IFB No.: HSR25-12 Fresno Station Early Works

C.2 Authority Environmental Compliance Program Manual (ECPM)

January 2020

Revision(s) Date Description 0 12/10/2025 Initial Release

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California High-Speed Rail Authority

The environmental review, consultation, and other actions required by applicable federal environmental laws for this project are being or have been carried out by the State of California pursuant to 23 U.S.C. 327 and a Memorandum of Understanding dated July 23, 2019, and executed by the Federal Railroad Administration and the State of California.

Project Environmental Document

Environmental Compliance Program Manual

January 2020

Acronyms and Abbreviations

California High-Speed Rail Authority January 2020

Environmental Compliance Program Manual Page | i

ACRONYMS AND ABBREVIATIONS

APE Area of Potential Effect

ATP Archaeological Treatment Plan

Authority California High-Speed Rail Authority

BETP Built Environment Treatment Plan

BMP Best Management Practice

Caltrans California Department of Transportation

CDFW California Department of Fish and Wildlife

CEQA California Environmental Quality Act

C.F.R. Code of Federal Regulations

CM Construction Management

CP Construction Package

CRHR California Register of Historical Resources

CVFPB Central Valley Flood Protection Board

DB Design-Build

DES Authority Director of Environmental Services

DPM Document and Permit Manager

DSB Disposal, Storage, and Borrow

ECP Contractor’s Environmental Compliance Plan

ED Environmental Document

EEC Engineering and Environmental Consultant

EIR Environmental Impact Report

EIS Environmental Impact Statement

EMMA Environmental Mitigation Management Application

ESA Environmentally Sensitive Area

HABS Historic American Buildings Survey

HAER Historic American Engineering Record

FED Final Environmental Document

FRA Federal Railroad Administration

GA Governmental Approvals

GIS Geographic Information System

IECP Contractor’s Interim Environmental Compliance Plan

LNTP Limited Notice to Proceed

MM Mitigation Measure

MMEP Mitigation Monitoring Enforcement Plan

MOA Memorandum of Agreement

Acronyms and Abbreviations

January 2020 California High-Speed Rail Authority

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NCR noncompliance report

NEPA National Environmental Policy Act

NMFS National Marine Fisheries Service

NOD Notice of Determination

NRHP National Register of Historic Places

NTP Notice to Proceed

O&M Operations and Maintenance

PA Programmatic Agreement

PCM Project and Construction Management

RC Regional Consultant

RDP Rail Delivery Partner

ROD Record of Decision

SAGA Supplemental or Amended Governmental Approval

SHPO California State Historic Preservation Officer (SHPO)

SMARA Surface Mining and Reclamation Act

USFWS U.S. Fish and Wildlife Service

WEAP Worker Environmental Awareness Program

Table of Contents

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TABLE OF CONTENTS

TERMS AND USAGE ................................................................................................... VII

INTRODUCTION

Components of the Environmental Compliance Program

1 PROGRAM POLICIES

1.1 Roles and Responsibilities

1.1.1 Multilevel Environmental Staff Groups

1.1.2 Other Contractors (Third Party)

1.1.3 Environmental Compliance Task Summary

1.2 Environmental Compliance Mechanisms

1.2.1 Contractor’s Environmental Compliance Plan

1.2.2 Interim Environmental Compliance Plan

1.2.3 Environmental Compliance Report

1.2.4 Environmental Re-Examination Process

1.2.5 Permit Amendments

1.2.6 Permit Fact Sheet

1.2.7 Preconstruction Surveys

1.2.8 Construction Monitoring

1.2.9 Programmatic Agreement, Memoranda of Agreement, and

Archaeological and Built Environment Treatment Plans

1.2.10 Environmental Compliance at Disposal, Storage, and Borrow

Sites

1.2.11 Pre-Construction Checklists

1.2.12 Geospatial Data Specifications

1.3 Environmental Communication Plan

1.3.1 Protocols for Communication

1.3.2 Meetings

1.4 Document and Deliverable Review Processes

1.4.1 High-Quality Standards

1.4.2 Plans Required for Compliance

1.4.3 Reports Required for Compliance

1.4.4 Other Documentation Required for Compliance

2 INSPECTIONS AND MONITORING

2.1 Audit Inspections

2.2 EMMA Audit

2.3 Audit of Submittals and Correspondence in SharePoint

2.4 Environmental Performance Matrix

2.5 Noncompliance Events

2.5.1 Recognizing Noncompliance

2.5.2 Procedures for Resolution

2.5.3 Corrective Actions

3 COMMITMENT TRACKING

3.1 EMMA Application and Database

3.2 Records and Forms

3.3 EMMA Users

4 CONTRACT REVIEW

4.1 MMEP and Permits Crosswalk

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4.2 Change Order Evaluation

4.3 Noncompliance Evaluations

4.4 Structure Change Clarifications

5 TRAINING AND EDUCATION

5.1 Environmental Compliance Plan Preparation Training

5.2 EMMA Training

5.3 Re-Examination Process Training

5.4 Worker Environmental Awareness Program Training

5.4.1 Cultural Resources Awareness Management Training

6 ADAPTIVE MANAGEMENT

Tables

Table 1 Environmental Compliance Tasks

Table 2 Typical Permits Required for Construction (Others May Apply)

