species act, section 7: process for compliance and ......fhwa‐ny esa process april 2016 northern...
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FHWA New York Division:
Environmental Procedures
Endangered Species Act, Section 7:
Process for Compliance and Consultation
April 2016
FHWA‐NY ESA Process April 2016
Contents
Process Overview and Step 1: Mapping
Step 2: Species‐Specific Packages
Northern Long‐eared Bat
Indiana Bat
Bog Turtle
Mollusks (Dwarf Wedge Mussel, Rayed Bean, Clubshell, Chittenango Ovate Amber Snail)
Karner Blue Butterfly
Sturgeon (Shortnose Sturgeon, Atlantic Sturgeon)
Attachment: Activity‐Based No Effect List
Step 3: ESA Transmittal Sheet
FHWA‐NY ESA Process April 2016
Endangered Species Act, Section 7: Process for Compliance and Consultation
Process Overview
Step 1: Are there ESA species or Critical Habitat mapped for the Project Area? The NYSDOT Regions are
required to use the U.S. Fish and Wildlife Service’s (USFWS) IPaC system (http://ecos.fws.gov/ipac/), and
contact the New York Natural Heritage Program (NYNHP) Database in Albany (NYSDOT has access to
their computer mapping system). The computer search will show whether or not listed species are
within the vicinity of the Project Area. Each of these species must be considered because they have the
potential to be within the Action Area of the project.
A. If there are no species ranges that are within the vicinity of the Project Area‐ then ESA
doesn’t apply to the project, and no documentation is required from the Regions or
FHWA. However, please include the IPaC search report in the Design Report.
B. If the NYSDOT search determines that there are species ranges within the vicinity of the
Project Area, go to Step 2.
Step 2: Determine the “effects” of the project for each species listed in IPaC. See the individual Species‐
Specific Packages, which are located in the following pages. Each package contains a key that has been
developed for the most commonly encountered species on transportation projects. If IPaC shows
species that do not have a species‐specific package, please refer to the USFWS 7‐step process located at
http://www.fws.gov/northeast/nyfo/es/section7.htm. Please note that the term “Project Area” is only
used for IPaC purposes and our purposes for consistency. Step 2 considers the effects of the project on
the species within the Action Area, which is defined as all areas to be affected directly or indirectly by
the project. Note that sturgeon species coordination is with the National Marine Fisheries Service
(NMFS).
Step 3: Documentation. Complete each Species‐Specific Package and accompanying key that applies to
the project. Record the results on the “ESA Transmittal Sheet” found at the end of this package. The
bottom of each column explains the submission process and the required agency(s).
The ESA Transmittal Sheet is sent to FHWA for all submissions, except "ESA Does Not Apply" and "No
Effect, Activity‐Based”. However, for design report submittals, FHWA is requiring the IPaC report print‐
out for all categories, including “ESA Does Not Apply” and “No Effect, Activity‐Based”.
Regarding submissions involving more than one species, the submission to FHWA should include all
documentation for all species requiring concurrence so that FHWA can make one ESA determination,
and forward one package to the USFWS for concurrence.
FHWA‐NY ESA Process April 2016
Step 2: Species Specific Packages
Northern Long‐eared Bat
Indiana Bat
Bog Turtle
Mollusks (Dwarf Wedge Mussel, Rayed Bean, Clubshell, Chittenango Ovate Amber Snail)
Karner Blue Butterfly
Sturgeon (Shortnose Sturgeon, Atlantic Sturgeon)
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 1 of 12
Species‐Specific Package:
Northern Long‐Eared Bat
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow chart ..................................................................................................................................................... 5
NLEB Suitable Habitat Assessment Form for Trees (SHAFT) ......................................................................... 6
NLEB Suitable Habitat Assessment Form (Trees) .......................................................................................... 7
Rangewide Bat Informal Consultation Form (Rangewide 14‐Day Form) ...................................................... 8
NLEB Consultation Form (30‐Day Form) ....................................................................................................... 9
Bridge/ Bat Surveys ..................................................................................................................................... 11
Bridge/Bat Survey Form .............................................................................................................................. 12
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 2 of 12
Step 2: Species‐ Specific Key
Northern Long‐eared Bat
This process is for all projects, including projects with proposed tree removal and/or bridge work.
You are following this worksheet because IPaC has shown that the NLEB may be present within the
Project Area. Please follow the key, below, to determine your next steps for ESA Section 7 compliance
and documentation.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for NLEB. The ESA
Transmittal Sheet is required to be placed in the project file at NYSDOT if there are no
other ESA determinations that need submissions to FHWA or USFWS. If the project
involves a bridge, Continue to Question 9.
b. No. Continue to Question 2.
2. Does the proposed project result in any of the following:
Disturbance to hibernating NLEBs in a known hibernaculum;
Alteration of the entrance or interior of a known hibernaculum;
Removal of any trees or involve construction within 0.5 miles of a known
hibernaculum at any time of year;
Removal of known occupied maternity roost trees at any time of year; or
Construction (including tree removal) within a 150‐foot radius from a maternity
roost tree?
a. Yes. Follow the 7‐step Process. This project may require formal consultation (about a 1‐
year process).
b. No. Continue to Question 3.
3. Is tree removal associated with the project?
a. Yes. Continue to Question 4.
b. No. NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination. The submission package includes: the completed NLEB SHAFT Form with
the box checked “No Suitable Habitat”, and the ESA Transmittal Sheet with the
appropriate box checked. Please transmit the entire package (including additional
species determinations) to FHWA for concurrence. Continue to Question 9.
4. Does NYSDOT choose to assume that Northern Long‐eared Bat habitat exists in the Project
Area?
a. Yes. Continue to Question 6.
b. No. Conduct/ Complete the NLEB Suitable Habitat Assessment Form for Trees (NLEB
SHAFT) and continue to Question 5.
5. Does the SHAFT form conclude that suitable habitat exists within the area proposed to be
impacted (Action Area)?
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 3 of 12
a. Yes (NLEB habitat exists). Continue to Question 6.
b. No (NLEB habitat does not exist). NYSDOT seeks concurrence from FHWA for a “No
Effect, No Suitable Habitat” determination. The submission package includes: the
completed NLEB SHAFT form with the box checked “No Suitable Habitat”, and the ESA
Transmittal Sheet with the appropriate box checked. Please transmit the entire package
(including additional species determinations) to FHWA for concurrence.
6. Does the project involve tree removal between May 1 and July 31 of a given year?
a. Yes. Follow the 7‐step Process. This project may require formal consultation (about a 1‐
year process).
b. No. Continue to Question 7.
7. Does the project involve any of the following conditions:
Tree removal between April 1 and April 30;
Tree removal between August 1 and September 30;
A permanent change to street or bridge lighting (such as an increase in mast
lighting);
Tree removal that is greater than 100‐feet from a road/rail/bridge surface
proposed to be completed between August 1 and April 30; or
Percussive activities such as blasting, pile drivers, rock drills, or hoe rams,
outside of the paved surface?
a. Yes. This project “May Affect” the NLEB. Complete the NLEB Consultation Form (30‐day
Form). Submit the 30‐day Form to the FHWA Area Engineer, who will seek concurrence
from the USFWS. If comments are not received after 30‐days, FHWA can issue a
concurrence letter to NYSDOT completing Section 7 ESA consultation. The submission
package includes: The 30‐day Form, the completed NLEB SHAFT form if you have
determined that there is suitable habitat, and the ESA Transmittal Sheet with the
appropriate box checked. Please transmit the entire package (including additional
species determinations) to FHWA for concurrence.
b. No. Continue to Question 8.
