Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-ca8-03-03267/USCOURTS-ca8-03-03267-0/pdf.json

Nature of Suit Code: 893
Nature of Suit: Environmental Matters
Cause of Action: 

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United States Court of Appeals

FOR THE EIGHTH CIRCUIT

___________

No. 03-3267

___________

Heartwood, Inc., a not-for-profit *

corporation; Jim Bensman, *

*

Plaintiffs/Appellants, *

* 

v. *

* 

United States Forest Service; United * Appeal from the United States

States Fish and Wildlife Service, * District Court for the Eastern 

* District of Missouri.

Defendants/Appellees, *

*

Mercantile Lumber Co., Inc.; Mark *

Twain Timber Purchasers Group, *

*

Intervenor Defendants/Appellees. *

___________

Submitted: May 13, 2004

Filed: August 25, 2004

___________

Before MORRIS SHEPPARD ARNOLD, BEAM, and MELLOY, Circuit Judges.

___________

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The Honorable Charles A. Shaw, United States District Judge for the Eastern

District of Missouri.

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MORRIS SHEPPARD ARNOLD, Circuit Judge.

Heartwood, Inc. and Jim Bensman (referred to collectively as Heartwood)

appeal the district court's1

 grant of summary judgment in favor of the United States

Forest Service (USFS) and the United States Fish and Wildlife Service (FWS). For

the reasons stated below we affirm the district court. 

I.

Heartwood challenges the USFS's approval of the Eastwood II Project located

in the Mark Twain National Forest (MTNF) in Missouri. The project includes plans

to harvest timber. Heartwood argues that approval was inappropriate because the

USFS violated the National Environmental Policy Act (NEPA), see 42 U.S.C.

§§ 4321-4370f, by approving the project without preparing an environmental impact

statement (EIS), and because the USFS violated the Endangered Species Act (ESA),

see 16 U.S.C. §§ 1531-1544, by not conducting new surveys at the project area for

the endangered Indiana bat. 

II.

NEPA requires that federal agencies follow certain procedures to examine the

environmental impact of their proposed actions. If an agency proposes a "major

Federal action [that] significantly affect[s] the quality of the human environment,"

NEPA requires that the agency prepare an EIS that, among other things, details "the

environmental impact of the proposed action." 42 U.S.C. § 4332(C). An EIS,

however, is not required if the agency first prepares an environmental assessment

(EA) providing "sufficient evidence and analysis" that no EIS is necessary because

the proposed action will not significantly affect the quality of the human

environment. See 40 C.F.R. § 1508.9. In those circumstances, the agency issues a

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finding of no significant impact (FONSI) rather than preparing an EIS. 40 C.F.R.

§ 1508.13. 

 

In some cases, an agency will compile a large programmatic EIS and, as

specific components of the program are ready to be implemented, complete a sitespecific EIS or EA that expands on the larger EIS. The subsequent EIS or EA need

"only summarize the issues discussed in the broader statement ... [and] concentrate

on the issues specific to the subsequent action." 40 C.F.R. § 1502.20. The Council

on Environmental Quality (CEQ) permits this procedure to avoid "repetitive

discussions of the same issues and to focus on the actual issues ripe for decision." Id.

Heartwood argues that the USFS violated NEPA by failing to prepare a sitespecific EIS for the Eastwood II project. We require that an agency, in reaching its

conclusion to forego an EIS, take a "hard look" at the project’s potential impacts,

identify the "relevant areas of environmental concern," make a "convincing case that

the impact was insignificant," and, if the impact is determined to be significant,

convincingly establish that changes in the project will sufficiently reduce that impact.

Audobon Soc'y of Cent. Ark. v. Dailey, 977 F. 2d 428, 434 (8th Cir. 1992). It is

undisputed that the USFS completed a programmatic EIS that included all of its

proposed projects in the MTNF. With respect to the Eastwood II project, the USFS

considered multiple alternatives (including a no-action alternative), addressed public

concerns about the project in an EA, and issued a decision notice that included a

FONSI.

