Environmental Handbook: Quality...

TxDOT Environmental Affairs Division

Release Date: March 2015

090.01.GUI

Version 1

Environmental Handbook Quality Assurance/Quality Control Procedures for

Environmental Documents This handbook outlines processes to be used by the project sponsor and department delegate in

quality assurance and quality control of environmental documents.

Quality Assurance/Quality Control Procedures for Environmental Documents

TxDOT Environmental Affairs Division Page 1 of 23

Table of Contents

1.0 Introduction ........................................................................................................................................... 2

2.0 Overview ............................................................................................................................................... 2

2.1 Background .................................................................................................................................. 3

2.1.1 Quality Assurance (QA)................................................................................................. 3

2.1.2 Quality Control ............................................................................................................... 3

3.0 Procedural Requirements ..................................................................................................................... 4

3.1 Early Project Development .......................................................................................................... 4

3.1.1 Core Team Formation ................................................................................................... 4

3.1.2 Scoping ......................................................................................................................... 4

3.1.4 Scope Approval ............................................................................................................. 4

3.2 Draft Document Development ...................................................................................................... 5

3.2.1 Completion of Technical Reports .................................................................................. 5

3.2.2 Technical Report Review .............................................................................................. 5

3.2.3 Public Meeting and Public Hearing Summary and Analysis Reports ........................... 5

3.2.4 Prepare Draft Environmental Document ....................................................................... 6

3.2.5 Administrative Completeness Review and Determination ............................................ 6

3.2.6 Draft Review for Readiness .......................................................................................... 6

3.2.7 Legal Review ................................................................................................................. 7

3.2.8 Draft Environmental Document Certification ................................................................. 7

3.2.9 Approval for Circulation ................................................................................................. 7

3.3 Final Environmental Document Preparation ................................................................................ 8

3.3.1 Final Review for Readiness .......................................................................................... 8

3.3.2 Legal Sufficiency Review .............................................................................................. 8

3.3.3 Final Document Certification ......................................................................................... 8

3.3.4 Environmental Decision................................................................................................. 9

4.0 Documents and Records ...................................................................................................................... 9

5.0 Glossary ................................................................................................................................................ 9

6.0 Abbreviations and Acronyms .............................................................................................................. 12

Appendix A: Evidence of QA/QC Process Figures ..................................................................................... 13

Appendix B: Environmental Compliance Process Flowchart ...................................................................... 21

Appendix C: Revision History...................................................................................................................... 22



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 Review 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 8.2.4 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, project file 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.

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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 TxDOT-

sponsored 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.

2.1.1 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.

2.1.2 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 Review 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).

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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

Evidence 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

3.1.1 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 project file. Collaboration can be documented with emails,

project meeting summaries, design conference reports, and other similar items demonstrating

that development of the environmental document is a collaborative effort.

3.1.2 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 included in the project

file. Documentation of collaboration also is included in the project file.

3.1.3 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.



Scope Approval QC Review:

Review 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.

Review the scope for the selection of appropriate technical reports, public involvement,

agency coordination, and permit approval identification.

Review the project schedule for consistency with the project scope and feasibility.

Scope approval is included in the project file as evidence that this QC step has been completed.

3.2 Draft Document Development

3.2.1 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.

3.2.2 Technical Report Review

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 Review

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 included in

the project file to document the QC review.

3.2.3 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

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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 included in the project file to document the QC

review.

3.2.4 Prepare Draft Environmental Document

QA occurs during preparation of the draft environmental document through collaboration and

project meetings. Evidence of QA includes emails, 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 included in the project file.

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.

3.2.5 Administrative Completeness Review 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 Review Checklist, to document the EA or EIS completion. Once the draft

environmental document is reviewed for administrative completeness, the Administrative

Completeness Review Checklist must be signed by the reviewers and the department delegate

and included in the project file 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.

3.2.6 Draft Review 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 Document Review Checklist for detailed review

requirements.

Review 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.

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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.

Review 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 included in the project file

to document the QC review.

The Environmental Document Review Checklist is completed and signed by both members of

the core team, the district environmental project manager and ENV project manager, and

included in the project file to document that this QC step is complete.

3.2.7 Legal Review

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 2.2.9 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 included in the project file.

3.2.8 Draft Environmental Document Certification

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 Document

Certification Form and include it in the project file. By signing the Environmental Document

Certification 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.

3.2.9 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

Document Certification 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 Document

Certification Form and, when appropriate, the DEIS signature page are included in 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.








3.3 Final Environmental Document Preparation

3.3.1 Final Review 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 Document Review

Checklist. 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 Document Review Checklist must be included in the project file as evidence this

QC step is complete. Any comments and responses developed during this review also will be

included in the project file.

3.3.2 Legal Sufficiency Review

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 Review

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 attorney-

client 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 included in the project file before the FEIS can be

advanced for final document certification.

3.3.3 Final Document Certification

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.



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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 Document Certification Form and include it in

the project file 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.

