One aspect of ensuring environmental stewardship involves maintaining an organizational awareness of legal and other requirements. As regulations are subject to change over time, and as new regulations are promulgated by regulatory agencies, periodic reviews of regulations should occur to stay current on compliance requirements. Likewise, facility operations can change over time, and must also be periodically reviewed to ensure that operations subject to regulation are conducted in compliance with such regulations. DOTs identify and maintain awareness of requirements in this constantly evolving context of regulations, industry standards or best practice, and community expectations. Legal requirements comprise the base minimum of the latter. Hence, some DOTs have developed specific processes for keeping construction and maintenance staff abreast of these changes.

In many cases, a DOT's central environmental office includes specialists who each keep abreast of regulatory changes (and often best practices in the field) in each of their specialty areas. Historically, AASHTO's Environmental Technical Assistance Program has assisted state DOT specialists in this area through the provision of regular newsletters devoted to keeping specialists informed of changes in their field. Now, a variety of on-line resources are increasingly available.

On a formal or informal basis, DOT specialists and/or DOT environmental managers usually ensure that regulatory changes are communicated upward or across their organizations to Regions or Districts, for further dissemination among maintenance, construction and environmental staff. Annual, quarterly, and/or monthly meetings provide other avenues for dissemination of important changes in regulatory requirements and environmental expectations. Frequently, annual trainings and refresher courses provide updates. (See section 2.7, Environmental Training and Certification for further details).

AASHTO's Center for Environmental Excellence presents a brief overview of environmental regulations in a variety of DOT functional areas and environmental media, along with recent regulatory developments at http://environment.transportation.org/.

In 2003, EPA funded a new web-based Construction Industry Compliance Assistance Center (CICA center) developed in partnership with the Associated General Contractors of America, the American Road and Transportation Builders Association, and others. The website, http://www.cicacenter.org , provides plain-language explanations of applicable regulations, as well as links to state and local regulatory agencies. A 1999 EPA study found that out of approximately 60,000 construction starts that were subject to the stormwater control regulations, roughly two thirds lacked the necessary permits. While DOT environmental staff ensure their agencies have a much higher rate of compliance, the site's tools may still be useful to DOTs and contractors in particular. The environmental compliance tool at the site http://www.cicacenter.org/cs.cfm is designed to alert the user to environmental responsibilities and contracts specific to one's project and location. DOTs have developed similar tools as part of the project development and project screening process. Perhaps the most notable DOT tool nationwide for screening projects and identifying environmental issues, not just pertinent regulations, is the Florida DOT's Efficient Transportation Decision-making System. A process overview, guidelines, and tools are available at Florida DOT's Environmental Streamlining Library.

Mass Highway's EMS manual discusses the environmental laws and regulations that apply to operations at maintenance facilities, and the procedures for identifying proposed and new regulatory changes that affect these operations. Mass Highway routinely reviews federal and state regulatory information sources to stay current on compliance requirements. The agency maintains an Environmental Requirements List, which identifies federal and state environmental regulations applicable to Mass Highway Maintenance Facilities and covers a wide variety of environmental compliance areas including Air Quality, Hazardous Materials and Hazardous Waste, Tanks, Waste Site Clean-up (21E) and Solid Waste Landfill Closure, Water Pollution Control/Underground Injection Control/Drinking Water Supply (Water Quality), Wetlands, and Asbestos. Mass Highway's procedure and roles and responsibilities for managing the Environmental Requirements Component of the EMS are described below, and may be used as a model for other state DOTs. [N]

Example 1 : Mass Highway Process for Managing Environmental Requirements

Procedure
During the course of the year, the Environmental staff, as summarized in the following table, is responsible for monitoring proposed regulations and policies applicable to current Mass Highway operations. Regulatory monitoring may include but not be limited to periodic review of DEP, EPA and Federal Register websites for information on new or upcoming regulations. Also reviewed are the existing Codes of Massachusetts and Federal Regulations (CMRs and CFRs ). Changes in facility operations will be identified through periodic inspections performed by DHC's and through regular communication between Highway Operations, District, and Environmental Section staff.

Environmental staff regularly report information to the Supervisor of the HazMat/HazWaste Unit, and/or the Supervisor of the Wetlands Unit regarding the status of changed or new regulations, or regarding identified changes in facility operations subject to regulation. The Supervisor of the HazMat/HazWaste Unit and the Supervisor of the Wetlands Unit in turn report regularly to the Deputy Chief Engineer Environmental regarding the regulation status and the potential effect on maintenance facility operations. The Supervisor HazMat/HazWaste Unit convenes periodic meetings with the DEP Regional and Policy staff to review pending regulatory changes that may affect Facility operations.

The Supervisor HazMat/HazWaste Unit determines whether revisions are needed to the Environmental Requirements List, and if so, requests approval from the Deputy Chief Engineer Environmental to revise the list and propose necessary changes to maintain compliance. The need for any additional equipment and resources is coordinated within the Department, as applicable. Upon receipt of the Deputy Chief Engineer Environmental directive, the Supervisor HazMat/HazWaste Unit prepares the necessary revisions, posts the revised Environmental Requirements List on the Mass Highway intranet, and informs the Environmental Section staff of the changes to the list and their respective implications on other EMS components.

Each year, the Supervisor HazMat/HazWaste Unit or other Designee coordinates a meeting to review the current Environmental Requirements List and Requirements Program procedures. The meeting will be convened with the Environmental Section Supervisors and Highway Operation's staff and Safety and Security staff between November and January to coincide with the Facility Environmental Handbook, Maps and Standard Operating Procedure review process. The criteria for the review include opportunities to improve effectiveness and efficiency. The Supervisor HazMat/HazWaste Unit collects the comments and reports recommended revisions to the Deputy Chief Engineer Environmental.