The CEQ has promulgated regulations detailing how agencies should fulfill

their NEPA obligations. The CEQ's regulations list ten considerations that agencies

should take into account when taking a "hard look" at whether a project will have

"significant" environmental impacts, including the "degree to which the action may

adversely affect an endangered or threatened species," the "degree to which the

effects on the quality of the human environment are likely to be highly controversial,"

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the "degree to which the possible effects on the human environment are highly

uncertain or involve unique or unknown risks," and the "[u]nique characteristics of

the geographic area such as proximity to ... park lands, ... [or] wild or scenic rivers."

40 C.F.R. § 1508.27(b)(3), (4), (5), (9). If an agency takes a "hard look" and

determines that the proposed action has no "significant" environmental impact, an

EIS is unnecessary. 

A.

The CEQ regulations list the "degree to which the action may adversely affect

endangered or threatened species" as one of the matters that ought to be considered

in deciding whether to issue an EA or an EIS. 40 C.F.R. § 1508.27(b)(9). Prior to

reaching its decision, the USFS prepared a biological evaluation that concluded that

the Eastwood II project area had no known caves or mines that could serve as winter

habitat (hibernacula) for Indiana bats. At the time that the evaluation was completed,

the nearest capture of a reproductively active female Indiana bat was made

approximately 80 miles north of the project area and the nearest maternity colony was

100 miles west of the project area. Although a recent timber project led to the

discovery of a maternity colony 35 miles northeast of the Eastwood II site, this

information was not known at the time that the USFS made its decision to approve

the Eastwood II project.

As part of formal consultation with the USFS, the FWS completed a biological

opinion (BO) for the Eastwood II project that concluded that "adverse effects are

likely to occur to the Indiana bat," but that these effects were "not likely to jeopardize

[the bat's] continued existence." The BO explained that the "only potential impact to

the species [within the Eastwood II project area] would be during spring and fall

migration" and could occur from removing potential roost trees and prescribed fires

when bats are using the trees or when winds could drift smoke into a hibernaculum

14 miles away. The BO, however, concluded that "[t]he likelihood of cutting a tree

containing an individual roosting Indiana bat ... is anticipated to be extremely low

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because of the large number of suitable roost trees present on the MTNF and the

rarity of the species" in the area. And, while "[d]irect mortality or injury to

individuals or small groups of roosting bats may occur during the accidental burning

of ... trees that may harbor undetected roosts (if, in fact, such roosts occur within the

proposed action area), or removal of potential roosting trees during and after the

prescribed fires," "the effects of prescribed burning is expected to be minimal due to

the low density of Indiana bats documented within the project area and the 14-mile

distance to the closest occupied hibernacula." 

After the FWS prepared the BO, the USFS evaluated the severity of the effect

of the project on the Indiana bat and determined that the project would "have no

additional effects beyond those identified" in the BO and a previous biological

assessment, which both concluded that the "action [was] not likely to jeopardize the

continued existence of the Indiana bat" and that the effects of the project would be

minimal. The USFS concluded that the "possibility of [harming] an individual

Indiana bat or bats is remote." Specifically, "the possibility of direct impacts to

Indiana bats is extremely low, and the possibility of indirect impacts (removal of

suitable roost trees or change in preferred foraging acres) is also low." 

The above findings support the USFS's ultimate "finding of no significant

impact." The operative word here is "significant." While the FWS detailed some

potential impacts, it found that they were unlikely to occur and would not have a

significant impact on the species. The USFS used its expertise, along with its

consultation with the FWS, to conclude that the degree to which the project may

adversely affect the endangered Indiana bat was small. Cf. Marsh v. Oregon Natural

Res. Council, 490 U.S. 360, 374-77 (1989). 

The BO requires the USFS to implement "all pertinent reasonable and prudent

measures ... to minimize the impact of the anticipated incidental take of Indiana bats"

in order to insure that any harm that does occur is not significant. "Take" is defined

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under ESA to include "harass, harm, pursue, hunt, shoot, wound, kill, trap, capture,

or collect." 16 U.S.C. § 1532(19). By approving the Eastwood II project, the USFS

did not give itself a green light to disregard the project's impact on the Indiana bat.

Should that impact turn out to be significantly adverse, the USFS will be required to

adjust the project accordingly.

B.

The CEQ regulations require that an agency consider the degree to which the

effects of projects are "likely to be highly controversial" and the extent to which their

possible effects are "highly uncertain or involve unique or unknown risks." 40 C.F.R.

