Combined HCP Instruction Files

Endangered Species Permits
Explanation of the HCP Development Process
In general, there are three main phases to the HCP process. They are the pr
permit processing phase, and the post-issuance phase. Roles and responsibil
applicant and the U.S. Fish and Wildlife Service are summarized as follows:

I. Pre-application Phase
1. Communication occurs between landowner and U.S. Fish and Wildlife Service, i
advice for HCP development. This may involve site visits, habitat assessments,
applicant's consultant, evaluation of the issues involved, and development of m
strategies. Go here for U.S. Fish and Wildlife Service Field Office contact inform
Midwest.

2. The U.S. Fish and Wildlife Service must comply with the National Environmenta
before issuing the landowner an Incidental Take Permit. Therefore, the FWS mu
whether the project qualifies for a categorical exclusion as a "low-effect HCP". I
"low-effect" project, an Environmental Assessment or Environmental Impact St
to be prepared. Preparation of NEPA documents is the responsibility of the U.S.
Service. However, we often ask the applicant to prepare the draft NEPA docume
speed up the process.

3. If the project is not a "low-effect" HCP, then an Implementing Agreement must
applicant.

4. The U.S. Fish and Wildlife Service will review and comment on draft HCP, NEPA
Implementing Agreements.

II. Permit Processing Phase
5. The applicant submits a complete application package, including the permit app
HCP, and an application fee.

6. The U.S. Fish and Wildlife Service and/or the applicant have finalized the draft
Implementing Agreement, if applicable.

7. The U.S. Fish and Wildlife Service reviews all documents to determine if they a
complete.

8. The permit "package" (all documents) is mailed to the U.S. Fish and Wildlife Se
(Fort Snelling, MN) for review.

9. The USFWS prepares an announcement to be published in the Federal Register
on the draft HCP. The public comment period is usually 30 days.

10. The U.S. Fish and Wildlife Service prepares a "biological opinion" on their issua

15. Permit holder submits all the required reports that are described in the HCP an
agreement. Periodic meetings, phone calls and site visits may be needed during
the HCP.

16. The U.S. Fish and Wildlife Service monitors and evaluates the HCP and
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Last updated: August 29, 2018

Endangered Species Permits
Requirements of an HCP
According to section 10(a)(2)(B) of the Endangered Species Act and associate
regulations, HCPs must meet six requirements before an incidental take perm
These requirements are:
1.
2.
3.
4.

All takings must be incidental,
Impacts must be minimized and mitigated "to the maximum extent practicable,"
There must be both adequate funding, and provisions to address "unforeseen cir
The taking must "not appreciably reduce the likelihood of the survival and recove
wild,"
5. The applicant must ensure that additional measures required by federal regulato
and
6. Federal regulators must be certain that the HCP can and will be implemented.

If the HCP addresses all of these requirements and those of other applicable la
issued.

Endangered Species Permits
General Outline of an HCP
Table of Contents
Executive Summary
Include the general location of the project or area covered by the Habitat Co
(Plan), the desired term of the permit (i.e., number of years permit will be in
description of the project/activity (e.g., construction of 15 houses, timber ha
etc.), the species to be covered by the Plan, and a brief description of the me
used to minimize and mitigate the impacts of the project.
1.0 INTRODUCTION AND BACKGROUND
1.1 Overview/Background
Provide a general overview of the project (i.e., brief description, backgr
etc. as appropriate) and purpose of the Plan.
1.2 Permit Duration
Include the desired term of the section 10(a)(1)(B) permit (i.e., duratio
be in effect; 5 years, 20 years, etc.). Include a discussion about the fac
considered in determining the length of the permit (e.g., duration of ap
proposed activities).
1.3 Regulatory/Legal Framework for Plan (Optional)
Provide a brief description of the prohibition against take and the lawfu
incidental take as provided by the Federal Endangered Species Act. Inc
discussion of State Endangered Species Act as appropriate.
1.4 Plan Area
Identify the boundaries of the area covered by the Plan. Include maps,
universal transverse mercator (UTM) coordinates, township and range,
descriptions as necessary to clearly delineate precise boundaries. Provi
description of regional location of Plan area/project. Multiple maps or le
documents should be included as an Appendix.
1.5 Species to be Covered by Permit
Provide a list of all species for which coverage under the permit is requ

