Quality Assurance/Quality Control Procedures for Environmental Documents

Transcription

1 Environmental Handbook Quality Assurance/Quality Control Procedures for Environmental s This handbook outlines processes to be used by the project sponsor and department delegate in quality assurance and quality control of environmental documents. TxDOT Environmental Affairs Division Release Date: March GUI Version 1

2 Quality Assurance/Quality Control Procedures for Environmental s Table of Contents 1.0 Introduction Overview Background Quality Assurance (QA) Quality Control Procedural Requirements Early Project Development Core Team Formation Scoping Scope Approval Draft Development Completion of Technical Reports Technical Report Public Meeting and Public Hearing Summary and Analysis Reports Prepare Draft Environmental Administrative Completeness and Determination Draft for Readiness Legal Draft Environmental Approval for Circulation Final Environmental Preparation Final for Readiness Legal Sufficiency Final Environmental Decision s and Records Glossary Abbreviations and Acronyms Appendix A: of QA/QC Process Figures Appendix B: Environmental Compliance Process Flowchart Appendix C: Revision History TxDOT Environmental Affairs Division Page 1 of 23

3 Quality Assurance/Quality Control Procedures for Environmental s 1.0 Introduction The Texas Department of Transportation (TxDOT) values the delivery of safe, efficient transportation projects and strives to make sound decisions based on the balanced consideration of transportation needs and the social, economic, and environmental impacts of proposed transportation improvements. TxDOT complies with the National Environmental Policy Act (NEPA) and all other federal environmental requirements for its projects requiring federal funding or approval. State-only funded projects and other projects not requiring federal approval comply with TxDOT-specific state environmental requirements found in the Texas Administrative Code (TAC) Title 43, Chapter 2. Where there are substantive differences between federal and state requirements that would prohibit federal approval, TxDOT follows federal requirements, otherwise TxDOT ensures compliance with all federal and state requirements.. TxDOT integrates quality assurance (QA) and quality control (QC) considerations into its activities to achieve compliance with applicable laws, regulations, and standards. The purpose of this handbook is to provide guidance on how QA and QC must be incorporated throughout the environmental process. This handbook identifies the elements of the QA/QC process and describes the steps to be taken to ensure QA/QC is consistently implemented. This handbook also identifies QA/QC points during the environmental document development process for environmental assessments (EAs) and environmental impact statements (EISs) and explains how QA/QC is used in the environmental review process. All staff who participates in the development and evaluation of environmental documents is required to follow the QA/QC procedures described herein. Personnel are trained to implement QA/QC procedures outlined below with support and direction from the ENV management team. For additional guidance and tools, refer to the TxDOT NEPA and Project Development Toolkit. The Federal Highway Administration (FHWA) provides additional guidance and tools in the FHWA Environmental Toolkit and FHWA Shortening Project Delivery Toolkit. 2.0 Overview The TxDOT Environmental Affairs Division (ENV) is responsible for the management, control, and oversight of the NEPA environmental review and approval process for TxDOT-approved highway projects. TxDOT is required to perform QA/QC as outlined in the Memorandum of Understanding (MOU) between the Federal Highway Administration and the Texas Department of Transportation Concerning State of Texas Participation in the Project Delivery Program Pursuant to 23 U.S.C. 327 (Assignment MOU). Specifically, Section of the Assignment MOU states the following requirements. In carrying out the responsibilities assumed under this MOU, TxDOT agrees to carry-out regular quality control and quality assurance activities to ensure that the assumed responsibilities are being conducted in accordance with applicable law and this MOU. At a minimum, TxDOT's quality control and quality assurance activities will include the review and monitoring of its processes and performance relating to project decisions, environmental analysis, documentation, checking for errors and omissions, legal sufficiency reviews, and taking appropriate corrective action as needed. Within three months of the effective date of this MOU, TxDOT shall develop and implement a quality control and quality assurance process that satisfies the requirements of this section and shall transmit to the FHWA Texas Division Office the process for review and comment. In developing and implementing the quality control and quality assurance process, TxDOT shall consult with the FHWA Texas Division Office. TxDOT agrees to cooperate with the FHWA to incorporate recommendations the FHWA may have with respect to its quality control and quality assurance process. TxDOT Environmental Affairs Division Page 2 of 23

