BiologicalAssessment Checklist
Caltrans andNMFS ESA Section7 Consultations
February2014
This checklist is intended to clarifyand streamlinecoordination for the EndangeredSpecies Act (ESA) Section 7, and Magnuson-Stevens FisheryConservation and Management Act (MSA)Essential Fish Habitat (EFH)consultations between NOAA’s National MarineFisheries Service(NMFS) and theCaliforniaDepartment ofTransportation (Caltrans). Thepurposeofthis checklist is to identifyimportant information needs and analysis to completeSection 7 andEFH consultations in atimelyandefficientmanner.
Theseinformation typesarepresented underthe context ofthesixitems that aredescribed in 50
CFR§402.14 to initiateESA Section 7 consultation, but are also applicableto EFH
consultations, as described in 50 CFR§600.905-930. The checklist is forgeneral project useas a guidancetool. Someitems maynot be applicableto specificprojects and/or additional items
maybeidentified during the courseofa consultation.
BACKGROUND STEPSCHECKLIST
☐TitleofProposed Action:Click here to enter text.
☐TypeofProposed Action:Click here to enter text.
o(e.g., funding, carryingout or authorizingbridgereplacement, seismic retrofit, culvert replacement, placement of rock slopeprotection, road realignment, or othertypes ofprojects)
☐Request species list fromapplicableNMFSOffice:
oRequest Date:Click here to enter a date.
oResponseDate:Click here to enter a date.
☐Request NMFSto engagein discussions throughpre-consultation meetings, sitevisits,
and/or reviewingdraft ESA documents such as thebiological assessment (BA).
☐Request ESA and/orEFH consultation, as applicable, upon completion ofthe final BA
oRequest Date:Click here to enter a date.
oNeeded byDate:Click here to enter a date.
☐Utilize relevant planning reports andguidelines:
oESA Consultation Handbook: Procedures for conductingSection 7 consultations and conferences. Joint U.S. Fish and WildlifeService and NMFS, Final, 03/1998. This publication can befound at the followinglink:
oAn Assessment Framework forConductingJeopardyAnalyses underSection 7 of theEndangered SpeciesAct. NMFS, ABackground Paper, Modified 06/2004. This publication can befound at the followinglink:
%20Analytical%20Framework-2.pdf
oEssential Fish Habitat Consultation Guidance:
BAOUTLINEAND CHECKLIST I.INTRODUCTION
☐Purpose and need oftheproposed action.
☐General location oftheproposed action.
☐ Briefsummaryoftheproposed action.
☐ Documents provided toNMFSthat arerelated totheproposed action.
☐ Description of anybiological orhabitat studies conducted fortheproject.
☐ Otherpertinent history.
II.CONSULTATION HISTORY
☐ Summarizediscussions,meetings andwritten correspondencewith regulatory orother partners that are relevantto theproposed action and theESA consultation.
III.DESCRIPTION OFTHEPROPOSEDACTION ProjectSummary
☐ A summarized description oftheagencyaction proposed to be authorized,funded, or carried out in which thereis discretionaryFederalinvolvement or control.
Authorities andDiscretion
☐ A description oftheStateand local authorities’policies and ordinances affectingthe proposed action.
☐ A description ofthe extent and limits of agencydiscretion that are applicableto the proposed action and pertain to action-related effects on federallylisted fish and protected habitat.
ProjectLocation
☐ Project location, county,route, post-mile, rivermile (RM), latitude/longitude coordinates, orother applicablegeographiclocation data.
☐ Map ofproject location/vicinity, includingtopographic representation and orphotographs if available.
☐ River/stream nameand location.
☐ Sitephotographs.
☐ Othergeographicinformation that will help describethephysical location oftheproject.
☐ Description of environmentallysensitiveareas within theproject area, includingoccupied fish habitat orprimaryconstituent elements (PCEs)of critical habitat.
ConstructionMethodology
Deconstructtheaction
☐ Deconstruct theaction bydescribingspecificproject components that mayaffect species and critical habitat. Details ofthis approach aredescribed in NMFS2004 “An Assessment Framework forConductingJeopardyAnalyses underSection 7 ofthe Endangered Species Act.”
