Dispute Resolution Process Memo

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U.S. DEPARTMENT OF TRANSPORTATIONFEDEi\,\ HIGHWAY ADMINISTRATIONCALIFORNIA DJVISION6S0 C pi10J Mall, Sui le 4-100Sacra.memo, CA, 958 14November 21, 2006IN REPLY Ref'ER TOHOA-CASigned DRP TransmittalDocument# S49855Will Kempton, DirectorCalifornia Department ofTransponationP.O. Box 942874Sacramento, CA 94274Attention: Jay Norvell, Chief, Division of Environmental AnalysisDear Mr. Kempton:SUBJECT: Transmittal of Signed Final Dispute Resolution Process FlowchartThe Federal Highway Administration (FHW A) in cooperation with Cali fornia Department ofTransportation, and U.S. Fish and Wildlife Service is pleased to distribute the final version of thedispute resolution process flowchart and elevation ladder. The dispute resolution flowchart hasbeen signed by all parties and is now effective. FHWA thanks you for your participation andeffort in developin g and refining this project streamlini ng t0ol. Please find enclosed an originalsigned copy for your records. In addition an electronic version including signatures will bedistributed via email.If you have any questions, please contact Dave Tedrick, Environmental Program Coordinator at(916) 498-5024 or via email to david.tedrick@lhwa.dot.govSincerely,ForGeneK. FongDivision AdministratorEnclosure # S49567,.--- ,- - ,; ·

,:',ol' 'l'l. "lii,,P.v,·/· .:-·-a.1 -:'auQ.·.-. S "'·. - -T 0.li RANSPORT ·TIO ·:· EPART.FOOB-RAL l-UOH\V Y , M [S. 1 , TIO ·C.ALIPORNL · D1Vl· [ONMO Capiro Mall. . 1.dtili 4- t 00S, crtt{Jl, CA. OSSl4Sept. · be · 6.2200:6HDACAFile· · Dispute .Reso]ution Pr,ocessDocument# S4 l':567SUBJEC : Jo·· t. Me . . randum for the Di s.pute Re.solution Pr-ocess (DRP1)Attached i th. flo\ chart di . l,evati n ladder for the DRP that staffs from the three s.i.gnatoryage.11.cies hav .·bc-en oibng on fo . several. months. .It i.s be[ieved tlnl't this pr, c s wiU e,xpediteSection con uUat10 s pursuant to the Endanger-ed Species Ac'l.1Once all signatory parties have · gne t · memorandum, this process wiU be e.ffe.cti ounm·ediately.G, .n K. 'JiongCalifo. :ia Di vismn Admini.stratorf ederaI Highw a.y Admimstration.Steve ThompsonActing Califomia/Nevada Operations ManagerU.S. Fish and Wildlife ServiceWill KemptonDirectorCalifornia Department of TransportationAttachmentRE- -- I.ERICAUP