4 Quality Assurance/Quality Control Procedures for Environmental s QA activities apply to environmental documents developed in accordance with NEPA under the Surface Transportation Project Delivery Program (assignment program) codified at 23 USC 327. On projects where TxDOT requires development of environmental technical reports, TxDOT commits to make early submittal, as defined in the glossary of this handbook and coordination of supporting environmental technical reports an important aspect of the QA process for TxDOT-sponsored projects. Local government project sponsors may elect to submit technical information prior to or concurrently with the environmental document (43 TAC 2.45). TxDOT performs an environmental review of local government-sponsored projects following the same QA/QC requirements and procedures and using the same QA/QC documentation as TxDOTsponsored projects. 2.1 Background TxDOT distinguishes between QA and QC. QA is devoted to preventing problems, whereas QC is devoted to identifying and correcting problems. Both QA and QC steps are built into the project environmental document preparation and approval process. Some QC points are required by state statute. TxDOT also has program-level QA procedures Quality Assurance (QA) The TxDOT process is structured to include high levels of QA throughout the project-specific environmental process. The core team concept, as defined in the Glossary, provides for consistent interaction between the core team members and any involved subject matter experts (SMEs) and is intended to resolve most, if not all, problems before the environmental document is complete and ready for formal review. As a result, when the review for readiness begins, the environmental document should be a final draft product prepared to ENV standards and ready for approval. Environmental documents go through QA at several stages during development and review. Environmental scoping and scope amendment are QA activities designed to develop mutual expectations of project-specific environmental requirements and are intended to prevent late identification of problems that lead to delays or unsupported environmental decisions. Various guidance documents, found online in the TxDOT Environmental Compliance Toolkits, also serve as QA materials that help guide the development of adequate and supported environmental documents and technical studies Quality Control The process for review and approval of environmental documents has several QC points. For example, key environmental technical reports and consultation documents, as determined by the core team, are also subject to QC review by qualified SMEs located in districts or at ENV. The administrative completeness review is an environmental document QC point where fundamental problems may be detected and corrected, or if ready -- documents may proceed to detailed review called the review for readiness, as described in for Readiness Section (Section 2.2.6). Projects with a designated local government sponsor follow the same basic approval processes as TxDOT-sponsored projects. When environmental documents are submitted, they are subject to QC review, legal review (for all draft EISs (DEISs) and EAs at the request of ENV), review for readiness prior to signature, and legal sufficiency review (for all final EISs (FEIS) and individual Section 4(f) evaluations). TxDOT Environmental Affairs Division Page 3 of 23

5 Quality Assurance/Quality Control Procedures for Environmental s 3.0 Procedural Requirements Guidance for the development of environmental documents and technical reports is provided in the ENV handbooks and toolkits by subject matter, as appropriate for each particular discipline. Work is guided from the beginning of project scoping activities through project completion. QA/QC is incorporated throughout the work process; the QA/QC steps in the workflow process are described in Sections 2.1 to 2.3 and in the of QA/QC Process Figures in Appendix A. A flow chart depicting the process for development and review of environmental documents is in Appendix B. Not every QA/QC step may be relevant to a specific project; required steps depend on the project class of action and type of environmental document being prepared. Steps that apply only to EISs are noted in Sections 2.1 to 2.3. Environmental document development activities are required to be appropriately planned in accordance with the provisions of these QA/QC processes. Deviations from activities identified in the agreed upon project scope that indicate the potential for adverse environmental document quality must be corrected before the document approval process can begin. Staff performing QA/QC activities on a project is expected to communicate any observed error to the core team and ensure the issue is resolved. QA/QC procedures are integral to the development of quality environmental documents. QA accomplished during scoping and through formation of the core team continues at key points throughout the environmental process. 3.1 Early Project Development Core Team Formation QA of an EA and an EIS begins with the formation of a core team. Early in project development, a district environmental project manager and an ENV project manager are assigned to form the core team to coordinate and complete the environmental process for a specific project. The core team consists of only these two members. Based on the needs of the project, the core team can add additional members to the project development team. Additional team members could include SMEs, planners, engineers, local government sponsor representative(s), and consultants. The core team members are responsible for documenting that this QA activity, the formation of the core team and the project development team if needed, has been completed by retaining the collaboration in the. Collaboration can be documented with s, project meeting summaries, design conference reports, and other similar items demonstrating that development of the environmental document is a collaborative effort Scoping After the forming the core team, the next step is initiating the scoping process. The core team builds QA into the scoping process by collaborating with one another and consulting with SMEs, as appropriate, to identify environmental constraints early in the project environmental process. The scope is completed collaboratively by the core team, with team members agreeing on timelines, tasks, and responsibilities. The scope and any amendments are the project file. ation of collaboration also is the Scope Approval The department delegate performs a QC review of the scope prior to approval. This review ensures that the submitted scope reflects the specifics agreed upon by the core team during scope development. The scope approval QC review includes the following actions. TxDOT Environmental Affairs Division Page 4 of 23