Table 3 Disposal, Storage, and Borrow Site Definitions

Table 4 Generalized Preconstruction Checklist to be Completed Prior to Project Construction

Table 5 Generalized Preconstruction Checklist to be Completed Prior to Moving onto a Parcel

Table 6 Typical plans Required in MMEP and Government Approvals

Table 7 Typical Reports Required in MMEP and Government Approvals

Table 8 Typical Documentation Required in MMEP and Government Approvals

Table 9 Contractor Report Card

Figures

Figure 1 Components of the Environmental Compliance Program

Figure 2 Structure of Environmental Compliance Responsibilities

Figure 3 Structure of the Project Environmental Group

Figure 4 Decision Flowchart for Document Submittal to Agencies

Figure 5 Re-Examination Process Flowchart

Figure 6 Environmental Re-Examination Communication

Figure 7 Notification of “Take”

Figure 8 Review and Approval Process for Plans Submitted to Agencies

Figure 9 Sample Environmental Risk Statistical Analysis

Figure 10 Notification Process for Noncompliance Events

Figure 11 EMMA Workflow

Figure 12 Environmental Training Communication

Table of Contents

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Appendices

Appendix A: Environmental Re-Examination Guidance

Appendix B: GIS Specifications

Appendix C: Contractor’s Environmental Compliance Plan Preparation Outline

Appendix D: EMMA User Manual and Sustainability User Guide (two individual documents)

Appendix E: Qualifications of the Environmental Compliance Team

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Terms and Usage

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TERMS AND USAGE

As used throughout this manual, the following terms have the meaning set forth below.

Area of Potential Effect (APE): A term from Section 106 of the National Historic Preservation Act for the area along the project right-of-way potentially affected by construction and operation of the project. For archaeological properties, it is the area of ground proposed to be disturbed during construction of the undertaking, including grading, cut-and-fill, easements, staging areas, utility relocation, borrow pits, and biological mitigation areas. For historic architecture, it is considered to be the proposed construction footprint and properties near the undertaking where the undertaking would result in an indirect adverse effect on the property. Indirect adverse effects may include loss of access, visual impacts, or noise and vibration levels that would affect a historic property’s character-defining features. For built resources, the APE is generally larger than the Environmental Footprint. It is delineated to take into consideration the geographic area or areas within which the Project may directly or indirectly cause alterations in the character or use of historic properties, if any such properties exist. The meaning of the term “directly” refers to the causality or causation of the effect, and not the physicality or physical nature of the effect. A direct effect, therefore, is an effect that comes from the Project at the same time and place with no intervening cause regardless of its specific type (e.g., whether it is physical, visual, auditory atmospheric, etc.). As such, direct effects may not only be physical in nature, they may also include visual, atmospheric, or audible intrusions in certain circumstances. An indirect effect, by contrast, is an effect caused by the Project that is later in time or farther removed in distance but is still reasonably foreseeable.

Authority: California High-Speed Rail Authority.

Authority Director of Environmental Services (DES): The environmental staff appointed by the Governor of California to oversee all Program-wide environmental activities of the Authority.

Best Management Practices (BMPs): Methods designed to minimize adverse effects on the environment. Examples of BMPs include practices for erosion and sedimentation controls, including techniques for dust control, perimeter silt fences, hydro-mulching, and sediment basins.

Additional BMPs are described in the California Stormwater Quality Association Best Management Practices Handbook (2004).

California Environmental Quality Act (CEQA): Legislation enacted in 1970 to protect the quality of the environment for the people of California by requiring public agencies and decision-makers to document and consider the environmental consequences of their actions. CEQA is the state equivalent of the National Environmental Policy Act (NEPA).

Re-Examination Process: The Authority’s process for reviewing and analyzing any design variation or change from the originally envisioned project description to determine whether the proposed change is within the scope of the Final Environmental Documents (ED), and whether the proposed change will require any additional review or documentation to ensure compliance with CEQA and NEPA.

Change Order: A written amendment to the terms and conditions of the Contract Documents in accordance with the “Changes” clause.

Construction: Any activity that directly alters the environment, including any “pre-construction” soil-disturbing activities such as staging yard establishment and geotechnical exploration; and all other activity associated with building the Project, such as clearing, compacting, digging, dewatering, drilling, excavating, filling, forming, grading, grubbing, pouring concrete, erecting structures, and any noise or dust-generating activity. Construction Work includes all the elements of Construction in combination with the elements of Work described below.