Construction Activities:methods, project footprints, staging, access andequipment
☐ Details of construction methods to beused.
☐ Detailed description ofin-waterconstruction footprint (quantifytotalareawhere applicable).
☐ Description and location ofwork pads, staging, trafficstaging, parking areas, turn outs, haul roads, access, borrow/disposal/stockpilesitesand utilityrelocation areas.
☐ Detailed description ofactivities that will occurbelow theordinaryhigh watermark
(OHWM)orwithin areasdesignated as critical habitat.
☐ Types of equipment andmaterials that will beused for construction.
☐ Location fordisposal ofmaterial and vegetation,and containment methods.
☐ Placement ofworkpad fill within river channels iscomprised of clean washed gravel that meet Caltrans sizespecifications forsalmon and steelhead spawning gravel.
☐ Timingand duration ofproposed conservation measures.
Pile-Driving(dueto thecomplexityofpiledriving analysis, this section includes descriptionofpiledriving activities and acoustic analysis requirements)
☐ Numberofpermanent and temporarypiles.
☐ Typeand composition ofpile (e.g., auger, steel, concrete, sheet pile, “H”pile).
☐ Diameterofpiles.
☐ Length ofpiles.
☐ Duration ofpiledriving(dailyandfortheentireproject).
☐ Start and end dates ofpiledriving (months/years).
☐ Piledrivingsourceorlocation (from barge, land orother).
☐ Proofingthepiles load-bearingcapacitybypiledrivingmethodology(theintent hereis to capturetestingtheload-bearingcapacityofpiles placed usingvibratorymethodology).
☐ Fortemporaryfalsework,pleaseincludeadditional information:
oDetermineifthepiles will beleft in placeduring consecutiveseasons.
oDetermineifthepiles will be cut-offbelow themud-lineor completelyremoved.
☐ Size and typeofhammerto drivepiles: Identifywhether an impact, vibratory, orother
typeofhammerwill beused and ifpre-drillingisproposed.
☐ Numberofpilestrikes perpile.
☐ Numberofpiles to bedriven perday(clockresetsonlyaftera12 hourbreak).
☐ Location ofpiles in andnearthechannel:
oProvidedrawings that includethewaterdepth inprofileview and the channel width in plan view.
oIllustratethe approximatelocations oftemporaryand permanent piles.
oIndicatethelocation anddistanceto thewettedchannel ofpiles not drivenin the
waterto thewatercolumn.
☐ Depth thewaterpiles will belocated.
☐ Substratein which piles will belocated.
☐ Sound attenuation devices to beused (e.g., bubblecurtain, isolation casing,dewatered cofferdam)and indicatewhich piles the attenuation would beused for. Estimatethe anticipated decreasein transmitted pressure (dB)dueto the attenuation device.
☐ Methodologyandconstruction procedureofsound attenuation.
☐ Estimatetheunderwatersound generated from each piletype/size (with attenuation methods ifproposed), toincludethemetricreferenced to thepressure (i.e.,peak dBre: 1
µPa, and RMSre: 1 µPaand single-strike andcumulativeSELdBre: 1 µPa2-sec).
☐ AcousticImpact Area: Estimatethedistances from thepiles to reach theonset of physical injurythresholds forimpact hammerpiledriving(206 dBpeak, and 183 and/or
187 dBcSELdepending on fish size); seeinterim agreement availableat Includedistanceto reach thesub-injurious threshold (currently150 dBRMS) from thepiles duringimpact pile driving.
☐ Effectsanalysis usingtheNMFS PileDrivingCalculator (current version dated
8/16/2011). Seelink below and contactyourNMFS Caltrans liaison to verifythelatest version ofthepiledrivingcalculator.