Roles and Responsibilities
The following table presents a summary of the roles and responsibilities for review and development of the Environmental Requirements List.

A number of other DOTs post and maintain information on environmental laws and regulations on-line, convey information at monthly meetings, or publish internal newsletters to keep those in the field abreast of regulatory changes and expectations. Caltrans has some excellent examples. In addition to the agency's notable stormwater pollution prevention bulletins for construction, post-construction, and maintenance, the agency offers a weekly one page newsletter on water quality issues and regulatory changes that can be accessed from Caltrans' on-line stormwater publications page

The importance of maintaining organizational awareness of legal and other requirements is recognized by international standards and is included in ISO 14001 section 4.3.2, which states that an "organization shall establish and maintain a procedure to identify and have access to legal and other requirements to which the organization subscribes, that are applicable to the environmental aspects of its activities, products or services.

Most commonly, DOTs track who in the organization has received various sorts of training, including environmental regulatory awareness training. Some DOTs are tracking the training of contractors now as well, as a mechanism for ensuring higher quality products and services.

In evaluating the organization's process for maintaining organizational awareness of legal and other requirements look for:

• Established ways or procedures to identify and understand legal requirements as well as changes to those requirements.
• Established ways or procedures to stay abreast of other requirements, commitments, or even industry best practice, if that is an organizational priority.
• Demonstrated access to and knowledge of changes in those requirements by the work force.

In order to identify areas of focus for environmental improvement efforts in construction and maintenance, some DOTs have undertaken planning processes to identify environmental aspects of their business, and which of those aspects have significant impacts on the environment and should be prioritized for future action. Environmental impacts of construction and maintenance activities may include surface or ground water contamination, degradation of air quality, noise or light pollution, use of raw materials and depletion of natural resources, production of wastes, spills to the environment, habitat or species reduction or extinction, human health impacts, and consumption of energy. Usually such impacts are under the control of the DOT or can be influenced by the DOT, in which case the next step is for the agency to explore: are the impacts significant? If so, the organization can plan to address and reduce those impacts if so desired.

In considering aspects of an agency's work and the potential significance of environmental impacts, the lifecycle of products may be considered, as well as historic, current and planned activities, and normal and emergency operating conditions. Environmental impacts may also be actually occurring or have the potential to occur. In evaluating the significance of impacts, an organization may consider severity (scale and duration), occurrence frequency or likelihood, detection and degree of control over that, potential costs, regulatory or legal exposure, impact on customers, effect on public image, effect on ability to expand or change operations, and loss of productivity. Some agencies have gone so far as to characterize and quantify their inputs and outputs in raw materials, air, land, water, visual, and noise, but decision-making regarding environmentally significant aspects and impacts of the business does not require this level of detail. The scope of investigation is up to the agency, though as in NEPA, the agency should be able to show consideration of existing data and stakeholder concerns.

At the broadest level, environmental aspect identification can touch on more remote areas that some stakeholders believe DOTs can influence, such as land use or land consumption, a measure used by Canada in assessing transportation sustainability (see discussion on sustainability indicators in section 2.5, Measuring Environmental Performance). However, organizations control the scope of their aspect and environmental impact identification and the subsequent planning process. Washington State DOT, Maine DOT, New Hampshire DOT, and PennDOT have all undertaken processes to identify environmental aspects and impacts of their operations, to varying degrees.

Establish and maintain a procedure to identify the environmental aspects of the organization's activities, products or services that it can control and over which it is expected to have an influence.

• Review activities, products, and services to determine the aspects and related environmental impacts. The selected method used by the team must ensure that appropriate representation is present to provide adequate knowledge of environmental impacts and section or site operations. List all identified aspects.
• Determine significant aspects. Decide on a process to identify those aspects that have or can have significant impacts on the environment by, establishing criteria for determining significance. Significance criteria may be based on the severity, frequency, and probability of each impact under normal, abnormal, and emergency conditions. The team or consultant should apply a standard method to rate the aspects using the criteria, scoring each aspect and defining a minimum value for significance.
• Ensure that aspect information is considered when establishing the environmental objectives. Note that not all significant aspects need to have an objective and target, as some significant aspects are addressed in the EMS through operational control.

Environmental Aspects information is kept up-to-date through annual re-evaluation and incorporation of EMS team involvement in site process changes, changes in materials used, and/or modifications to evaluate changes to environmental aspects.

WSDOT conducted an analysis to compare the department's present environmental management practices with those of the ISO 14001 standard and to identify gaps. WSDOT also conducted an Activity/Impact (i.e., "Aspects") Analysis, which included a series of workshops with WSDOT personnel. The report and database produced out of the workshops rank activities and impacts by various criteria (e.g., frequency of activity, whether positive or negative impact etc.) to aid WSDOT in further decision-making and prioritization with regard to environmental objectives. WSDOT noted that while sophisticated tools are available for aspects and impacts analyses, the final decisions still came down to two questions: what poses an immediate compliance risk and what poses the most significant long term environmental risk? [N]

New Hampshire DOT's Bureau of Traffic developed simple criteria to identify significant environmental aspects of operating the Department's Bureau of Traffic. The Bureau's procedure for identifying "aspects of activities, products, or services that constitute a significant impact upon the environment," requires consideration of: [N]

• Any activity of the Bureau that is expressly regulated by Federal or State laws, rules, or regulations.
• The use of an unregulated product that exceeds 100 gallons per year, or exceeds $10,000 in annual cost.
• Any operation that discharges to surface water any material in excess of 25 gallons, which is not immediately contained and removed within 24 hours, and that has an adverse impact on surface or groundwater.
• Any stream of solid waste that exceeds 2000 pounds a year.