8. Does the project involve tree removal within 100‐feet of a road/rail/bridge surface, and
between October 1 and March 31?
a. Yes. Complete the Rangewide Informal Consultation Form (14‐day Form). Submit the 14‐
day Form directly to the USFWS with a cc: to the FHWA Area Engineer. If comments are
not received from FWS after 14‐days, DOT then sends an email to FHWA requesting
concurrence with a MA, NLAA determination for NLEB. Please include: the 14‐day Form,
the completed NLEB SHAFT Form if you have determined that there is suitable habitat,
the ESA Transmittal Sheet with the appropriate box checked, plus any other species
documentation. Continue to Question 9.
b. No (this project is most likely a bridge project). Continue to Question 9.
9. Does the project involve bridge work (maintenance, repair, alteration, demolition) between
March 31 and October 1 of a given year?
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 4 of 12
a. Yes. The Bridge/Bat Survey Form must be completed within 1 year prior to the start of
the work. Please submit the form to your FHWA Area Engineer when it is complete.
FHWA files the form.
b. No. You do not need to complete any additional documentation from what is listed
above.
Notes:
NLEB Tree Removal Summary Chart: For either assumed NLEB habitat, or determined NLEB habitat (by
using the SHAFT)
*Follow the most stringent process above, if your project fits into multiple boxes.
Dates/ location of project
Between October 1 and March 31
Between April 1 and April 30, or August 1 and Sept 30
Between May 1 and July 31
Within 0.5 miles of a hibernaculum or 150 feet from a roost tree
7‐step Process, potentially Formal Consultation (up to 1 year process)
7‐step Process, potentially Formal Consultation (up to 1 year process)
7‐step Process, potentially Formal Consultation (up to 1 year process)
Within 100 feet of pavement edge (and greater than 0.5 miles from a hib and 150 feet from a roost tree)
14‐Day Form to FWS
30‐Day Form to FHWA
7‐step Process, potentially Formal Consultation (up to 1 year process)
Outside 100 feet of pavement edge (and greater than 0.5 miles from a hib and 150 feet from a roost tree)
30‐Day Form to FHWA
30‐Day Form to FHWA
7‐step Process, potentially Formal Consultation (up to 1 year process)
Additional documentation requirements
Does your project involve bridge work?
Bridge/Bat Survey Form to FHWA within 1 year prior to the start of the project
Bridge/Bat Survey Form to FHWA within 1 year prior to the start of the project
Bridge/Bat Survey Form to FHWA within 1 year prior to the start of the project
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 5 of 12
Flow chart
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 6 of 12
NLEB Suitable Habitat Assessment Form for Trees (NLEB SHAFT) Instructions
The SHAFT is to be completed when indicated by the species‐specific key and when NYSDOT has not
chosen to assume that Northern Long‐eared Bat habitat exists in the Project Area.
NLEB Suitable Habitat Assessment Form for Trees (SHAFT) Instructions:
1. Suitable Habitat Assessments for Northern Long‐eared Bats are field‐based, and must be
conducted by individuals with a natural resources degree. Qualifying fields of study include, but
are not limited to: wildlife biology, wildlife management, biodiversity, ecology, forestry, and
environmental science. NYSDOT staff that possess at least two years of work experience
involving regular performance of ecological field assessments are qualified. NYSDOT will
maintain a list of qualified staff.
2. SHAFTs will be conducted in compliance with the “2015 Range‐wide Indiana Bat Summer Survey
Guidelines” (2015 Summer Survey Guidelines), found at:
http://www.fws.gov/midwest/endangered/mammals/inba/surveys/pdf/2015IndianaBatSumme
rSurveyGuidelines01April2015.pdf. This document applies to both Indiana Bat and NLEB.
3. When considering habitat, please be aware of the definition of suitable summer habitat:
Suitable summer habitat consists of a wide variety of forested/wooded habitats where bats roost,
forage, and travel and may also include some adjacent and interspersed non‐forested habitats such as
emergent wetlands and adjacent edges of agricultural fields, old fields and pastures. These wooded
areas may be dense or loose aggregates of trees with variable amounts of canopy closure. This includes
forests and woodlots containing potential roosts, as well as linear features such as fencerows, riparian
forests, and other wooded corridors that may be used for forage. Early successional habitat with small
diameter trees may be used as foraging habitat by bats. Please use species composition of the area, size
composition, the below guidelines, and scientific judgement to determine if forage habitat exists. Be
prepared to characterize the habitat in the SHAFT. Individual trees may be considered suitable habitat
when they exhibit the characteristics of a potential roost tree and are located within 1,000 feet of other
forested/wooded habitat.
Regarding potential roost habitat, Northern Long‐eared Bats prefer live trees and/or snags ≥3 inches
dbh that have exfoliating bark, cracks, crevices, and/or cavities. Northern long‐eared bats have also
been observed roosting in human‐made structures, such as buildings, barns, bridges, and bat houses;
therefore, these structures should also be considered potential habitat.
Examples of areas that are “not suitable habitat”:
Individual trees that are greater than 1000 feet from forested/wooded areas;
Urban street trees (trees found in highly‐developed urban areas);
A pure stand of 3‐inch dbh trees (or less) that are not mixed with larger trees;
Apple orchards;
Buckthorn patches; and
Christmas tree stands that are actively managed.
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 7 of 12
NLEB Suitable Habitat Assessment Form for Trees (NLEB SHAFT)
Project Name: PIN:
Acres Proposed to be Cut: Lat/Long:
Project Description:
Summary of NYNHP Database Results (proximity to known hibernacula, roost trees, maternity colonies,
or forage locations):
Results of Field‐based NLEB Suitable Bat Habitat Assessment:
Does the Tree Removal Area contain forested/wooded habitat that is made up of trees greater
than 3” dbh, that also exhibit signs of exfoliating bark, cracks crevices, and/or cavities, OR that also
is mixed with larger trees?
Does the Tree Removal Area have individual trees that have exfoliating bark, cracks, crevices,
and/or cavities, and are closer than 1000’ from other forested/wooded habitat?
Does the Tree Removal Area contain any of the following: adjacent and interspersed emergent
wetlands and adjacent areas of agricultural fields, old fields, and pastures, and forests and
woodlots (range from dense to loose aggregates of trees) that contain live trees and/or snags
greater or equal to 3” dbh that have exfoliating bark, cracks, crevices, and/or cavities?
If the answer is yes to any of the above questions, the determination is that “Suitable NLEB Habitat”
exists within the Tree Removal Area.
Determination: Suitable NLEB Habitat No Suitable NLEB Habitat *Must complete Rangewide 14‐Day Form, *You can conclude “No
30‐ Day Form, or Formal Consultation. Effect”, No Suitable Habitat.
Characterization/Description of the Habitat:
Comments (include specific bat species, if applicable, such as no roost trees for northern long‐eared bat
specifically were noted by NYNHP):
Name (individual completing the field assessment):
Signature: Date:
Phone Number: E‐mail Address:
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 8 of 12
Rangewide Bat Informal Consultation Form (Rangewide 14‐Day Form) In submitting this form, FHWA ensures that the proposed project(s) adhere to the criteria of the range‐wide programmatic informal BA.
Project Name: PIN:
Lat/Long: Region:
Project Description:
FWS Consult. Code (from IPaC Trust Resources Report “link”):
Effects Evaluation:
Did NYSDOT determine that suitable habitat exists for: NLEB IBat
If YES, please attach a copy of the SHAFT form(s) to this document.
If NO, is NYSDOT assuming NLEB or IBat habitat? NLEB IBat
Acres of trees to be removed (if less than 10 trees, use 0.10 acre):
1. Will current permanent lighting remain the same (meaning no increase in mast lighting)? YES NO
2. Are trees to be cut between October 1 and March 31, and will they be marked to distingush them
from trees that are not to be cut? YES NO N/A
3. Are trees to be cut located within 100‐feet of the existing road surface? YES NO N/A
4. Are all other appropriate AMMs included in the project? YES NO N/A
Evaluation Results: If the answers to the above four questions are YES, then the determination is “May
Affect, Not Likely to Adversely Affect” either Indiana bat or the northern long‐eared bat. Is this the
determination that NYSDOT is concluding? YES NO
If any answer to the above question is NO, then this Rangewide 14‐Day Form cannot be used.
