ARIZONA DEPARTMENT OF TRANSPORTATION NOISE ABATEMENT POLICY EFFECTIVE DATE: July 13, 2011 APPROVED BY: DATE: FLOYD ROEHRICH, State Engineer Arizona Department of Transportation APPROVED BY: DATE: KARLA S. PETTY, Division Administrator Federal Highway Administration ARIZONA DEPARTMENT OF TRANSPORTATION ENVIRONMENTAL PLANNING GROUP PHOENIX, ARIZONA www.ADOTenvironmental.com 602-712-7767 Replaces Noise Abatement Policy issued 12/5/05, Amended 8/24/07. 1 ADOT NAP Rev 2011-07-13 2 ADOT NAP Rev 2011-07-13 TABLE OF CONTENTS 1. INTRODUCTION 2. APPLICABILITY 3. DEFINITIONS 4. ANALYSIS OF TRAFFIC NOISE a. Selection of Design Year and Logical Termini b. Areas of Use and Receiver Placement c. Measurements of existing noise levels d. Traffic Noise Prediction e. Use of Noise Contour Lines f. Activity Categories g. Noise Impact Threshold 5. NOISE ABATEMENT CRITERIA TABLE 6. ANALYSIS OF NOISE ABATEMENT MEASURES a. Line-of-Sight b. Prohibited Abatement Measures 7. FEASIBILITY a. Engineering Feasibility b. Acoustic Feasibility 8. REASONABLENESS a. Preferences of Property Owners and Residents b. Noise Reduction Design Goal c. Cost Effectiveness 1. Third Party Funding 9. INVENTORY AND REPORTING OF ABATEMENT MEASURES 10. INTERACTION WITH LOCAL JURISDICTIONS a. Consultation with Local Jurisdictions b. Use of Local Jurisdiction Noise Abatement Policies on FHWA Projects c. Noise Compatible Land Use Planning 11. FEDERAL PARTICIPATION 12. CONSTRUCTION NOISE Appendices Appendix A: 23 CFR 772 Appendix B: Highway Traffic Noise Analysis and Abatement Guidance Revised January 2011 Appendix C: FHWA Report “Measurement of Highway-Related Noise” Appendix D: ADOT Traffic Noise Study Report Format Guide 3 ADOT NAP Rev 2011-07-13 1. INTRODUCTION In the Federal-aid Highway Act of 1972, Congress required the Federal Highway Administration (FHWA) to develop a noise standard for new Federal-aid highway projects. While providing national criteria and requirements for all highway agencies, the FHWA Noise Standard gives highway agencies flexibility that reflects state-specific objectives in approaching the problem of highway traffic and construction noise. In addition to defining traffic noise impacts, the FHWA Noise Standard requires that noise abatement measures be considered when traffic noise impacts are identified for Federal projects. Noise abatement measures that are found to be feasible and reasonable are eligible for Federal-aid participation in the same manner as other eligible project costs. This document contains the Arizona Department of Transportation (ADOT) policy on highway traffic noise and construction noise and describes ADOT’s implementation of the requirements of the FHWA Noise Standard at 23 Code of Federal Regulations (CFR) Part 772 (see Appendix A). This noise abatement policy was developed by ADOT and approved by FHWA. 2. APPLICABILITY This policy applies to all Type I Federal highway projects in the State of Arizona; that is, any projects that receive Federal-aid funds or are otherwise subject to FHWA approval. They include Federal projects that are administered by Local Public Agencies (LPAs) as well as ADOT. If there are any questions about whether a project is subject to this policy or the FHWA Noise Standard, contact the ADOT Environmental Planning Group Air and Noise Technical Team (602-712-7767). Due to the long lead time to complete a traffic noise study, these questions should be resolved early in the project development process. In addition to Federal projects, this policy shall also apply to other State-funded projects that involve: 1) construction of a highway on new alignment; or 2) a significant change in the horizontal or vertical alignment of an existing highway; or 3) adding new through lanes to an existing highway. The FHWA noise standard also outlines requirements for State transportation agencies that wish to develop voluntary programs to build noise barriers along existing highways, known as Type II projects. ADOT does not currently have a Type II program. 3. DEFINITIONS Abatement. A reduction in noise level. Benefited Receptor. The recipient of an abatement measure that receives a noise reduction of at least 5 dB(A). CFR. The Code of Federal Regulations. Common Noise Environment. A group of receptors within the same Activity Category in Table 1 that are exposed to similar noise sources and levels; traffic volumes, traffic mix, and speed; and topographic features. Generally, common noise environments occur between two secondary noise sources, such as interchanges, intersections, cross-roads. Date of Public Knowledge. The date of approval of the Categorical Exclusion (CE), the Finding of No Significant Impact (FONSI), or the Record of Decision (ROD), as defined in 23 CFR 771. For State-funded projects, the Date of Public Knowledge is the date of approval of the appropriate environmental document. Decibel (dB). A unit for measuring sound levels. 