6 Quality Assurance/Quality Control Procedures for Environmental s Scope Approval QC : the project definition for accuracy, including project limits, description, name and CSJ. Confirm that the class of action selected is appropriate for the project description and any known environmental issues. Confirm that the project sponsor and department delegate are accurately identified. the scope for the selection of appropriate technical reports, public involvement, agency coordination, and permit approval identification. the project schedule for consistency with the project scope and feasibility. Scope approval is the as evidence that this QC step has been completed. 3.2 Draft Development Completion of Technical Reports During scoping or through scope amendments, the core team determines the required technical studies for environmental documents. The project sponsor produces quality technical studies using appropriately trained and qualified individuals to complete the work with TxDOT tools and guidance for the resource area. QA is incorporated into the development of the technical reports by coordinating with the core team and SMEs, as appropriate, on methodologies and approaches for technical studies and by using TxDOT handbooks and guides. These tools are available online in the TxDOT Environmental Compliance Toolkits Technical Report When projects require technical reports, the reports undergo a technical report QC review if the review is identified in the project scope. The technical report QC review can be conducted by a member of the core team who was not directly involved in the technical report preparation, a peer reviewer, or another SME, depending upon the resource area. Technical report QC review consists of the following activities. Technical Report QC Confirm that the technical report is accurate. Ensure appropriate coordination and regulatory requirements are identified and applicable regulatory requirements and TxDOT standards are met. Ensure clarity, grammaticality, and internal consistency of information. As a technical report is reviewed, comments and responses are developed to document comments and communicate any necessary report changes. The comments often are documented and communicated using the Comment Response Matrix, but its use is not always required. Once the review is completed, the comments and responses are the to document the QC review Public Meeting and Public Hearing Summary and Analysis Reports Following public meetings and public hearings, the project sponsor completes a summary and analysis report. Then the core team conducts the QC review of the report. The QC review of the report includes ensuring the events of the public meeting or public hearing are accurately recorded, reviewing public comments and responses to EIS comments for consistency and TxDOT Environmental Affairs Division Page 5 of 23