Name (individual completing the form)/ Agency:
Phone Number: Email Address:
NYSDOT Signature: Date:
FHWA Area Engineer Name/Contact:
Note: If your project includes any bridge work that is proposed to be initiated between March 31 and September 30, a Bridge/Bat Survey is required to be completed. Please see the Bridge/Bat Survey Form.
Submit this form to the USFWS with a cc: to the FHWA Area Engineer. If no comments are received from the USFWS within 14 days, the Area Engineer can then issue an ESA Concurrence Letter to NYSDOT for a MA, NLAA.
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 9 of 12
NLEB Consultation Form (30‐Day Form) This form is for the following:
1. Projects in the following locations:
a. Outside the range of the Indiana bat but within the range of the NLEB (using IPaC); OR
b. Projects without Ibat habitat (using the Ibat SHAFT), but with NLEB habitat (using the NLEB
SHAFT), or with assumed NLEB habitat.
AND
2. Projects that meet all of the following requirements:
a. Tree removal within either assumed or determined suitable summer habitat (using the NLEB
SHAFT) that is proposed to occur between April 1 and April 30, or between August 1 and
September 30; and
b. Construction activities including tree removal that is greater than 150 feet from known NLEB
roost sites (using NYNHP); and
c. Construction activities including tree removal that is greater than 0.25 miles from a known
NLEB hibernacula (using NYNHP); and
d. Tree removal that is greater than 100‐feet from a road/rail/bridge surface proposed to be
completed between August 1 and April 30.
All Projects: 30‐Day Form Requirements (Information to determine 4(d) Rule Compliance):
YES NO
1. Could the project disturb hibernating NLEBs in a known hibernaculum? ☐ ☐
2. Could the project alter the entrance or interior environment of a known hibernaculum?
☐ ☐
3. Does the project remove any trees or involve construction within 0.25 miles of a known hibernaculum at any time of year?
☐ ☐
4. Would the project cut or destroy (during any time of year) known occupied maternity roost trees, or any other trees, or involve any construction activities within a 150‐foot radius from the maternity roost tree?
☐ ☐
You are eligible to use this form if you have answered no to questions 1‐4. The remainder of the form will be used by the USFWS to determine if additional consultation is required and to track the BO.
All Projects: Project Details
Project Name: PIN:
Lat/Long: Region:
Project Description:
FWS Consult. Code (from IPaC Trust Resources Report “link”):
Distance to known hibernacula:
Distance to known roost sites, maternity colonies, or forage sites:
Did NYSDOT determine that suitable habitat exists by using the NLEB SHAFT? YES NO
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 10 of 12
If YES, please attach a copy of the SHAFT Form to this document. If NO, is NYSDOT assuming NLEB habitat? YES NO
Tree Removal Projects
Dates of tree removal (approximate):
Amount of tree removal, in acres (if less than 10 trees, report as 0.10 acre):
Bridge Projects
Description of project components that are outside the FHWA Rangewide Programmatic BO, such as a
change in permanent lighting:
Note: The completion of the Bridge/Bat Survey Form within 1 year of the project is required for bridge
projects‐ please see the form for instructions.
All Projects: Effects Determination
Is the determination that NYSDOT is concluding “May Affect” the NLEB? YES NO
By signing this form, NYSDOT has determined that this project may affect the NLEB, but that any
resulting incidental take of the NLEB is not prohibited by the final 4(d) rule.
If the USFWS does not respond within 30 days from submittal of this form, FHWA may presume that its
determination is informed by the best available information and that its project responsibilities under
7(a)(2) with respect to the NLEB are fulfilled through the USFWS January 5, 2016, Programmatic BO.
FHWA understands that the USFWS presumes that all activities are implemented as described herein.
FHWA will promptly report any departures from the described activities to the appropriate USFWS Field
Office. FHWA will provide the appropriate USFWS Field Office with the results of any surveys conducted
for the NLEB. Involved parties will promptly notify the appropriate USFWS Field Office upon finding a
dead, injured, or sick NLEB.
Name (individual completing the form)/ Agency (NYSDOT or Local):
Phone Number: Email Address:
NYSDOT Signature: Date:
FHWA Contact (name/email):
Procedure:
NYSDOT submits this form to the FHWA Area Engineer, requesting their concurrence with the May
Affect 4(d) compliance determination. The submission is to be one email with a project location map
attached, with the project’s Action Area clearly delineated on the map. If FHWA concurs with the
determination, the NYSDOT’s email will be forwarded to the USFWS (with a cc: to the NYSDOT contact
person).
The USFWS has 30 calendar days to comment or request additional information, and will “reply to all”. If
FHWA/NYSDOT is not notified within 30 days, Section 7 consultation for the NLEB is complete. The Area
Engineer will then issue an ESA Concurrence Letter to NYSDOT.
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 11 of 12
Bridge/ Bat Surveys
NOTE: One form can be submitted for all species of bats.
Requirements for Use
Does your project include any bridge work that is not on the Activity‐Based “No Effect” List, that will be
initiated between March 31 and September 30?
a. No: The bridge survey requirement does not apply to your project.
b. Yes: A Bridge/Bat Survey is required to be completed within 1 year prior to the start
of work on the underside of the bridge. The Bridge/Bat Survey can be conducted by
any individual, and can be conducted from the ground below the bridge with the
use of binoculars. Please complete the Bridge/Bat Survey Form and include it in the
documentation for either a “No Effect, No Suitable Habitat” determination from
FHWA, or as part of the package for other determinations (i.e. the 14‐Day Form, 30‐
Day Form, traditional Section 7 ESA, etc.).
FHWA‐NY ESA Process April 2016
Northern Long Eared Bat NLEB Page 12 of 12
Bridge/Bat Survey Form Note: One form can be submitted for all species of bats.
Project Name: PIN:
Type of Road Carried: Lat/Long:
Feature Crossed (land, wetland, river, etc.): BIN:
Project Description:
Project Start Date:
Bridge Characteristics
Is the bridge over water or road/rail/land?
What is the height over water/road/rail/land?
Is the bridge made of concrete, steel, or a combination?
Please rate the human disturbance or traffic under the bridge (high >5,000 ADT, low, none):
Methods of Bridge/Bat Survey
Is the Bridge/Bat survey complete within 1 year of the start of the work?
What was the survey method (Environmental Specialist w/ binoculars, staff w/ binoculars, manlift, etc)?
Were all areas checked for bats, including expansion joints, rough surfaces or imperfections in the
concrete, spaces between walls and ceiling joists, guiderails, unsealed crevices, and vertical crevices that
are sealed at the top?
Results of Bridge/Bat Survey
Are there bats present, or are there droppings, or is there staining from bats, or can you hear bats?
If the answer is no, submit the form in the documentation for either a “No Effect, No Suitable Habitat”
determination from FHWA, or as part of the package for other determinations (i.e. the 14‐Day Form, 30‐
Day Form, traditional Section 7 ESA, etc.).
If the answer is yes, the determination is that the bridge contains bats. The species needs to be
determined by the USFWS, and clearance must be obtained from the USFWS before work can begin on
the bridge. Please take photos of the bats, if possible, and coordinate with Main Office, who will, in turn,
coordinate with the FHWA Area Engineer and an Environmental Specialist.