The procedure further commits NHDOT, through the agency's EMS Implementation Team to regularly review and update environmental aspects:

• At least annually, review and update process flow diagrams illustrating each operation of the Bureau that generates a significant impact on the environment as defined in above.
• Review applicable legal and other requirements, as they apply to identifying significant aspects.
• Analyze all aspects of the Bureau's operations using the process flow diagrams, and other tools devised by management, such as the Significance Matrix, to assist them in identifying potential environmental aspects and impacts.
• After reaching a consensus as to the environmental aspects and impacts of their operations, and applying the significance aspect criteria, identify significant aspects of their operations.
• Develop a list of significant aspects. The list shall be reviewed at least annually to ensure that they are current and accurately reflect their operations.

PennDOT's analysis of environmental aspects of operations showed that Maintenance had the second highest potential environmental impacts after Construction. Maintenance comprises a substantial majority of PennDOT employees and the agency's operating budget. Consequently, PennDOT first tackled environmentally significant aspects of their operations in the maintenance area.

Three significant aspects scored highest in an analysis of concerns and impacts, which reviewed surface or ground water degradation, earth disturbance (erosion and sedimentation), floodplain alteration, resource consumption other than paper, waste generation and disposal, and air quality degradation (emissions of volatile and semi-volatile compounds). These three aspects provided the focus and starting point for PennDOT's pilot Environmental Management System:

• Winter services — controlling material usage associated with winter services.
• Stockpile and garage management — maintaining and operating these facilities.
• Highway maintenance — controlling and preventing erosion and sedimentation during roadside maintenance activities.

The New South Wales, Australia, Roads and Traffic Authority (RTA) undertakes environmental impact assessments for its construction, operation, and maintenance activities, in addition to project development. The RTA has committed to addressing environmental aspects in all of its activities and to continuously improving the authority's environmental performance. A primary vehicle for accomplishing this commitment is the RTA-wide environmental management system ( EMS), which "provides a structured management system to achieve and demonstrate our environmental performance." [N] A Review of Environmental Factors is an internal RTA document prepared to identify and consider environmental impacts, and from which environmental measures may be required.

Standard maintenance activities are assessed on a regular basis, usually annually. [N] Other maintenance activities are assessed in a similar way to construction activities. [N] For maintenance by contract, requirements for environmental impact assessment are to be incorporated in contract requirements and reviewed by the RTA. [N] The following tables summarize construction and maintenance activities and associated environmental aspects and impacts at the NSW RTA.

Table 1 : Maintenance Activities and Associated Environmental Aspects and Impacts at the New South Wales , Australia Roads and Traffic Authority (NSW RTA )

Table 2 : Construction Activities and Associated Environmental Aspects and Impacts at the NSW RTA

Standards and Performance Measures for Identifying Environmental Aspects and Impacts

The international standard for this process, ISO 14001 section 4.2.1, states that "[t]he organization shall establish and maintain procedure(s) to identify the environmental aspects of its activities, products or services that it can control and over which it can be expected to have an influence, in order to determine those which have or can have significant impacts on the environment." Furthermore, the organization is expected to use that information in setting its environmental objectives and make sure that information on the organization's evolving activities and potential environmental impacts is kept up to date. Thus, an EMS auditor or an organization's environmental planning process would look for:

• Procedure for identifying aspects and periodically reviewing them.
• Evidence that aspects under normal, abnormal and emergency conditions were identified.
• Cause and effect relationships between processes, aspects and impacts.
• Consistent method of determining and assigning significance to impacts.

DOTs have undertaken a variety of plans to improve environmental performance and prioritize where to focus their attention and resources. About a quarter of state transportation agencies have an agency-wide plan or process in place for improving environmental quality and performance, though only a handful of states have launched ISO14001 process or other processes for continual environmental performance improvement. [N]

Strategic planning determines where an organization is going over the next year or more, how it is going to get there and how it will know if it got there or not. Far more important than the strategic plan document, is the planning process itself. An organization's strategic planners already know much of what will go into a strategic plan or business plan; however, development of the strategic plan greatly helps to clarify the organization's plans and ensures that key leaders are all "on the same script."

In 1982, Olsen and Eadie defined strategic planning as a disciplined effort to produce fundamental decisions and actions that shape and guide what an organization is, what it does, and why it does it. [N] Like the NEPA process, strategic planning requires information gathering, an exploration of alternatives, and an emphasis on the future implications of current actions. The process has the potential to facilitate communication and participation, accommodate divergent interests and values, and foster orderly decision-making and successful implementation. [N]

Strategic planning can help an organization: [N] [N] [N]

• Think strategically and develop effective strategies.
• More systematically collect information about an organization's internal and external environment and various stakeholder interests.
• Improve organizational learning.
• Clarify future direction and purpose.
• Establish organizational priorities for action and goals and objectives consistent with mission, and define a timeframe within the organization's capacity for implementation.
• Formulate and clearly communicate strategic intention.
• Improve decision-making and the basis for it, with attention to the crucial decisions an organization faces.
• Provide a base from which progress can be measured and establish a mechanism for informed change when needed.
• Enhance performance and improve responsiveness in rapidly changing circumstances.
• Exercise maximum discretion in the areas under organizational control.