4 ADOT NAP Rev 2011-07-13 Decibel, A-weighted Scale (dBA). Sound levels are typically measured using a statistically weighted scale. Because the A scale most closely represents the range of human hearing, units of measurement for highway sound levels will use the A-weighted scale and be designated with dBA. Design Year. The future year used to estimate the probable traffic volume for which a highway is designed. Existing Noise Levels. The hour that currently has the worst noise level resulting from the combination of natural and mechanical sources and human activity present in a particular area. Feasibility. The combination of acoustical and engineering factors considered in the evaluation of a noise abatement measure. FHWA. Federal Highway Administration Impacted Receptor. A receptor that has or is predicted to have noise levels higher than the noise impact threshold for their appropriate category or which is predicted to receive a substantial noise increase. Insertion Loss. A term used in noise analysis to describe the projected noise reduction that results when a noise barrier is placed between a noise source and a receiver. Leq. The equivalent steady-state sound level which in a stated period of time contains the same acoustic energy as the time-varying sound level during the same time period, with Leq(h) being the hourly value of Leq. Level Of Service (LOS.)A term that describes the relationship between traffic volume and traffic speed, consisting of six levels (A, B, C, D, E, and F) Multifamily Dwelling. A residential structure containing more than one residence. Each residence in a multifamily dwelling shall be counted as one receptor when determining impacted and benefited receptors. NEPA. National Environmental Policy Act. Noise. Unwanted sound. Noise Abatement Criteria (NAC). Criteria established by FHWA based on land use that identify when a noise impact will occur. Noise Barrier. A physical obstruction that is constructed between the highway noise source and the noise sensitive receptor(s) that lowers the noise level, including stand alone noise walls, noise berms (earth or other material), and combination berm/wall systems. Noise Impact Threshold. The decibel level at which predicted noise levels approach the Noise Abatement Criteria (NAC) Permitted. A definite commitment to develop land with an approved specific design of land use activities as evidenced by the issuance of a building permit. Predicted Noise Level. The noise level likely to occur in the design year based on the worst expected traffic noise conditions. Property Owner. An individual or group of individuals that holds a title, deed, or other legal documentation of ownership of a property or a residence. Reasonableness. The combination of social, economic, and environmental factors considered in the evaluation of a noise abatement measure. Receiver. A location used in noise modeling to represent the measured or predicted noise level at a particular point. Receptor. A discrete or representative location of a noise sensitive area(s), for any of the land uses listed in Table 1. Residence. A dwelling unit. Either a single family residence or each dwelling unit in a multifamily dwelling. Substantial noise increase. An increase in noise levels of 15 dB(A) in the predicted noise level over the existing noise level. 5 ADOT NAP Rev 2011-07-13 Traffic Noise Impacts. Design year build condition noise levels that approach or exceed the NAC listed in Table 1 for the future build condition; or design year build condition noise levels that create a substantial noise increase over existing noise levels. Type I Project. (1) The construction of a highway on new location; or, (2) The physical alteration of an existing highway where there is either: a. Substantial Horizontal Alteration. A project that halves the distance between the traffic noise source and the closest receptor between the existing conditions to the future build condition. For example, if a house is located 200’ away from a transportation facility, altering the alignment of the roadway such that it is only 100’ away from the house would qualify as a substantial alteration; or, b. Substantial Vertical Alteration. A project that removes shielding therefore exposes the line-of-sight between the receptor and the traffic noise source. This is done by either altering the vertical alignment of the highway or by altering the topography between the highway traffic noise source and the receptor; or, (3) The addition of a through-traffic lane(s). This includes the addition of a through-traffic lane that functions as a HOV lane, High-Occupancy Toll (HOT) lane, bus lane, or truck climbing lane; or, (4) The addition of an auxiliary lane, except for when the auxiliary lane is a turn lane; or, (5) The addition or relocation of interchange lanes or ramps added to a quadrant to complete an existing partial interchange; or, (6) Restriping existing pavement for the purpose of adding a through-traffic lane or an auxiliary lane; or, (7) The addition of a new or substantial alteration of a weigh station, rest stop, ride-share lot or toll plaza. (8) If a project is determined to be a Type I project under this definition then the entire project area as defined in the environmental document is a Type I project. Type II Project. A Federal or Federal-aid highway project for noise abatement on an existing highway. Type III Project. A Federal or Federal-aid highway project that does not meet the classifications of a Type I or Type II project. Type III projects do not require a noise analysis. 