## United States Environmental Protection Agency

Air Quality Permit by Rule for New or Modified True Minor Sources of

Air Pollution in Indian Country

http://www.epa.gov/air/tribal/tribalnsr.html

Procedures to Address Threatened and Endangered Species and Historic Properties Page 1 of 13

Version 1.0 

## Procedures to Address Threatened and Endangered Species and Historic Properties

for New or Modified True Minor Sources in Indian Country Seeking Air Quality

Permits by Rule

Last Modified: March 2 3 , 2015

Version 1. 0

This document provides procedures for new or modified true minor sources in Indian country seeking a permit by

rule to address threatened or endangered species and historic properties. In order to gain coverage under a permit by

rule you must address the attached procedures and obtain written confirmation from the U.S. Environmental

Protection Agency (E PA ) that you have satisfactorily done so.



### Instructio ns

Step 1: S ubmit the evaluation below to your reviewing authority (and also to the tribe in the area where the source is

locating), including providing appropriate documentation (i.e., completing the steps in Appendix A and B of this

document and the relevant supporting materials)

, demonstrating t h a t yo u (1) meet o n e o f t h e c r i t er i a l i s t ed i n Appendi x

A w i t h re s p e c t t o t h e p r o t e c t i o n o f an y an d al l s p e ci es t ha t a re feder all y

- li s t ed a s threatened or e n d an gered u n der t h e

Endangered Species Act ( ESA ) o r o f habi t a t t ha t i s feder all y

- de s i g na t ed a s “c r i t ic a l hab i t a t ” u n der t h e E S A ; and (2) meet

o n e o f t h e c r i t er i a l i s t ed i n Appendi x B w i t h re s p e c t t o the National Historic Preservation Act ( NHPA )

. You must obtain

written confirmation from the EPA that the threatened and endangered species and historic property screening

procedures processes have been satisfied prior to submitting your Notification of Coverage under the Permit by Rule.

Step 2: After receiving confirmation that you have successfully met the requirements of Step 1, c omplete all sections of

the Notification of Coverage Form under the Permit by Rule . If you have questions, please contact the reviewing

authority

.

Step 3 : Certify that your existing or proposed facility is/will be in compliance with the applicable requirements as stated

in 40 CFR 49. 156(f) and 40 CFR 49. 16 2 to 49.164 and s ubmit a copy of the N otification of Coverage Form to the

reviewing authority and to the tribe in the are a where the source is locating

. Submittal of this notification form also

satisfies the requirement that minor sources in Indian country register with the EPA.



### After you submit the Notification of Coverage under the Permit by Rule to the Reviewing

Authority :

 You may commence construction of your new source or modification under th e Permit by Rule.

 Your reviewing authority may request additional information from you in order to verify you are eligible for the

permit by rule.Evaluation of Threatened and Endangered Species and Historic Properties Page 2 of 13

Version 1.0 

## Summary of Evaluation of Threatened and Endangered Species and Historic

Properties for New or Modified True Minor Sources in Indian Country Seeking Air

Quality Permits by Rule

Section 1: Contact Information

Business Name: Site Address:

Send all correspondence regarding this evaluation to

(mailing address): Contact for this notification:

Name:

Phone:

Email:



### Section 2 : Evaluation of Threatened and Endangered Species and Historic Properties

1

. Threatened or Endangered Species

Please indicate under which c riterion in Appendix A you satisfy after evaluating the effects on threatened

and endangered species as a result of your construction, modification or operation of your new or modified

minor source of air pollutants

. Be sure to include all documentation identified in Appendix A with this

evaluation

.

A B C D E

2 . Historic Pr operties

Please indicate under which c riterion in A pp e n d i x B you satisfy after evaluating the effe c t s t o hi s t o r i c

p r o p er t i e s as a result of your construction, modification or operation of your new or modified minor source of air

pollutants ? Be sure to include all documentation identified in Appendix B with this evaluation.

No historic properties affected No adverse effects Adverse effects

Section 3: Signature



### Name: _____________________________

______ Name: ____________________________

_______ (Signature) (Print or Type)



### Title: _____

______________________________ Date:_____________Procedures to Address Threatened and Endangered Species and Historic Properties Page 3 of 13

Version 1.0 

## A pp e n d i x A

– Threatened or E n da n g e r ed S p ec i es R e q ui r e m en t s

T h e p u r p os e o f t hi s appendix i s t o a s s i s t y o u i n completing t h e screening procedure for addressing threatened or

endangered species prior to submitting your notification of coverage under a p ermit by r ule for new or modified t rue

m inor s ource s in Indian c ountry

. I n o rder t o b e e l i g ibl e f o r c o ver a ge u n d e r a p erm i t by rule

, y o u must de m o n s t r a t e

t h a t yo u qualify under o n e o f t h e c r i t er i a l i s t ed i n t h i s app e n d ix w i t h re s p e c t t o t h e p r o t e c t i o n o f s p e ci es t ha t a re

feder all y

- li s t ed a s threatened or endangered u n der t h e E S A o r o f habi t a t t ha t i s feder all y

- de s i g na t ed a s “c r i t ic a l

hab i t a t ” u n der t h e E S A.

