Surface Transportation Project Delivery Program; California High-Speed Rail Authority Audit Report
| Published date | 17 August 2021 |
| Record Number | 2021-17545 |
| Section | Notices |
| Court | Federal Railroad Administration |
Federal Register, Volume 86 Issue 156 (Tuesday, August 17, 2021)
[Federal Register Volume 86, Number 156 (Tuesday, August 17, 2021)]
[Notices]
[Pages 46068-46070]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-17545]
[[Page 46068]]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[Docket No. FRA 2021-0037]
Surface Transportation Project Delivery Program; California High-
Speed Rail Authority Audit Report
AGENCY: Federal Railroad Administration (FRA), U.S. Department of
Transportation (DOT).
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The Surface Transportation Project Delivery Program (STPD
Program), often referred to as the ``NEPA Assignment Program,'' allows
a State to assume FRA's responsibilities for Federal environmental
review, consultation, and compliance under the National Environmental
Policy Act (NEPA) and other Federal environmental laws, for railroad
projects. In accordance with the July 23, 2019, memorandum of
understanding (section 327 MOU) between FRA and the California High-
speed Rail Authority (CHSRA), CHSRA assumed the environmental review
process, in lieu of FRA. The STPD Program mandates annual audits by FRA
for the first four years of a State's involvement in the STPD Program,
ensuring CHSRA's compliance with program requirements. This notice
finalizes FRA's findings of the first-year audit of CHSRA participation
in the STPD Program.
FOR FURTHER INFORMATION CONTACT: Andr[eacute]a Martin, Senior
Environmental Protection Specialist, Office of Railroad Policy and
Development (RPD), telephone: (202) 493-6201, email:
[email protected]; or Marlys Osterhues, Chief Environment and
Project Engineering, RPD, telephone: (202) 493-0413, email:
[email protected].
SUPPLEMENTARY INFORMATION:
Electronic Access: An electronic copy of this notice and all
comments received may be downloaded from the docket page for FRA-2021-
0037 at www.regulations.gov.
Background: FRA's annual audits are the primary mechanism to: (1)
Oversee CHSRA's compliance with the STPD Program, the section 327 MOU,
and applicable Federal laws and policies under NEPA; (2) determine
CHSRA's attainment of the performance measures identified in part 10 of
the section 327 MOU; and (3) collect information needed for the
Secretary of Transportation's annual report to Congress pursuant to 23
U.S.C. 327(i).
FRA will conduct three more annual audits consistent with 23 U.S.C.
327(g) and part 11 of the section 327 MOU. FRA must present the results
of each audit in a report and make the draft report available for
public comment in the Federal Register, before finalizing.
FRA received one response during public comment period between
April 21, 2021, and May 21, 2021. The comment, available in the docket,
was submitted by the American Road and Transportation Builders
Association and outlined its general support for the STPD Program. FRA
considered this comment and determined that it did not require changes
in the content of the draft report. This notice includes the final
version of the audit report.
Surface Transportation Project Delivery Program Audit of the California
High-Speed Rail Authority: December 8-10, 2020
Executive Summary
This report summarizes the results of FRA's first audit of the
CHSRA's conduct of its environmental review responsibilities under 23
U.S.C. 327, in accordance with the section 327 MOU executed July 23,
2019, between CHSRA and FRA.
To carry out its audit responsibilities under the section 327 MOU,
FRA formed a team (Audit Team) in April 2020. The Audit Team consisted
of NEPA subject matter experts (SMEs) from FRA's environmental and
project management divisions and the John A. Volpe National
Transportation Systems Center. In addition, FRA designated a Senior
Environmental Protection Specialist to serve as a NEPA Assignment
Program liaison to CHSRA. The Audit Team reviewed certain NEPA project
documentation completed by CHSRA during the first year of the NEPA
Assignment Program, and CHSRA's self-assessment of its NEPA Assignment
Program. In addition, the Audit Team reviewed documents related to
quality assurance/quality control (QA/QC) and conducted interviews with
relevant CHSRA staff between December 8 and 10, 2020.
The purpose of this report is to describe the results of the audit.
Overall, the Audit Team found that CHSRA is carrying out the
responsibilities it has assumed and complies with the provisions of the
section 327 MOU.