Not Likely to AdverselyAffectEffectsDeterminationLikely to Adversely AffectYes***Completenesscriteria metYesYesCt/FHWA Agrees with --------130 Days .''''l''''!:****BeginDisputeResolutionFWS Concurs that noadditional data neededfor consultationFHWA determineslikely to adverselyaffect and initiatesFormal Consultationconcurrent withsubmittal of theBiologicalAssessment (hardand electroniccopy), andrequests to reviewdraft BOFWS NotifiesFHWA in writingwithin 30 days if(a) there isconcurrence withfindings of BA(acknowledgementletter), or (b)action can beappended to a PBO9/6/2006FWS RequestAdditional DataAdditionalinfo. providedto FWSYes (Clock Extended)No----------------------------1I30 Days------- -----.Consultation ContinuesTime ExtensionNeededNoGotoPage 2YesNoFHWA Agrees withRequest for More Info andprovides timeline.YesTime Extension requested (email orletter) by FWS to FHWA withcopies to Caltrans District and HQnoting reasons for possibledelays.FHWA Responds (email or letter)within 14 Days with approval ordenial of extension (up to 60 isputeResolution* The purpose of the dispute resolution flowchart is to represent some key points in the Section 7 consultation process; the intent is not to define a new consultationprocess. However, use of the dispute resolution process is not necessarily limited to the trigger points identified in this flowchart. This flowchart does not supersede anyexisting Federal regulations, and is intended to help clarify existing procedures already in place.** Caltrans/FHWA makes the effect, no effect determine for projects. If a project “may effect” threatened and/or endangered species, or their critical habitat, then informalconsultation may be initiated. Effective Informal Consultation includes early coordination between FWS and CT/FHWA on methods, analysis, and information to be includedin the Biological Assessments (BA). The FWS will provide a courtesy critique of presubmittal BAs when requested at least 30 days prior to initiation of formal consultation.In this review, the FWS will define (a) any deficiencies of completeness (6-elements criteria), (b) make note of any additional information recommendations to ensureeffective and timely preparation of a biological opinion, and (c) provide feedback on analysis of effects as appropriate. Completeness of BA package should be establishedbefore formal consultation is initiated. A request for additional information beyond the “completeness” criteria or minor disagreements on effects analysis should notpreclude the initiation of formal consultation. However, where substantial issues are anticipated to delay consultation, early dispute resolution is an option to preclude laterdisagreements. Note: this early feedback will not influence jeopardy/non-jeopardy determinations, but rather is intended to facilitate the effective preparations of theinformation necessary for such decisions.*** In order to comply with Section 7 regulations (50 CFR 402.14(c)), to request formal consultation, the initiation package must meet the following six criteria: 1) adescription of the action being considered; 2) a description of the specific area that may be affected by the action; 3) a description of any listed species or critical habitatthat may be affected by the action; 4) a description of the manner in which the action may affect any listed species or critical habitat, and an analysis of any cumulativeeffects; 5) relevant reports, including any environmental impact statements, environmental assessments, biological assessment or other analyses prepared on the proposal;and 6) any relevant studies or other information available on the action, the affected listed species, or critical habitat.**** Once the dispute resolution process reaches 1st level management, the time taken to resolve any outstanding issues will not be counted against the overall 135 daytimeframe to complete the biological opinion. The biological opinion timeframe will be extended proportional to the time required during the dispute resolution process.DR Process Part 1i60Daysii---------------------ii!,Flow Chart KeyD[J[J00Defines a ProcessDenotes a DocumentDenotes a DataIndicates a DecisionReference to Jump to Another PageProcess Flow90 Day Milestone - Complete Basic ConsultationRecommendationsadoptedDispute Resolution Process for ESA Section 7 ConsultationsCommunication Plan and Process Checks*FWS issuesconcurrenceletter(consultationends)30 Day Milestone - Complete Biological Assessment SubmittalNoNoTime Zero Milestone - Complete Informal and Initiate Formal ConsultationSubstantialAgreement onMethods andEffects?(Surveys, etc.)**EarlyCoordination& Courtesy PreBA SubmittalReviewFHW Asubmitsrequest forconcurrencewith NLAAdetermination

Dispute Resolution Process for ESA Section 7 ConsultationsCommunication Plan and Process Checks9/6/2006NoYesFWS transmitsdraft BiologicalOpinion to FHWA/Caltrans90 Day Milestone - Complete Basic Consultationtimeframe is extendedproportional to FHWAreview time)FWS agrees toincorporatesubstantialcommentsYesFinal BO isIssued by FWSNor---------------------------------145 Days'l .'****Begin DisputeResolution135 Day Milestone - Document and Finalize ConsultationFHWArequests draft(optional)ContinueFrom Page1FHWA providesFWS aResponse onDraft BO( consultation*****If FWS or FHWA havesubsequent concerns withcompleted consultationReinitiate uponnew Information(If necessary)****Begin DisputeResolutionFlow Chart Key***** FHWA agrees that the BO relied on the best scientific information available, and that the Terms and Conditions in the Incidental Take Statement comply with theminor change provision, and are implementable under FHWA’s legal authority and jurisdiction.D[JCJ00. JDR Process Part 2Defines a ProcessDenotes a DocumentDenotes a DataIndicates a DecisionReference to Jump to Another PageProcess Flow