§ 1508(b)(4), (5). The term " 'controversial' refers to the existence of a 'substantial

dispute ... as to the size, nature, or effect of the major federal action rather than to the

existence of opposition to a use.' " Lockhart v. Kenops, 927 F.2d 1028, 1035 (8th Cir.

1991), cert. denied, 502 U.S. 863 (1991) (quoting Rucker v. Willis, 484 F.2d 158, 162

(4th Cir. 1973)). Even if public opposition could create a controversy, in the decision

notice (which, in addition to including a FONSI, referred to four alternatives

discussed in the EA), the district ranger changed some prescriptions for individual

tree stands from clear-cutting to thinning in response to public concerns regarding the

preservation of a nearby creek. If a controversy existed, it was resolved. 

Heartwood argues that there is a dispute about the effect of the Eastwood II

project on the Indiana bat, but it has presented no scientific evidence to support its

claim. It is undisputed that causes of the Indiana bat's decline throughout Missouri

remain uncertain. Heartwood has presented no evidence, however, that calls into

question the conclusion of the USFS and the FWS that the project's effects on the bat

will be, at most, minimal. Thus there is no controversy or uncertainty about whether

this project would aggravate the bat's decline. 

Lastly, Heartwood points to differing recommendations of two USFS foresters.

These recommendations, however, differed only as to specific prescriptions for

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individual tree stands (thinning versus clear-cutting); they did not disagree about the

"size, nature, or effect" of the Eastwood II project. The disagreements evidence that

the USFS took a "hard look" at the proposed actions by considering differing

opinions within (as well as without) the agency; they do not demonstrate a substantial

dispute about the project itself. One forestry expert is likely to disagree with another

in his or her evaluations of individual tree stands given the myriad factors that are

incorporated into the decision process, including environmental, economic, aesthetic,

and future growth concerns. 

C.

The CEQ regulations require an agency to consider the "[u]nique

characteristics of the geographic area such as proximity to ... park lands, ... wild and

scenic rivers, or ecologically critical areas" when determining whether a proposed

project will have a significant environmental impact. 40 C.F.R. § 1508.27(b)(3). The

Eastwood II project area is near the Ozark National Scenic Riverways, which is

managed by the National Park Service and includes the Current River National Scenic

Riverway. The Current River is over a mile away from the Eastwood II project, but

the project's effects on it were nevertheless considered in the EA and found to be

insignificant in a section examining the direct and indirect effect on "Water/Riparian

and Soil Resources." The EA also considered the impacts on biological diversity,

specifically within the Ozark-Ouachita Highlands area that "is a unique feature of the

North American landscape," and on recreational resources, including the impact of

noise on hunting, camping, and hiking, increased traffic during logging operations,

unattractive conditions, and disturbance to wildlife. The EA also explained how the

project would improve visitor safety at a trailhead for the Ozark Trail, thus improving

the visitor's recreational experience. Heartwood correctly points out that the decision

notice did not directly address the Current River National Scenic Riverway, but it

incorporated the EA which more than adequately examined the "unique

characteristics of the geographic area" and found that the project would have no

significant impact on the surrounding environment. 

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D.

Finally, a CEQ document suggests that an EA longer than 15 pages signals that

an EIS may be more appropriate. See Forty Questions, 46 Fed. Reg. 18,026, 18,037

(March 23, 1981). We disagree. It makes scant sense to require the USFS to compile

an EIS merely because it chose to issue a detailed EA that included EIS-like

information about its decision process, including a thorough discussion of proposed

alternatives. Even though the CEQ regulations did not require it, prior to completing

the EA, the USFS conducted "scoping" (mailing letters to interested parties to solicit

any issues relevant to the project) and had a public comment period. Much of the EA

was devoted to addressing the public concerns that the USFS learned of through these

processes. A rule requiring an EIS whenever an EA is longer than 15 pages would

encourage agencies to produce bare-bones EA's. The EA in this case thoroughly

considered the potential impacts on endangered and threatened species, biological

diversity, vegetation, riparian and soil resources, recreation, and migratory birds, as

well as the future health of the forests in the Eastwood II project area. What

ultimately determines whether an EIS rather than an EA is required is the scope of the

project itself, not the length of the agency's report. Lastly, the 15-page suggestion is

non-binding on this court because it is not a regulation but was merely included in a

CEQ document entitled, "Forty Most Asked Questions Concerning CEQ's National

Environmental Policy Act Regulations." See Friends of the Earth v. Hintz, 800 F.2d

822, 837 n.15 (9th Cir. 1986), and cases cited therein. 

