[Federal Register Volume 87, Number 138 (Wednesday, July 20, 2022)]
[Notices]
[Pages 43371-43373]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-15478]
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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; request for comment.
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SUMMARY: The Surface Transportation Project Delivery Program (STPD
Program), often referred to as the ``NEPA Assignment Program,'' allows
a State to assume FRA's environmental responsibilities for Federal
environmental review, consultation, and compliance under the National
Environmental Policy Act (NEPA) for railroad projects. When a State
assumes these responsibilities, it carries out the assigned
environmental review process, in lieu of FRA. The STPD Program requires
annual audits for the first four years of the State's lead role in the
program to ensure compliance with program requirements. FRA is issuing
this notice to advise the public that it has conducted the second
annual audit of the State of California, acting by and through, the
California High-Speed Rail Authority (CHSRA), and seek comment from the
public on the draft audit report. Following the comment period, FRA
will publish a final audit report.
DATES: Comments must be received on or before August 19, 2022.
ADDRESSES: Comments related to Docket No. FRA-2021-0037 may be
submitted by going to https://www.regulations.gov and following the
online instructions for submitting comments.
Instructions: All submissions must include the agency name and
docket number (docket #). All comments received will be posted without
change to https://www.regulations.gov; this includes any personal
information. Please see the Privacy Act heading in the SUPPLEMENTARY
INFORMATION section of this document for Privacy Act information
related to any submitted comments or materials.
Docket: For access to the docket to read background documents or
comments received, go to https://www.regulations.gov and follow the
online instructions for accessing the docket.
FOR FURTHER INFORMATION CONTACT: Marlys Osterhues, Chief Environment
and Project Engineering, RPD, telephone: (202) 493-0413, email:
[email protected].
SUPPLEMENTARY INFORMATION: Privacy Act Statement: FRA will post
comments it receives without edit, to www.regulations.gov, as described
in the system of records notice, DOT/ALL-14 FDMS, accessible through
www.dot.gov/privacy. In order to facilitate comment tracking and
response, we encourage commenters to provide their name, or the name of
their organization; however, submission of names is completely
optional. Whether commenters identify themselves or not, all timely
comments will be fully considered. If you wish to provide comments
containing proprietary or confidential information, please contact the
agency for alternate submission instructions.
[[Page 43372]]
Draft Surface Transportation Project Delivery Program Audit of the
California High-Speed Rail Authority Conducted Between: December 13-16,
2021
Executive Summary
This report summarizes the results of FRA's second audit of CHSRA's
conduct in carrying out its assigned environmental review
responsibilities between July 1, 2020, and July 30, 2021 (Audit
Period), to assess CHSRA's compliance with applicable Federal law, and
the memorandum of understanding (section 327 MOU) executed July 23,
2019, between CHSRA and FRA. The Secretary, acting by and through FRA,
is required to conduct annual audits of the State during each of the
first 4 years of State participation in the STPD Program. 23 U.S.C.
327(g).
To conduct the audit, FRA formed a team (Audit Team) in April 2021.
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
samples of project documentation related to CHSRA's environmental
decisions completed during the Audit Period, and CHSRA's self-
assessment of its program. In addition, the Audit Team reviewed CHSRA's
internal procedures related to Quality Assurance/Quality Control (QA/
QC), project files, updated guidance documentation, and conducted
interviews with relevant CHSRA staff between December 13 and 16, 2021.
The Audit Team also conducted an interview with the U.S. Army Corps of
Engineers on January 19, 2022. FRA provided CHSRA an opportunity to
review the findings described below and has considered CHSRA's comments
in developing this draft audit report.
Overall, the Audit Team found that CHSRA continues to carry out its
assigned environmental responsibilities 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 the section
327 MOU, which identifies the responsibilities and obligations that
CHSRA would assume.
FRA published a notice of the draft section 327 MOU in the Federal
Register on May 2, 2018, for 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 section 327 MOU. On July 23, 2019, CHSRA assumed FRA's
responsibilities under NEPA, and the responsibilities for NEPA-related
Federal environmental laws, as described in the section 327 MOU.