A reasonably structured and formalized planning process helps organizations gather the information necessary for strategy formulation and implementation. Like all organizational initiatives, strategic planning requires skills, resources, and commitment. Though both strategic planning and organizational long-range planning are focused on improving organizational performance, strategic planning differs from long-range planning in its focus on identifying and resolving issues.

Some state transportation agencies have sought to elevate attention to environmental concerns by incorporating environmental elements into the agency's overall Strategic Plan. State DOTs that have indicated they have a form of environmental strategic plan other than an EMS include Arizona, Indiana, Kentucky, Louisiana, Maryland, North Carolina, New Mexico, New York, South Carolina, Utah, and Virginia. [N]

NYSDOT's Environmental Initiative began in 1998 with the creation of the Environmental Initiative Statement and announcement of the initiative by the Governor. As New York State's largest public works agency, "NYSDOT affirmed its obligation and responsibility to the people of New York to protect, improve and enhance the environment;" the purpose of the initiative is to "use the organizational strengths of the Department to make an affirmative contribution to the environment" and "become an important part of the State's environmental solution…join(ing) with environmental agencies in a common purpose to advance State environmental programs." [N]

NYSDOT's Environmental Initiative has five major objectives: [N]

1. Promote and strengthen an environmental ethic throughout the Department. Staff should feel a responsibility to leave our project sites in better condition than we found them and look for opportunities to enhance New York's environment.
2. Advance State environmental policies and objectives with NYSDOT resources. Advance environmental policies as part of the Department's normal work. Fund environmental benefit projects including: stormwater retrofits, wetland restorations, habitat enhancements, recreational access, informational signs, landscaping and environmental research.
3. Partner with others to construct environmental enhancements. Pursue opportunities for joint development and incorporate environmental elements or facilities funded by other agencies, municipalities, or environmental groups into NYSDOT construction and maintenance projects. NYSDOT provides design and construction engineering support.
4. Pilot new environmental protection and enhancement methods. Cooperatively research and pilot new methods to: reduce environmental toxins, improve air quality, increase the use of recycled materials, etc.
5. Strengthen relationships with environmental agencies, organizations, and local municipalities. Improve communications, streamline permitting, share program information and conduct joint training. Gain their confidence in NYSDOT's ability to self regulate.

The initiative has created new areas of practice and expectation for NYSDOT, including the following: [N]

• Coordinate and communicate closely with State and federal resource agencies to identify opportunities to advance State and federal environmental policies, programs and objectives.
• Ensure that all necessary steps are taken in planning, design and construction to avoid and minimize adverse effects of transportation projects and operations on important elements of the environment and adjacent communities.
• Proactively plan, design, construct and maintain transportation projects in an environmentally sound manner using context sensitive design to meet transportation needs while at the same time protecting, conserving, restoring or enhancing important natural and man-made resources. Context sensitive design is the proactive approach to design that looks at the project within the context of its site, while gathering and including the public's input throughout the design process.
• Incorporate into DOT capital and maintenance projects specific design features or facilities to mitigate unavoidable adverse impacts to the environment.
• Consider and implement, as appropriate, measures to enhance natural and manmade resources above and beyond project-specific permit and mitigation requirements.
• Incorporate, where practicable, environmental projects funded by local agencies or groups into ongoing NYSDOT projects as "Environmental Betterments."
• Promote an environmental and context sensitive design ethic within all Department organizations.

To accomplish the above, NYSDOT has instituted a comprehensive process improvement program in planning, design, construction, maintenance and operation of transportation facilities, developing environmental quality assurance/control procedures and tracking performance. All Region and Main Office program areas are responsible for identifying and implementing specific actions in their areas of responsibility to incorporate the Environmental Initiative into their operating and business practices. Regions and Main Office program areas have developed Environmental Initiative Action Plans based on the goals and objectives of the Initiative and recommendations from NYSDOT's Environmental Analysis Bureau (EAB); each identifies and defines discreet tasks, schedules for accomplishing these tasks, and responsibility for each task to ensure completion. Progress on these plans is tracked monthly.

NYSDOT Regional Directors also meet regularly with their counterpart New York State Department of Environmental Conservation (NYSDEC) Regional Directors to discuss progress under the Environmental Initiative, review NYSDOT's five-year capital construction and annual maintenance program, and identify opportunities to improve resource protection and enhancement practices. NYSDOT Regional Landscape/Environmental Managers meet monthly, or as mutually agreed upon, with their NYSDEC counterparts to discuss progress, to identify specific opportunities to include resource protection and enhancement practices in NYSDOT projects, and to update lists of contact people.

The Environmental Initiative has also been identified as a component of the Department's annual Capital Program Update process. Regional Planning and Program Managers are required to include Environmental Initiative projects on their updated capital transportation program. Regions are requested to identify those projects that have environmental or context sensitive design work which goes above and beyond regular mitigation or permit requirements. Any external coordination that has occurred with outside agencies or interested groups is also identified. The agency is working with other agencies and the public to discuss and extend NYSDOT's stewardship efforts.

NYSDOT has found it is important to communicate results to the public, government officials, and regulatory agencies and to recognize employee achievements. This helps build employee "buy-in" and input and provides a foundation for enhanced relationships (and shortened review schedules and costs) with external parties. As a result of the agency's commitment and effort, NYSDOT has gained stronger, more positive working relationships with external agencies, citizens, local municipalities and other environmental groups, which in turn have avoided costs by reducing delay, litigation, frustrating rework, and wasted effort arguing contentious issues. Gary McVoy, Former Director of the Environmental Analysis Bureau, now Director of Transportation Maintenance Division said, "The environmental ethic has permeated into the planning, design, construction, maintenance and operations of transportation systems. The Department is now doing business differently instead of progressing a new concept. The Environmental Ethic is more than a vocabulary change or a volunteer effort — it's an integral part of DOT procedures." [N] Cultural change within the Department is revealed by NYSDOT's level of management support and executive leadership in conveying the environmental ethic and delivering new environmental staffing resources during a time of overall agency downsizing.