Details: Please provide any additional details regarding bats, including number of bats, observations,
whether or not there is a colony or individual bats, if the bats appear to be using bird nests, etc.:
Name (individual completing the bridge survey):
Signature: Date:
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 1 of 9
Species‐Specific Package:
Indiana Bat
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow cha ........................................................................................................................................................ 4
IBat Suitable Habitat Assessment Form for Trees (IBat SHAFT) ................................................................... 5
IBat Suitable Habitat Assessment Form for Trees (IBat SHAFT ..................................................................... 6
Rangewide Bat Informal Consultation Form (Rangewide 14‐Day Form) ...................................................... 7
Bridge/ Bat Surveys ....................................................................................................................................... 8
Bridge/Bat Survey Form ................................................................................................................................ 9
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 2 of 9
Step 2: Species‐ Specific Key
Indiana Bat
This process is for all projects, including projects with proposed tree removal and/or bridge work. You
are following this worksheet because IPaC has shown the the Indiana Bat may be present within the
Project Area. Please follow the key, below, to determine your next steps for ESA Section 7 compliance
and documentation.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for IBat. The ESA
Transmittal Sheet is required to be placed in the project file at NYSDOT if there are no
other ESA determinations that need submissions to FHWA or USFWS. If the project
involves a bridge, Continue to Question 8.
b. No. Continue to Question 2.
2. Does the proposed project result in any of the following:
Disturbance to hibernating Indiana bats in a known hibernaculum;
Alteration of the entrance or interior of a known hibernaculum;
Removal of any trees or involve construction within 0.5 miles of a known
hibernaculum at any time of year;
Removal of known occupied maternity roost trees; or
Construction (including tree removal) within a 150‐foot radius from a maternity
roost tree?
a. Yes. Follow the 7‐step Process. This project may require formal consultation (about a 1‐
year process).
b. No. Continue to Question 3.
3. Is tree removal associated with the project?
a. Yes. Continue to Question 4.
b. No. NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination. The submission package includes: the completed NLEB SHAFT Form with
the box checked “No Suitable Habitat”, and the ESA Transmittal Sheet with the
appropriate box checked. Please transmit the entire package (including additional
species determinations) to FHWA for concurrence. Continue to Question 8.
4. Does NYSDOT choose to assume that Indiana bat habitat exists on the project?
a. Yes. Continue to Question 6.
b. No. Conduct/ Complete the Indiana Bat Suitable Habitat Assessment Form (Trees) (IBat
SHAFT) and go to Question 5.
5. Does the SHAFT form conclude that suitable habitat exists within the area proposed to be
impacted (Action Area)?
a. Yes (IBat habitat exists). Continue to Question 6.
b. No (IBat habitat does not exist). NYSDOT seeks concurrence from FHWA for a “No Effect,
No Suitable Habitat” determination. The submission package includes: the completed
IBat SHAFT Form with the box checked “No Suitable Habitat”, and the ESA Transmittal
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 3 of 9
Sheet with the appropriate box checked. Please transmit the entire package (including
additional species determinations) to FHWA for concurrence.
6. Does the project involve tree removal between April 1 and September 30 of a given year?
a. Yes. Follow the 7‐step Process. This project may require formal consultation (about a 1‐
year process).
b. No. Continue to Question 7.
7. Does the project involve tree removal within 100‐feet of a road/rail/bridge surface, and
between October 1 and March 31?
a. Yes. Complete the Rangewide Informal Consultation Form (14‐day Form). Submit the 14‐
day Form directly to the USFWS with a cc: to the FHWA Area Engineer. If comments are
not received from FWS after 14‐days, DOT can send an email to FHWA requesting
concurrence with a MA, NLAA determination for IBat. Please include: the 14‐day Form,
the completed IBat SHAFT Form if you have determined that there is suitable habitat,
the ESA Transmittal Sheet with the appropriate box checked, plus any other species
documentation. Continue to Question 8.
b. No. Follow the 7‐Step Process. Continue to Question 8.
8. Does the project involve bridge work (maintenance, repair, alteration, demolition) between
March 31 and September 30 of a given year?
a. Yes. The Bridge/Bat Survey Form must be completed within 1 year prior to the start of
the work. Please submit the form to your FHWA Area Engineer when it is complete.
FHWA files the form.
b. No. You do not need to complete any additional documentation from what was listed
above.
IBat Tree Removal Chart: For either assumed IBat Habitat, or determined IBat Habitat (by using the
SHAFT)
Dates/ location of project Between October 1 and March 31
Between April 1 and September 30
Within 0.5 miles of a hibernaculum or 150 feet from a roost tree
7‐step Process, potentially Formal Consultation (up to a 1 year process)
7‐step Process, potentially Formal Consultation (up to a 1 year process)
Within 100 feet of pavement edge (and greater than 0.5 miles from a hib and 150 feet from a roost tree)
14‐Day Form to FWS 7‐step Process, potentially Formal Consultation (up to a 1 year process)
Outside 100 feet of pavement edge (and greater than 0.5 miles from a hib and 150 feet from a roost tree)
7‐step Process 7‐step Process, potentially Formal Consultation (up to a 1 year process)
Additional documentation requirements
Does your project involve bridge work?
Bridge/Bat Survey Form to FHWA within 1 year prior to the start of the project
Bridge/Bat Survey Form to FHWA within 1 year of the start prior to the project
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 4 of 9
Flow ch
art
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 5 of 9
IBat Suitable Habitat Assessment Form for Trees (IBat SHAFT) The SHAFT is to be completed when indicated by the species‐specific key and when NYSDOT has not
chosen to assume that Indiana Bat habitat exists in the Project Area.
IBat Suitable Habitat Assessment Form (Trees) Instructions:
1. Suitable Habitat Assessments for Indiana Bats are field‐based, and must be conducted by
individuals with a natural resources degree. Qualifying fields of study include, but are not limited
to: wildlife biology, wildlife management, biodiversity, ecology, forestry, and environmental
science. NYSDOT staff that possess at least two years of work experience involving regular
performance of ecological field assessments are qualified. NYSDOT will maintain a list of
qualified staff.
2. Suitable Habitat Assessments for Indiana Bats will be conducted in compliance with the “2015
Range‐wide Indiana Bat Summer Survey Guidelines” (2015 Summer Survey Guidelines), found
at:
http://www.fws.gov/midwest/endangered/mammals/inba/surveys/pdf/2015IndianaBatSumme
rSurveyGuidelines01April2015.pdf.
3. When considering habitat, please be aware of the definition of suitable summer habitat:
Suitable summer habitat consists of a wide variety of forested/wooded habitats where bats roost,
forage, and travel and may also include some adjacent and interspersed non‐forested habitats such as
emergent wetlands and adjacent edges of agricultural fields, old fields and pastures. These wooded
areas may be dense or loose aggregates of trees with variable amounts of canopy closure. This includes
forests and woodlots containing potential roosts, as well as linear features such as fencerows, riparian
forests, and other wooded corridors that may be used for forage. Early successional habitat with small
diameter trees may be used as foraging habitat by bats. Please use species composition of the area, size
composition, the below guidelines, and scientific judgement to determine if forage habitat exists. Be
prepared to characterize the habitat in the Suitable Habitat Assessment Form for Trees. Individual trees
may be considered suitable habitat when they exhibit the characteristics of a potential roost tree and
are located within 1,000 feet of other forested/wooded habitat.
Regarding potential roost habitat, Indiana Bats prefer live trees and/or snags ≥5 inches dbh that have
exfoliating bark, cracks, crevices, and/or hollows for their roost sites. Areas above 900’ NGVD are not
suitable for Indiana Bat for roosting or foraging.
4. Examples of areas that are “not suitable habitat”:
Individual trees that are greater than 1000 feet from forested/wooded areas;
Areas greater than 900’ NGVD in elevation;
Urban street trees (trees found in highly‐developed urban areas);
A pure stand of 5‐inch dbh trees (or less) that are not mixed with larger trees;
Apple orchards;
Buckthorn patches; and
Christmas tree stands that are actively managed.