To oversee CHSRA's compliance, FRA conducts annual audits during
each of the first four years of State participation. After the fourth
year, FRA will not conduct annual audits but will monitor CHSRA's
compliance with the section 327 MOU and applicable Federal laws and
policies and assess whether CHSRA is attaining the performance measures
listed in part 10 of the section 327 MOU. During monitoring FRA may
request information from CHSRA and relevant Federal agencies, verify
CHSRA's financial and personnel resources dedicated to carrying out the
section 327 MOU, and review documents and other information. FRA
provides the results of each annual audit to the public and solicits
comment. FRA published the first audit report of CHSRA on April 21,
2021.
Audits are the primary mechanism through which FRA, oversees
CHSRA's compliance with the provisions in the section 327 MOU. FRA
conducts annual audits to: (1) oversee the State's compliance with this
MOU and applicable Federal laws and policies; (2) determine 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's
annual report to Congress pursuant to 23 U.S.C. 327(i). FRA intends to
conduct two more annual audits consistent with 23 U.S.C. 327(g) and
part 11 of the section 327 MOU. FRA will publish the results of each
audit in a draft report and make the report available for public
comment in the Federal Register, before publishing the final audit
report.
Scope and Methodology
This audit covers all final NEPA decisions issued by CHSRA within
the Audit Period. The Audit Team reviewed a sampling from CHSRA's
project files complied for NEPA decisions; CHSRA's self-assessment
report; and CHSRA current policies, guidance, and manuals relating to
NEPA decisions and the decision-making process. FRA reviewed twelve
reexaminations of previously approved final environmental impact
statements (EIS) and one final EIS/record of decision (ROD),
representing all projects completed within the Audit Period. In
conducting the audit, the Audit Team focused on objectives related to
six NEPA Assignment Program Elements: program management, documentation
and records management, quality assurance and control (QA/QC),
training, performance measurement, and legal sufficiency. Each NEPA
Assignment Program Element is described further below.
The Audit Team interviewed nine CHSRA staff in CHSRA's regional
offices and its headquarters office. In addition, the Audit Team
interviewed one staff member from the U.S. Army Corps of Engineers to
ensure timely and effective coordination occurs with this Federal
resource agency partner. The Audit Team invited CHSRA staff, middle
management, legal counsel, and executive management to participate in
the interview process to ensure representation from a diverse range of
staff expertise, experience, and program responsibility.
The Audit Team compared the procedures outlined in CHSRA's current
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 then
assessed CHSRA's performance based on the six NEPA Assignment Program
Elements.
Audit Results
Overall, FRA found that 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. The following
sections detail each of FRA's findings with respect to CHSRA's
performance and the six NEPA Assignment Program Elements.
Program Management
Consistent with part 4 of the section 327 MOU, the State committed
to maintaining adequate organizational and staff capability at CHSRA to
manage the STPD Program. This includes integrating the STPD Program
into CHSRA's environmental and project
[[Page 43373]]
development processes, using the appropriate SMEs, and developing,
maintaining and implementing internal policies and procedures. In
reviewing documentation for this audit, FRA found that CHSRA continues
to implement an effective STPD Program by adhering to its Environmental
Policies and Procedures Handbook, Environmental Compliance Program
Manual, and the QA/QC Plan. The section 327 MOU requires CHSRA to
conduct a self-assessment of their program implementation, and document
actions to improve upon the previous audit self-assessment findings.
CHSRA has conducted the required self-assessment and implemented
actions to improve upon the findings described in the first audit.
CHSRA has incorporated the STPD Program into its overall project
development process. CHSRA staff and counsel at the headquarters office
are responsible for ensuring NEPA Assignment responsibilities are
fulfilled by reviewing 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 continues
to coordinate their NEPA related project-work with headquarters staff
through NEPA Coordinators. While no changes in staff functions have
occurred since the completion of the first audit, the CHSRA NEPA
Assignment Team has demonstrated an increased level of engagement in
the overall project development process during the Audit Period. FRA's
Audit Team found that the CHSRA is effectively incorporating
environmental justice and climate change considerations into the CHSRA
planning process.\1\ CHSRA noted that it is currently updating its
environmental justice guidance. The Audit Team recognizes CHSRA efforts
to ensure compliance with these Administration initiatives through
successfully tracking and implementing commitments.