7 Quality Assurance/Quality Control Procedures for Environmental s appropriateness, and confirming forms and materials from the public meeting or public hearing are represented in the report. Once the review is completed, the summary and analysis report and the core team comments and responses are the to document the QC review Prepare Draft Environmental QA occurs during preparation of the draft environmental document through collaboration and project meetings. of QA includes s, phone conversation notes, and meeting notes summarizing collaborative discussions held by the core team members, cooperating agencies, participating agencies, local government sponsors, or consultants preparing the draft document about any aspect of developing the draft document (i.e. alternatives, resource areas, methodologies). The core team ensures evidence of the QA is the. The core team also is responsible for ensuring that the draft environmental document is consistent with the technical reports prepared to support the environmental document Administrative Completeness and Determination The administrative completeness review is a QC step performed by the core team members at the draft environmental document stage. The core team members review the draft environmental document for the presence of specific required content items, as identified in the Administrative Completeness, to document the EA or EIS completion. Once the draft environmental document is reviewed for administrative completeness, the Administrative Completeness must be signed by the reviewers and the department delegate and the as evidence of this QC step. If a component of the environmental document is missing, the document is not administratively complete and is returned to the project sponsor for correction with a written response specifying the basis for the delegate s conclusions Draft for Readiness Once the draft environmental document is deemed administratively complete, the core team conducts for the review for readiness. This QC step requires the core team and the project development team, if formed, to fully review the document. The core team is required to review the document cover to cover. At its discretion, the core team can request a peer review of an EA. For EISs, a peer review is mandatory. The peer review is conducted by a knowledgeable environmental staff member from any district or ENV who has not been previously involved in the development of the project environmental document. The review for readiness QC steps are as follows; refer to the Environmental for detailed review requirements. for Readiness Ensure environmental document completeness. Confirm environmental document accuracy. Resolve any errors and omissions in the environmental document. Ensure the environmental document is internal consistency. Ensure consistency between the environmental document and supporting technical reports. Ensure consistency among the supporting technical reports. TxDOT Environmental Affairs Division Page 6 of 23

8 Quality Assurance/Quality Control Procedures for Environmental s As selected by the core team, SMEs who did not prepare the section review environmental document sections with information pertaining to their area of expertise. SME review focuses on consistency with the technical report and ensuring that all federal and TAC regulatory requirements have been satisfactorily met. comments and resolutions must be documented using the Comment Response Matrix, which is a form used to record and communicate the comments and their resolution to the public and other agencies. Once the review is complete, the matrix is the to document the QC review. The Environmental is completed and signed by both members of the core team, the district environmental project manager and ENV project manager, and the to document that this QC step is complete Legal Legal reviews are conducted for all DEISs and, at the request of ENV, for EAs. For all DEISs, the core team ENV project manager submits the DEIS to the Office of General Counsel (OGC) for legal review. At the discretion of ENV, EAs occasionally are sent to OGC for a review of specific issues of concern. Before a DEIS can be certified as ready to be approved for circulation as described in Section below, OGC must provide a written statement explaining that the legal review has been completed and all legal comments have been appropriately addressed. The OGC statement documenting completion of legal review must be the Draft Environmental Following the final review of the draft document, which is the review for readiness for EAs or the OGC legal review for DEISs, the core team members sign the Environmental Form and include it in the. By signing the Environmental Form, the core team members are certifying the following. QC is complete and appropriately documented. The document is administratively complete and meets all technical review requirements (43 TAC 2.49). The public participation required to this stage is complete and appropriately documented. All consultation and coordination required up to this stage is complete and appropriately documented. If appropriate, a legal review is complete and appropriately documented. This certification documents that all required QA/QC procedures for this stage of environmental document development for the EA or DEIS have been completed Approval for Circulation To document that an EA has been approved for circulation, the Project Delivery Section (PD) director or his or her designee signs the Approved for Circulation Line on the Environmental Form. EA documents are not signed. For a DEIS, the ENV division director signs the final DEIS to denote its approval for circulation. The Environmental Form and, when appropriate, the DEIS signature page are the project file to document approval for circulation. Following this step, the project sponsor can disseminate the document to the public for review and comment. TxDOT Environmental Affairs Division Page 7 of 23