☐ Sound monitoringand reportingrequirement to resourceagencies duringproject construction. UsetheGuidance forHydroacousticMonitoring, which can be found at
☐ Methodologyfor anymarinemammal monitoring zones, if applicable. Water Diversions/CofferDams
☐ Description ofdiversioncontrols and de-watering actions (location, timing,and duration)
☐ Ifcofferdams areproposed, includein theBA thedates theywill bein place (e.g.,years, months, ordays)and theareatheywill occupy.
☐ Completedescription ofthetotal areato bedewatered.
☐ Measures to keep fish/wildlifeout ofde-watering devices (i.e. preventfish/wildlife entrapment), ifapplicable.
Fish Relocations
☐ Installation ofwaterdiversions and cofferdams inanadromous fish habitatmayentrap or entrain listed fish. Ifthis effect is anticipated, develop aNMFSapproved fish relocation plan.
☐ A fish relocation plan should includeadescription of anyanticipatedfish relocation activities, includingthenumber, frequencyand environmental or construction conditions that maytriggertheneedfor fish relocation actions.
Sedimentation/Erosion Control/Turbidity
☐ Sediment/turbidityreduction best management practices (BMPs), and turbidity monitoringand reporting.
☐ Ifwaterwill bepumped to asettlingpond/tank, adescription ofhow waterwill betested priorto returningit to thesource riverorstream.
☐ Ifsediment orstructureremoval is proposed, quantifythevolumeofmaterial to be removed below theOHWM.
Culverts/Bridges
☐ Size and locations of existingculvertsand othercrossings.
☐ Engineeringdrawings ofstream crossings.
☐ Design plans with cross-sections of culverts, bridgesandgrade control structures.
☐ Fish passageanalysis:
oForprojects that mayaffect fish passage, describehow theproposed project will meet the criteriaofastream simulation orhydraulicdesign. NMFSfish passage criteriaaredescribed in theNMFSGuidelines forFish Passage at Stream Crossings:
oTheincluded analysis should evaluatetheexistingand proposed ultimatechannel conditions within the action areaand vicinity. Types of analysis used to assess fish passage conditions includehydraulic,geomorphic, and sediment anddebris transport.
oEarlycoordination withNMFSbiologists and engineeringstaffto reviewfish passageprojects is recommended.
Rock SlopeProtection
☐ Volume and areaoftemporaryand permanent rock slopeprotection orother fill to be placed below theOHWM:
oTotal volumeof fill fortheproject. This includesboth above and below the
OHWM (ormean low ormean high in tidal/marshareas).
oDescribethe amount andextent of fill alongand adjacent to streambanks and shorelines.
oSize and typeofmaterial.
ProjectOperations andMaintenance
☐ Description ofthe completed project’s operation.
☐ Describehow thefacilitywill bemaintained, includingmaintenanceofrestored areas or fish passagestructures.
Construction Sequencing andSchedule
☐ Start and end dates, duration, and sequencingofconstruction.
☐ Numberofdays of construction.
☐ Numberof construction seasons to completetheproject.
☐ When describing construction windows, specifyin-waterversus out-of-water windows/activities.
☐ Describewhetherconstruction will takeplaceduringtheday, night, orboth.
ConservationandMitigationPlanandApplicableBMPs
☐ Conservation and mitigation practices must bedescribed andanalyzed as thoroughlyas anyother component ofaproposed action.
☐ Species and habitat avoidance, minimization, mitigation andconservation measures are thoroughlydescribed in this section oftheBA,even ifsummarized in othersections.
☐ Description ofproposedavoidance, minimization, mitigation and conservation actions:
oIn-stream orin-channelwork windows.
oOnsite and offsitemitigation (includingre-vegetation plans and conservation bank
credits purchaselocations, ratios, or amounts).
oFish passagemonitoring plan (FPMP).
oHabitat mitigation and monitoringplan (HMMP).
oBMPs.
oMonitoring.
☐ Sediment/turbidityreduction BMPs, and turbiditymonitoringand reporting.
☐ Storm waterpollution prevention plan (SWPPP).
☐ Waterpollution qualitycontrol plan (WPCP)or (WQCP).
☐ Spill prevention control and countermeasureplan (SPCCP).