Dispute Resolution Process for ESA Section 7 ConsultationsElevation Ladder and Decision Points*9/6/2006Begin DisputeResolutionFHWA, Caltrans or FWSinform (email or letter)each other of specificdisagreement needingelevationIssue Clarified andInformal SolutionsSought within 7calendar daysInformal SolutionFoundNoStaff Prepare a Joint/Separate Issue Memo toClarify positions and anytimeline concerns **1st level managementReviews and seeksSolution within 14calendar days1st LevelManagementDecision FoundYesNo1st Level Mgrs Preparea Joint Issue Memo toClarify Issues, documenttimeline agreements, andBrief 2nd LevelManagers2nd level managementReviews and seeksSolution within 14calendar days2nd LevelManagementDecision FoundYesNo2nd Level Mgrs Preparea Joint Issue Memo toClarify Issues and Brief3rd Level Managers3rd level managementReviews and MakesDecision in 14 calendardaysSolutions Documented(i.e. meeting minutes)including decisions,action items, andtimelines* The positions of responsibility for each level of management decision-making in this resolution page are referenced in the dispute resolutionladder.level management, the time taken to resolve any outstanding issues will not be counted** Once the dispute resolution process reachesagainst the overall 135 day timeframe to complete the biological opinion. The biological opinion timeframe will be extended proportional to the timerequired during the dispute resolution process.1stResolution PageResumeConsultationFlow Chart KeyD[JCJ00. JDefines a ProcessDenotes a DocumentDenotes a DataIndicates a DecisionReference to Jump to Another PageProcess Flow

FHWA California Division - USFWS California Nevada Operations Office California Department of TransportationDispute Resolution Process for ESA Section 7 ConsultationsThis elevation process is not a substitute for the proper interaction and proactive resolution of issues by staff at the working level.However, if the parties cannot agree on the level of information needed to resolve a consultation at the 30 day letter stage, or ifconsultation deadlines are exceeded - 135 days* for formal consultations, 60 days for appending to a programmatic B.0., or 60 daysfor an informal consultation -- then disputes should be quickly and automatically elevated.-x- Or extended time agreed to by FHWA.USFWSAssistant Field Supervisor orDesiu-neeField Su erv1sorCNO Assistant Managerfollowed by the CNOOperations Manager orDesi neeAssistant Director,Endangered Species orDesigneeDis ute Resol ution LadderCaltran sOffice Chief or Pro·ect Mana erFHWADistrict Director or District EnvironmentalDivision ChiefTeam LeaderDirector, ProjectDevelopment &EnvironmentChief Environmental Planner or Desi neeDivision Administrator orDesi neeDirector or Desiu-neeAssociateAdministrator forPlanning, Environmentand Realt or Desi neeAssu m.ptions:1) This is not intended to be a communication process or replace problem-solving and communications at project team level.2) Staff are expected to communicate in an open and timely fashion, and do their best to resolve issues before elevating.3) It is envisioned that most issues will be resolved at the first two levels.4) Discussion Papers will be prepared for all issues that are elevat ed to the next level. The papers should clearly communicatepositions of all sides, present all the alt ernatives identified, and discuss advantages and disadvantages of each. Agreementof any extension of time for consultation or information gat hering should also be expressed in the Issue Memo.5) Time to elevate is from the day one party concludes (and notifies the others) there is a disagreement which cannot be reconciledat their level and includes the time to prepare brief issue paper(s) on the matter. The issue paper(s) should state both sidesand others must have a chance to review.6) As necessary, each agency may call upon experts to assist with resolution of any issue.7) At the 1st level alternative resolution options or solutions could be employed. If an impasse at the 2nd level occurs, theprocess recognizes the need to elevate to Washington D.C.8) Resolution must be documented and available for future reference.* The CNO Assistant Manager will first review and seek to resolve issues prior to elevation up to CNO Operations Manager. This will not affectthe set timeframes established for the dispute resolution process.

Resume Consultation * The positions of responsibility for each level of management decision-making in this resolution page are referenced in the dispute resolution ladder. ** Once the dispute resolution process reaches 1. st. level management, the time ta

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