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Section 11: Regulatory Agency Investigations

TxDOT operations are subject to investigations by regulatory agencies, before, during, and after construction. These investigations can be routine, such a scheduled site inspection, or can be unannounced based on complaints or other suspicions of non-compliance by a regulatory agency.

Regulatory agencies that may conduct an investigation include but are not limited to include the Texas Commission on Environmental Quality (TCEQ), Texas Department of State Health Services U.S. (DSHS), the Environmental Protection Agency (EPA), the U.S. Army Corps of Engineers (USACE), Texas Parks and Wildlife Department (TPWD), and the US Fish and Wildlife Services (USFWS).

Common operations affected by regulatory investigations include:

These investigations can result in administrative, criminal and monetary penalties to both TxDOT and the Contractor when non-compliances are found. TxDOT personnel are expected to fully cooperate with regulatory agencies personnel and provide true and accurate information when information is requested. Failure to do so could result in further actions by the regulatory agencies.

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How to handle a regulatory investigation

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  • Regulatory inspectors are allowed by law to enter and perform inspections and document results related to programs their agencies regulate.
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  • The regulatory inspector should provide credentials and must wear appropriate PPE.
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  • Let the TxDOT Engineer, DEQC, and Contractor know of the visit as soon as possible.
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  • Review safety information in the office before visiting the site.
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  • Stay with the inspector to answer any questions that may arise.
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  • TxDOT's policy is to comply with all environmental laws and to cooperate with environmental inspectors responsible for enforcing laws.
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In the event your District or Division receives an NOV, please ensure your staff complete the following actions.

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  1. Immediately notify District or Division management.

    Staff must report any NOV to the District Engineer or Division Director.

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  3. Immediately send the NOV to the Environmental Affairs Division (ENV).

    Send an email to ENV at env_complianceassistance@txdot.gov. In the email include a summary of the issue, any related documents, and the name of the contact person responsible for coordinating the district's or division's work with ENV.

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  5. Ensure the necessary actions are taken to resolve the matter quickly.

    District or Division staff must communicate regularly with ENV to ensure all necessary actions are being completed.

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