2.1.1 Climate
2.1.2 Topography/Geology
2.1.3 Hydrology/Streams, Rivers, Drainages
2.1.4 Vegetation
2.1.5 Wildlife
2.1.6 Existing Land Use
2.2 Species of Concern in the Plan Area
2.2.1 Wildlife Species of Concern
Provide information on all species to be covered by the permit, as
any other listed or sensitive species which may occur in the Plan a
even if incidental take coverage is not requested. Include informa
the species' life history, habitat requirements, and distribution and
population trends both range wide and within the Plan area. Nume
lengthy species accounts can be included in the text of the Plan o
Appendix.
2.2.2 Plant Species of Concern
Provide the same type of information as described for wildlife abo
3.0 PROJECT DESCRIPTION/ACTIVITIES COVERED BY PERMIT
3.1 Project Description
Describe the project. Provide as much detail as necessary to give a com
accurate picture of the project, including any pertinent timing or phasin
3.2 Activities Covered by Permit
Describe all activities related to the project that may result in take of co
or are important to obtaining a complete understanding of the proposed
Include activities that may result in short-term and long-term impacts a
indirect impacts.
Note: Coverage under the 10(a)(1)(B) permit applies only to those acti
activities described in the Plan.

be expressed as a number of individual animals, as habitat acres,
appropriate measures.
4.1.2 Anticipated Impacts: Plant Species
Provide the same type of information as for wildlife species descri
above.
4.2 Cumulative Impacts
As appropriate, discuss cumulative impacts that may occur as a result o
projects which may affect the same resources.
5.0 CONSERVATION PROGRAM/MEASURES TO MINIMIZE AND MITIG
5.1 Biological Goals
Describe the desired outcome for the covered species and their habitat
biological goals and objects to be achieved through implementation of t
conservation program. These goals should be broad guiding principles f
operating conservation program. They are the rationale behind the min
mitigation strategies (e.g., maintain a viable population in the conserva
5.1.1 Biological Objectives
For each biological goal, describe specific biological objectives in t
measurable targets for achieving the goals of the operating conse
program (e.g., maintain a successful reproductive rate of 70% wit
conservation area during the life of the permit). The objectives co
habitat or species based. Success criteria could involve the mainte
of a certain acreage of suitable habitat, certain levels of habitat q
certain numbers of individuals within habitat areas, certain levels
reproductive success, etc.
Note: Each covered species that falls under that goal or objective
accounted for individually as it relates to that habitat.
5.1.2 Adaptive management strategy
For some HCPs, the adaptive management strategy will be an inte
of an operating conservation program that addresses the uncertai
the conservation of a species covered by an HCP. The strategy sho
identify the uncertainty, develop experimental strategies to answe
questions relating to the uncertainty, integrate a monitoring progr
detects the necessary information, and incorporates a feedback lo
links implementation and monitoring to a decision-making proces
results in appropriate changes in management. This strategy shou

unavoidable impacts (e.g., establishment of permanent habitat preserv
credits in a habitat bank, enhancement of degraded habitat, etc.)
5.4 Monitoring and Reports
Describe the monitoring measures that will be implemented to 1) evalu
compliance; 2) determine if the biological goals and objectives are bein
3) provide feedback information for the adaptive management strategy
Describe any reports that will be prepared as part of the mitigation and
process (e.g., annual report assessing take that occurred, annual repor
acquisition, monthly report on species occurrence, etc.). Include inform
contents of the reports, frequency of reports, due dates, who will prepa
and to whom reports will be submitted.
6.0 FUNDING
6.1 Funding for Minimization and Mitigation Measures
Describe the funding mechanism that will be used to ensure that mitiga
monitoring will be implemented. Note that funding must be guaranteed
is to have mitigation in place prior to take occurring or phased-in as the
Other options for guaranteed funding include posting of a bond or lette
establishment of an endowment or other trust fund.
7.0 ALTERNATIVES
7.1 Alternative 1
7.2 Alternative 2
7.3 Alternative 3
8.0 PLAN IMPLEMENTATION, CHANGED AND UNFORSEEN CIRCUMSTA
8.1 Plan Implementation (Optional)
Describe any specifics of plan implementation (e.g., phasing, options in
implementation, oversight organizations or committees, etc.). The need
section will vary with the type of project and complexity of the Plan.
8.2 Changed Circumstances
Provide a detailed description of all reasonably foreseeable circumstanc
natural catastrophes that normally occur in the area (e.g., listing of new
within the plan boundary, fire, earthquake, etc.). This should include an
conservation and mitigation measures that are necessary to respond to

APPENDICES (Optional)
The following items/information should be included as appendices to the HCP
particular project. Note: In some circumstances it may be appropriate for so
information to be included in the body of the Plan rather than as an appendix
A. Maps/Figures
B. Biological Reports/Biological Assessments
C. Implementing Agreement
D. Conservation Easement Deed
E. State Management Agreements; Memorandums of Understanding; etc.
F. Financial/Account Information
G. Community Involvement Process
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Endangered Species Permits
Contents of an HCP
The contents of an HCP are defined in Section 10 as well. In general, they in
1. An assessment of impacts likely to result from the proposed taking of o
federally listed species.
2. Measures the permit applicant will undertake to monitor, minimize, and
impacts; the funding that will be made available to implement such me
procedures to deal with unforeseen or extraordinary circumstances.
3. Alternative actions to the taking that the applicant analyzed, and the re
applicant did not adopt such alternatives.
4. Additional measures that the U.S. Fish and Wildlife Service may require
appropriate.
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Last updated: August 29, 2018