3.3.4 Environmental Decision

Once the environmental document and associated project file are completed and certified, the

ENV division director makes a project decision for an EA or EIS based on the environmental

document and associated project file 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 project file.

After the QC review is complete, the core team members complete the Environmental Document

Certification Form to denote that the decisional document is ready for approval. The draft

decisional document, NOA if applicable, and signed Environmental Document Certification 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 Document Certification Form are included in the project file.

4.0 Documents 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 Evidence of QA/QC Process Figures in

Appendix A. Documentation of the completion of each step must be included in the project file 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,





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 Review 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 included in 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.


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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.

Review 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 Document Review Checklist.

Review 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.




6.0 Abbreviations and Acronyms

Assignment MOU 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 Program Surface Transportation Project Delivery Program

CSJ Control Section Job Number

DEIS Draft Environmental Impact Statement

EA Environmental Assessment

EIS Environmental Impact Statement

ENV Environmental Affairs Division of TxDOT

FEIS Final Environmental Impact Statement

FHWA Federal Highway Administration

FONSI Finding of No Significant Impact

MOU Memorandum of Understanding

NEPA National Environmental Policy Act

NOA Notice of Availability

OGC Office of General Counsel of TxDOT

PD Project Delivery Section of ENV

QA Quality Assurance

QC Quality Control

ROD Record of Decision

SME Subject Matter Expert

TAC Texas Administrative Code

TxDOT Texas Department of Transportation

USC U.S. Code



Appendix A: Evidence of QA/QC Process Figures

Evidence of QA/QC Process - EAs

QA/QC Element District/ Sponsor

ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Core Team

Formation

Example evidence of collaboration includes:

• Project meeting summaries

• Design conference reports

Scoping

• Evidence of collaboration between core team members and with SMEs

• Scope Development task

• Identification of applicable Tasks/Forms/ Coordination

Scope

Approval

• Scope Review task complete

• Scope and amendments approval denoted in project file (TxDOT sponsored projects)

• Signed paper scope and/or amendments included in project file (LG sponsored projects)





ENV QA QC QA

Evidence QC

Evidence

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 Review

• Review to confirm that the technical report is complete and accurate

• Review completed and comments and responses are included in project file

Public

Meeting/

Hearing

Summary and

Analysis

Report

• Summary and Analysis Report and comments and responses included in project file

Prepare Draft

Environmental

Document

Examples include:

• Evidence of collaboration






ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Administrative

Completeness

Review and

Determination

• Administrative Completeness Review Checklist completed and included in project file

• Administrative Completeness Review Checklist

Draft

Document

Review for

Readiness

• Environmental Document Review Checklist completed and included in project file

• Comment Response Matrix prepared and included in project file

• Environmental Document Review Checklist

Document

Certification

• Environmental Document Certification Form signed and included in project file

•Environmental Document Certification Form

Approve for

Circulation

• Signed Environmental Document Certification Form included in project file

• Environmental Document Certification Form

Final

Document

Review for

Readiness



Certify Final

Environmental

Document and

FONSI







ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Environmental

Decision

• Signed FONSI or documentation of other decision included in the project file

• NOA posted, per guidance in Environmental Handbook for Public Involvement and included in the project file



Evidence of QA/QC Process - EISs


ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Core Team

Formation

Example evidence of collaboration includes:


• Design conference reports

Scoping

• Evidence of collaboration between core team members and with SMEs

• Scope Development task

• Identification of applicable Task/Forms/ Coordination

Scope

Approval

• Scope Review task complete

• Scope and amendments approval denoted in project file (TxDOT sponsored projects)

• Signed paper scope or amendments and included in the project file (LG sponsored projects)





ENV QA QC QA

Evidence QC

Evidence

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 Review

• Review to confirm that technical report is complete and accurate

• Review completed and comments and responses are included in project file

Public

Meeting/

Hearing

Summary and

Analysis

Report

• Summary and Analysis Report and comments and responses are included in project file

Prepare Draft

Environmental

Document

Examples include:

• Evidence of collaboration






ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Administrative

Completeness

Review and

Determination

• Administrative Completeness Review Checklist completed and included in project file

• Administrative Completeness Review Checklist

DEIS Review

for Readiness


• Comment Response Matrix prepared and included in project file


Legal Review

(Office of

General

Counsel)

• Legal review completed and review statement included in project file

Document

Certification

• Environmental Document Certification Form signed and included in project file


Approve for

Circulation • DEIS signed

and included in project file

FEIS Review

for Readiness







ENV QA QC QA

Evidence QC

Evidence

Forms/ Notices/

Publications

Legal

Sufficiency

Review

• Legal sufficiency determination completed and statement included in project file

Certify Final

Environmental

Document



Environmental

Decision

• ROD signed and included in project file

• NOA posted in state and federal registers and included in project file



Appendix B: Environmental Compliance Process Flowchart



Appendix C: Revision History

The following table shows the revision history for this guidance document.

Revision History

Effective Date Month, Year

Reason for and Description of Change

March 2015 Version 1 was released.

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