process must be applied whenever an action is

directly undertaken by an agency;
involves funding by an agency; or
requires one or more new or modified discretionary approvals from an agency or agencies.

If the decision is made that the activity is one that is subject to SEQR review, the next step in the process is to determine what classification of action is being analyzed. The action will fall into one of the following categories:

Type I - a list of actions, described in Section 617.4, that experience has shown are more likely to have significant adverse environmental impacts;
Type II - a list of actions described in Section 617.5, that have been determined not to have a significant adverse environmental impact.; or
Unlisted - all actions that are not Type I or Type II. This is the vast majority of actions that come under SEQR review.

If the action is classified as Type II, SEQR is satisfied, and no further action is required. However, it is advisable to write a note to the file indicating that SEQR was considered, and the action was determined to be classified as Type II.

For Type I and Unlisted actions, the next step is to systematically consider environmental factors involved with the action to make a reasoned determination regarding the likelihood that the action may have a significant adverse impact on the environment. The initial SEQR tool used to make this determination is the Environmental Assessment Form (EAF).

If a significant adverse impact is likely to occur, an Environmental Impact Statement (EIS) is prepared to explore ways to avoid or reduce adverse environmental impacts or to identify a potentially less damaging alternative. If, on the other hand, the determination is made that the proposed action will not significantly impact the environment, then a Negative Declaration is prepared which ends the SEQR process.

An important aspect of SEQR is its public participation component. There are opportunities for outreach and public participation throughout the environmental impact statement (EIS) process. They include:

coordination with involved and interested agencies for Type I actions,
public input to scoping, if the lead agency chooses to have a scoping session for the Draft EIS.
the required 30 day public comment period on the Draft EIS, and
public hearings, if the lead agency chooses to hold one or more hearings.

These opportunities allow the public and other agencies to provide input into the planning or review process, resulting in a review with a broader perspective. It also increases the likelihood that the project will be consistent with community values.

D. What is The Environmental Notice Bulletin (ENB)?

The ENB is the Department of Environmental Conservation's (DEC) weekly on-line publication that provides a comprehensive, statewide listing of SEQR notices from all state and local agencies. It can be found on the DEC's internet website at http://www.dec.ny.gov/enb/enb.html

For more information, go to the website or contact:
ENB
Division of Environmental Permits
NYSDEC
625 Broadway, Albany, NY 12233-1750
Telephone number: 518-402-9167.
E-mail: enb@gw.dec.state.ny.us

E. Where can I Find the "SEQR Flow Chart and Time Frames" Publication?

See DEC publication SEQR Flow Chart and Time Frames (pdf file, 261 kb)

F. What is the Concept of "Reasonableness" as it Applies to SEQR?

The range of decision making by agencies and the comprehensive nature of SEQR continually present new circumstances that require judgment to apply SEQR. For instance, SEQR asks the lead agency to decide: how many alternatives should be reviewed; how much information is enough; and is the proposed action really "significant"? All lead agencies routinely face these and similar questions. While there cannot be black and white formula answers to such matters, there is one basic principle or rule that can be used -- the rule of reason.

The regulations provide abundant support and tools for basing judgments on how to manage the SEQR process by choosing a reasonable approach. The principle of reasonableness, as put into practice in SEQR decision making, has been upheld by the decisions of the courts (see Landmark Court Decisions on SEQR). In addressing the review of impacts the courts have limited the consideration of impacts to reasonably related potential impacts. The court decisions have also stated that not every conceivable impact needs to be considered; speculative impacts may be ignored.

The EAF and the Concept of Reasonableness:

The Full Environmental Assessment Form assists the agency with applying the reasonableness principle. In the Purpose statement at the beginning of the Full EAF, the instructions recognize that "Frequently there are aspects of a project that are subjective and unmeasurable" and that "those who determine significance may have little or no formal knowledge of the environment or may not be technically expert in environmental analysis" Given these practical limitations, SEQR asks that these decision-makers identify and consider, in an orderly manner, the relevant potential impacts of an action. The Part 1 (Project Information) instructions to the project sponsor state that "It is expected that completion of the Full EAF will be dependent on information currently available and will not involve new studies, research or investigation." However, if an impact is judged relevant and significant, a subsequent EIS may require new studies, research or investigation.

The initial instruction to the lead agency in Part 2 (Analysis) of the Full EAF states that: 0In completing the form the reviewer should be guided by the question: Have my responses and determinations been reasonable? The reviewer is not expected to be an expert environmental analyst." In the instructions for Part 3 (Evaluation) of the Full EAF, the preparer decides "if it is reasonable to conclude that this impact is important." Following that instruction, a series of questions tests the reasonableness of the decision.

Continuing with the determination of significance, the regulations ask that the lead agency identify and address relevant areas of environmental concern. If a potential impact is too speculative, it should not be addressed. The agency's responsibility is to deal with impacts that are reasonably foreseeable.

