Guidance for Managing NEPA-Related and Other Risks in Project Delivery, Volume 1: Guide for Managing NEPA-Related and Other Risks in Project Delivery (2012) / Chapter Skim
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From page 15... ...
13 | P a g e 3 Identifying and Developing Strategies to Address NEPA Risks As part of this research effort, a "practitioner workshop" was developed and held in Washington, DC on March 15, 2011, to validate NEPA risks catalogued in a literature review, and receive input on how effective risk management strategies could be developed and implemented. See Appendix A for a summary of the workshop proceedings.
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14 | P a g e 7. Right-of-Way (ROW)
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15 | P a g e Brainstorming Process of Risk Identification Brainstorming is a widely-accepted procedure for identifying risks, and one that was replicated in the practitioner workshop, which specifically used a "structured brainstorming" process. The goal of brainstorming is to generate ideas, solicited from the broadest possible cross-section of experienced people involved in a project's development.
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From page 18... ...
16 | P a g e Table 1 NEPA Risks in the Planning Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Purpose and need defined too narrowly, which can lead to an improper narrowing of reasonable alternatives • Consultation with FHWA officials • Practicing Planning and Environmental Linkage (PEL)
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From page 19... ...
17 | P a g e Table 1 NEPA Risks in the Planning Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Project goals that are too vague or too broad, creating risk of preferred alternative not meeting goals • Consultation with FHWA officials • Practicing Planning and Environmental Linkage (PEL)
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From page 20... ...
18 | P a g e Table 1 NEPA Risks in the Planning Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? The segmentation and logical termini of the project excludes related transportation problems; The segmentation/logical termini of the project creates a project that is overly complex and/or too expensive to build • Consultation with FHWA • Quantify with planning-level cost estimate tools • Document the use FHWA criteria in choosing logical termini during the purpose and need formulation • Use early cost estimate tools to avoid the creation of "mega" projects which are difficult to develop, or too expensive to develop • Project manager, in consultation with DOT executive leadership Using known environmental issues to eliminate alternatives, which could unfairly bias the eventual preferred alternative • Consultation with FHWA • Practicing Planning and Environmental Linkage (PEL)
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19 | P a g e Table 1 NEPA Risks in the Planning Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Having too narrow a range of alternatives to evaluate • Consultation with FHWA • Practicing Planning and Environmental Linkage (PEL)
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20 | P a g e Table 2 NEPA Risks in the Priority Setting and Programming Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Inaccurate cost estimates provide a public "benchmark" of project cost, and perceptions of cost overruns • Estimating software (e.g., Transport Estimator®)
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21 | P a g e Table 2 NEPA Risks in the Priority Setting and Programming Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? • Bifurcate planning/development program from construction program; and do not program construction funding until an environmental document is cleared (Maryland State Highway Administration example)
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22 | P a g e Table 2 NEPA Risks in the Priority Setting and Programming Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? projects which might not be viable.
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23 | P a g e Table 3 Risks in the Preliminary Design Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Inadequate level of preliminary design activities can lead to proposed actions which have unknown engineering complexity • Use risk management checklist to identify risk • Ensure that there is collaboration between NEPA specialists and technical/engineering specialists.
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24 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Organized opposition to the project, including significant grassroots, funding, and/or legal resources Lack of Political and Stakeholder Consensus • Use risk management checklist to identify risk • Aid political and stakeholder consensus by using the following tools and techniques: o Stakeholder teaming and partnering agreements o Public involvement planning, implementation, and documentation • Multi-disciplinary team to effectively address stakeholder issues with a strong project manager o Include assigned project support staff • Project manager • DOT executive leadership
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From page 27... ...
25 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Lack of understanding of NEPA process by project stakeholders Giving too much authority, or perceived authority, to stakeholder groups such as Citizen Advisory Committees State or local governments attempting to "legislate over" NEPA • Use risk management checklist to identify risk • Adopt adequate processes and procedures as part of project development manuals o Include example guidelines and models o Convey clear understanding of "what" project development is and "how" it is carried out o Clearly convey what the role of stakeholders is in project development and decision making • Project manager and environmental specialists Failure to consider public transit or other modes • Use risk management checklist to identify risk • Travel demand modeling to quantify modal alternatives • Ensure adequacy of the purpose and need statement for the project • Include public transit agencies (and other modal agencies)
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From page 28... ...