NYSDOT's pioneering commitment to environmental enhancement has made the Department a national model in the field. New York State won AASHTO's first Environmental Best Practices Competition, as well as AASHTO's President's Award, gaining an unprecedented endorsement as a leader in the delivery of environmentally sound transportation services. Department-wide environmental policies and objectives have provided the foundation on which an EMS can be based, including:

• NYSDOT Environmental Policy (MAP 1.6-3)
• Environmental Initiative Guidelines and Procedures (EI 99-026)
• Context Sensitive Solutions Engineering Instruction (EI 01-020)
• Environmental Handbook for Transportation Operations

Maryland State Highway Administration (MDSHA)'s Four Year, Managing for Results (MFR) Business Plan is updated annually and acts as the agency's roadmap by focusing on eight Key Performance Areas (KPA) for achieving the agency's mission. Environmental responsibility, stewardship, and community enhancement are key performance areas, receiving a high degree of attention from the Administrator. A central environmental stewardship council consisting of the Administrator and members from construction, maintenance, design, planning, project development, and traffic is working on development of an Environmental Stewardship Strategic Plan. The council sets goals, business plans, and action items and oversees progress and plan refinement. Their goal is to continuously sustain and improve program delivery and environmental stewardship and integrate environmental stewardship into all MDSHA organizations and activities. The business plan has provided MDSHA an avenue to ensure a funding stream to achieve the stewardship goals in these key performance areas; decisions are made to meet agency priorities encompassed in the business plan goals. [N] MDSHA's objectives, targets, and measures are detailed in later sections.

MDSHA leadership has charged all of its offices and districts to use the 2000—2004 Business Plan as a guide to formulate each area's local business plan. The local plans are made up of goals and objectives that closely relate to day-to-day activities in a way that each employee can see his or her role in achieving the goals and objectives outlined in the Business Plan. In conjunction with the business planning process, all offices and districts will implement a stewardship program by the end of 2004. As part of their local business plans, offices are already recycling paper, reducing energy usage, protecting trees, and reducing mowing. Having achieved an excellent track record in permit and environmental compliance, MDSHA is now focusing on proactive environmental improvements and community enhancement. MDSHA's Environmental Stewardship goal not only requires mitigation of environmental impacts but also seeks to create, restore, and/or preserve greenways and other natural settings wherever possible.

The business plan requires quarterly reports and quantification of accomplishments, in order to create a larger, organization-wide picture. In addition to stewardship efforts of offices and districts, MDSHA is undertaking a deeper examination of stewardship opportunities by functional areas. Senior managers will participate in a review of what their functional area is doing in each environmental resource area, and then set commitments and goals for the future, prioritize, and set a timeline for accomplishing those. MDSHA anticipates having a framework in place for the latter and a system for developing the elements or action items and tracking progress by July 2004. MDSHA is considering hiring a coordinator to supplement the efforts of the stewardship core team and especially to coordinate reporting and tracking. MDSHA also anticipates further refinements to currently used measures; for example, the agency has been tracking recycling but not any corresponding reductions in resource usage.

Communication of agency environmental priorities has been a key element of success. The Administrator is leading the way with establishing expectations for 100 percent compliance in implementation and maintenance of all erosion and sedimentation control measures in construction. When MDSHA revisited its mission, vision and values, and updated its Four Year Business Plan, a copy was sent to each MDSHA employee with an introductory letter from the Administrator. This letter explained how the Business Plan was developed and what changes have been made. For the first time, MDSHA also distributed a copy of the Business Plan to external customers , to share MDSHA's goals and encourage a partnership approach to achieve their organizational objectives. MDSHA also displays a poster of their mission, vision and values in each office; and on their intranet site; as well as through columns such as MDSHAValues and Parker's Podium in Maryland Roads, an MDSHA-wide publication.

DelDOT's Statewide Long Range Transportation Plan and overarching strategy utilizes a Transportation Investment Areas (TIA) Map developed as part of Delaware 's "smart growth" and "livable communities" commitment. The TIA Map was developed to define and direct the varying level of investment the Department would make throughout the State to support "Shaping Delaware's Future." The TIA Map places all areas of Delaware into one of three classifications: Multimodal Investment Area, Management Investment Area, or Preservation Investment Area. Behind each of these areas is an underlying philosophy describing how the Department will provide transportation facilities and services. For example, Preservation Areas were defined as areas where growth and development did not exist and was not being encouraged. As such, the transportation system in these areas would be maintained and kept safe but not necessarily expanded. As a unitary state policy, the Cabinet Committee on Statewide Planning Issues expanded the TIA Map to create a more gradual flow from one type to the next and described how all types of infrastructure, not just transportation infrastructure, would be provided. DelDOT said, "to this point, the TIA Map has served the Department well. It continues to be used to define how Department initiated plans and projects are developed, how the Capital Improvement Program is developed, and how the Department reviews and responds to regional, county and local development actions and long range transportation plans. The Plan and TIA Map support the following Livable Delaware goals:

• Direct investment and future development to existing communities, urban concentrations, and growth areas.
• Protect important farmlands and critical natural resource areas.
• Streamline regulatory processes and provide flexible incentives and disincentives to encourage development in desired areas.
• Encourage redevelopment and improve the livability of existing communities and urban areas, and guide new employment into underutilized commercial and industrial sites.
• Promote mobility for people and goods through a balanced system of transportation options.
• Coordinate public policy planning and decisions among state, counties and municipalities.