In the criteria for determining significance, when addressing potentially relevant long-term, short-term and cumulative impacts, the lead agency is directed to consider those that are "reasonably related." The criteria also include the following reasonable qualifiers to the indicators of significance:

a substantial adverse change
substantial increase or decrease
removal or destruction of large quantities
large number of people
material conflict
impairment of character or quality
a major change
creation of a hazard
creation of a material demand

The EIS and the Concept of Reasonableness:

In the scoping procedures of Part 617, the regulations speak about reasonableness in several ways. In 617.8(d) "Failure of an involved agency to participate in the scoping process will not delay completion of the final written scope." Therefore, an applicant can reasonably expect that the SEQR scoping process will continue even if an involved agency fails to fulfill its responsibility in a timely fashion. In 617.8(a) "irrelevant or non significant" issues may (reasonably) be eliminated from further consideration; and in 617.8(f)(5) "the final written scope should include...the reasonable alternatives to be considered."

In Part 617.9(5)(v) the regulations require that the draft EIS describe and evaluate "the range of reasonable alternatives to the action that are feasible, considering the objectives and capabilities of the project sponsor." For private applicants, site alternatives should be limited to parcels owned by, or under option to, a private applicant. To demand otherwise would place an unreasonable burden on most applicants to commit to the control of sites which they do not otherwise have under option or ownership.

When the lead agency receives a draft EIS from the project sponsor, the lead agency's responsibility is to determine whether the document is adequate for public review, in terms of both its scope and content. These are reasonable expectations. The regulations do not demand that the draft EIS be perfect. That would be an unreasonable expectation.

For supplemental EISs, the regulations limit further analysis to issues either not addressed or inadequately addressed in the EIS, and only those dealing with significant adverse impacts. To make it easy to supplement, or to allow supplements to revisit all issues, would be unreasonable.

Finally, in preparing its SEQR findings, each involved agency must apply the following tests. It must consider the reasonable alternatives and choose one which minimizes or avoids adverse environmental impacts to the maximum extent practicable. The findings must incorporate conditions requiring practicable mitigation measures to ensure that the adverse environmental impacts of the least damaging alternative will be avoided or minimized.

More than one agency may be involved in the SEQR process, and each is independently responsible for balancing the project benefits against adverse impacts and mitigation. Since SEQR does not change the jurisdictions of the agencies, this balancing enables the SEQR process to gather and analyze information, then apply this information based on the jurisdictions, interests and concerns of each agency. This flexibility is a further example of the rule of reasonableness incorporated into SEQR.

G. History

The SEQR statute was worded to allow a phased implementation schedule (Table 1, below). This was done to give government officials time to adjust their administrative procedures for different types of actions. The details of the SEQR process and dates for the phasing in of categories of actions were developed by DEC and filed as regulations. The statewide regulations that implement SEQR are known as Part 617 of 6 NYCRR.

As years passed (after SEQR was completely phased in and in full application), DEC realized that changes to Part 617 were needed to improve the process and clarify sections that engendered multiple questions from agencies subject to SEQR. Several amendments to the regulation have occurred. Table 2, below, chronicles the history of SEQR regulatory changes.

Table 1 ECL ARTICLE 8 - STATE ENVIRONMENTAL QUALITY REVIEW ACT
Effective Date	Changes or Applications
September 1, 1976	Phase 1 Direct actions by state agencies (Type I and Unlisted) became subject to SEQR.
June 1, 1977	Phase 2 Direct Type I actions by local governments and Type I actions funded by state agencies.
September 1,1977	Phase 3 Type I actions funded by local governments and approvals to act for Type I actions by state agencies and local governments.
November 1, 1978	Phase 4 All remaining actions subject to SEQR (that is, all Unlisted actions for local governments and all Unlisted actions and approvals to act for Unlisted actions funded by state agencies).