26 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Study area and boundaries which create a project too large to fund • Estimating software (e.g., Transport Estimator®)
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From page 29... ...
27 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Inadequate compliance with NEPA procedures • Use risk management checklist to identify risk • Document project management plans which address NEPA compliance process and schedule • Develop a project-specific plan for the administrative record of the NEPA decision • Project manager and environmental specialists Maintaining an adequate record of, and responding to, public comments • Use risk management checklist to identify risk • Create and maintain an electronic record of public comments and responses • Develop standard response templates for responding to public comments • Categorize public comments to classify the subject matter and strength of public opinion about certain issues • Consider/respond or develop plan to address concerns raised • Project manager and environmental specialists • Project public involvement coordinator (DOT or consultant)
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28 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Addressing resource agency comments • Use risk management checklist to identify risk • Programmatic agreements with resource agencies for specific issues can decrease the volume of comments received for each project • Early coordination with resource agencies particularly cooperating and participating • Advance technical studies to address agency concerns early • DOT executive leadership should be involved in programmatic agreements with resource agencies as an overall streamlining and risk management tool • Project manager and environmental specialists
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29 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Being overly responsive to resource agency comments; or Being overly agreeable -- making any commitment to advance the project • Use risk management checklist to identify risk • Develop the ability to defend decisions without creating conflicts o Refer to previouslydeveloped agreements with the resource agency(ies)
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30 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Differences in NEPA processes and interpretations between federal agencies such as FHWA, FTA, and FRA • Consultation with FHWA • Develop procedures that clearly define these different interpretations and how to manage them • Develop partnering agreements among all stakeholders and federal agencies early in the project development process • Request and establish the "lead federal agency" which is most appropriate and/or advantageous for project development • Clearly establish appropriate cooperating and participating agencies • Project manager and environmental specialists
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31 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Legal and regulatory changes during the life of project development, leading to • need to account for new information • risk of resource studies growing outdated • Use risk management checklist to identify risk • Environmental management systems can aid in and streamline permit and document reviews, and "automate" compliance activities to the degree practical • Project management offices and teams can effectively manage the workload and changes in regulatory requirements, which apply to a portfolio of projects • Identify necessary reevaluation activities to address regulatory changes • Project manager and environmental specialists • DOT executive leadership should be aware of this risk, and their role in program delivery, so that projects do not languish in the DOT "pipeline"
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32 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? The capacity of resource agencies to provide a timely review of environmental, especially if there are large, temporary expansions of a DOT's program New resource agency staff require time to understand the transportation process Resource agency staff unavailable to attend meetings, due to low staffing levels or lack of travel funding • Use risk management checklist to identify risk • Programmatic agreements with resource agencies for specific issues can decrease the volume of comments received for each project • The State DOT can fund positions in resource agencies (e.g., State Department of Environmental Protection; US Army Corps of Engineers; US Fish and Wildlife)
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33 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Adversarial relationship with resource agencies "Passive-aggressive" behavior to delay DOT progress in project development • Use risk management checklist to identify risk There are several strategies which can improve the relationship between State DOTs and resource agencies: • Funding positions in resource agencies develops a collaborative relationship in review of environmental documents • Help fund improvements -- such as GIS resource databases -- which provide benefits resource agencies and eases administrative burdens associated with NEPA review; this action can also build goodwill between the DOT and resource agency • Specific teaming agreements, on a project or program basis, help to reinforce the relationship between the State DOT and resource agencies, and reinforce resource agency boundaries • Be responsive, rationally and collaboratively address agency concerns early • Work with the lead agency to address agency commentary and place it in context • DOT executive leadership • Project manager and environmental specialists
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From page 36... ...
34 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Difficulty in weighing different types of impacts, e.g., agencies not agreeing on which impacts are more important • Use risk management checklist to identify risk • Create matrices to compare resource impacts and weigh against project purpose and need • Allow resource agency leadership to coordinate among each other to resolve conflicts • Involve the lead agency as the ultimate decision maker • Project manager and environmental specialists
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From page 37... ...