9 Quality Assurance/Quality Control Procedures for Environmental s 3.3 Final Environmental Preparation Final for Readiness After circulation and any resulting changes, the core team members complete a final review for readiness of the final environmental document using a second Environmental. This review for readiness QC step is performed to ensure all required tasks are completed, all required consultation and coordination is completed and documented, all public and agency comments were appropriately addressed and the document was modified as necessary, and any updated information has been accurately incorporated into the environmental document. For an EA, if the environmental decision is likely to be a finding of no significant impact (FONSI), the draft FONSI is submitted for review with the final EA. For a combined FEIS/record of decision (ROD), the draft ROD is submitted for review with the FEIS. The completed Environmental must be the as evidence this QC step is complete. Any comments and responses developed during this review also will be the Legal Sufficiency The legal sufficiency review is conducted for FEISs and individual Section 4(f) evaluations only. ENV will not finalize an FEIS or the individual Section 4(f) evaluation before receiving written documentation that the legal sufficiency review is complete. Refer to the Section 4(f) Toolkit for guidance, standards, and procedures for preparing and evaluating Section 4(f) documentation. As identified in the Application to Assume FHWA Responsibilities Pursuant to 23 USC 327, a legal sufficiency review consists of the following. Legal Sufficiency The core team ENV project manager submits the preliminary FEIS and/or individual Section 4(f) evaluation to TxDOT OGC. TxDOT OGC assigns the document to an associate general counsel, assistant attorney general, or TxDOT s outside environmental counsel for review. The reviewing attorney prepares and provides ENV with written comments and/or suggestions to improve the document s legal defensibility. These comments are protected by the attorneyclient privilege and are not shared outside of TxDOT. If necessary, ENV staff discusses the resolution of comments and/or suggestions with the reviewing attorney, who will make himself or herself available. Once the reviewing attorney is satisfied that ENV staff addressed his or her comments and suggestions to the maximum extent reasonably practicable, the reviewing attorney provides ENV with written documentation that the legal sufficiency review is complete. The written documentation of legal sufficiency must be the before the FEIS can be advanced for final document certification Final The project core team members, the district environmental project manager and ENV project manager, certify the following. The final environmental document is consistent with the project scope. TxDOT Environmental Affairs Division Page 8 of 23

10 Quality Assurance/Quality Control Procedures for Environmental s The final environmental document meets all the requirements of technical review (43 TAC 2.49). QC is complete and appropriately documented. The required public participation is complete and appropriately documented. All consultation and coordination required prior to environmental approval is complete and appropriately documented. For FEISs only, the legal sufficiency review is complete. The core team members sign the Environmental Form and include it in the as evidence of completing this step. EA documents are not signed. The ENV division director signs the completed FEIS to document its approval. After this step, an environmental decision is made for the project Environmental Decision Once the environmental document and associated are completed and certified, the ENV division director makes a project decision for an EA or EIS based on the environmental document and associated and issued in the form of a decisional document. For an EA, the project decision can be the preparation of a FONSI or the decision to revise the project or environmental document classification. The decisional document for an EIS is a ROD. The project sponsor is responsible for producing the environmental decisional document and a notice of availability (NOA). A NOA is prepared when either a FONSI or a ROD is signed for a project. The core team conducts a QC review of the decisional document and associated NOA, if applicable. The QC review of the decisional document includes reviewing it for clarity in describing the decision and verifying accuracy and consistency of project information with the final environmental document, information subsequently gathered, and the. After the QC review is complete, the core team members complete the Environmental Form to denote that the decisional document is ready for approval. The draft decisional document, NOA if applicable, and signed Environmental Form are submitted to the PD director or strategic projects director for final review, then to the ENV division director for a project decision. Once approved by the ENV division director, the project decisional document is then processed in accordance with the TxDOT Environmental Handbook for Public Involvement guidelines for the specific type of document, and the decisional document and Environmental Form are the. 4.0 s and Records Forms, reports, and documented communication required as evidence of completed QA/QC procedures are identified in the steps above (Section 2.0) and shown on the of QA/QC Process Figures in Appendix A. ation of the completion of each step must be the at the time that step is completed. 5.0 Glossary Core Team The core team is comprised of a district environmental project manager and ENV project manager. Either core team member can expand the project development team to include SMEs, planners, TxDOT Environmental Affairs Division Page 9 of 23