Background
The STPD Program, codified at 23 U.S.C. 327, allows a State to
assume FRA's environmental responsibilities for review, consultation,
and compliance for railroad projects. When a State assumes these
Federal responsibilities, the State becomes solely liable for carrying
out the responsibilities it has assumed, in lieu of the FRA. CHSRA
published its application under the STPD Program on November 9, 2017
and made it available for public comment for 30 days. After considering
public comments, CHSRA submitted its application to FRA on January 31,
2018. The application served as the basis for developing an MOU
identifying the responsibilities and obligations that CHSRA would
assume.
FRA published a notice of the draft MOU in the Federal Register on
May 2, 2018, with a 30-day comment period to solicit the views of the
public and Federal agencies. After the close of the comment period, FRA
and CHSRA considered comments and proceeded to execute the MOU. On July
23, 2019, CHSRA assumed FRA's responsibilities under NEPA, and the
responsibilities for NEPA-related Federal environmental laws described
in the section 327 MOU.
Section 327(g) requires the Secretary to conduct annual audits
during each of the first four years of State participation. Audits are
the primary mechanism for FRA to oversee CHSRA's compliance with the
provisions set forth in the section 327 MOU. FRA's annual audits,
conducted pursuant to 23 U.S.C. 327(g), will be the primary mechanism
to: (1) Determine the State's compliance with this MOU and applicable
Federal laws and policies; (2) confirm the State's attainment of the
performance measures identified in part 10 of the section 327 MOU; and
(3) collect information needed for the Secretary of Transportation's
annual report to Congress pursuant to 23 U.S.C. 327(i). FRA will
conduct three more annual audits consistent with 23 U.S.C. 327(g) and
part 11 of the section 327 MOU. FRA will present the results of each
audit in a report and make the report available for public comment in
the Federal Register, before finalizing.
Scope and Methodology
Consistent with the section 327 MOU, the Audit Team examined a
sampling of CHSRA's NEPA project files; CHSRA's self-assessment report;
and CHSRA policies, guidance, and manuals relating to NEPA
responsibilities. The scope of the project file portion of the audit
included a review of six reexaminations for previously approved Final
Environmental Impact Statements (EISs) and one Final EIS/Record of
Decision (ROD), representing all projects in process or initiated after
the section 327 MOU's effective date through June 30, 2020. In
conducting the audit, and to determine compliance with the section 327
MOU, the FRA Audit Team focused on objectives related to six NEPA
[[Page 46069]]
Assignment Program Elements: Program management, documentation and
records management, QA/QC, training, performance measurement, and legal
sufficiency. Each NEPA Assignment Program Element is described further
below.
The Audit Team interviewed 11 CHSRA staff, in one of CHSRA's three
regional offices and at its headquarters office. In addition, the Audit
Team interviewed one staff member from the U.S. Environmental
Protection Agency (EPA). The Audit Team invited CHSRA staff, middle
management, counsel, and executive management to participate in the
interview process to ensure representation of a diverse range of staff
expertise, experience, and program responsibility.
The Audit Team compared the procedures outlined in CHSRA
environmental manuals and policies to the information obtained during
staff interviews and project file reviews to evaluate CHSRA's
performance against its documented procedures. The Audit Team
documented observations under the six NEPA Assignment Program Elements.
Audit Results
Overall, CHSRA has carried out the environmental responsibilities
assumed through the section 327 MOU and the Audit Team found that CHSRA
is complying with the section 327 MOU.
Program Management
Consistent with part 4 of the section 327 MOU, CHSRA has developed
and implemented the updated Environmental Policies and Procedures
Handbook, Environmental Compliance Program Manual, a QA/QC Plan, and
the NEPA Assignment Training Course. CHSRA has also conducted the
required self-assessment.
CHSRA has incorporated the NEPA Assignment Program into its overall
project development process included in CHSRA's environmental manuals
and policies. CHSRA has also created a NEPA assignment team in its
headquarters office to support the new responsibilities under the NEPA
Assignment Program. CHSRA staff at the headquarters office responsible
for ensuring NEPA Assignment responsibilities are fulfilled review
projects for compliance with assigned environmental laws and
regulations independently from those responsible for developing the
NEPA and related documentation, as required in part 3 of the section
327 MOU.
CHSRA environmental staff at the three regional offices coordinate
their NEPA related project-work with headquarters staff through NEPA
Coordinators. Prior to assuming responsibilities under the NEPA
Assignment Program, CHSRA regional staff reported to their regional
office. However, following assumption of NEPA responsibilities, CHSRA
hired a NEPA Assignment Manager located in the headquarters office who
is responsible for overseeing CHSRA's policies, manuals, guidance, and
training under the NEPA Assignment Program. CHSRA also has assigned a
team of attorneys to advise on the environmental review process. This
team includes CHSRA in-house counsel as well as outside counsel who
advise on issues relate to the assigned responsibilities.
