Document ID: FRA-2021-0037-0001
Agency: fra
Document Type: Notice
Title: Surface Transportation Project Delivery Program: California High-Speed Rail Authority Audit Report
Posted Date: 2021-04-21T04:00Z

[Federal Register Volume 86, Number 75 (Wednesday, April 21, 2021)]
[Notices]
[Pages 20787-20789]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-08228]

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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 responsibilities for Federal environmental 
review, consultation, and compliance under the National Environmental 
Policy Act (NEPA), and other Federal environmental laws, 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. This notice requests comments on FRA's first audit report 
of the California High-Speed Rail Authority (CHSRA) under the STPD 
Program.

DATES: Comments must be received on or before May 21, 2021.

ADDRESSES: Comments related to Docket No. FRA-2021-0037 may be 
submitted by going to http://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: Andr[eacute]a Martin, Senior 
Environmental Protection Specialist, Office of Railroad Policy and 
Development (RPD), telephone: (202) 493-6201, email: 
Andrea.Martin@dot.gov; or Marlys Osterhues, Chief Environment and 
Project Engineering, RPD, telephone: (202) 493-0413, email: 
Marlys.Osterhues@dot.gov.

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, inclusion 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.

Draft 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 CHSRA's 
conduct of its environmental review responsibilities under 23 U.S.C. 
327, in accordance with the July 23, 2019, memorandum of understanding 
(section 327 MOU) 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 and quality control (QA/QC) and conducted interviews 
with relevant CHSRA staff between December 8 and 10, 2020.
    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 allows a State to assume FRA's environmental 
responsibilities for review, consultation, and compliance for railroad 
projects.

[[Page 20788]]

When a State assumes these Federal responsibilities, the State becomes 
solely liable for carrying out the responsibilities it has assumed, in 
lieu of 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 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 
considered comments received and proceeded to execute the MOU with 
CHSRA. 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 of Transportation (Secretary) 
to conduct annual audits during each of the first four years of State 
participation. After the fourth year, the Secretary must monitor the 
State's compliance with section 327 MOU, but no longer conducts audits. 
The results of each audit must be made available for public comment.
    FRA's annual audits are the primary mechanism 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 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 
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 
sample 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 (EIS) 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 
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. 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.
    To evaluate CHSRA's performance against its documented procedures, 
the Audit Team compared the procedures outlined in CHSRA's 
environmental manuals and policies to the information obtained during 
staff interviews and project file reviews. 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 the 
CHSRA headquarters office to support the new responsibilities under the 
NEPA Assignment Program. To ensure NEPA Assignment responsibilities are 
fulfilled, CHSRA staff at the headquarters office review projects for 
compliance with assigned environmental laws and regulations 
independently from staff 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 its assumption of FRA's NEPA 
responsibilities, CHSRA hired a NEPA Assignment Manager 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. The legal team includes both CHSRA in-
house counsel and 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 NEPA 
auditable actions. Employing judgmental sampling, the Audit Team 
reviewed seven NEPA project files; six were reexaminations of 
previously approved Final EISs and one was a 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 final 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.

[[Page 20789]]

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 within 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 staff 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 
CHSRA provide FRA with supporting QA/QC documentation associated with 
project files. 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. CHSRA developed 
its NEPA Assignment Training Plan to fulfill the requirements of part 
12 of 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 the results of the audit review and interviews, the 
FRA Audit Team found that CHSRA is implementing the performances 
measures. CHSRA environmental leadership staff indicated they will 
continue to implement the performance measures 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.

Next Steps

    FRA provided this draft audit report to CHSRA for a 21-day review 
and comment period. The FRA Audit Team considered CHSRA comments in 
developing this draft audit report. This draft audit report is 
available for public review for a 30-day comment period in accordance 
with 23 U.S.C. 327(g). No later than 60 days after the close of the 
comment period, FRA will respond to all comments submitted to finalize 
this draft audit report pursuant to 23 U.S.C. 327(g)(B). FRA will 
publish the final audit report in the Federal Register.

    Issued in Washington, DC, on April 16, 2021.
Jamie P. Rennert,
Director, Office of Infrastructure Investment.
[FR Doc. 2021-08228 Filed 4-20-21; 8:45 am]
BILLING CODE 4910-06-P