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 6 of 9
IBat Suitable Habitat Assessment Form for Trees (IBat SHAFT)
Project Name: PIN:
Acres Proposed to be Removed: Lat/Long:
Project Description:
Summary of NYNHP Database Results (proximity to known hibernacula, roost trees, maternity colonies,
or forage locations):
Results of Field‐based IBat Suitable Bat Habitat Assessment:
Does the Tree Removal Area contain forested/wooded habitat that is made up of trees greater
than 5” dbh, that also exhibit signs of exfoliating bark, cracks crevices, and/or cavities, OR that also
is mixed with larger trees?
Does the Tree Removal Area have individual trees that have exfoliating bark, cracks, crevices,
and/or cavities, and are closer than 1000’ from other forested/wooded habitat?
Does the Tree Removal Area contain any of the following: adjacent and interspersed emergent
wetlands and adjacent areas of agricultural fields, old fields, and pastures, and forests and
woodlots (range from dense to loose aggregates of trees) that contain live trees and/or snags
greater or equal to 5” dbh that have exfoliating bark, cracks, crevices, and/or cavities?
If the answer is yes to any of the above questions, the determination is that “Suitable IBat Habitat”
exists within the Tree Removal Area.
Determination: Suitable IBat Habitat No Suitable IBat Habitat *Must complete Rangewide 14‐ Day *You can conclude “No
Form, traditional informal, or formal consultation. Effect, No Suitable Habitat”.
Characterization/Description of the Habitat:
Comments (include specific details, if applicable, such as areas are below 900’ in elevation, no roost
trees for IBat specifically were noted by NYNHP):
Name (individual completing the field assessment):
Signature: Date:
Phone Number: E‐mail Address:
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 7 of 9
Rangewide Bat Informal Consultation Form (Rangewide 14‐Day Form)
In submitting this form, FHWA ensures that the proposed project(s) adhere to the criteria of the range‐wide programmatic informal BA.
Project Name: PIN:
Lat/Long: Region:
Project Description:
FWS Consult. Code (from IPaC Trust Resources Report “link”):
Effects Evaluation:
Did NYSDOT determine that suitable habitat exists for: NLEB IBat
If YES, please attach a copy of the SHAFT Form(s) to this document.
If NO, is NYSDOT assuming NLEB or IBat habitat? NLEB IBat
Acres of trees to be removed (if less than 10 trees, use 0.10 acre):
1. Will current permanent lighting remain the same (meaning no increase in mast lighting)? YES NO
2. Are trees to be cut between October 1 and March 31, and will they be marked to distingush them
from trees that are not to be cut? YES NO N/A
3. Are trees to be cut located within 100‐feet of the existing road surface? YES NO N/A
4. Are all other appropriate AMMs included in the project? YES NO N/A
Evaluation Results: If the answers to the above four questions are YES, then the determination is “May
Affect, Not Likely to Adversely Affect” either Indiana bat or the northern long‐eared bat. Is this the
determination that NYSDOT is concluding? YES NO
If any answer to the above question is NO, then this Rangewide 14‐Day Form cannot be used.
Name (individual completing the form)/ Agency:
Phone Number: Email Address:
NYSDOT Signature: Date:
FHWA Area Engineer Name/Contact:
Note: If your project includes any bridge work that is proposed to be initiated between March 31 and September 30, a Bridge/Bat Survey is required to be completed. Please see the Bridge/Bat Survey Form.
Submit this form to the USFWS with a cc: to the FHWA Area Engineer. If no comments are received from the USFWS within 14 days, the Area Engineer can then issue an ESA Concurrence Letter to NYSDOT for a MA, NLAA.
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 8 of 9
Bridge/ Bat Surveys
Requirements for Use
Does your project include any bridge work that is not on the Activity‐Based “No Effect” List, that will be
initiated between March 31 and September 30?
a. No: The bridge survey requirement does not apply to your project.
b. Yes: A Bridge/Bat Survey is required to be completed within 1 year prior to the start
of work on the underside of the bridge. The Bridge/Bat Survey can be conducted by
any individual, and can be conducted from the ground below the bridge with the
use of binoculars. Please complete the Bridge/Bat Survey Form and include it in the
documentation for either a “No Effect, No Suitable Habitat” determination from
FHWA, or as part of the package for other determinations (i.e. the 14‐Day Form,
traditional Section 7 ESA, etc.).
NOTE: One form can be submitted for all species of bats
FHWA‐NY ESA Process April 2016
Indiana Bat IBat Page 9 of 9
Bridge/Bat Survey Form NOTE: One form can be submitted for all species of bats.
Project Name: PIN:
Type of Road Carried: Lat/Long:
Feature Crossed (land, wetland, river, etc.): BIN:
Project Description:
Project Start Date:
Bridge Characteristics
Is the bridge over water or road/rail/land?
What is the height over water/road/rail/land?
Is the bridge made of concrete, steel, or a combination?
Please rate the human disturbance or traffic under the bridge (high >5,000 ADT, low, none):
Methods of Bridge/Bat Survey
Is the Bridge/Bat survey complete within 1 year of the start of the work?
What was the survey method (Environmental Specialist w/ binoculars, staff w/ binoculars, manlift, etc)?
Were all areas checked for bats, including expansion joints, rough surfaces or imperfections in the
concrete, spaces between walls and ceiling joists, guiderails, unsealed crevices, and vertical crevices that
are sealed at the top?
Results of Bridge/Bat Survey
Are there bats present, or are there droppings, or is there staining from bats, or can you hear bats?
If the answer is no, submit the form in the documentation for either a “No Effect, No Suitable Habitat”
determination from FHWA, or as part of the package for other determinations (i.e. the 14‐Day Form, 30‐
Day Form, traditional Section 7 ESA, etc.).
If the answer is yes, the determination is that the bridge contains bats. The species needs to be
determined by the USFWS, and clearance must be obtained from the USFWS before work can begin on
the bridge. Please take photos of the bats, if possible, and coordinate with Main Office, who will, in turn,
coordinate with the FHWA Area Engineer and an Environmental Specialist.
Details: Please provide any additional details regarding bats, including number of bats, observations,
whether or not there is a colony or individual bats, if the bats appear to be using bird nests, etc.:
Name (individual completing the bridge survey):
Signature: Date:
FHWA‐NY ESA Process April 2016
Bog Turtle Bog Turtle Page 1 of 5
Species‐Specific Package:
Bog Turtle
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow chart ..................................................................................................................................................... 5
FHWA‐NY ESA Process April 2016
Bog Turtle Bog Turtle Page 2 of 5
Step 2: Species‐ Specific Key
Bog Turtle You are following this worksheet because IPaC has shown the Bog Turtle may be present within the
Project Area. Please follow the key, below, to determine your next steps for ESA Section 7 compliance
and documentation.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for Bog Turtle. The ESA
Transmittal Sheet is required to be placed in the project file at NYSDOT if there are no
other ESA determinations that need submissions to FHWA or USFWS.
b. No. Continue to question 2.
2. Does the NYNHP or NYSDEC mapper identify known locations of Bog Turtle within the proposed
project action area?
a. Yes. Continue to Question 7.
b. No. Continue to Question 3.
3. Are there any wetlands within 0.5 miles downstream of the project area that have:
An emergent and/or scrub‐shrub wetland component; or
Forested areas with suitable soils (bottom substrate of permanently saturated
organic or mineral soils) and hydrology (spring‐fed with shallow surface water or
saturated soils present year‐round).
a. Yes. Continue to Question 4.
b. No. (Bog Turtle habitat does not exist). NYSDOT seeks concurrence from FHWA for a “No
Effect, No Suitable Habitat” determination. Please transmit the entire package to FHWA
for concurrence, including: Documentation indicating no suitable habitat exists within
the Project Area, ESA Transmittal Sheet with the appropriate box checked, and
additional species determinations, if applicable.