Contract(s): One or more agreements, documents, and amendments, attachments, and appendices thereto that establish the respective rights and obligations of the Authority and the Contractor with respect to the Project, including the performance of the Work, the furnishing of labor and materials, and the basis of payment.

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Contractor: The person or entity who enters into the Contract with the Authority, as identified in the Signature Document. This includes the Design-Build Contractor, the Mitigation Site Contractor, maintenance Contractor(s), railroads, Caltrans, and all other entities contracted for construction.

Contractor Environmental Submittals: All analyses, plans, documents, maps, Geographic Information System (GIS) layers, compliance personnel resumes, survey and monitoring plans, reports and data, conditions assessments, compliance reports, resource avoidance, minimization, conservation and mitigation programs and plans, and all other environmental information and materials of every kind and nature, and all amendments and updates thereto, that must be prepared to the Contractor pursuant to the Environmental Requirements, including, without limitation, the Environmental Compliance Plan, the Regulated Resources Map, and the Required Surveys GIS Data Layer.

Covered Species: Those species authorized for “take” by U.S. Fish and Wildlife Service (USFWS) and the National Marine Fisheries Service (NMFS) in an issued Biological Opinion/Incidental Take Statement or California Department of Fish and Wildlife (CDFW) in an issued 2081(b) permit.

Cultural Resources: Resources related to the tangible and intangible aspects of cultural systems, living and dead, that are valued by a given culture or contain information about the culture. Cultural resources include, but are not limited to, sites, structures, buildings, districts, and objects associated with or representative of people, cultures, and human activities and events.

Design-Build (DB): The system of contracting under which one entity performs both architecture/engineering and construction under a single contract with the owner.

Design-Build (DB) Contractor: The Contractor that enters into a DB contract with the Authority to construct the Project.

Designated Biologist: A biologist approved by the CDFW to complete surveys and monitoring of the covered species for which they are authorized and to complete activities as set forth in the permits. The Designated Biologist is responsible for monitoring Project activities as required by the Environmental Documents and Government Approvals.

Disposal, Storage, and Borrow (DSB): The term used to describe sites used for the disposal, storage, or obtaining (i.e., borrow) of earthen materials. All DSB sites must be located as described in the EDs, or if new sites are proposed outside the Environmental Footprint, which are not licensed materials sites, they must be reviewed and approved using the Re-Examination Process.

Document and Permit Manager (DPM): An environmental specialist, or group of environmental scientists, who coordinates all environmental activities occurring during construction at the Section level. The DPM is responsible for gaining approval for re-examinations (see below).

Effect: A change in the condition or function of an environmental resource or environmental value as a result of human activity (see also Impact).

Engineering and Environmental Consultant (EEC): Qualified firms that provide planning, preliminary engineering, alternatives development, financial and programming analysis, stakeholder coordination, environmental services, and right-of-way services for the Project. Also see Regional Consultant.)

Environmental Audit: A systematic, documented, periodic, and objective review by regulated entities of operations and practices related to meeting environmental requirements. Examples include but are not limited to an evaluation of how well the Contractor or Construction Manager is using the Environmental Mitigation Management Application (EMMA), evaluations of construction sites by the Authority, confirming attendance of Worker Environmental Awareness Program (WEAP) and other trainings, and comparison of document submittals.

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Environmental Certification: As defined in the General Provisions of the Contract, when the Contractor's Environmental Manager/Mitigation Manager certifies that a document or other submittal is in compliance with all Environmental Requirements.

Environmental Compliance Plan (ECP): The plan prepared and updated by the Contractor as set forth in the Contract to help the Contractor perform, and to help the Authority ensure the Contractor’s compliance with, all Environmental Requirements, including without limitation, those associated with the EDs, the Regulated Resources, and the Governmental Approvals. The ECP defines and demonstrates an understanding of the Environmental Footprint and the method used to propose and obtain approval for changes. The ECP describes the steps that the Contractor will take to ensure compliance with all Environmental Requirements.

Environmental Compliance Report: A report prepared and updated by the Contractor certifying that the submittal (a) is within the scope of the analysis and findings of the Governmental Approvals and EDs and complies with all Environmental Requirements; or (b) requires further review and analysis and potentially amendment of those Governmental Approvals and EDs pursuant to applicable law as implemented through the Re-Examination Process(es).

Environmental Documents (ED): The set of documents prepared to comply with the requirements of CEQA and NEPA, including Environmental Impact Reports (EIR), Environmental Impact Statements (EIS), supplemental and subsequent EIR/EISs, re-examinations, and related approval documents, including the Authority resolutions of approval, Notice of Determination (NOD), and Record of Decision (ROD); Authority certifications; CEQA Findings of Fact; CEQA Statement of Overriding Considerations; Mitigation Monitoring and Enforcement Plan; and, as applicable, the Federal Railroad Administration’s (FRA) ROD or other findings, determinations, documents, and decisions that were approved as part of the Authority’s and FRA’s project approval and CEQA/NEPA process; and the Surface Transportation Board decisions; among others.