The plan update will "focus on how DelDOT's goals, strategies, policies, and actions need to change to reflect what was done under the existing plan and to support the Strategies for State Policies and Spending" and Livable Delaware." Measures for success will include the percentage of capital projects appropriate for the investment area they are being done in, as identified by the "Strategies for State Polices and Spending." The agency is continuing to assess travel times, customer satisfaction, and "the level to which people understand and agree with the way that we are building, running, and maintaining their transportation system."

DelDOT's Corridor Capacity Preservation Program and Prioritization Process for CIP projects are being used to achieve the state goal to "direct investment to existing communities and growth areas." The Corridor Preservation Program is based on maintaining rural areas, while limiting growth to those areas designated under Livable Delaware and the State Investment Strategies and involves cooperation among state agencies, key cities and counties, and The Nature Conservancy. As indicated in the "Strategies for State Policies and Spending" document, in rural areas "transportation projects will include only necessary drainage, maintenance and safety improvements, and programs to efficiently manage regional highway facilities."(SSPS, 1999). Also, the pool selection criteria for projects in DelDOT's existing pipeline are being revised to incorporate Livable Delaware's goals and strategies. Toward the goal to "protect important farmlands and critical natural resources," DelDOT will marshal their policy on sale and disposal of excess land, their wetlands mitigation banking, and scenic highways programs.

The agency has also moved ahead with "Mobility Friendly Design Standards" and is encouraging redevelopment and improving the livability of existing communities through revised policies for Context Sensitive Design, Traffic Calming, Transportation Enhancements, and the Roadside Environment. DelDOT's context Sensitive design policy (D-07) became effective on June 30, 2001. The Context Sensitive Design Policy sets aside five percent of project construction costs for improvements to the community or environment immediately adjacent to all system expansion and system management projects. This policy provides a mechanism through which the Department can respond to quality of life issues, such as aesthetics and enhancement measures for farmlands and critical natural resources, not normally addressed through a transportation improvement. A Maintenance Policy is being developed to establish responsibility for care of amenities included as a result of this policy. The policy also allows DelDOT to enter into a formal agreement with the affected community to combine funding, contributions, work, or services, at the request of the community, for coordination purposes or to achieve economies of scale. As a measure to guide progress, DelDOT is tracking the Number and percentage of new projects developed using the five percent set aside. Conduct a follow-up customer satisfaction survey, another to wrap-up our project to determine whether the affected community is satisfied with the results.

Environmental stewardship within NCDOT became a primary focus in 1999 when NCDOT's Strategic Plan for Transportation was developed and adopted through public and stakeholder input. The plan outlines numerous goals that reflect stewardship of the human and natural environments. NCDOT was subsequently designated by the Federal Highway Administration as a "TEA-21 Environmental Streamlining Laboratory," serving a model for other states. NCDOT has committed to providing for needs while protecting the State's environmental resources (see policy—NCDOT Environmental Stewardship Policy). In turn, NCDOT has institutionalized and heightened the importance of environmental stewardship through policy, organizational structure, strategic planning, process improvement and partnering.

As part of its commitment and efforts to develop and improve its processes and programs and maximize existing resources, NCDOT has undertaken several environmental process improvement efforts that utilize a structured facilitation methodology with parallels to the PLAN-DO-CHECK-ACT/MANAGE. NCDOT calls their methodology TransTIP. This methodology is structured around six incremental steps: 1) commit to the process and performance improvement; 2) select and scope the selected current process through interviews and planning; 3) analyze the current process; 4) design a new process; 5) implement the new process; and 6) manage the new process and performance. Initially NCDOT applied this approach in 2001 to the Permit Process Improvement (Merger 01 Process) and the Mitigation Process Improvement (Ecosystem Enhancement Program). Now the agency is utilizing the methodology to improve environmental department processes, maximize natural and human resources, and improve the effectiveness and efficiency of daily activities and processes, including Integration of Comprehensive Transportation Planning and Project Development Processes and Section 106 Process Improvement.

NCDOT has used the following Baldrige criteria as an environmental stewardship and management framework to inventory and assess what the agency is currently doing, and to identify gaps that exist and improvements that could create a significant return on the agency's investment. NCDOT operates on the premise that in order to systemically change the way the agency conduct business on a day-to-day basis, attention must be given to all focus areas.

• Leadership - How senior executives guide the organization and how the organization addresses its responsibilities to the public and practices good citizenship.
• Strategic planning - How the organization sets strategic directions, determines key action plans and translates the vision into action.
• Information and analysis - The management, effective use, and analysis of data and information to support key organization processes and decision-making.
• Process management - Aspects of how key production/delivery and support processes are designed, managed, and improved.
• Human resource focus - How the organization enables its workforce to develop its full potential and how the workforce is aligned with the organization's objectives.
• Business results - Organization's performance and improvement in its key business areas: customer satisfaction, financial performance, human resources, partner performance, and operational performance.
• Customer focus - How the organization determines requirements and expectations of customers.

In addition to the seven Baldrige categories, NCDOT added the criteria of "trusting partnerships" as an eighth category for evaluation and improvement since many of the environmental processes used to deliver transportation projects are implemented in cooperation with others.

• Trusting partnerships - How effective the organization is in building trusting partnerships, maintaining and enhancing communication, establishing mutual goals and conducting collaborative problem-solving.

