Species Act, Section 7: Process for Compliance and ......FHWA‐NY ESA Process April 2016 Northern...

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


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.


Step 2: Species Specific Packages


Indiana Bat

Bog Turtle

Mollusks (Dwarf Wedge Mussel, Rayed Bean, Clubshell, Chittenango Ovate Amber Snail)


Sturgeon (Shortnose Sturgeon, Atlantic Sturgeon)


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



Step 2: Species‐ Specific Key


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).


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?


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)?



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?


year process).


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


species determinations) to FHWA for concurrence.


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?



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)



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


Outside 100 feet of pavement edge (and greater than 0.5 miles from a hib and 150 feet from a roost tree)




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





Flow chart



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.



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:



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:


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.



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:



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



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):



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.



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.).



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 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‐


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:


Indiana Bat IBat Page 1 of 9


Indiana Bat

Contents


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




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


and documentation.



number of the activity in the box for “No Effect, Activity‐Based”, for IBat. The ESA


other ESA determinations that need submissions to FHWA or USFWS. If the project

involves a bridge, Continue to Question 8.


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?


year process).


3. Is tree removal associated with the project?



determination. The submission package includes: the completed NLEB SHAFT Form with

the box checked “No Suitable Habitat”, and the ESA Transmittal Sheet with the


species determinations) to FHWA for concurrence. Continue to Question 8.

4. Does NYSDOT choose to assume that Indiana bat habitat exists on the project?


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



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?


year process).


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 of the start prior to the project



Flow ch

art



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.



IBat Suitable Habitat Assessment Form for Trees (IBat SHAFT)

Project Name: PIN:

Acres Proposed to be Removed: Lat/Long:


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:



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:



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:



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.



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



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 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‐


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:


Bog Turtle Bog Turtle Page 1 of 5


Bog Turtle

Contents


Flow chart ..................................................................................................................................................... 5




Bog Turtle You are following this worksheet because IPaC has shown the Bog Turtle may be present within the


and documentation.



number of the activity in the box for “No Effect, Activity‐Based”, for Bog Turtle. The ESA


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?



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).


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?


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.



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.


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



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.



Flow chart


Mollusks Mollusks Page 1 of 4


Mollusks

(Chittenango Ovate Amber Snail, Clubshell,

Dwarf Wedgemussel, Rayed Bean)

Contents


Flow chart ..................................................................................................................................................... 2




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.



number of the activity in the box for “No Effect, Activity‐Based”, for Mollusks. The ESA


other ESA determinations that need submissions to FHWA or USFWS.


2. Does the project involve in‐water work?


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?


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



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).


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.



Flow chart


Karner Blue Butterfly KBB Page 1 of 4



Contents


Flow chart ..................................................................................................................................................... 4





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.



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.


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.


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


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 .



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).



Flow chart


Sturgeon Sturgeon Page 1 of 4


Sturgeon

(Atlantic and Shortnose)

Contents


Flow chart ..................................................................................................................................................... 4




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.



number of the activity in the box for “No Effect, Activity‐Based”, for Sturgeon. The ESA


other ESA determinations that need submissions to FHWA or USFWS (such as Bats or

Mollusks).


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?


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.



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.



Flow chart

Attachment: Activity‐Based “No Effect” List


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)


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.

Species Act, Section 7: Process for Compliance and ......FHWA‐NY ESA Process April 2016 Northern...

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