Environmental Footprint: The area identified on the map and corresponding GIS layer included in the EDs and updated using the Re-Examination Process to depict the physical area in which direct or indirect project impacts on environmental resources are expected to occur as analyzed and approved in the EDs. The Authority must approve any construction activity (see Construction) outside of the Environmental Footprint not included in the maps or project description.

Environmental Impact Report (EIR): Documentation of the detailed analysis of a project’s potential significant effects, mitigation measures, and reasonable alternatives to avoid significant effects. The EIR is prepared as part of the CEQA environmental review process.

Environmental Impact Statement (EIS): Documentation required by NEPA for certain actions "significantly affecting the quality of the human environment." An EIS is a decision-making tool that presents detailed analysis of a proposed action and alternatives to the proposed action. The EIS presents the project’s potential effects—both beneficial and adverse—and any mitigation measures to reduce adverse effects.

Environmental Mitigation Management Application (EMMA): The Authority’s compliance-tracking database where implementation of Environmental Requirements is documented using data from field monitors and other users. Documentation of implementation and compliance is archived and associated with effects for which Environmental Requirements are associated. The data archive is accessible by users and Regulatory Agencies and ensures a cohesive administrative record for compliance.

Environmental Requirements: All terms, conditions, and requirements of the Contract Documents related to implementation of, and compliance with, all applicable environmental laws, the EDs, the Governmental Approvals, Supplemental or Amended Governmental Approvals, and any other regulatory protections for the Regulated Resources. This includes all terms, conditions, requirements, impact avoidance and minimization features and measures, mitigation measures, project design features, and conservation and mitigation plans specified therein.

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Federal Railroad Administration (FRA): An agency within the U.S. Department of Transportation that administers financial assistance programs and regulates the operation and safety of freight and passenger rail throughout the United States.

Governmental Approval (GA): Any approval, authorization, certification, consent, decision, exemption, filing, lease, license, permit, agreement, concession, grant, franchise, registration, or ruling, together with any required CEQA/NEPA documentation, required by, and approved at the discretion of, or with any governmental person in order to design and construct the Project, or operate the Project until Final Acceptance, including, without limitation, all terms, conditions, requirements, and avoidance, minimization, conservation and mitigation plans, and mitigation measures and project design features related to such GAs. GAs also include any new, additional, or amended GAs.

Impact: A change in the condition or function of an environmental resource or environmental value as a result of human activity (see also Effect).

Lead Agency: The public agency that has the principal responsibility for carrying out or approving a project or action and that is responsible for preparing environmental review documents in compliance with CEQA and/or NEPA.

Mitigation: Action or measure undertaken to avoid, minimize, reduce, eliminate, or compensate for the adverse impacts of a project, practice, action, or activity.

Mitigation Monitoring and Enforcement Program (MMEP): A document outlining the strategy for implementation of the mitigation measures committed to in the EIR/EIS.

Mitigation Site Contractor: The Contractor that enters into one or more agreements with the Authority to provide compensatory mitigation for impacts on Covered Species, waters of the U.S., waters of the state, and other jurisdictional resources.

Monitoring: The collection of information during construction work to determine the Effects of resource management and to identify changing resource conditions or needs.

Notice of Determination (NOD): A concise notice to be filed by a California public agency after it approves or determines to carry out a project that is subject to the requirements of CEQA.

Notice to Proceed (NTP): One or more written directives from the Authority to the Contractor authorizing the Contractor to initiate the work or a portion of the work. In the case where only a portion of the work is authorized, a Limited Notice to Proceed (LNTP) is issued.

Program Management Team: Contract staff hired to serve as an extension of the Authority staff with a focus on planning and implementation at the Program level. As part of a new Contract, the Program Management Team was renamed the Rail Delivery Partner (RDP) in 2015.

Programmatic Agreement: A formal agreement among the FRA, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer (SHPO), and the Authority regarding compliance with Section 106 of the National Historic Preservation Act, as it pertains to the project.

Project: Construction, operation, and maintenance of one or more High-Speed Rail Project Sections.

Project and Construction Management (PCM): Consulting staff hired to serve as an extension of the Authority construction management team with a focus on managing individual DB and other Contracts.

Project Biologist: A biologist approved by the U.S. Fish and Wildlife Service (USFWS) and CDFW who is responsible for reporting and overseeing the biological resources mitigation for the permits and MMEP. The Project Biologist reports to the Contractor and to the Authority, coordinates with the resident engineer, and ensures implementation of all permit requirements.

Quality Control: Techniques that are used to ensure that a product or service meets requirements and that the work meets the product or service goals. Quality Control is the act of

Environmental Compliance Program Manual Page | xi taking measurements, testing, and inspecting a process or product to ensure that it meets specification.