☐ Description ofspecificspecies, lifestages, habitat types and PCEs that will be addressed with proposed conservation measures.
☐ All waterpumpingorwithdrawal from an anadromous waterwayshouldcomplywith NMFSfish screen criteriato avoid entrainment offish. Ifwaterpumpingis expected, the amount and timingofsuch withdrawals should bedescribed. NMFSfish screening criteriacan befound at:
☐ Operation and maintenanceofproposed avoidance, minimization, mitigation and conservation actions.
☐ Success criteria forproposed measures.
InterrelatedandInterdependentActions
☐ Description ofinterrelated and interdependent actions that mayaffect federallylisted anadromous fish, theirdesignatedcritical habitat,orboth:
oInterrelated actions arethosethat arepart ofalarger action and depend upon the largeraction fortheirjustification.
oInterdependent actions haveno independent utilityapart from theaction under consideration.
oFordetailed definition ofinterrelatedand interdependent actions see:
ActionArea
☐ A description ofthespecific areathat maybeaffected bytheaction. Theaction areais defined in 50 CFR§402.02 as all areas to beaffected directlyorindirectlybytheFederal action, and not merelytheimmediate areainvolved in the action.
☐ Map of action area(ifdifferent than theprojectarea).
☐ NotetheRM ofawaterwayand thetotal areaaffected upstreamand downstream ofthe project.
IV.ENVIRONMENTAL BASELINE:STATUSOFTHE SPECIESAND CRITICAL HABITATIN ACTIONAREA
Status oftheSpecies
☐ Describeanystudies thatwerecarried out to support theproposed action.
☐ Identifythe federallylisted species that mayoccurin the action area.
☐ Providedetails on thepresence, timing,abundanceand site-specificbiological requirements ofthevarious lifestages offederallylisted fish that maybepresent in the action area.
☐ Describethehydrologic,geomorphic, orgeological conditions that arerelevant to listed species and theirhabitat in the action area.
☐ Summarize factors affectingthespecies in theaction area.
☐ Describehow thebest availablescientific andcommercial information regardingthe status and trends ofthespecies that arepresent inthe action areawereusedduringthe preparation oftheBA. Include recent publications, journal articles, agencydata, and technical reports that wereused and cited. Includelocal information relativeto the project vicinity, views ofrecognized experts, andresults from recent studies on life history, population dynamics, trends and distribution. Reference field notes, unpublished data, research in progressand other applicablematerial. Includepopulation information forthevarious listed species within the action area.
Status ofCritical Habitat
☐ Identifyand describethosePCEs of critical habitat within the action area.
☐ Species specificPCEs can be found in Federal Register(FR)notices to help support determinations forcritical habitat. Contactyour NMFS Caltrans liaison foralist of applicableFRnotices.
☐ Describehow thebest availablescientific andcommercial information regardingthe status and trends ofcritical habitat PCEs present in the action areawas used in developingtheBA. Includepublications, journalarticles, agencydata,andtechnical
reports that wereusedand cited. Includelocal information relativeto theproject vicinity, views of recognized experts, and results from recent studies, lifehistory, population dynamics, trends and distribution. Reference fieldnotes, unpublished data,research in progress and other applicablematerial.
☐ Identifythetotal area and linear feet ofaffected critical habitat (byapplicablePCE).
V.EFFECTSOFTHEACTION Approachto theAssessment
☐ Analytical approach is consistent with the risk assessment framework developed by NMFSfor analyzingeffects to listed species and theirhabitat based onexposure and responseto anaction. This frameworkfollows ninesteps that can be consistentlyapplied to different types ofactions and used to develop replicable assessments with logical,
well-reasoned, and supportable conclusions. Forformal consultations, Caltrans canapply steps onethrough sixindevelopingtheBA. Steps seven through ninearecompleted by NMFSin abiological opinion.
☐ Description ofpotentialdirect and indirect effects, includinganyadverseorbeneficial effects.
☐ A description ofhoweffects analysis forindividuals ofaspecies and critical habitat will be conducted separately.