Table 2 SEQR Regulations - 6 NYCRR Part 617 Chronology of Regulatory Changes
Effective Date	Amendments
March 22, 1976	Original SEQR regulations adopted
January 24, 1978	Repealed and readopted with a phased implementation schedule, changes in organization, amended Type I and Type II lists and identified and provided procedures for "Excluded" (grandfathered) actions.
November 1, 1978	Procedures were provided for the "Unlisted" category or actions subject of SEQR. The amendment also totally revised the Type I list of actions likely to require an EIS so that it could be more easily used by non-technical agency decision-makers. Also provided was a practical (model) EAF to assist the lead agency in determining significance for Type I actions, and a model short EAF to assist in determinations for Unlisted actions.
December 12, 1978	A minor revision reinstated one of the Type II actions regarding extension of utility service to certain types of residential development. This item had been accidentally omitted in the November 1, 1978 amendment.
October 8, 1982	Requirement were added that EISs and Findings Statements for state agency actions in coastal areas must be consistent with the applicable requirements of the Waterfront Revitalization and Coastal Resources Act of 1981, Article 42 and Section 916(a) of the Executive Law, implemented by 19 NYCRR Section 600.5.
June 1, 1987	This was a substantial revision that: added a number of procedural changes such as scoping, conditioned negative declarations; supplementing draft and final EISs, rescission of negative declarations, and redesignation of lead agency; clarified what is a reasonable alternative; added new definitions; and provided guidance on legally sufficient negative declarations, the substantive nature of SEQR, and the documentation requirements for Unlisted actions.
September 2, 1987	Minor amendment to correct two typographical errors found in the filing of March 6, 1987.
January 1, 1996 amendment	Major revisions to the regulations were made including: Sections of the regulations rearranged for greater clarity and to better mirror the SEQR process; Guidance on the elements of scoping and requirements for public participation in scoping were added; Actions were added to the Type II list, and Exempt and Excluded actions were lumped under Type II; Changes were made to the format of EISs; Changes were made to the way actions involving Critical Environmental Areas are assessed.
June 30, 2001 amendment	Addresses for the DEC Central Office were updated.
July 3, 2001 amendment	Address for submissions to the Environmental Notice Bulletin (ENB) was corrected, and the address for the on-line ENB website was provided.
February, 2005 amendment	Requires every Environmental Impact Statement (EIS) (Draft EIS (DEIS) and Final EIS (FEIS)) to be posted on a publicly accessible Internet Web site.

For those who were most familiar with the SEQR regulation before the 1996 amendments, a roadmap of which sections moved where, is included in section G, which follows.

G. Roadmap of Part 617 before and after the 1996 amendments

6 NYCRR PART 617 COMPARISON OF SECTIONS BEFORE AND AFTER 1996 AMENDMENTS
OLD SECTIONS	NEW SECTIONS
1 - AUTHORITY, INTENT & PURPOSE	1 - AUTHORITY, INTENT & PURPOSE -- same location
2 - DEFINITIONS	2 - DEFINITIONS - same location
3 - GENERAL RULES	3 - GENERAL RULES - same location
4 - INDIVIDUAL AGENCY PROCEDURES - moved to new 14	4 - TYPE I ACTIONS - revised content of old 12
5 - INITIAL REVIEW OF ACTIONS -- moved to new 6	5 - TYPE II ACTIONS -- revised content of old 13
6 - LEAD AGENCY & DETERMINATION OF SIGNIFICANCE - split into new 6 and 7	6 - INITIAL REVIEW OF ACTIONS AND ESTABLISHING LEAD AGENCY - includes old 5 and part of old 6
7 - SCOPING - moved to new 8	7 - DETERMINING SIGNIFICANCE - includes part of old 6 and old 11
8 - EIS PROCEDURES -- incorporated in new 9	8 - SCOPING - revised content of old 7
9 - DECISION-MAKING & FINDINGS - moved to new 11	9 - PREPARATION AND CONTENT OF ENVIRONMENTAL IMPACT STATEMENTS - includes old 8 and old 14
10 - NOTICE & FILING - changed title and moved to new 12	10 - GENERIC IMPACT STATEMENTS - same content as old 15
11 - CRITERIA FOR DETERMINING SIGNIFICANCE - incorporated in new 7	11 - DECISION-MAKING AND FINDINGS REQUIREMENTS - revised content of old 9
12 - TYPE I ACTIONS - moved to new 4	12 - DOCUMENT PREPARATION, FILING, PUBLICATION AND DISTRIBUTION REQUIREMENTS - revised content of old 10
13 - TYPE II ACTIONS - moved to new 5	13 - FEES AND COSTS - revised content of old 17
14 - EIS PREPARATION & CONTENT - incorporated in new 9	14 - INDIVIDUAL AGENCY PROCEDURES TO Apply SEQR - same content as old 4
15 - GENERIC EISs - moved to new 10	15 - ACTIONS INVOLVING A FEDERAL AGENCY - same content as old 16
16 - ACTIONS INVOLVING FED AGENCY - moved to new 15	16 - CONFIDENTIALITY - same content as old 18
17 - FEES AND COSTS - moved to new 13	17 - REFERENCED MATERIAL - same content as old 19
18 - CONFIDENTIALITY - moved to new 16	18 - SEVERABILITY - new section added
19 - REFERENCED MATERIAL - moved to new 17	19 - EFFECTIVE DATE - revised content as old 20
20 - EFFECTIVE DATE - moved to new 18	20 - APPENDICES - revised content of old 21 - retaining Appendices A, B & C: short EAF long EAF visual addendum
21 - APPENDICES - D through I are repealed - model EAFs (Appendices A, B and C) remain.