Rail Delivery Partner (RDP): Effective July 1, 2015, the consultant team, similar to the Project Management Team, overseeing and providing program management, support for strategic advice, business planning, continued development, and management assistance.

Record of Decision (ROD): A concise public record issued pursuant to NEPA containing inter alia, a statement of the decision, identification of all alternatives considered, identification of an environmentally preferable alternative, a public statement as to whether all practical means to avoid or minimize environmental harm from the alternative selected have been adopted (and if not, why they were not), and a summary of monitoring and enforcement, also known as the MMEP, where applicable, for any mitigation.

Regional Consultant (RC): Qualified firms that provide planning, preliminary engineering, alternatives development, financial and programming analysis, stakeholder coordination, environmental services, and right-of-way services for the Project. Also see Engineering and Environmental Consultant.)

Regulatory Agency(ies): The state or federal agency that has permitting or other approval authority over the Project.

Relocation Work: The utility work and public facility work as well as the work by third parties and/or their contractors associated with relocation of utilities and/or public facilities, including design, construction, installation, manufacture, supply, testing, inspection, and any other work associated with the Project and required by the Third-Party Agreements.

Third Party: Any utility owner or public facility owner; provided, however, that in the Contract(s) other than the General Provisions and Special Provisions, "third party" may sometimes mean and include third parties in addition to utility owners or public facility owners (such as railroads and other third parties), depending on the context.

Variation: Refinements, changes, or modifications to the Project (or elements thereof) approved in the final EDs or GAs, and amendments thereto. Variations may include, but are not limited to, proposed changes in alignment, right-of-way, size or type of structure, mitigation measures, construction methods, construction staging, detours, or road closures or any other project element or change that is not within the Environmental Footprint final EDs or GAs.

Waters of the State: Any surface water or groundwater, including saline waters, within the boundaries of the state (as defined by the Porter-Cologne Water Quality Control Act (§ 13050(e)).

Waters of the state include all waters of the United States, all surface waters that are not waters of the United States, groundwater, and the territorial seas.

Waters of the United States: As defined by the implementing regulations of the federal Clean Water Act at 40 Code of Federal Regulations 230.3(s).

Worker Environmental Awareness Program (WEAP): The purpose of the Worker Environmental Awareness Program (WEAP) is to educate personnel about the existing on-site and surrounding resources and the measures required to protect these resources. The WEAP focuses on three environmental issues: biological resources, cultural resources, and paleontological resources.

Work: All services, labor, materials, and other efforts to be provided and performed by the Contractor, including scheduling; utility relocation; demolition; permitting; survey; geotechnical;

design; environmental mitigation; construction; Quality Control and quality assurance for design and construction; community relations; quality inspection and testing; construction safety and security program; systems testing; preparation of as-built plans; and coordination with jurisdictional authorities (governments, public and private entities), utility companies, railroad companies, and local communities.

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Introduction

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INTRODUCTION

The purpose of the Authority’s environmental compliance program is to ensure that the Authority’s environmental commitments are fulfilled and that good working relationships are maintained with natural resource and permitting agencies, environmental groups, Native American Tribes, and the public.

The Authority’s environmental commitments include:

· Mitigation measures within the environmental documents (EIR/EIS)

· Permit measures issued by state and federal agencies

· Agreements, applications, reports, settlements, or other documents where the Authority made a commitment to take an action

· Management plans that interpret mitigation measures or permit conditions

This manual is a reference for all Authority, Contractor, and other staff responsible for fulfilling the Authority’s environmental commitments. This manual will be referenced in contract documents and other manuals, as needed. All parties are expected to follow the procedures and fulfill the responsibilities described in this manual. The standards and procedures should be integrated into the daily Construction Management work of the PCM and Environmental Staff Groups (and similar groups); the Contractor’s ECP and daily construction activities; and the oversight and planning work carried out by the Authority, and RDP.

This manual was prepared in consultation with environmental, engineering, and construction management staff. In addition, an in-depth literature review was completed on environmental compliance of projects with DB and other construction contracting mechanisms.

Components of the Environmental Compliance Program

There are six core components of the Environmental Compliance Program:

· Program Policies

· Inspections and Monitoring

· Commitment Tracking (EMMA)

· Contract Review

· Training and Education

· Adaptive Management

Figure 1 briefly describes each of these components, which work together to ensure that the environmental commitments are fulfilled and their implementation documented.

This manual provides the standards and procedures for each of the six components of the Environmental Compliance Program.

Introduction

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Figure 1 Components of the Environmental Compliance Program

1 Program Policies

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1 PROGRAM POLICIES

This section describes the Environmental Compliance Program policies, including roles and responsibilities, environmental compliance mechanisms, the environmental communication plan, and the review process for documents and other deliverables.