35 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Growing intolerance for any project impacts • Use risk management checklist to identify risk • Develop the ability to defend decisions without creating conflicts o Refer to previouslydeveloped agreements with the resource agency(ies)
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From page 38... ...
36 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Poor readability of the environmental document • Use risk management checklist to identify risk • Follow guidelines for "user friendly" environmental documents • Use templates for certain documents, such as Categorical Exclusions • Exercise quality control, hold the preparers accountable for a quality product • Project manager and environmental specialists • Consultant involved in document preparation Inadequate decision rationale or recordkeeping • Use risk management checklist to identify risk • Train staff and implement process to create and maintain administrative record for projects • Use environmental management systems to automate and streamline recordkeeping • A strong project manager responsible for assuring adequate record keeping of decision making documentation • Project manager and environmental specialists • Consultant involved in administrative record
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From page 39... ...
37 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Need for new analysis, including the identification of new alternatives • Something was "missed" in original evaluation • Unanticipated issues affect alternatives analysis • Post-ROD changes in project design • Politically-motivated alternatives arise • Use risk management checklist to identify risk • Calculate the cost and time delay of considering new alternative • Practicing Planning and Environmental Linkage (PEL)
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38 | P a g e Table 4 Risks in the NEPA Phase of Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Developing projects "at risk," prior to approval of environmental document: Where agencies decide to proceed with detailed design, right-of-way, utility and construction activity prior to the ROD (with non-FHWA funds)
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39 | P a g e Table 5 NEPA Risks in the Final Design Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? "Hand-off" of preliminary design to final design team: Where there is separation between the preliminary design team and final design team (which is possible due to the time required for NEPA approval)
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40 | P a g e Table 5 NEPA Risks in the Final Design Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Identifying new technical constraints: The final design phase identifies engineering issues with more precision and can uncover new constraints, which impact the preferred alternative and possibly require revisiting the NEPA decision • Use risk management checklist to identify risk • The best way to address this risk is in early phases of project development, with adequate level of preliminary design to compliment NEPA decisions • Develop a clear reevaluation process to ensure timely management of potential issues • Environmental specialists have continued coordination with Final Design and Permitting team • Project manager and environmental specialists
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41 | P a g e Table 5 NEPA Risks in the Final Design Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Value Engineering: The value engineering (VE)
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42 | P a g e Table 6 NEPA Risks in the Environmental Permitting Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Regulatory Loop: 401/404 permitting process can identify impacts which require mitigation outside of the project footprint, thus requiring additional environmental analysis • Use risk management checklist to identify risk • Coordinate permitting requirements early in the environmental process • Develop agreements with resource agencies for the merger of the NEPA and 401/404 process • Project manager and environmental specialists • DOT executive leadership need to be aware of the benefits of NEPA-401/404 process merger and use their executive position with their resource agency counterparts to effectuate change
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43 | P a g e Table 6 NEPA Risks in the Environmental Permitting Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Uncertainty of Resource Requirements Agencies require development of a mitigation plan at the time a permit is submitted, meaning that DOTs have to identify land to be acquired, without certainty they can actually acquire it During the right-of-way acquisition process, owners can reject an offer from the DOT for any reason (many states do not have authority for imminent domain for environmental mitigation)
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44 | P a g e Table 6 NEPA Risks in the Environmental Permitting Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Resource agencies requiring their own "resource specific" mitigation, rather than having one site (e.g., wetland)
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From page 47... ...
45 | P a g e Table 6 NEPA Risks in the Environmental Permitting Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Environmental Resource Conflicts: Some permits can directly contradict the decisions made in the NEPA process • Use risk management checklist to identify risk • Coordinate permitting requirements early in the environmental process • Develop agreements with resource agencies for the merger of the NEPA and 401/404 process • Involve permitting agencies in NEPA – coordinate, consult and seek concurrence • Carry agency decisions made in project development into design and permitting – documents are viewed as a continuum • Some risks can be avoided by additional preliminary design (now allowed by FHWA)
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From page 48... ...
46 | P a g e Table 7 NEPA Risks in the Right-of-Way Acquisition (ROW) Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk?
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From page 49... ...
47 | P a g e Table 7 NEPA Risks in the Right-of-Way Acquisition (ROW) Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk?