E.

It is apparent to us that the USFS did not act arbitrarily and capriciously in

determining that the Eastwood II project would have no significant impact on the

environment. Thus, they were not required to complete an EIS rather than an EA.

The agency did not violate NEPA.

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III.

ESA requires that all federal agencies "seek to conserve endangered species

and threatened species," 16 U.S.C. § 1531(c)(1), and prohibits any unauthorized

"take" of an endangered species, 16 U.S.C. § 1538(a)(1)(b). As noted earlier, "take"

means "harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect."

16 U.S.C. § 1532(19). Agencies are required to insure that their actions are "not

likely to jeopardize the continued existence of any endangered species or threatened

species or result in the destruction or adverse modification of [designated critical]

habitat of such species." 16 U.S.C. § 1536(a)(2). In fulfilling this requirement,

agencies must use "the best scientific and commercial data available." Id. 

Subject to two exceptions not applicable here, see 50 C.F.R. § 402.14(b), if an

agency determines that its action "may affect" a threatened or endangered species, the

agency must formally consult with the FWS, see 50 C.F.R. § 402.14(a). Where, as

here, the agency engages in formal consultation, the FWS issues a BO that provides

an in-depth analysis of the effects of the action on the endangered or threatened

species and its opinion whether the project is "likely to jeopardize the continued

existence" of the species. See 16 U.S.C. § 1536(b)(3)(A); 50 C.F.R.

§ 402.14(h)(2)(3). The BO also includes a summary of the data underlying the FWS's

opinion. 50 C.F.R. § 402.14(h)(1). If the BO concludes that the agency's proposed

action is not likely to jeopardize the continued existence of the species, the FWS can

issue an "incidental take" statement. 16 U.S.C. § 1536(b)(4); 50 C.F.R. § 402.14(i).

This statement allows for a specified amount of take incident to the project's

completion and lays out procedures that the FWS deems necessary to minimize the

impact of any taking. The agency is required to implement the FWS's procedures and

comply with any other terms or conditions included in the statement. If, as the project

progresses, new information becomes available that casts doubt on the thoroughness

or accuracy of the BO, formal consultation must begin anew. 

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It is undisputed that the USFS followed this procedure in considering the

impact of the Eastwood II project on the endangered Indiana bat. Heartwood does not

contend that the USFS and the FWS ignored existing data but argues that ESA

required the agencies to conduct new surveys before the "no jeopardy" determination

was made. The EA prepared by the USFS, however, determined that the existing

information available about locations and potential habitats of the Indiana bat in the

Eastwood II project area was "of sufficient quantity, quality, and relevance to make

an accurate and complete analysis of potential effects" and that additional surveys

were "not needed" for the district ranger "to make a reasoned management decision."

During the winter, Indiana bats hibernate in caves or abandoned mines. In

summer, bats use forested areas for roosting, foraging, and raising young. Males

generally stay within ten miles of the hibernaculum. Females, on the other hand,

establish maternity colonies farther away from the cave. Known maternity colonies

have been found primarily in prairie areas of Iowa, Illinois, Indiana, and northern

Missouri. Maternity colonies generally contain 100 or fewer adult female bats.

Indiana bats use mostly dead and dying trees to roost. The most suitable roost trees

are large and have flaking bark with space between the bark and the tree bole,

cavities, hollow portions, or crevices where bats can roost. Both male and female

Indiana bats return to the hibernaculum in the fall to mate and to prepare for winter

hibernation. 

There are only two active Indiana bat hibernacula on the MTNF, and the

nearest one to the Eastwood II project is more than 14 miles away. At the two caves,

traps yielded four male Indiana bats during 15.5 hours of effort in 1998. In 2001, a

census at the cave nearest the Eastwood II project turned up one hibernating bat

during the winter hibernation period. 