1.1 Roles and Responsibilities

Environmental compliance for the Project is divided into four levels, or tiers, of responsibility (see Figure 2):

· Program

· Regional

· Construction Management

· Construction

Figure 2 Structure of Environmental Compliance Responsibilities

This four-level structure ensures that the Environmental Requirements are carried out, tracked, and their implementation reported. Each level has a specific area of responsibility that is critical to smooth and efficient project delivery. Each level is also closely connected to the other levels and therefore depends on a well-established line of communication across the four levels, as well as a commitment to teamwork.

The following paragraphs provide an overview of the staff roles at each level:

· Program—Program staff develop overall environmental policy and programs for the entire Project statewide and are primarily located in the Authority Headquarters or Construction Field offices in Sacramento or Fresno, California. Program-level staff frequently communicates with staff at the Regional level, and occasionally with Construction Management staff.

· Regional—The Regional staff is located in three geographic regions, and team members assist their Office of the Regional Manager with understanding and implementing the Project’s Environmental Requirements. Regional staff members are often involved with issues directly related to Construction Management and Construction. The Regional staff allows for more autonomy of the Work being implemented in each Region, while at the same time ensuring consistency with the Program-level Environmental Requirements. Regional staff are primarily responsible for managing the MMEP and GAs. Staff at the Regional level coordinate the activities of the different Construction Management and Construction teams that occur on multiple construction packages (CP) and other types of Contracts to ensure consistency with environmental documents and permits. Regional-level staff members play a key role with all governmental agency communications and pass information from the

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Program level to the Construction Managers. The Regional staff are aware of activities on the ground within their assigned project section, but they do not directly manage those activities.

· Construction Management—The management and verification of the implementation of Environmental Requirements occurs at the Construction Management level. Construction Managers review, approve, and verify completion of all construction-related Environmental Requirements. They work closely with the Construction-level environmental staff and have some shared responsibilities with the Regional staff, but they have few shared responsibilities with Program-level staff.

· Construction—The Construction-level environmental teams are composed of the various Contractors and other construction entities, and it is at this level where most environmental commitments are implemented. At the Construction level, biologists, archaeologists, hydrologists, and other environmental specialists assist with project design and monitor construction to ensure and GA and ED compliance.

The sections below describe how the four levels are assembled into a multilevel Environmental Staff Group for each CP or other Contract, as well as the responsibilities of Other Contractors (Third Party). There is also a section summarizing the Environmental Compliance task for each level.

1.1.1 Multilevel Environmental Staff Groups

For each CP or other Contract, the Authority designates an Environmental Staff Group that includes staff from multiple levels to fill the environmental roles and perform required tasks. The assignment of roles and specific tasks is dependent on the needs of the individual CP or other Contract and the expertise and experience of the specific staff designated. This group meets on a monthly or more frequent basis to resolve environmental issues. The sections below identify the roles and responsibilities of Environmental Staff Groups, outlines participation in in pre-construction and coordination meetings, and describes in more detail the roles and responsibilities of the Program, Regional, Construction Management, and Construction levels.

Figure 3 shows the structure of the Environmental Staff Groups’ connections to other Program roles.

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Figure 3 Structure of the Project Environmental Group

1.1.1.1 Roles and Tasks of Environmental Staff Groups

The Environmental Staff Group roles include the following:

· Coordinate and assist with completion of re-examinations and amendments of GAs necessary to proceed with construction.

· Review Contractor submittals such as re-examination and permit packages, plans, reports, and other documents that require approval by the Authority or regulatory agencies.

· Partner with the Contractor regarding the Contractor’s responsibility for environmental inspection, monitoring, and quality control/quality assurance of Environmental Requirements.

· Conduct construction oversight and audit process to review construction work for compliance with the Contractor’s ECP and all Environmental Requirements and Contracts.

· Cross-train environmental staff.

· Update all environmental staff on developments at the Program and Regional levels and send information gained at the Construction and Construction Management levels upward into the organization to ensure consistency and overall Project success.

The Environmental Staff Group works collaboratively to facilitate timely and clear communications at all levels to foster effective implementation of the Environmental Requirements.

Tasks performed by the Environmental Staff Group include the following: as applicable, review and finalize re-examinations; review and finalize permit revision applications; review Contractor’s annual reports; review Contractor’s ECP; review MMEP-required plans; and review application for Environmental Certification (Contractor's certification of compliance with Environmental Requirements)

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1.1.1.2 Participation in Pre-Construction and Coordination Meetings

The Environmental Staff Group participates in pre-construction meeting in the field with the Contractor’s inspectors and resource agencies to discuss potential areas of concern. The pre-construction meeting should be used to summarize Environmental Requirements, including specific permit conditions.

The Environmental Staff Group holds regular meetings (i.e., on a monthly or more frequent basis) to coordinate and assist its members in completion of their assigned tasks. The meetings may include:

· Review design changes to ensure consistency with Environmental Requirements.

· Anticipate and consider permit modifications that may be necessary for new design or construction activities.

· Develop strategies for guarding against schedule delays and additional costs.