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48 | P a g e Table 8 NEPA Risks in Utilities Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Unknown Utility Impacts: Where there is an underinvestment of utility identification and engineering, including relocation cost estimating, there is a risk that an alternative with inordinate utility relocation costs will advance as the preferred alternative, all other things being relatively equal • Use risk management checklist to identify risk • Scope utility impacts into preliminary design activities and consultant contracts • Involve utility companies at major concurrence points in the project development process • Enhance NEPA phase survey requirements • Project manager and utilities specialist Utility Relocation not cleared in Environmental Document: There are consequences to budget and schedule if utility relocation was not considered or cleared in the NEPA document • Use risk management checklist to identify risk • Involve utility companies at major concurrence points in the project development process • Document utility placement better, so it is available during earlier stages in development • Project manager and utilities specialist
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49 | P a g e Table 9 NEPA Risks in the Construction Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Executing NEPA commitments: Depending on the complexity of the project, there can be numerous environmental constraints placed on the contractor, such as seasonal restrictions, restrictions on work in environmentally sensitive areas, and habitat protection • Use risk management checklist to identify risk • Separate out critical NEPA commitments and permit conditions in a section of the construction plans and notes • Insert a plan note for the contractor to assign a specific person for environmental compliance issues or to contact appropriate DOT personnel • Ensure mechanisms are in place to transmit commitments from NEPA to future phases • Project manager and DOT construction work unit (e.g., office, division)
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From page 52... ...
50 | P a g e Table 9 NEPA Risks in the Construction Phase Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Constructability issues with the preferred alternative; failure to consider temporary construction impacts • Use third-party constructability specialists to review impacts • Perform constructability reviews at appropriate stages of project development to evaluate constructability impacts • Project manager in consultation with DOT construction management and environmental specialists Risk Related to Contractor Productivity: NEPA commitments can place restrictions on a contractor's ability to efficiently build projects, with attendant schedule and cost risks.
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From page 53... ...
51 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Project Manager's Experience and Competency: Many good transportation project managers have honed their skills over a number of years, perhaps as an understudy on various project management assignments • Use risk management checklist to identify risk • Establish and commit to a project manager training program within the DOT, with various competencies required depending on the construction value of the project • Recruitment and selection of project managers based on people and project management skills in addition to technical skills • DOT executive leadership Project Manager's Workload: Even with competent project managers, individuals might not be dedicated to a specific assignments, and instead might have time diverted to other projects or administrative duties • Use risk management checklist to identify risk • Establish project management offices for the most complex project development efforts, and promote knowledge transfer among DOT colleagues in the office • DOT executive leadership
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From page 54... ...
52 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Turnover in Project Management: Project managers can turnover due to changes in agency leadership or attrition.
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From page 55... ...
53 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Cumulative Risk Effects of Poor Project Management: If project management is deficient, a variety of NEPA risks -- and other project management risks -- can compound to detrimental cumulative effect • Use risk management checklist to identify risk • Establish and commit to a project manager training program within the DOT, with various competencies required depending on the construction value of the project • Establish project management offices for the most complex project development efforts, and promote knowledge transfer among DOT colleagues in the office • Strong training and mentoring programs • DOT executive leadership
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From page 56... ...
54 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Lack of effective conflict resolution process • Use risk management checklist to identify risk • Develop in-house conflict resolution training program to build staff capacity and competency • Hire neutral third parties to resolve conflicts that surround an individual project or set of issues with a resource agency • Early involvement of the lead agency • DOT executive leadership • Project manager Perception of risk, and risk averse behavior Fear of deploying nonstandard solutions, e.g., design exceptions • Use risk management checklist to identify risk • Develop project management processes that include risk management protocols • DOT executive leadership
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From page 57... ...
55 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? Lack of uniform project management and risk management tools • Use risk management checklist to identify risk • Develop project management guidance • Training and certification of project managers • Implement a project management system to aid and automate project management activities • DOT executive leadership
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From page 58... ...
56 | P a g e Table 10 NEPA Risks in Project Development Title of NEPA Risk Data and Methods for Risk Analysis Potential Risk Management Actions Risk Allocation: Who should Address Risk? History of contentiousness with the project: if there is organized opposition, and/or if the project has had a history of controversy, it is more likely to face litigation.
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