Some examples of NCDOT's environmental programs and institutional initiatives include:

• The creation of the North Carolina Board of Transportation's Environmental Committee and appointment by the Governor of the first Transportation Board Member with the designated responsibility of representing environmental issues. NCDOT also appointed the department's first Deputy Secretary for Environment, Planning, and Local Government Affairs and created NCDOT's Office of Environmental Quality (OEQ) to help execute the agency's environmental policy (Leadership).
• Development of NCDOT's Strategic Plan for Transportation, which includes environmental goals and objectives, through public and stakeholder input (Strategic Planning).
• Expansion of the North Carolina's Geographic Information Survey, in collaboration with state and federal resources agencies, for the use in early identification of sensitive environmental resources and the avoidance and minimization of impacts (Information and Analysis).
• Documentation, analysis and reengineering of project development, permitting and mitigation processes to achieve the timely delivery of NC's transportation program while protecting the environment (Process Management).
• NCDOT's funding of over 30 positions in state and federal resource agencies for the purposes of early identification and resolution of environmental issues associated with the planning, construction and maintenance of transportation facilities (Human Resource Focus).
• Metrics and associated performance measurement related to NCDOT's Erosion and Sedimentation Control Program (Business Results).
• Shared transportation and environmental decision-making with federal, state and local agencies to provide transportation facilities that fit into the surrounding environment (Customer Focus).
• Partnership between NCDOT and NC Department of Environment and Natural Resources that includes establishing of mutual goals and developing and implementing one- and three-year joint work plans (Trusting Partnerships).

NCDOT liked the Baldrige criteria as a framework for environmental management because it built on what the agency was currently doing. The use of existing momentum and support for current initiatives encouraged synergy that NCDOT contrasted to "starting a new program that creates anxiety associated with change." The model was easily understood and communicated. NCDOT's quality manager felt that the use of Baldrige criteria as a framework for organizing programmatic and institutional environmental initiatives established a solid foundation for future organizational change. [N]

NCDOT has numerous environmental stewardship activities that have been institutionalized through development of departmental policy, changes in organizational structure, development of formal and informal partnerships, process improvement and redesign, strategic planning, and performance measurement. As of April 2004, NCDOT also decided to hire an EMS coordinator for the department to develop, implement and monitor EMSs; facilitate the development of tracking and reporting systems for environmental-related programs and processes; and to provide training and internal consulting on EMS. The EMS coordinator will assist in the management and facilitation of process improvement activities, and hence the agency has sought staff with expertise in ISO 14001, ISO 9000 and/or Baldrige Assessment. [N]

The Pennsylvania Department of Transportation (PennDOT) has a long history of performance measurement within a strategic planning framework. The National Research Council recognized PennDOT as one of the first public transportation agencies to adopt a strategic management system. The National Academy of Public Administration has reported on this work, a summary of which is included in this section.

Incorporating the environment into the agency's Strategic Plan became a key objective for PennDOT following the Governor's Green Government Council, which called on agencies to strive for continuous improvement in environmental performance with the goal of zero emissions." [N] PennDOT led the way among Pennsylvania agencies in implementation of Strategic Environmental Management within the state.

PennDOT's SEMP provides a mechanism for continuous improvement of PennDOT's environmental performance, a systematic approach to monitor effectiveness, and corrective action for nonconformance. Each PennDOT division now incorporates SEMP objectives, actions, measures, and targets into their annual business plans under their high level goal of "Demonstrate sound environmental practices," within the Quality of Life strategic focus area. Business plan objectives further detail priority tasks and strategies, deliverables, measure/review cycles, and potential barriers regarding this goal. A "Green Smiley Face" draws attention to environmental objectives, measures, and targets throughout the business plan. (See further information on PennDOT's process under the objectives and targets of this report.) In a 2001 presentation at the TRB annual meeting on PennDOT's strategic planning and performance measurement improvement effort, PennDOT Secretary Brad Mallory discussed key aspects of PennDOT's approach. Heading the list were: top leadership engagement throughout the process, broad organizational participation with ongoing feedback, and an "adapt, don't adopt" philosophy toward best practices. [N] The next year at TRB, Secretary Mallory discussed significant gaps the initiative was addressing, including uneven deployment of management with measures; lack of fresh data and analysis of strengths, weaknesses, and opportunities for some categories; and lack of alignment with many individual employee work plans. [N]

PennDOT has seen progress in addressing maintenance needs and has seen customer satisfaction rise. According to PennDOT's Director of Fiscal Management and team leader for the agency's strategic planning and performance measurement improvement effort, the agency has also benefited from consistent gubernatorial and legislative policies, customer and stakeholder support, and innovative agency leadership― factors that led to a multi-modal funding package that provides the current level of financial stability. As a result, PennDOT's strategic planning and performance measurement process have persisted across administrations, helping incoming leadership teams shape and implement transportation programs to advance the agency mission.

The New Brunswick DOT Strategic Plan (Protecting the Environment Element of NBDOT Strategic Plan) includes goals, objectives, and measures for protecting the environment. NBDOT has outlined their current challenges as:

• Minimizing the impact of highway construction and maintenance on the natural environment.
• Engaging the public and stakeholders in productive discussions aimed at resolving specific transportation-related environmental issues.
• Meeting commitments to monitor the effects of transportation on the environment.
• Working with regulatory authorities to ensure the timely acquisition of environmental approvals.