· Conduct “over the shoulder” and formal reviews of design documents to ensure incorporation of Environmental Requirements in construction documents.

· Help strategize and facilitate meetings with regulatory agencies during project design and construction to ensure effective communication regarding Environmental Requirements.

· Work with inspectors to evaluate environmental compliance in the field.

· Discuss and facilitate resolution of deficiencies with the Contractor’s environmental compliance performance.

Each member of the Environmental Staff Group has different responsibilities. The following sections describe the specific responsibilities of Program, Regional, Construction Management, and Construction levels of compliance review, approval, documentation, and notification, as well as responsibilities related to other tasks.

1.1.1.3 Program Level

Program-level staff are responsible for overall Program-wide management; coordination of review and approval of EDs and GAs; and execution of this Environmental Compliance Program by staff at all levels. The primary environmental responsibilities of the Program-level staff are:

· ED completion

· Permit application preparation and submittal

· GIS data management

· Plan and report review and submittal

· Contract and agreement development

· Mitigation development

· Oversight

· Training

· Tribal and SHPO coordination

· EMMA database management

· Environmental assurance auditing

· Adaptive management

Each of these responsibilities is described below.

Environmental Document completion: Program staff review, comment, and provide approval signatures on the EDs and GAs. The Program manages all aspects of ED delivery. Program-level responsibility includes providing final review and approval of EDs (including re-examinations), GA (permit) applications, and plans or reports developed to fulfill Environmental Requirements.

Permit application preparation and submittal: Program staff obtain all Authority-responsible permits and manage the permit delivery schedule. Program staff may require the other levels to

Environmental Compliance Program Manual Page | 5 postpone submittals to other agencies in order to avoid exceeding agency staff workload capabilities and to allow them to focus on items determined to have higher Program-wide priority.

GIS data management: Program staff manage the Program GIS data and provide standards and policy to ensure consistency across all CPs and other Contracts. This level is responsible for preparing the initial GIS data and may interface with the Contractors, RDP, PCM, RC or EEC, and Authority GIS representatives to transfer the data and provide background information.

Plan and report review and submittal: Program staff review and submit plans or reports prepared by others to ensure they comply with the Authority’s policies, procedures, methods, and standards.

Contract and agreement development: Program staff prepare construction, consultant, and Third-Party contracts in close coordination with Construction Management staff, and they conduct regular reoccurring reviews of contracts to ensure that all Environmental Requirements are clearly referenced in Contract Documents and that tasks are assigned to a responsible party.

Program staff conduct a Project-wide compliance audit to evaluate the CP’s or other Contract's level of compliance with the Environmental Requirements.

Mitigation development: Program staff develop plans and funding for required compensatory mitigation.

Oversight: At the Program level, the Authority directs the environmental work of the RDP, RC, EEC, and OCEC. The Authority ensures that all parties are fulfilling their assigned roles and responsibilities. The Authority’s DES oversees all environmental activities Program-wide and coordinates closely with other division managers within the organization. The DES is responsible for the successful implementation of this Environmental Compliance Program.

Training: Program staff conduct training for Regional and Construction Management staff on all aspects of the Environmental Compliance Program, including topics such as the Re-Examination Process, understanding the construction footprint, how to pass a construction site Audit, compliance with GAs, and use of EMMA, among other topics.

Tribal and SHPO coordination: Program staff notify Native Americans, other interested parties, and SHPO of changes or noncompliance with cultural resources commitments.

EMMA database management: Program staff coordinate and manage the use of the EMMA database through the following actions:

· Providing periodic application updates

· Developing reports as determined necessary

· Resolving technical difficulties

· Providing training

· Responding to “help” questions

· Facilitating use by Construction Management-level staff

· Entering records for Authority “Headquarters”-responsible commitments

· Reporting positive compliance for use by Authority public relations

Environmental assurance auditing: The Program-wide environmental assurance audit is a system by which the Authority verifies that all Environmental Requirements are being adequately implemented by all levels. The audit includes inspections of representative construction sites, review of Contractor environmental submittals, verification that the EMMA application is being used correctly, and assessment of training programs. The audit system provides a check and balance to other environmental compliance work executed at the Construction Management or Construction levels. The audit provides timely and unbiased reporting of environmental conditions to the leadership of the Authority and permitting agencies.

Adaptive management: Program staff implement a formal procedure for continually improving environmental compliance procedures (i.e., adaptive management). Details of the approach to adaptive management strategy are provided in Section 6.

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1.1.1.4 Regional Level

The Project is divided into three regions: Northern California, Central Valley, and Southern California. Each region is managed by a Regional Director and several Regional staff. The Regional level includes an environmental specialist(s) who coordinates and assists with all environmental activities in the region. The primary environmental responsibilities of this environmental specialist are:

· Regional leadership support

· Program-level staff coordination

· Environmental compliance activities coordination

· Re-examination approvals

· Document submittals

Each of these responsibilities is described below.