InformationAvailable for theAssessment
☐ Summarizethebest scientific and commercial information that will be applied to the assessment.
☐ SupplyNMFSwith an electronic copyofthereferencematerial.
Assumptions Underlying This Assessment
☐ A description of anyassumptions that will be applied to the analysis.
Effects:ExposureAssessment to Individuals
☐ Description ofthespatialand temporal exposureofspecies and specificlifehistory stages to deconstructed elements oftheproposedaction in the action area.
☐ Considerboth direct andindirect effects.
☐ Description ofthepotential stressors associated with deconstructed action elements within the action area. Possible assessment guidelines and stressors to considerinclude:
oSound assessment regardingpeak and cumulativelevels without sound attenuation, usingthemost recent interagencyhydroacoustic assessment protocols.
oAssessment ofsound levels afterattenuation, usingthemost recent interagency hydroacousticprotocols.
oChanges in turbidityandsediment deliveryto stream channels.
oChanges in waterquality.
oChannel dewateringandchanges in flow or fish passage conditions.
oChanges inchannel substrate.
oStreambed alteration ordisturbance.
oLoss ofriparian habitat.
Effects:ResponseandRiskAssessment to Individuals
☐ Description ofthedirectand indirect biological responseto species and individuals that are exposed to projectrelated stressors associatedwith deconstructedaction elements within the action area.
☐ This assessment should describetheconditions that cause adverseeffects tofish and quantifytheamount andextent of adverseeffectsexpected from theaction (e.g., injury, death, harm, harassment,capture).
☐ Considerthe following:
oQuantification of analyzed hydroacousticeffects to fish usingthemost recent interagencystandardsand guidelines.
oResponse and risk fromchanges in turbidityand sediment deliveryto stream channels.
oResponse and risk fromchanges in waterquality.
oResponse and risk fromchannel dewateringandchanges in flow or fish passage
conditions.
oResponse and risk fromchanges in channel substrate.
oResponse and risk from loss of riparian habitat.
oResponse and risk from streambed alteration and disturbance.
Effects:ExposureAssessment to Critical Habitat
☐ Description ofthespatialand temporal exposureof critical habitat PCEs to potential stressors.
Effects:RiskAssessment to Critical Habitat
☐ Description ofthedirectand indirect physical responseof critical habitat PCEs to potential stressors associated with deconstructed action elements within the action area.
Summary ofEffects to Species andCritical Habitat
☐ Summarizethedirect and indirect effects to species and thephysical responseof critical habitat PCEs to potentialstressors associatedwith deconstructedaction elements within the action area.
VI.CUMULATIVEEFFECTS
☐ Describecumulative effects that arereasonablycertain to occurwithin theaction area:
oCumulative effects includethe effects offuturestate, tribal, local orprivate projects.
oFutureFederal actions arenot considered in this section becausetheywillbe subject to separate consultation pursuant to Section 7 oftheESA.
VII.EFFECTSOFINTERRELATED AND INTERDEPENDANTACTIONS
☐ Describethe effects ofinterrelated and interdependent actions associated with the proposed action.
VIII. DETERMINATION
☐ Logicofthe analysis shall support thedetermination. Summarizekeypoints that link the analysis to thedetermination.
☐ Oneofthe followingdeterminations shall bemade foreach listed orproposed species:
oNo effect (Noeffect determinations do not requireconsultation and NMFSis not obligated to concurwithno effect determinations).
oMayaffect, but is not likelyto adverselyaffect.
oMayaffect, likelyto adverselyaffect.
☐ Oneofthe followingdeterminations shall bemade foreach listed orproposed species’
critical habitat:
oNo effect.
oMayaffect, but is not likelyto adverselyaffect.
oMayaffect, and is likelyto adverselyaffect.
☐ Oneofthe followingdeterminations shall bemade forEFH:
oNo effect.
oMayadverselyaffect.
IX.LITERATURECITED
☐ References used to preparetheBA.
☐ Electronic copies of references compiledand supplied to NMFS.