Since the NEPA Assignment Program became effective, CHSRA staff
noted that their relationship with resource agencies has not changed,
and the overall environmental and consultation process has continued
without significant change. FRA's Audit Team's review of project files
supports this conclusion.
Documentation and Records Management
Between July 23, 2019, and June 30, 2020, CHSRA made 22 auditable
NEPA actions. Employing judgmental sampling, the Audit Team reviewed
seven NEPA project files, including six reexaminations of previously
approved Final EISs and one combined Final EIS/ROD. These projects
represented a sampling of CHSRA environmental review efforts in process
or initiated after the section 327 MOU's effective date through June
30, 2020, covering a range of resource considerations and agency
coordination requirements. The Audit Team found that CHSRA maintained a
complete electronic record, including all NEPA-related documentation.
The Audit Team recognized several CHSRA efforts to ensure
consistency of project documentation through CHSRA's use of an
accessible file database. Interviews with CHSRA staff indicated that
the regional staff consistently manage project files, including working
files. In addition, CHSRA uses a software program to document public
and resource agency comments, allowing CHSRA to track comments,
responses, and resolution.
Quality Assurance/Quality Control
Under part 10.2.B of the section 327 MOU, CHSRA has agreed to carry
out regular QA/QC activities to ensure the assumed responsibilities are
conducted in accordance with applicable law and the section 327 MOU.
The Audit Team noted that CHSRA has implemented a QA/QC program where
environmental staff in the three regions coordinate with the NEPA
assignment team in the headquarters office. The NEPA assignment team is
responsible for reviewing all NEPA documentation and technical reports
to ensure compliance. CHSRA staff also have access to SMEs for various
environmental resources and regulations. During interviews, CHSRA noted
that the NEPA assignment team acts independently to provide unbiased
and objective reviews of work products. The Audit Team also found that
regional staff understands how to implement the QA/QC process
throughout the environmental review process.
During subsequent audits, the FRA Audit Team will require that
supporting QA/QC documentation associated with project files be
provided to FRA. This will allow the Audit Team to confirm QA/QC
measures are being fully implemented for the projects under review. The
Audit Team also recommends that CHSRA review a judgmental or random
sampling of projects between FRA's annual audits to check compliance
and identify potential improvements that can be made to the QA/QC
process.
Training Program
CHSRA committed to implementing training necessary to meet its
environmental obligations under the section 327 MOU. The training
covers all topics related to CHSRA's responsibilities under NEPA
assignment. Based on interviews and a review of training documentation
and records, all CHSRA staff received the training in accordance with
the training plan after the MOU was executed.
The FRA Audit Team recommends that CHSRA expand its training plan
to include additional training opportunities. This training could
include formal or informal training with State and Federal resource
agencies in addition to the regularly scheduled agency coordination
meetings.
Performance Measures
In accordance with part 10.1.1 of the section 327 MOU, FRA and
CHSRA have established performance measures that CHSRA will seek to
attain and that FRA will consider during FRA's audits.
CHSRA is still in the early stages of developing metrics to track
attainment of performance measures outlined in the section 327 MOU.
However, based on results of the audit review and interviews, the FRA
Audit Team found that CHSRA is implementing the performances measures.
CHSRA
[[Page 46070]]
environmental leadership staff indicated they will continue to
implement the performances measures found in part 10 of the section 327
MOU.
Legal Sufficiency
CHSRA conducts a legal sufficiency review at various stages of the
environmental review process, consistent with existing internal
procedures. This review is generally conducted by outside counsel and
CHSRA attorneys. CHSRA attorneys are responsible for making the final
written determination regarding legal sufficiency of EISs prior to
their publication.
Finalizing the Report
FRA published the draft version of this report in the Federal
Register on April 21, 2021, (86 FR 20787), and made it available for
public review and comment for 30 days in accordance with 23 U.S.C.
327(g). FRA received one response to the Federal Register notice during
the public comment period for the draft report, from the American Road
and Transportation Builders Association. This comment outlined its
general support for the STPD Program. FRA considered this comment and
determined that it did not require changes in the content of the draft
report. This is FRA's final version of the audit report.
Issued in Washington, DC.
Amitabha Bose,
Deputy Administrator.
[FR Doc. 2021-17545 Filed 8-16-21; 8:45 am]
BILLING CODE 4910-06-P