Regional leadership support: Regional specialist(s) allow each of the regional teams to be somewhat autonomous while still maintaining effective communication regarding important Program-level developments, policies, and management decisions.

Program-level staff coordination: Regional specialist(s) are responsible for keeping Headquarters’ Program-level staff informed of issues and providing information generated during construction to ensure that the Program-level staff are able to continue to develop policies that are based on the reality of building the high-speed rail. Regional staff may also assist the Construction Management level when needed to complete environmental compliance tasks in a timely manner.

Environmental compliance activities coordination: Regional specialist(s) coordinate the environmental compliance activities occurring on the various Project Sections and generally track the schedule of environmental activities related to construction. As part of this coordination, the Regional staff facilitate timely meetings to quickly resolve environmental issues and ensure consistency across the geographic reach of each Region.

Re-examination approvals: The environmental staff at this level may be delegated to the responsibility to approve re-examinations after they have been finalized by the Project Construction Manager/Contractors. If approval has not been delegated, the approval occurs at the Program level. In general, the Regional staff depend on the Construction and Construction Management levels to provide complete preparation and comprehensive review of documents, so the Regional staff is only required to conduct brief consistency checks and glean needed information to approve, or obtain approval of, documents.

Document submittals: In general, Regional staff are responsible (but may delegate to Construction Management) for submitting any documents to the agencies that are (1) required by permit, (2) not 100 percent CP specific, or (3) requires coordination of agency workload or agency negotiations. Figure 4 depicts the decision process to determine which level has primary responsibility for submitting documents to agencies.

Other responsibilities of Regional staff (with support from Program staff) include management of implementation of Environmental Requirements, EMMA approvals, permit amendment review and submittal, compensatory mitigation review and approval, and GIS data review and approval.

Program staff and construction managers support the Regional staff in these responsibilities.

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Figure 4 Decision Flowchart for Document Submittal to Agencies

1.1.1.5 Construction Management Level

The Construction Management level is responsible for representing the Authority in the management of environmental compliance at the Construction level. The Construction Management level exists to manage the Contracts, including the environmental compliance performed by the Contractor. It is the primary level where the fulfillment of Environmental Requirements during construction is verified. The primary environmental responsibilities of the Construction Managers are:

· Coordination with other environmental staff

· Reviews of Contractor submittals

· Noncompliance event notifications

· Site inspections

· EMMA records review and approval

· Non-WEAP training

· WEAP training oversight

Each of these responsibilities is described below.

Coordination with other environmental staff: Construction Management staff maintain close communications with other levels to ensure environmental compliance, and they play a key role in the Environmental Staff Group.

Reviews of contractor submittals: Construction Managers conduct initial reviews and approval of all Contractor submittals. This level is responsible to ensure that documents prepared by Contractors meet the quality expectations of the Authority and regulatory agencies.

The Construction Management level reviews re-examinations and permit applications or amendment applications that were prepared by the Contractor, and once the package is determined to be adequate, it is forwarded to the Regional staff. The Construction Management staff also review and approve surveys and assessments that were prepared by the Contractor and forwards them to the Regional level. Cultural Resources studies are forwarded directly to the Authority’s professionally qualified staff for review and approval. The Construction Management staff notifies Regional and Program-level staff as early as possible about potential upcoming re-examinations. Forwarding documents or notifications to the Regional level normally occurs as part of Environmental Staff Group meetings.

Construction Management reviews staff resumes submitted by the Contractor and forwards them to the Regional staff for submittal to the Regulatory Agencies for approval (where required by

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Governmental Approvals). For biological resources, review at the Construction Management level ensures that staff resumes include information describing the biologists’ specific experience working with each Covered Species. Lack of species-specific information often results in the agency rejecting a resume, which can result in delays and the need for follow-up work by Contractor, Construction Management, and agency staff. For Cultural Resources, the qualified Regional or Program staff reviews the resumes and verifies that the proposed staff meets the Secretary of the Interior’s professional standards. The Authority/RDP approves the staffing.

Construction Management staff review the Contractor’s weekly, monthly, and annual reports for adequacy and consistency. This level may return reports to the Contractor for improvements, to address review comments, or to format for consistency, as well as for other reasons. Once Construction Management approves the report, it is forwarded to the Regional level for compilation into the Agency Report. The Agency Report is a compilation of reports from each CP or other Contracts into a single deliverable to the applicable Regulatory Agency. Construction Management tracks the submittal to the agencies and any approval obtained to ensure that the CP or other Contract is in compliance.

Construction Management staff ensure that no construction begins until all Authority pre-construction Environmental Requirements have been fulfilled. The Construction Management level verifies that all work occurs within an approved Environmental Footprint.

Noncompliance event notifications: Construction Management staff ensure that if a noncompliance event occurs, the partner agencies are immediately notified by the Contractor.