Endangered Species Permits
Tools for Preparing Habitat Conservation Plans

Screening Form for Determining Low-Effect Habitat Conservation Plans
(38 KB Adobe pdf file)
NEPA Compliance Checklist
(41 KB Adobe pdf file)
Roles and Responsibilities for Incidental Take Permits and Enhancement of Su
(42 KB Adobe pdf file)
HCP Issuance Criteria (20KB pdf file; 5 pages)
Template HCPs
Guidelines for Identifying and Preserving Historic Objects (18KB pdf file; 4 pa
Resource for Writing Biological Goals and Objectives
State Endangered Species Acts - Past, Present, and Future
You will need Adobe Reader software to open some of the documents above.
link to obtain this software free of charge.
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Last updated: August 29, 2018

Endangered Species Permits
Habitat Conservation Plans - Selected Reading
Guidances
The HCP Handbook
Principal Deputy Director's Memorandum: Guidance on When to Seek a
Permit(April 26, 2018) [1.2MB]
Director's Memo: Application of the "Destruction or Adverse Modificatio
Section 7(a)(2) of the Endangered Species Act - Dec. 9, 2004 (3 pages
file)
Director's Memo: Guidance for the Establishment, Use, and Operation o
Banks - May 2, 2003 (19 pages; 216 KB Adobe pdf file)
Director's Memo: Revised DirectiveConcerning“No Surprises” Litigation
pages; 60 KB Adobe pdf file)
Office of the Solicitor Memo Standardized Guidance on Compiling a Dec
Administrative Record - June 27, 2006 (18 page; 265 KB Adobe pdf file
CEQ Regulations (40 CFR)
Disclosure Letter when preparing NEPA documents through third party
document)
Generic purpose and need statement for Environmental Impact Statem
HCPs (Word document)
OFFICE OF MANAGEMENT AND BUDGET Final Information Quality Bullet
Dec. 15, 2004 (41 pages; 238 KB Adobe pdf file)
Permit Application Form and Instructions (11 pages; 695 KB Adobe pdf

Federal Guidance on the Use of In-Lieu-Fee Arrangements for Compens
Under Section 404 of theClean Water Act and Section 10 of the Rivers a
Federal Register Notice: Nov. 7, 2000 (222 KB Adobe pdf file)
National Environmental Policy Act Revised Implementing Procedures - F
Notice: March 8, 2004 (23 pages; 179 KB Adobe pdf file)
Policy for Evaluation of Conservation Efforts When Making Listing Decis
Register Notice: March 28, 2003 (16 pages; 102 KB Adobe pdf file)

Fact Sheets
Habitat Conservation Planning (2 pages; Adobe pdf file)
Habitat Conservation Plans: Section 10 of the Endangered Species Act
file)
The Changing Face of HCPs (4 pages; pdf Adobe file)
Comparison of Landowner Conservation Tools (1 page; 26 KB Adobe pd
Wisconsin KarnerBlue Butterfly HCP Model (1 page; 55 KB Adobe pdf fil

Articles
Score One for the Desert - Audubon Magazine article
Species Coverage in Multispecies Habitat Conservation Plans: Where’s t
MATTHEW E. RAHN, HOLLY DOREMUS AND JAMES DIFFENDORFER in Ju
No. 7 BioScience. 7pp
Understanding the HCP Universe and the Role of Facilitation in it. Jill Br
Dylan Garrison of Monterey Institute of International Studies. May 2003
KB Adobe pdf file)

NEPA Compliance
FWS NEPA Handbook (401 pages; Adobe pdf file)

Samples and Templates
Sample Letter, Disclosure Statement and Statement of Responsibilities
EIS for HCPs (6 page Word Document)
HCP - EIS Purpose and Need Template (1 page Word document)

Miscellaneous
La Cantera Development Co. HCP Case; ORDER CONCERNING PENDING
SUMMARY JUDGMENT (93 pages; 475 KB Adobe pdf file)
Findings and Recommendations for the Issuance of Section 10(a)(1)(B)
Permits Associated with the Natomas Basin Habitat Conservation Plan (
Adobe pdf file)
You will need Adobe Reader software to open some of the documents above.
link to obtain this software free of charge.
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Last updated: August 29, 2018