Domestic Scan:

Environmental Commitment Implementation
Innovative and Successful Approaches

EXECUTIVE SUMMARY

BACKGROUND

The successful implementation of the environmental commitments described in the documents required by the National Environmental Policy Act (NEPA) or related to appropriate resource permits is a critical aspect of the transportation project development process. Not only is it the Federal Highway Administration's (FHWA) responsibility to assure that these measures are implemented according to FHWA regulation Code of Federal Regulations (CFR) 771.109 (b), but it is also a key element of exhibiting good environmental stewardship. The Intermodal Surface Transportation Efficiency Act (ISTEA), the Transportation Equity Act for the 21st Century (TEA-21), and, more recently, Executive Order 13274: Environmental Stewardship and Transportation Infrastructure Project Reviews emphasize making transportation decisionmaking and environmental review processes more effective and efficient through good communication techniques. By communicating all commitments, transportation agencies can not only build transportation projects, but also protect and enhance the environment and improve the quality of the transportation project development process. All Federal projects, as well as all Federally-funded State and local projects, must implement the environmental commitments stated in their NEPA documents in order to achieve this outcome.

The transportation project development process and environmental review process require the proper implementation of environmental commitments. NEPA documents and permit agreements outline these environmental commitments, including detailing how impacts to the environment should be avoided, minimized, and mitigated, and providing information on how the commitments should be implemented. To successfully execute these commitments, it is critical that staff be trained to communicate and track the commitments and plans through to their implementation and maintenance. Creating a culture in which environmental commitments are expected elements in project delivery, maintenance, and operation makes meeting these commitments easier and less costly. While an environmental culture or ethic can influence commitment follow-through, the actual commitment compliance stems from the implementation of the systems and processes designed to achieve this. To support the implementation of these systems and processes, the FHWA Construction Guide has added a statement that final vouchers should not be paid until the sponsoring agency has assured that all commitments have been implemented.

In the fall of 2002, FHWA sponsored the Domestic Scan Tour on Environmental Commitment Implementation (Domestic Scan) in recognition of the importance of this highly visible area that affects environmental stewardship and streamlining activities. The Domestic Scan's focus was on successful practices and procedures of the follow-through of commitments made both during and after the NEPA process. The Domestic Scan Team was formed of members of varied expertise — from the FHWA Headquarters Office of Project Development and Environmental Review, FHWA Division Offices, State Departments of Transportation (DOTs), the U.S. Environmental Protection Agency (EPA), the U.S. DOT Volpe National Transportation Systems Center, the American Association of State Highway and Transportation Officials (AASHTO), and the American Road and Transportation Builders Association (ARTBA).

The Domestic Scan Team visited seven State DOTs to review successful State processes, procedures, and methodologies used in fulfilling environmental commitments made in the transportation project development process and environmental permits. The States visited during the Domestic Scan exhibited a wide range of programs. Regardless of their geographical conditions or the size or maturity of the State program reviewed, these States are dedicated to ensuring the successful implementation of environmental commitments. The Domestic Scan Team observed that to achieve success in this highly visible area, implementation must be embedded in the transportation project development process and not viewed as an elective add-on. With innovative contracting techniques such as design/build now being used more frequently, States must have a heightened awareness of environmental issues and commitments from the beginning of the transportation project development process. Communication throughout the entire process (from planning through construction and maintenance) is the critical element to success.

This Domestic Scan Report is intended to assist States, FHWA Divisions, environmental resource agencies, and the private sector in successfully complying with environmental commitments throughout the entire transportation design, development, and construction processes. The approaches gathered from the Domestic Scan offer a menu of possibilities for improving systems and processes to ensure commitment compliance.

STATE SUCCESSES

The seven States participating in the Domestic Scan — Colorado, Indiana, Kentucky, New Jersey, New York, Texas, and Wyoming — showcased a variety of tools used to successfully meet projects' environmental commitments. This report presents example tools from these States in a variety of best management practice categories: Environmental Ethic/Stewardship, Staffing, Training, Guidance Documents, Commitment Assurance, Tracking Mechanisms, Public Involvement, and Interagency Coordination. Resource-specific initiatives and various other tools and technologies are also described in the report.