Mist-netting was performed in two districts of the MTNF, including a larger

region that contains the Eastwood II project area, in 1997 and 1998. In 1997, no

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Indiana bats were captured during 95 hours of effort. No Indiana bats were caught

in 1998 despite 123.5 hours of effort. Additional mist-netting at the MTNF was

conducted between 1999 and 2001, including 36 hours of effort within one mile of

the Eastwood II project, but no Indiana bats were captured. 

As of August, 2001 (when the FONSI was issued), no reproductively active

female Indiana bat had ever been found in the MTNF, but two reproductively active

females were captured on land adjacent to the MTNF. In May, 2004, however, the

Army Corps of Engineers discovered an Indiana bat maternity colony within a

proposed timber sale area in the MTNF approximately 35 miles northeast of the

Eastwood II project area. Mist-netting had been conducted in this area but did not

yield any bats. As a result of this discovery, the USFS has withdrawn this area from

its timber sale project and is proposing greater protection. While Heartwood suggests

that this discovery demonstrates why the USFS should be required to conduct more

surveys to seek out Indiana bats, we believe that it instead demonstrates how difficult

it is to find Indiana bats even with nearby surveys and mist-netting. 

The USFS and the FWS relied on sufficient surveys existing in August, 2001,

to draw their conclusion that any impact by the Eastwood II project on the Indiana bat

will be insignificant and minimal and that the project will not jeopardize the

continued existence of the bat. Should new information come to light (and, as the

recent example demonstrates, it will most likely be from activities within the area

rather than mist-netting), the USFS will be required to reevaluate its conclusions and

adjust the project accordingly.

The FWS's BO requires that the USFS take additional measures to protect the

Indiana bat. First, the USFS must "designate [a] protective buffer around the roost

or site" if an Indiana bat maternity colony is discovered at any time in the Eastwood II

project area. Second, the USFS must "continue its efforts to determine habitat use of

the National Forest by Indiana bats during the hibernation, summer

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roosting/maternity, and pre-hibernation seasons by ... continued, regular monitoring

of occupied Indiana bat caves on the MTNF ... [and] monitor[ing] the extent of use

[by] Indiana bats on all districts of the MTNF." And, throughout the Eastwood II

project, the USFS must monitor the amount of incidental take and "the number of

suitable roost trees and preferred foraging habitat available to the species."

Even if bats are more prevalent in the Eastwood II project area than mistnetting and surveys suggest, it is worth noting that the FWS's draft revised recovery

plan for the Indiana bat stated that "[t]imber harvest activities neither directly

damaged known roosts nor discouraged bats from continuing to forage in one

harvested area ... in Illinois." Additionally, the FWS noted that Indiana bats have

been discovered roosting in shelterwood cuts in Kentucky: "A couple of maternity

colonies ... were found when [the roosting] tree was cut down and the bats moved to

another tree. These observations suggest that the Indiana bat may be a more

adaptable species than previously thought."

The requirement that agencies use the "best scientific and commercial data

available," 16 U.S.C. § 1536(a)(2), does not require an agency to conduct new

studies when evidence is available upon which a determination can be made. See

Southwest Ctr. for Biological Diversity v. Babbit, 215 F.3d 58, 60 (D.C. Cir. 2000).

All that is required of the agencies is to seek out and consider all existing scientific

evidence relevant to the decision at hand. See id. at 60-61. They cannot ignore

existing data. That did not occur in this case.

The USFS and the FWS formally consulted twice, once on a programmatic

level and once for the Eastwood II project specifically. After each consultation, the

FWS issued "no jeopardy" opinions based on existing data. While future surveys and

things that occur during the project itself may provide new information about the

presence and habitat of the Indiana bat in the Eastwood II project area, the

conclusions of the USFS and the FWS were well supported by the administrative

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record which included all available data that then existed on the Indiana bat and the

Eastwood II project area.

The USFS and the FWS did not act arbitrarily and capriciously in determining

that the existing data on Indiana bats was sufficient to conclude that the Eastwood II

project was not likely to jeopardize the species. Thus, no violation of ESA occurred.

IV.

For the reasons stated above, we affirm the district court's grant of summary

judgment in favor of the USFS and the FWS.

______________________________

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