11 Quality Assurance/Quality Control Procedures for Environmental s engineers, local agency sponsor representatives, and/or consultants. The core team coordinates and facilitates the environmental documentation process. Core Team Concept A QA practice that creates the expectation that a core team of staff producing and approving documents communicates mutual expectations about what is required for a project. The purpose of the core team concept is to bring essential staff together to create a unified direction to the environmental review and approval process. A unified direction and open communication protocol supports quality throughout project development. Department Delegate A TxDOT district, division, or other operational unit designated by the TxDOT executive director as the approval authority for TxDOT review and approval of an environmental document (43 TAC 2.8). Environmental Assessment (EA) An EA is required for projects that do not meet the requirements for a categorical exclusion (CE) and for which the significance of impacts is not known. The purpose of an EA is to determine if a project will cause significant effects necessitating the preparation of an EIS. If the EA concludes an EIS is required, the information contained in the EA facilitates its preparation. If the EA concludes no significant impacts will occur, a finding of no significant impact (FONSI) is prepared. The EA supports the TxDOT FONSI decision and documents NEPA compliance. Environmental Impact Statement (EIS) An EIS is prepared for a project that has significant social, economic, and/or environmental impacts. Early Submittal The project sponsor can submit an environmental technical report early, in the course of developing an environmental document. The project sponsor submits the reports as they become available prior to submitting the environmental document. The purpose of early submittal is to allow additional time for QA/QC and ensure a quality final environmental document. Environmental Process The process that applies to the development and review of all transportation project environmental documents and CEs, regardless of whether these documents were prepared or proposed by the state, local government, or private entities. NEPA Assignment Program A program authorized by Congress and codified as the Surface Transportation Project Delivery Program at 23 USC 327 allows FHWA to assign and States to assume certain FHWA responsibilities for NEPA and consultation and coordination responsibilities under other federal environmental laws. NEPA assignment occurs through State application and execution of a MOU between FHWA and the State that defines requirements, roles, and responsibilities. Project Scope A project-specific, detailed description or standardized checklist outlining the preparation of the environmental document or CE documentation and performance of related tasks (43 TAC 2.44). Project Sponsor As defined in 43 TAC 2.7, the project sponsor is responsible for preparing the environmental document or CE documentation and performing any related tasks outlined in the project scope. A TxDOT district, division, or office or a municipality, county, group of adjoining counties, regional mobility authority, local government corporation, or transportation corporation can be a project sponsor. Private entities and other types of local government entities may not serve as project sponsors. Quality Assurance (QA) The practice of ensuring that all procedures the environmental review and approval process are complete, accurate, and correct. The purpose of QA is to maintain a consistently high quality product. QA is devoted to preventing problems and achieving the concept of right the first time. TxDOT Environmental Affairs Division Page 10 of 23

12 Quality Assurance/Quality Control Procedures for Environmental s Quality Control (QC) The practice of seeking out and correcting errors and omissions in an environmental document or technical reports. The purpose of QC is to produce a quality finished product, and document the steps taken prior to final approval. QC is devoted to identifying and correcting problems. For Readiness The reviews for readiness are conducted by the review team when the environmental document is reviewed for content, after the document is determined administratively complete. At their discretion, the core team can request a peer reviewer to provide a fresh set of eyes for the review of an EA. For EISs, a peer-review is mandatory. Completion of the review for readiness is documented on the Environmental. Team The review team consists of the core team and any SMEs deemed appropriate and requested to review elements of the environmental document. Technical Report - Any technical environmental documentation prepared to support the environmental document. TxDOT Environmental Affairs Division Page 11 of 23

13 Quality Assurance/Quality Control Procedures for Environmental s 6.0 Abbreviations and Acronyms Assignment MOU Assignment Program CSJ DEIS EA EIS ENV FEIS FHWA FONSI MOU NEPA NOA OGC PD QA QC ROD SME TAC TxDOT USC Memorandum of Understanding (MOU) between the Federal Highway Administration and the Texas Department of Transportation Concerning State of Texas Participation in the Project Delivery Program Pursuant to 23 U.S.C. 327 Surface Transportation Project Delivery Program Control Section Job Number Draft Environmental Impact Statement Environmental Assessment Environmental Impact Statement Environmental Affairs Division of TxDOT Final Environmental Impact Statement Federal Highway Administration Finding of No Significant Impact Memorandum of Understanding National Environmental Policy Act Notice of Availability Office of General Counsel of TxDOT Project Delivery Section of ENV Quality Assurance Quality Control Record of Decision Subject Matter Expert Texas Administrative Code Texas Department of Transportation U.S. Code TxDOT Environmental Affairs Division Page 12 of 23