To respond to those, Strategic Objectives for 2002 — 2005, for Goal 7 ― Environmental responsibility and proactivity are:

• To integrate the concepts of continuous improvement, environmental protection and
  pollution prevention in all aspects of DOT's work.
• To take special steps to protect the environment surrounding DOT's maintenance facilities.
• To ensure all field staff have appropriate training in environmental protection.
• To investigate new, environmentally responsible technologies and methodologies.

NB DOT developed an Environmental Protection Plan, Environmental Field Guide and Standard Specifications to assist the agency in taking proactive and responsive approaches to environmental protection.

The New South Wales, Australia, Roads & Traffic Authority (RTA) Corporate Strategic Plan outlines the requirements of the New South Wales Government for the RTA's environmental performance, that is, to minimize adverse impacts on the natural and built environments. This requirement is in addition to meeting all statutory obligations and demonstrating due diligence in all activities which may affect the environment. The RTA's Environment Policy sets out general processes to achieve these requirements and to continuously improve its environmental performance, one of which is the RTA's Environmental Management System (EMS). Through the agency's EMS, the RTA is committed to integrating environmental issues into all of its activities and to continuously improving its environmental performance. The development and implementation of the EMS has been organization wide, and has provided a structured management system to achieve and demonstrate our environmental performance.

Resources Developed by DOTs for Environmental Management Systems

Organization-Wide

Massachusetts DOT

• Environmental Management System Manual
• General MassHighway Roles and Responsibilities related to EMS

• NHDOT Environmental Policy
• NHDOT Procedure for Determining Environmental Aspects and Significant Aspects

• Environmental Initiative Guidelines and Procedures

• Strategic Environmental Management Program (SEMP)

• Environmental Tracking System excerpt
• Environmental Tracking System (ETS), Pollution Prevention and Abatement (PPA) Compliance Audits, and Environmental Management System (EMS)

• Environmental Management System work plan

Planning and Project Development

• Environmental Screening Analysis, Community Impacts, and Cultural Resource Criteria,
• Florida's ETDM Process Brochure
• Florida's ETDM Process Description
• Florida's ETDM Process Diagram
• Florida's ETDM Process Matrix
• Florida's ETDM Process Progress Report
• Florida's ETDM Process Geographic Information System Diagram
• Florida's ETDM Vision Statement
• Memorandum Of Understanding
• Agency funding and operating agreements at http://fdotenvironmentalstreamlining.urs-tally.com/Library/default.htm

Maintenance Facilities and Operations

Maine DOT (MDOT)

• Best Management Practices (BMPs) for Erosion and Sediment Control, April 1999. Some practices updated in 2000. Current update will be complete in 2003. Includes BMPs for both routine maintenance operations and for major projects. Includes discussions of when and where to use them and design standards for structural BMPs.
• Environmental and Safety Policies and Procedures for the Bureau of Maintenance and Operations, MDOT, current edition April 2002. Establishes procedures for audit program and developing new procedures. Defines objective, applicability, target audience, responsible parties, requirements of each policy and procedure, and training requirements.
• Motor Transport Service Preventative Maintenance Inspection Procedures. Provides a check-off list of procedures for equipment and operator inspections.
• Safety and Environmental Management Manual for the MDOT Materials Testing Laboratories, January 2002. Contains a Chemical Hygiene Plan, Hazardous Assessments for all lab procedures, Environmental & Safety Procedures, relevant MDOT Administrative Policy Memoranda, training requirements and inspection and auditing requirements.
• Laboratory Safety Inspection Report Form. A check off list for quarterly inspections of lab practices, personal protection requirements, hazard communication, chemical handling and storage, waste handling and disposal, emergency management, ventilation, safety equipment and housekeeping.
• Safety and Environmental Management Manual for the State Ferry Service, August 2002. Includes Health & Safety and Environmental Policy for the ferry service, audit and inspection requirements, environmental & safety procedures (similar to Maintenance manual) and training requirements.
• M&O Greenbook: An Environmental Practices Guide, March 1999. New edition will be published in 2003. A small, laminated field guide for handling and disposal of hazardous materials, hazardous wastes, oil and equipment maintenance wastes, materials management, and spill prevention and response. Also includes a quick reference waste disposal guide.
• MDOT Job-Site Compliance Manual for Bridge Maintenance, updated annually. Includes Lead in Construction Compliance Plan, Waste Management Plan, medical and respiratory programs, compliance monitoring forms, and site specific checklists.
• Memorandum of Agreement (MOA) between MDOT and Maine Department of Environmental Protection, May 2003. Addresses standards and practices (mostly from BMP manual) that MDOT utilizes to comply with NPDES II requirements of the General Permit for Construction and post construction control measure of the MS4 Permit. Additionally, addresses standards and practices for compliance with State Stormwater Law.
• Supplemental Specification 656: Temporary Soil Erosion and Water Pollution Control. Specification in all project contracts that states it is the responsibility of the contractor to provide a Soil Erosion and Water Pollution Control Plan (SEWPCP) for temporary control of erosion and stormwater during construction. In general, it sites the standards required in the BMP manual, pre-construction field reviews, inspections and record keeping, compliance with the SEWPCP, payment for controls, and special requirements for instream work and sensitive water bodies
• MDOT M&O Policies and Procedures excerpt: Environmental and Safety Auditing Policy
• MDOT M&O Waste Disposal Guide excerpt: Quick Reference Waste Disposal Guide
• MDOT Ferry Service Materials Testing Policies and Procedures excerpt

• NHDOT Environmental Management Program for Sign Fabrication

• Pollution Prevention Assessment – Sample List of Deficiencies by Maintenance District
• Pollution Prevention Assessment — Checklist for Maintenance Facilities