4. ANALYSIS OF TRAFFIC NOISE For Type I projects, a traffic noise analysis is required for all build alternatives under detailed study in the National Environmental Policy Act (NEPA) process. That is, all reasonable alternatives that have been retained for detailed analysis in the categorical exclusion documentation, environmental assessment or environmental impact statement and not rejected as unreasonable during the alternatives screening process. If any segment or component of an alternative meets the definition of a Type I project, then the entire alternative is considered to be Type I and is subject to the noise analysis requirements. This analysis must include an analysis of traffic noise impacts for each Activity Category present in the study area, and should follow the format presented in “Traffic Noise Study Report Format Guide for Arizona Department of Transportation Projects”, included as Appendix D. Through the traffic noise analysis and prior to the Date of Public Knowledge, ADOT will identify: 1. noise abatement measures that are feasible and reasonable; and 2. noise impacts for which no abatement appears to be feasible and reasonable; and 3. the need for further noise analysis, in the event that the design and public involvement processes are slated to continue after the approval of the NEPA documentation. 6 ADOT NAP Rev 2011-07-13 For tiered Environmental Impact Statements or other studies that will examine broad corridors, the appropriate scope and methodology of the noise analysis should be discussed with FHWA and other participating agencies early in the project planning process. a. Selection of Design Year and Logical Termini The Design Year for prediction of future noise levels should be the same as that used in the environmental document. Likewise, the limits of the noise impact study area should use logical termini that are in keeping with those used for the overall environmental analysis of the project. However, regardless of the logical termini used by the remainder of the project analysis, the noise impact study area must include all areas which are predicted by the noise model to be impacted by project activities. b. Areas of Use and Receiver Placement When determining locations for receiver placement when either measuring or predicting noise levels, primary consideration should be given to areas of frequent use. Balconies, patios, playgrounds, or ramadas are examples of such areas. In locations where it is not readily apparent where the areas of frequent use are located, receivers should be located near the building entrance or walkway. The noise study should indicate how many receptors are represented by each receiver. 1. Non-Residential Land Use In non-residential areas such as many of the Category C, D, and E locations listed in Section 5 where the number of receptors is not easily defined, the number and placement of receivers should consider the size of the area as well as the amount and intensity of use, as follows: a. Determine the base number of receptors in the area: divide the total land area of the receiver by 7,500 square feet, roughly the average size of a residential lot in Arizona. b. Considering the intensity of use, assign one of the following values to each activity area: i. .5 – Low Intensity Area. A part of an area that receives limited use, or which is used primarily during non-peak traffic hours. Possible Examples: A general use section of a park, an overflow section of a camping ground, etc. ii. 1 – Moderate Intensity Area. A part of an area that receives use comparable to a standard residence. Possible Examples: a small youth activity center, a designated picnic area, etc. iii. 2 – High Intensity Area. An area which is used by either a moderate amount of people constantly or by a large number of people at one time. Possible Examples: a community center or swimming pool, a busy playground, or a courtyard. c. Multiply the number of receivers from (a) by the intensity of use determined in (b), and place those receivers where the activity is most likely to occur. If this can’t be determined, then the receivers should be distributed evenly across the area. Example: A city park is located next to the transportation facility, and consists of an area 1000’ long by 500’ wide. It contains a youth swimming area (30,000 square feet, High Intensity), a picnic area (75,000 square feet, Moderate Intensity) and a Soccer Field (90,000 square feet, Moderate Intensity); the remaining 305,000 square feet of general use area is considered to be Low Intensity. The youth swimming area will be assigned 8 receptors (4 x 2), the picnic area and soccer field will be assigned 10 and 12 receptors respectively, and the remaining area will have 21 (41 x .5) receptors spread across it evenly. 7 ADOT NAP Rev 2011-07-13 c. Measurements of existing noise levels All measurements of existing noise levels must be done in accordance with “Measurements of Highway Related Noise” (FHWA-PD-96-046 DOT-VNTSC-FHWA-96-5). Noise measurements should use three sampling periods that are 15 minutes long at a minimum when determining the Leq(1h); in low traffic volume areas, the sampling period should be increased to 30 minutes in length. d. Traffic Noise Prediction Pursuant to 23 CFR 772.9, the Traffic Noise Model (TNM) is the model approved by FHWA for predicting existing and future noise levels on transportation projects. Existing and future noise levels must be predicted for the no-build alternative as well as all reasonable build alternatives under consideration in the NEPA document; predictions are not required for those alternatives that have been determined to be not reasonable and therefore rejected for detailed analysis. The noise model run used to predict existing noise levels must have been validated as per 23 CFR 772.11(d)(2). When predicting noise levels for the design year, a ‘worst-case’ approach should be used, wherein the traffic characteristics that produce the worst traffic noise impact should be used in the analysis. In general this should reflect LOS C traffic conditions during the peak noise hour, with traffic moving at 5 miles per hour above the posted speed limit; however, if future traffic volumes are less than maximum LOS C volumes then future traffic volumes will be utilized. If no other information is available, the peak hourly volume should be 10% of the predicted daily volume. An exception to this ‘worst-case’ approach is pavement type, as all TNM-noise level predictions must utilize ‘average’ pavement type unless FHWA approval to use a different pavement type has been obtained. All noise level measurements and predictions should be rounded to the nearest whole number prior to impact determination or mitigation analysis. e. Use of Noise Contour Lines Noise contour lines may not be used to predict future noise levels for either impact determination or abatement purposes. Upon request of the local land use planning agency or local public agency, noise contour lines may be produced during the noise analysis process for project alternative screening and and use planning purposes only. f. Activity Categories The activity categories, their NAC, and examples of receivers that fall into each category are presented in Table 1. Land which is permitted but which has not yet been developed will be considered under the appropriate category for the permitted development. Considerations which apply only to certain categories are:  Activity Category A: All Category A designations must be approved by FHWA on a case-by-case basis. Proposals and justifications for designating land as Category A will be submitted by ADOT to the Arizona FHWA Division Office and FHWA Headquarters.  Activity Category B: There are no special considerations which apply specifically to Category B receivers.  Activity Category C, Section 4(f) Properties: For properties subject to Section 4(f) protection, impacts must be evaluated by FHWA on a case-by-case basis to determine if there is a “substantial impairment” to the intended use of the property. Section 4(f) protections do not apply to state-funded projects.  Activity Category D: An indoor analysis shall only be done after exhausting all outdoor analysis options. If there are indoor areas of use which are distinct from exterior areas of use 8 ADOT NAP Rev 2011-07-13 considered under Category C, both should be considered as separate receptors for determination of impact and cost-per-benefited receptor.  Activity Category E: There are no special considerations which apply specifically to Category E receivers.  Activity Category F: no highway noise analysis is required for this category.  Activity Category G: pursuant to 23 CFR 772.17(a), predicted noise levels will be determined for each segment of undeveloped land within the study area of the project, using receivers located at and approximately 300’ away from the proposed Right of Way line. g. Noise Impact Threshold While the FHWA traffic noise regulations do not define the point at which a noise level ‘approaches’ the NAC, each state highway agency is required to establish a definition that is at least 1 dBA less than the NAC for that land use category. The point at which noise levels approach the NAC is defined by ADOT as:  3 dBA for Categories A, B, C, D, and E  There is no noise impact threshold for Category F or Category G locations. 9 ADOT NAP Rev 2011-07-13 5. NOISE ABATEMENT CRITERIA TABLE Table 1 to Part 772—Noise Abatement Criteria  [Hourly A‐Weighted Sound Level decibels (dB(A))*]  Activity  Activity  Evaluation  Category  Criteria**  Location  Activity Description    Leq(h)  L10(h)      Lands on which serenity and quiet are of extraordinary  significance and serve an important public need and where the  preservation of those qualities is essential if the area is to  A  57  60  Exterior  continue to serve its intended purpose.  B***  67  70  Exterior  Residential  Active sport areas, amphitheaters, auditoriums, campgrounds,  cemeteries, day care centers, hospitals, libraries, medical  facilities, parks, picnic areas, places of worship, playgrounds,  public meeting rooms, public or nonprofit institutional  structures, radio studios, recording studios, recreation areas,  Section 4(f) sites, schools , television studios, trails, and trail  C***  67  70  Exterior  crossings  Auditoriums, day care centers, hospitals, libraries ,medical  facilities, places of worship, public meeting rooms, public or  nonprofit institutional structures, radio studios, recording  D  52  55  Interior  studios, schools, and television studios   Hotels, motels, offices, restaurants/bars, and other developed  E***  72  75  Exterior  lands, properties or activities not included in A‐D or F.  Agriculture, airports, bus yards, emergency services, industrial,  logging, maintenance facilities, manufacturing, mining, rail yards,  retail facilities, shipyards, utilities (water resources, water  F  ‐‐  ‐‐  ‐‐  treatment, electrical), and warehousing  G  ‐‐  ‐‐  ‐‐  Undeveloped lands that are not permitted  * Either Leq(h) or L10(h) (but not both) may be used on a project.  ** The Leq(h) and L10(h) Activity Criteria values are for impact determination only, and are not design  standards for noise abatement measures.  *** Includes undeveloped lands permitted for this activity category  10 ADOT NAP Rev 2011-07-13