14 Quality Assurance/Quality Control Procedures for Environmental s Appendix A: of QA/QC Process Figures of QA/QC Process - EAs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Core Team Formation Example evidence of collaboration includes: Project meeting summaries Design conference reports Scoping of collaboration between core team members and with SMEs Scope Development task Identification of applicable Tasks/Forms/ Coordination Scope Approval Scope task complete Scope and amendments approval denoted in (TxDOT sponsored projects) Signed paper scope and/or amendments (LG sponsored projects) TxDOT Environmental Affairs Division Page 13 of 23

15 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EAs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Technical Reports Coordination for methodologies and approaches for technical reports Reports completed before environmental document submitted for review Coordination completed before document Reports developed according to established standards Technical Report QC to confirm that the technical report is complete and accurate completed and comments and responses are Public Meeting/ Hearing Summary and Analysis Report Summary and Analysis Report and comments and responses Prepare Draft Environmental Examples include: of collaboration Project meeting summaries TxDOT Environmental Affairs Division Page 14 of 23

16 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EAs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Administrative Completeness and Determination Administrative Completeness completed and Administrative Completeness Draft for Readiness completed and Comment Response Matrix prepared and Form signed and Environmental Form Approve for Circulation Signed Environmental Form included in Form Final for Readiness completed and Certify Final Environmental and FONSI Signed Environmental Form included in Form TxDOT Environmental Affairs Division Page 15 of 23

17 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EAs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Environmental Decision Signed FONSI or documentation of other decision the NOA posted, per guidance in Environmental Handbook for Public Involvement and the TxDOT Environmental Affairs Division Page 16 of 23

18 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EISs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Core Team Formation Example evidence of collaboration includes: Project meeting summaries Design conference reports Scoping of collaboration between core team members and with SMEs Scope Development task Identification of applicable Task/Forms/ Coordination Scope Approval Scope task complete Scope and amendments approval denoted in (TxDOT sponsored projects) Signed paper scope or amendments and the (LG sponsored projects) TxDOT Environmental Affairs Division Page 17 of 23

19 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EISs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Technical Reports prior to environmental document completion Coordination for methodologies and approaches for technical reports Studies completed before document Coordination completed before document received for review Technical Report to confirm that technical report is complete and accurate completed and comments and responses are Public Meeting/ Hearing Summary and Analysis Report Summary and Analysis Report and comments and responses are Prepare Draft Environmental Examples include: of collaboration Project meeting summaries TxDOT Environmental Affairs Division Page 18 of 23

20 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EISs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Administrative Completeness and Determination Administrative Completeness completed and Administrative Completeness DEIS for Readiness completed and Comment Response Matrix prepared and Legal (Office of General Counsel) Legal review completed and review statement Form signed and Form Approve for Circulation DEIS signed and FEIS for Readiness completed and TxDOT Environmental Affairs Division Page 19 of 23

21 Quality Assurance/Quality Control Procedures for Environmental s of QA/QC Process - EISs QA/QC Element District/ Sponsor ENV QA QC QA QC Forms/ Notices/ Publications Legal Sufficiency Legal sufficiency determination completed and statement Certify Final Environmental Signed Environmental Form included in Form Environmental Decision ROD signed and NOA posted in state and federal registers and TxDOT Environmental Affairs Division Page 20 of 23

22 Quality Assurance/Quality Control Procedures for Environmental s Appendix B: Environmental Compliance Process Flowchart TxDOT Environmental Affairs Division Page 21 of 23

23 Quality Assurance/Quality Control Procedures for Environmental s Appendix C: Revision History The following table shows the revision history for this guidance document. Revision History Effective Date Month, Year March 2015 Reason for and Description of Change Version 1 was released. TxDOT Environmental Affairs Division Page 22 of 23