Some examples of the innovative and unique best management practices highlighted by the States during the Domestic Scan include:

• Environmental Ethic/Stewardship — Introduced by the Governor of New York and the Commissioner of the New York State Department of Transportation (NYSDOT), NYSDOT has adopted the role of environmental stewards by developing an internal environmental initiative. All NYSDOT employees have become empowered to include environmental aspects in their jobs and to include environmental consideration as an essential element of the transportation project development process.
• Staffing — An environmental coordinator within the Wyoming Department of Transportation is charged to work with construction and maintenance staff and crews in coordinating and monitoring the successful implementation of mitigation commitments.
• Training — The Indiana Department of Transportation (INDOT) mandates that consultants working for INDOT become trained and certified by INDOT on unique environmental aspects. A three-day NEPA training is held for consultants that are either currently working on INDOT projects or offering their professional services for NEPA documentation.
• Guidance Documents — Two pocket guides addressing the Texas Department of Transportation's (TxDOT) environmental issues are under development for field personnel. Both guides summarize environmental compliance issues that may be encountered during construction or maintenance, present advice on how to handle unforeseen issues, and recommend where to go for assistance when problems arise.
• Commitment Assurance — The Kentucky Transportation Cabinet's (KYTC) "Communicating All Promises" (CAP) approach tracks and demonstrates follow-through on all commitments made from planning through construction and maintenance. Once CAP is fully implemented, commitments will become institutionalized and communication among all parties involved in the transportation process will be greatly improved.
• Tracking Mechanisms — The New Jersey Department of Transportation (NJDOT) created a comprehensive Cultural Resource Commitments List to improve its relationship with the State Historic Preservation Office. The list contains a project description, identifies program and project managers, lists target dates for activities, estimates mitigation costs, and provides progress status.
• Public Involvement — The Kelly Parkway Corridor Study in San Antonio, Texas impacts a low-income minority community, many of whom only speak Spanish. TxDOT's public involvement program utilizes traditional methods, such as public meetings and notifications through print media, and non-traditional bilingual approaches, included in their public involvement office located inside the community, public involvement website, ongoing stakeholder meetings, and public education workshops.
• Interagency Coordination — The Colorado Department of Transportation (CDOT) created a Council of Resource Agencies (Council) to address project commitments and discuss concerns with resource agencies prior to a project's construction. The Council includes the U.S. Forest Service, the U.S. Army Corps of Engineers, the U.S. EPA, the Bureau of Land Management, and the U.S. Fish and Wildlife Service.

LESSONS LEARNED

The processes and methodologies observed in the seven participating States proved that communication and environmental stewardship are the most essential elements in assuring successful environmental commitment implementation. The following recommended approaches summarize the lessons learned from the Domestic Scan:

• Proactive efforts at all levels of an agency are imperative for effective compliance. State DOT leadership, including the adoption of an environmental ethic, is crucial to creating and promoting the internal environmental awareness needed to develop innovative and successful approaches to commitment compliance.
• Cradle-to-grave communication (from planning through maintenance and operations) is an essential mechanism for achieving successful commitment compliance. The circle of communication must remain unbroken to ensure clear communication through the life of a project.
• Education and training at all levels are critical elements in promoting environmental stewardship and commitment assurance within an organization. Education and training increase staff understanding of the importance of environmental compliance and improve staff ability to avoid, minimize, and mitigate environmental impacts.
• Strong stakeholder relationships foster the development of transportation projects that are in harmony with the environment. By sharing goals and objectives with stakeholders, State DOTs can develop mutually beneficial undertakings, enable projects to run both efficiently and effectively, and build trust and respect with stakeholders.
• Learning from past experiences encourages future implementation successes. Time, energy, and a strong commitment to the environment are key ingredients in successful commitment implementation. By learning from failures and building upon successes, State DOTs can make implementation methods standard practices.

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