4. Does NYSDOT choose to assume that Bog Turtle exists within the project area?
a. Yes. Continue to Question 7.
b. No. Conduct a Phase 1 Bog Turtle Survey in accordance with USFWS guidance:
http://www.fws.gov/northeast/nyfo/es/btsurvey.pdf and Continue to Question 5.
5. Does the Bog Turtle Phase 1 survey conclude that suitable habitat exists either within the
project area or within 0.5 miles downstream of the project area?
a. Yes (Bog Turtle habitat exists). Conduct a Phase 2 and/or Phase 3 (trapping) surveys
within designated survey areas will be conducted between April 15 – June 15. Continue
to Question 6.
b. No (Bog Turtle habitat does not exist). NYSDOT seeks concurrence from FHWA for a “No
Effect, No Suitable Habitat” determination. Please transmit the entire package to FHWA
for concurrence, including: Suitable habitat assessment documentation indicating no
suitable habitat exists within the Project Area, ESA Transmittal Sheet with the
appropriate box checked, and additional species determinations, if applicable.
FHWA‐NY ESA Process April 2016
Bog Turtle Bog Turtle Page 3 of 5
6. Did Phase 2 and/or 3 surveys document Bog Turtles within the project area?
a. Yes. Continue to Question 7. Please note that additional surveys/studies may be
necessary to characterize the population, identify nesting and hibernating areas, and/or
identify and assess adverse impacts to the species and its habitat. The FHWA in
consultation with the USFWS will determine the next steps regarding surveys.
b. No. NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination. Please transmit the entire package to FHWA for concurrence, including:
Suitable habitat assessment documentation indicating no suitable habitat exists within
the Project Area, ESA Transmittal Sheet with the appropriate box checked, additional
species determinations, if applicable.
7. Does the project have any potential direct effects to the Bog Turtle or to Bog Turtle habitat, such
as filling wetlands where the Turtle is present? OR: Does the project have any potential indirect
effects to the Bog Turtle or to Bog Turtle habitat? Please see the “notes” section at the end of
this worksheet for help with this determination.
a. Yes. Please note that additional surveys/studies may be necessary to characterize the
population, identify nesting and hibernating areas, and/or identify and assess adverse
impacts to the species and its habitat. The FHWA in consultation with the USFWS will
determine the next steps regarding surveys. Please prepare either a Biological
Evaluation or a Biological Assessment characterizing indirect and/or direct effects.
Direct affects to Bog Turtle will most likely require formal consultation and the
submission of a Biological Assessment. If the project has only indirect effects, then a
Biological Evaluation may be appropriate. The submission package to FHWA should
include: habitat surveys, the BE or BA, ESA Transmittal Sheet with the appropriate box
checked, and additional species determinations, if applicable.
b. No (the project does not have any direct or indirect effects to Bog Turtle or Bog Turtle
habitat). NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination. Please transmit the entire package to FHWA for concurrence, including:
habitat surveys, Biological Evaluation indicating that while suitable habitat exists within
the Action Area, the project will not result in any impacts (direct or indirect), ESA
Transmittal Sheet with the appropriate box checked, and additional species
determinations, if applicable.
Notes: Determining Bog Turtle Habitat: Distance Thresholds regarding wetlands are based on conservation zones 1‐3 and the impact of activities described here: http://www.fws.gov/northeast/nyfo/es/btconszone.pdf Survey Information can be found at: http://www.fws.gov/northeast/nyfo/es/btsurvey.pdf Determining Impacts: The Bog Turtle Recovery Plan, several documents regarding the life cycle and conservation recommendations, and documents helpful for determining impacts are located at: http://www.fws.gov/northeast/nyfo/es/BogTurtle.htm
FHWA‐NY ESA Process April 2016
Bog Turtle Bog Turtle Page 4 of 5
Generally, double rows of silt fencing placed uphill of potential Bog Turtle habitat can minimize the potential for indirect effects, and will most likely qualify for a “May Affect, Not Likely to Adversely Affect”, if this is the only effect. In addition, if a project has temporary wetland impacts for access only (such as to access a culvert for repair or replacement) the use of timber mats instead of fill in wetlands, placed during the winter and removal before early spring, can qualify for a “May Affect, Not Likely to Adversely Affect” determination.
FHWA‐NY ESA Process April 2016
Bog Turtle Bog Turtle Page 5 of 5
Flow chart
FHWA‐NY ESA Process April 2016
Mollusks Mollusks Page 1 of 4
Species‐Specific Package:
Mollusks
(Chittenango Ovate Amber Snail, Clubshell,
Dwarf Wedgemussel, Rayed Bean)
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow chart ..................................................................................................................................................... 2
FHWA‐NY ESA Process April 2016
Mollusks Mollusks Page 2 of 4
Step 2: Species‐ Specific Key
Mollusks
Chittenango Ovate Amber Snail, Clubshell, Dwarf Wedgemussel, Rayed Bean
This process is for all projects, including projects with in‐water work.
You are following this worksheet because IPaC has shown the one or more of the above Mollusk species
may be present within the Project Area. Please follow the key, below, to determine your next steps for
ESA Section 7 compliance and documentation.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for Mollusks. The ESA
Transmittal Sheet is required to be placed in the project file at NYSDOT if there are no
other ESA determinations that need submissions to FHWA or USFWS.
b. No. Continue to Question 2.
2. Does the project involve in‐water work?
a. Yes. Continue to Question 3.
b. No. NYSDOT completes the ESA Transmittal Sheet and check “No Effect, Activity‐Based”
for Mollusks. The sheet is required to be placed in the project file at NYSDOT if there are
no other ESA determinations that need submissions to FHWA or USFWS.
3. Does NYSDOT choose to assume that Mollusk habitat exists within the Project Area, or within
0.25 miles downstream of the Project Area?
a. Yes. Continue to Question 5.
b. No. Conduct/ Complete one or more of the following habitat assessments, depending
on the species listed by IPaC and/or the NYNHP, and continue to Question 3.
i. Clubshell, Rayed Bean, Dwarf Wedgemussel:
http://www.fws.gov/northeast/nyfo/es/Smith%20et%20al_2001.pdf
ii. Chittenango Ovate Amber Snail:
http://www.fws.gov/northeast/nyfo/es/coas.htm
If any of the above surveys reveal Mollusks being present, additional survey
work may be required. You may wish to coordinate with FHWA at this point in
the process to determine steps forward.
4. Do any or all of the Mollusk surveys indicate that Mollusks could be present within the Project
Area or within 0.25 miles downstream of the Project Area?
a. Yes (Mollusk habitat is present). Continue to Question 5.
b. No (Mollusk habitat is not present). NYSDOT seeks concurrence from FHWA for a “No
Effect, No Suitable Habitat” determination. The submission package includes: the
completed Mollusk Survey and the ESA Transmittal Sheet with the appropriate box
FHWA‐NY ESA Process April 2016
Mollusks Mollusks Page 3 of 4
checked. Please transmit the entire package (including additional species
determinations) to FHWA for concurrence.
5. Does the project involve direct effects to the Mollusks including activities such as placement of
scour protection, cofferdams, dewatering, or excavation in known locations of occurrences?
a. Yes. This project should follow the 7‐Step Process and most likely will require Formal
Consultation (up to a 1‐year process).
b. No. Continue to Question 6.
6. Does the project involve potential indirect effects to the Mollusks including activities such as
placement of scour protection, cofferdams, dewatering, or excavation within 0.25 miles
upstream of known locations of occurrences?
a. Yes. This project may qualify for a “May Affect, Not Likely to Adversely Affect”
determination. The submission package includes: the completed Mollusk Survey, a
Biological Evaluation explaining the potential indirect effects to the species, and the ESA
Transmittal Sheet with the appropriate box checked. Please transmit the entire package
(including additional species determinations) to FHWA for review, concurrence, and
submission to the USFWS.
b. No. This project may qualify for a “No Effect, No Suitable Habitat” determination. The
submission package includes: the completed Mollusk Survey; a Biological Evaluation
explaining that due to the nature of the activity and minimization measures, there does
not appear to be any potential to affect the species; and the ESA Transmittal Sheet with
the appropriate box checked. Please transmit the entire package (including additional
species determinations) to FHWA for review and concurrence.
