Surface Transportation Project Delivery Program; California High-Speed Rail Authority Audit Report, 46068-46070 [2021-17545]
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46068
Federal Register / Vol. 86, No. 156 / Tuesday, August 17, 2021 / Notices
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
[Docket No. FRA 2021–0037]
Surface Transportation Project
Delivery Program; California HighSpeed Rail Authority Audit Report
Federal Railroad
Administration (FRA), U.S. Department
of Transportation (DOT).
ACTION: Notice.
AGENCY:
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:
Andre´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:
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)
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SUMMARY:
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17:08 Aug 16, 2021
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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 HighSpeed 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
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Fmt 4703
Sfmt 4703
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
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Federal Register / Vol. 86, No. 156 / Tuesday, August 17, 2021 / Notices
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.
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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
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17:08 Aug 16, 2021
Jkt 253001
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
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46069
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
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46070
Federal Register / Vol. 86, No. 156 / Tuesday, August 17, 2021 / Notices
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
DEPARTMENT OF TRANSPORTATION
Maritime Administration
Coastwise Endorsement Eligibility
Determination for a Foreign-Built
Vessel: OASIS (Motor); Invitation for
Public Comments
Maritime Administration, DOT.
ACTION: Notice.
AGENCY:
The Secretary of
Transportation, as represented by the
Maritime Administration (MARAD), is
authorized to issue coastwise
endorsement eligibility determinations
for foreign-built vessels which will carry
no more than twelve passengers for hire.
A request for such a determination has
been received by MARAD. By this
notice, MARAD seeks comments from
interested parties as to any effect this
action may have on U.S. vessel builders
or businesses in the U.S. that use U.S.-
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SUMMARY:
17:08 Aug 16, 2021
Note: If you mail or hand-deliver your
comments, we recommend that you include
your name and a mailing address, an email
address, or a telephone number in the body
of your document so that we can contact you
if we have questions regarding your
submission.
Instructions: All submissions received
must include the agency name and
specific docket number. All comments
received will be posted without change
to the docket at www.regulations.gov,
including any personal information
provided. For detailed instructions on
submitting comments, or to submit
comments that are confidential in
nature, see the section entitled Public
Participation.
FOR FURTHER INFORMATION CONTACT:
[Docket No. MARAD–2021–0181]
VerDate Sep<11>2014
flag vessels. Information about the
requestor’s vessel, including a brief
description of the proposed service, is
listed below.
DATES: Submit comments on or before
September 16, 2021.
ADDRESSES: You may submit comments
identified by DOT Docket Number
MARAD–2021–0181 by any one of the
following methods:
• Federal eRulemaking Portal: Go to
https://www.regulations.gov. Search
MARAD–2021–0181 and follow the
instructions for submitting comments.
• Mail or Hand Delivery: Docket
Management Facility is in the West
Building, Ground Floor of the U.S.
Department of Transportation. The
Docket Management Facility location
address is: U.S. Department of
Transportation, MARAD–2021–0181,
1200 New Jersey Avenue SE, West
Building, Room W12–140, Washington,
DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except on
Federal holidays.
Jkt 253001
James Mead, U.S. Department of
Transportation, Maritime
Administration, 1200 New Jersey
Avenue SE, Room W23–459,
Washington, DC 20590. Telephone 202–
366–5723, Email James.Mead@dot.gov.
SUPPLEMENTARY INFORMATION: As
described in the application, the
intended service of the vessel OASIS is:
—Intended Commercial Use of Vessel:
‘‘Luxury overnight charters in the
Puget Sound and San Juan Islands
using the 3 staterooms onboard’’
—Geographic Region Including Base of
Operations: ‘‘Washington.’’ (Base of
Operations: Seattle, WA)
—Vessel Length and Type: 70′ Motor
The complete application is available
for review identified in the DOT docket
as MARAD 2021–0181 at https://
www.regulations.gov. Interested parties
may comment on the effect this action
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may have on U.S. vessel builders or
businesses in the U.S. that use U.S.-flag
vessels. If MARAD determines, in
accordance with 46 U.S.C. 12121 and
MARAD’s regulations at 46 CFR part
388, that the employment of the vessel
in the coastwise trade to carry no more
than 12 passengers will have an unduly
adverse effect on a U.S.-vessel builder or
a business that uses U.S.-flag vessels in
that business, MARAD will not issue an
approval of the vessel’s coastwise
endorsement eligibility. Comments
should refer to the vessel name, state the
commenter’s interest in the application,
and address the eligibility criteria given
in section 388.4 of MARAD’s
regulations at 46 CFR part 388.
Public Participation
How do I submit comments?
Please submit your comments,
including the attachments, following the
instructions provided under the above
heading entitled ADDRESSES. Be advised
that it may take a few hours or even
days for your comment to be reflected
on the docket. In addition, your
comments must be written in English.
We encourage you to provide concise
comments and you may attach
additional documents as necessary.
There is no limit on the length of the
attachments.
Where do I go to read public comments,
and find supporting information?
Go to the docket online at https://
www.regulations.gov, keyword search
MARAD–2021–0181 or visit the Docket
Management Facility (see ADDRESSES for
hours of operation). We recommend that
you periodically check the Docket for
new submissions and supporting
material.
Will my comments be made available to
the public?
Yes. Be aware that your entire
comment, including your personal
identifying information, will be made
publicly available.
May I submit comments confidentially?
If you wish to submit comments
under a claim of confidentiality, you
should submit the information you
claim to be confidential commercial
information by email to SmallVessels@
dot.gov. Include in the email subject
heading ‘‘Contains Confidential
Commercial Information’’ or ‘‘Contains
CCI’’ and state in your submission, with
specificity, the basis for any such
confidential claim highlighting or
denoting the CCI portions. If possible,
please provide a summary of your
submission that can be made available
to the public.
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]]>Agencies
[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]]
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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.
-----------------------------------------------------------------------
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