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\1\ CHSRA's environmental justice guidance is available at:
https://hsr.ca.gov/wp-content/uploads/docs/programs/title_VI/CHSRA%20EJ%20Guidance%208-14-2012.pdf. CHSRA also publishes an
annual sustainability report documenting its efforts to mitigate
climate impacts. The 2021 report is available at: https://hsr.ca.gov/wp-content/uploads/2021/09/Sustainability_Report_2021.pdf.
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Documentation and Records Management
In accordance with part 10.2.A of the section 327 MOU, CHSRA agreed
to maintain documented compliance with NEPA and other Federal
environmental statutes and regulations. During the Audit Period CHSRA
issued 13 final NEPA decisions. The Audit Team reviewed the project
files for twelve reexaminations of previously approved Final EISs and
one combined Final EIS/ROD. These projects represented all CHSRA
environmental review decisions completed within the Audit Period. The
Audit Team found that CHSRA maintained a complete final electronic
project record, containing all NEPA-related documentation, in
accordance with the section 327 MOU.
Quality Assurance/Quality Control
CHSRA agreed to carry out regular QA/QC activities to ensure the
assumed responsibilities are conducted consistent with applicable law
and part 10.2.B of the section 327 MOU. The QA/QC program includes
coordination between the regional environmental staff and the
headquarters' NEPA assignment team, including CHSRA NEPA counsel. The
NEPA assignment team reviews all NEPA documentation and technical
reports to ensure regulatory compliance and technical sufficiency.
CHSRA staff also engage with SMEs, when appropriate, regarding various
environmental resources and regulations.
During interviews with the Audit Team, CHSRA described the
continued use of comment resolution workshops to ensure appropriate
consideration of all comments, both internal and from external
stakeholders, including agencies. In addition, CHSRA continues to
utilize an electronic file system to manage documentation effectively
across the program. CHSRA provided the Audit Team documentation used to
track QA/QC in the form of project review checklists, comment summary
reports, and other associated documentation with project the file
reviews.
Based on the information evaluated by the Audit Team, the Audit
Team found that CHSRA is conducting regular QA/QC activities in
accordance with the section 327 MOU.
Training Program
CHSRA committed to implementing training necessary to meet its
environmental obligations consistent with part 12 of the section 327
MOU. CHSRA developed its NEPA Assignment Training Plan to meet this
requirement. The training covers topics related to CHSRA's assigned
environmental responsibilities. Based on interviews and a review of
training documentation and records, all CHSRA staff received the
training in accordance with the NEPA Assignment Training Plan during
the Audit Period.
During interviews, CHSRA noted their continuing efforts to ensure
effective coordination with Federal agencies, including the Federal
Aviation Administration. These efforts may include providing additional
training opportunities regarding high-speed rail system requirements.
The Audit Team recognizes CHSRA ongoing activities and will evaluate
these training efforts during the next audit cycle.
Performance Measures
As described in part 10.2 of the section 327 MOU, FRA and CHSRA
established performance measures that CHSRA will seek to attain, and
that FRA will consider during FRA's audits.
FRA evaluated CHSRA's administration of its assigned
responsibilities against the performance measures outlined in the 327
MOU. The Audit Team recognizes the CHSRA efforts to implement a robust
self-assessment review process. Based on results of the self-
assessment, project file review and interviews, the FRA Audit Team
found that CHSRA is attaining the performances measures in the section
327 MOU.
Legal Sufficiency
CHSRA maintains a documented legal sufficiency review for draft and
final documents, which generally includes multiple rounds of review and
procedures for elevating issues of concern, as outlined in the section
327 MOU. This review is conducted by CHSRA NEPA attorneys who also
engage with NEPA outside counsel, as necessary. CHSRA attorneys are
also involved in the preparation of guidance and trainings for staff.
Since the first audit, CHSRA has updated its guidance for reevaluations
and reexaminations, to include a legal sufficiency review for these
documents.
Next Steps
FRA is providing the draft audit report for public review and
comment for a 30-day period in accordance with 23 U.S.C. 327(g). No
later than 60 days after the close of the comment period, FRA will
publish the final audit report in the Federal Register.
Issued in Washington, DC.
Jennifer Mitchell,
Deputy Administrator.
[FR Doc. 2022-15478 Filed 7-19-22; 8:45 am]
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