FHWA‐NY ESA Process April 2016
Mollusks Mollusks Page 4 of 4
Flow chart
FHWA‐NY ESA Process April 2016
Karner Blue Butterfly KBB Page 1 of 4
Species‐Specific Package:
Karner Blue Butterfly
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow chart ..................................................................................................................................................... 4
FHWA‐NY ESA Process April 2016
Karner Blue Butterfly KBB Page 2 of 4
Step 2: Species‐ Specific Key
Karner Blue Butterfly
You are following this worksheet because IPaC has shown the Karner Blue Butterfly may be present
within the Project Area. Please follow the key, below, to determine your next steps for ESA Section 7
compliance and documentation.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for Karner Blue
Butterfly. The ESA Transmittal Sheet is required to be placed in the project file at
NYSDOT if there are no other ESA determinations that need submissions to FHWA or
USFWS.
b. No. Continue to Question 2.
2. Does the proposed project disturb areas within 200 meters of known “occupied habitat” for
Karner Blue Butterfly, including:
i. Lupine patches where butterflies have been directly observed;
ii. Any additional lupine plants, suitable nectar plants, and/or grassy areas within
200 meters of occupied lupine patches; or
iii. Areas mapped by the NYNHP as known KBB habitat.
a. Yes. Follow the 7‐step Process. You will need to determine if your project has the
potential to affect the species. A determination that the project is “Likely to Adversely
Affect” the KBB will require formal consultation, which can take up to a year to
complete.
b. No. Continue to Question 3.
3. Is the land use within the Project Area and extending 200 meters beyond the Project Area
limited to:
i. Active row‐cropped agricultural lands;
ii. Paved developed areas (buildings, roads, etc.);
iii. Other non‐sandy or poorly drained soil areas;
iv. Areas regularly mowed during the growing season (lawns); and/or
v. Areas with >50% canopy cover (only if there are no openings, trails, or
paths through such areas)?
a. Yes. NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination. The submission package includes: a description of the habitat with a
determination of “No Suitable Habitat”, and the ESA Transmittal Sheet with the
appropriate box checked. Please transmit the entire package (including additional
species determinations) to FHWA for concurrence.
b. No. Complete a habitat assessment for Karner Blue Butterfly using the USFWS‐approved
survey protocol:
http://www.fws.gov/northeast/nyfo/es/KBBPASurveyProtocols12May2008.pdf .
FHWA‐NY ESA Process April 2016
Karner Blue Butterfly KBB Page 3 of 4
4. Does the KBB Habitat Assessment conclude that suitable habitat exists within the area proposed
to be impacted?
a. Yes (KBB habitat exists). Follow the USFWS 7‐step Process. You will need to determine if
your project has the potential to affect the species. A determination that the project is
“Likely to Adversely Affect” the KBB will require formal consultation, which can take up
to a year to complete.
b. No (KBB habitat does not exist). NYSDOT seeks concurrence from FHWA for a “No Effect,
No Suitable Habitat” determination. The submission package includes: the completed
KBB Habitat Assessment concluding “No Suitable Habitat”, and the ESA Transmittal
Sheet with the appropriate box checked. Please transmit the entire package (including
any additional species determinations) to FHWA for concurrence.
Additional Notes:
Habitat assessments look for: blue lupine, suitable nectar plants, grassy areas.
Population surveys‐ You must coordinate with DEC/USFWS staff to determine appropriate survey window.
Survey window for the year should be refined with DEC/USFWS prior to conducting surveys.
Occupied Habitat Area is Typically:
All lupine patches (contiguous patch area defined as all lupine plants within 200 meters of each other) in which butterflies were directly observed during previous surveys; and
Additional lupine within 200 meters of lupine patches where butterflies were directly observed; and
Any suitable nectar plants and grassy areas that provide shelter for the butterflies within 200 meters from the edge of a lupine patch.
Brood/Flight Periods of the KBB:
There are two per year,
First is mid/late May through mid/late June (timing varies 2‐3 weeks from year to year),
Second is mid‐July through mid‐August (timing varies 2‐3 weeks from year to year),
Length of flight period varies 2‐5 weeks from year to year.
Lupine Surveys‐ Timing:
Sunny areas: late‐May to mid‐June,
Shady areas: late‐May to mid‐July.
Butterfly Surveys‐ Specifications:
Minimum of 5 surveys per KBB flight period with a total of 10 surveys needed to establish baseline conditions for the KBB,
If neither species is observed during the first flight, continue with second flight surveys until Karner blue butterflies are observed (or all 5 second flight surveys are complete).
FHWA‐NY ESA Process April 2016
Karner Blue Butterfly KBB Page 4 of 4
Flow chart
FHWA‐NY ESA Process April 2016
Sturgeon Sturgeon Page 1 of 4
Species‐Specific Package:
Sturgeon
(Atlantic and Shortnose)
Contents
Step 2: Species‐ Specific Key ......................................................................................................................... 2
Flow chart ..................................................................................................................................................... 4
FHWA‐NY ESA Process April 2016
Sturgeon Sturgeon Page 2 of 4
Step 2: Species‐ Specific Key
Sturgeon Atlantic Sturgeon, Shortnose Sturgeon
You are following this worksheet because IPaC has shown that sturgeon may be present within your
project area, meaning that you are proposing work within the Hudson River. Please follow the key,
below, to determine your next steps for ESA Section 7 compliance and documentation.
Please note: Sturgeon consultation occurs with the National Marine Fisheries Service (NMFS), instead of
the USFWS. The following key helps determine when to engage NMFS.
1. Is your activity listed in Attachment 1: Activity‐ Based “No Effect” List?
a. Yes. NYSDOT completes the ESA Transmittal Sheet and records the corresponding
number of the activity in the box for “No Effect, Activity‐Based”, for Sturgeon. The ESA
Transmittal Sheet is required to be placed in the project file at NYSDOT if there are no
other ESA determinations that need submissions to FHWA or USFWS (such as Bats or
Mollusks).
b. No. Continue to Question 2.
2. Does the project involve any of the following types of “in‐water work”:
pile driving; placement of scour protection;
dredging; spudding barges; installation of cofferdams or sheet piling;
vessel operations in excess of 6 knots; or operation of construction equipment from barges?
a. Yes. Continue to Question 3.
b. No. NYSDOT completes the ESA Transmittal Sheet and check “No Effect, Activity‐Based”
for Sturgeon. The sheet is required to be placed in the project file at NYSDOT if there are
no other ESA determinations that need submissions to FHWA or the USFWS (such as
Bats or Mollusks).
3. Will all of the “in‐water work” occur between November 1 and March 31?
a. Yes. NYSDOT seeks concurrence from FHWA for a “No Effect, No Suitable Habitat”
determination, because your work will be occurring during a time of year when the
sturgeon are less likely to be present. FHWA will conduct a project‐specific review to
determine if the amount of inwater work is consistent with a “No Effect” determination.
The submission package includes: a Biological Evaluation explaining details regarding the
proposed work, and the ESA Transmittal Sheet with the appropriate box checked. Please
transmit the entire package (including additional species determinations) to FHWA for
concurrence.
FHWA‐NY ESA Process April 2016
Sturgeon Sturgeon Page 3 of 4
b. No. The determination for this project is “May Affect”. Concurrence from NMFS will be
required. Please submit a Biological Evaluation to the FHWA, including: a Biological
Evaluation explaining the potential effects to the species including any minimization
measures, and the ESA Transmittal Sheet with the appropriate box checked. Please
transmit the entire package (including additional species determinations). Based on the
submission, FHWA will determine if the project can seek a “May Affect, Not Likely to
Adversely Affect” determination from NMFS, or if a Biological Assessment is required.
FHWA will review, provide concurrence, and submit the BE or BA to NMFS as
appropriate.
FHWA‐NY ESA Process April 2016
Sturgeon Sturgeon Page 4 of 4
Flow chart
Attachment: Activity‐Based “No Effect” List
FHWA‐NY ESA Process April 2016
Highway/Bridge Work Types
1. Joint and Crack Sealing 2. Pavement Marking 3. Impact Attenuator Repair or Replacement 4. Repair and Replace Loop Detectors 5. On‐call Guide Rail Repair 6. Rigid Pavement Repairs (spall repair, grinding, etc.) 7. Pavement Grooving 8. Microsurfacing and Chip Sealing 9. Shoulder Rumble Strip Installation 10. Delineator and/or Reference Marker Placement or Replacement 11. Graffiti Removal and/or Prevention 12. Shoulder Rehabilitation and/or Repair 13. Traffic Management Systems Maintenance (communications cable, hardware for ITS, RWIS, etc.) 14. Highway Lighting Upgrading (excluding luminaire replacement and installation of high mast lighting) 15. Bicycle Path and Walkway Rehabilitation (e.g. ADA curb ramps) 16. Install, Replace and/or Repair Permanent Traffic Count Detectors 17. Install, Replace and/or Repair Weigh‐in‐Motion Detectors 18. Recharge Basin Reconditioning 19. Underdrain Installation 20. Guide Rail and/or Median Barrier Upgrading (including placement of new guide railing or median
barrier) 21. Upgrading Sign(s) and/or Traffic Signal(s) 22. Install, Replace and/or Repair Right‐Of‐Way, Pedestrian and Permanent Snow Fencing 23. Park and Ride Lot Rehabilitation 24. 1R Projects that do not involve drainage work or work off of the paved surface/shoulder, or bridge
work (see notes below), see also #31 and 32 25. 2R Projects that do not involve drainage work or work off of the paved surface/shoulder, or bridge
work (see notes below), see also #31 and 32 26. 3R Projects (freeway and non‐freeway) that do not involve drainage work, bridge work, or work off
of the paved surface/shoulder, or bridge work (see notes below), see also #31 and 32 27. Highway‐Rail Grade Crossing: installation of new and/or replacement of existing automatic warning
devices 28. Highway‐Rail Grade Crossing: installation of new and/or replacement of existing signage 29. Highway‐Rail Grade Crossing: interconnection of grade crossing warning systems with vehicular
traffic signal system 30. Highway‐Rail Grade Crossing: surface replacement or upgrade 31. Bridge Work: Maintenance, alteration, and demolition of bridges/structures from October 1 to
March 31 that does not include alteration of permanent lighting and does not alter bat roost potential, or involve any work within rivers, streams, or wetlands.
32. Bridge Work: Maintenance, alteration, and demolition of bridges/structures from April 1 to September 30 that does not include alteration of permanent lighting and does not alter bat roost potential, or involve any work within rivers, streams, or wetlands AND that has a negative Bridge/Bat Survey (see notes)
33. Bridge Inspections 34. Maintenance and Protection of Traffic (M&PT) activities within the operational right‐of‐way (see
notes below)
FHWA‐NY ESA Process April 2016
Supplementary Information
Information on #34: Operational right‐of‐way: As defined in 23 CFR Part 771.117 (c)(22), operational right‐of‐way refers to that which has been disturbed for an existing transportation facility or is maintained for a transportation purpose. This area includes the features associated with the physical footprint of the transportation facility (including the roadway, bridges, interchanges, culverts, drainage, fixed guideways, mitigation areas, etc.) and other areas maintained for transportation purposes such as clear zone, traffic control signage, landscaping, any rest areas with direct access to a controlled access highway, areas maintained for safety and security of a transportation facility, parking facilities with direct access to an existing transportation facility, transit power substations, transit venting structures, and transit maintenance facilities. Portions of the right‐of‐way that have not been disturbed or that are not maintained for transportation purposes are not in the existing operational right‐of‐way.
Information on #24, 25, and 26:
Drainage work (1R, 2R and 3R projects): Certain drainage activities have the potential to directly or indirectly affect federally listed species and therefore are not covered within this list for an Activity‐Based “No Effect” determination.
Drainage activities NOT COVERED within this Activity‐Based “No Effect” determination:
Repair, rehabilitation, replacement or construction of culverts and open drainage systems; and
Work within rivers, streams, and wetlands.
Drainage activities that ARE COVERED within this Activity‐Based “No Effect” determination:
Repair, rehabilitation, replacement or construction of closed drainage systems and drainage structures; and
Cleaning of sediment and debris from culverts, pipes, and drainage structures.
Work off of the paved surface/shoulder (1R, 2R and 3R projects): Curb ramps, traffic signals, sidewalks and trails are considered to be part of the paved surface; therefore, projects involving work in such areas is included in this list for an Activity‐Based “No Effect” Determination.
Information on #32:
Bridge work: For projects that involve maintenance, alteration, construction, and demolition of
bridges/structures from April 1 to September 30, a Bridge/Bat Survey is required to be
completed, if the project is within the range of either the Northern Long‐eared Bat, or the
Indiana Bat, or both. Please see the Species‐Specific keys for both the NLEB and the IBat and
submit the Bridge/Bat Survey form (that has been completed within 1 year prior to the start of
the project) to the FHWA Area Engineer, when the form is complete. FHWA will file the form.
PIN: PROJECT NAME: DATE:
ESA Does
Not Apply
No Effect,
Activity‐Based
No Effect, No
Suitable Habitat
MA, NLAA, 14‐
Day Form
MA, 30 Day
Form
MA, NLAA,
Traditional 7‐
step Process
Bridge/Bat
Survey FormMA, LAA
Northern Long‐eared
Bat
Indiana Bat NA
Bog Turtle NA NA NA
Mollusks (Dwarf Wedge
Mussel, Rayed Bean,
Clubshell, Chittenango
Ovate Amber Snail)
NA NA NA
Karner Blue Butterfly NA NA NA
Sturgeon (Shortnose,
Atlantic)NA NA NA
Other listed species
(Please list) NA NA NA
Documentation
Required
The IPaC
report is
included in
the Design
Report.
Record the
corresponding
number of the
activity in the box
above. This sheet
and the IPaC
printout are
included in the
Design Report.
NYSDOT submits
"No Suitable
Habitat
Determination"
to FHWA for "No
Effect"
Concurrence.
NYSDOT submits
14‐day Form to
the USFWS w/
cc: to Area
Engineer.
NYSDOT submits
30‐day Form to
FHWA, who
submits it to
USFWS for
concurrence.
NYSDOT submits
either BE or BA
to FHWA, who
submits to
USFWS for
concurrence.
NYSDOT submits
Bridge/Bat
Survey Form to
FHWA.
NYSDOT submits
BA to FHWA for
Initiation of
Formal
Consultation
with USFWS.
Step 3: Documentation. Please complete the appropriate boxes below and complete the documentation as described.
Section 7 ESA Process: ESA Transmittal Sheet
Instructions for Use: This Summary Sheet is sent to FHWA for concurrence for all submissions, except "ESA Does Not Apply" and "No Effect, Activity‐Based". A
submittal package should include all documentation for all species requiring concurrence so that FHWA can make one ESA determination. SEE EACH SPECIES‐
SPECIFIC PACKAGE FOR SPECIFIC DOCUMENTATION REQUIREMENTS FOR SUBMITTALS. Also, FHWA requires documentation of compliance with ESA in the
Design Report.