T hi s appendix p r o v i des y o u in f o rm a t i o n o n t h e f o ll o w in g:

• Section 1.0: Listed Species Eli g ibil i t y C r i t er ia and

• Section 2.0: G u i d anc e f o r D e t erm inin g Whic h Listed Species C r i t er i on A ppli es

.



### 1.0 Listed Species Eli g i b ility Cr ite r ia

To be eligible for coverage under a permit by rule , y o u m u st obtain confirmation from the EPA that you completed the

screening procedure and m e et o n e o f t h e e li g i bi l i t y c r i t er i a li s t e d b e l o w. Y o u m u s t al s o s p e ci fy i n your submittal t h e

ba s i s f o r y ou r s e l e c t i o n o f t h e applic a b l e e li g ib i l i t y c r i t er i o n and provide documentation supporting the criterion

selected

. If you have not obtained confirmation from the EPA regarding listed species eligibility criteria, you will not be

eligible for coverage under a permit by rule

, and you must apply for a site

- specific permit.

No t e : ( 1 ) Y o ur determination m us t p r o v i de sufficient d o c u me n t a t i o n t o s u pp o rt y o u r de t erm ina t io n t ha t yo u s a t i s fy t h e

r e q u i reme n t s o f t h e pa r t ic u la r c r i t er i o n you have selected

. ( 2 ) Whil e c oo rd ina t i o n b e tw een yo u an d t h e U

. S

. F i s h an d Wil d li fe

S erv ic e (FWS) an d / o r t h e N a t i o na l M a r in e F i s h er i es S erv ic e ( NMFS; t o ge t h er, t h e “ S erv i c e s ” ) i s n o t n e c es s a r il y re q u i red i n al l ca se s

, the EPA e nc o u r a ges y o u t o c o o rd ina t e w i t h t h e relevant Service ( s ) an d t o do s o e a r l y i n t h e plannin g p r o c e s s p r i o r t o s u b m i tt in g

you r notification of coverage

.

You must comply with any applicable terms, conditions, or other requirements developed in the process of meeting

any of the eligibility criteria (A

- E) in this section to remain eligible for coverage under a permit by rule . Documentation

of these requiremen ts shall be maintained by the pe r mittee for the duration of time the affected emissions unit(s) is

(are) covered under a permit by rule

.

The following is a summary of the five eligibility criteria. See Section 2.0 for detailed instructions to dete rmine which

criterion applies for your specific action:

Cr ite r ion A :

N o f eder all y

- li s t ed threatened or endangered s p e ci es o r des i g na t ed c r i t i c a l ha b i t a t ( s ) of such species a re lik e l y t o o c c u r

within the action area for your project

. 1

Cr ite r ion B :

F eder all y

- li s t ed threatened or endangered s p e ci es o r t h e i r de s i g na t ed c r i t ica l habi t a t ( s ) a re lik e l y t o o c c u r within the action

area of your source , but the construction and operation of y o u r new minor source or construction and operation of the

modification to your existing minor source is n o t lik e l y t o a dverse l y a ff e ct li s t ed t h re a t e n ed o r e n d an gered s p e ci es o r

1 Action area means all areas to be affected directly or indirectly by your project and may be broader than the immediate

project area [ See, e.g.

, 50 CFR 402.02].Evaluation of Threatened and Endangered Species and Historic Properties Page 4 of 13

Version 1.0 c r i t i c a l hab i t a t . T hi s de t erm ina t i o n m a y incl u de c o n s i der a t io n o f a n y air pollution c o n t r o l s or other changes to the

construction and/or operation of your new or modified source that yo u w il l a d o p t to e n s u re t ha t construction, modification

and operation of your new or modified source are n o t l ik e l y t o a dver s e l y a f fe c t li s t ed s p e ci es or c r i t ic a l hab i t a t. To

m ak e t hi s c ert i f ic a t i o n

, y o u m u st incl u de t h e f o ll ow in g i n you r request for coverage documentation : ( 1 ) identify any

feder all y li s t ed s p e ci es an d /o r d e s i g na t ed critical hab i t a t l o ca t ed within the action area of your source; ( 2 ) t h e d i s t a n c e

b e tw een you r s i t e an d t h e listed species or designated critical habitat (in miles); and (3) any other information

necessary (e.g., a detailed map of the action area and supporting justification ) to show that the

construction/modification and operation of your new or modified source are not likely to cause any adverse effects to the

listed threatened or endangered species or their critical habitat.

Cr ite r ion C :

C o o rd ina t i o n b et w een yo u an d t h e S erv ic e ( s ) ha s b een c o ncl u de d and has a ddre s sed t h e effe c t s o f y o u r new or

modified true minor source’s construction/modification and operation o n fe d er all y

- li s t ed t h r e a t e n ed o r e n d an gered

s p e ci es an d feder all y

- d e s i g na t ed c r i t ica l hab i t a t

. The coordination m us t re s u l t i n a w r i t t en c o nc u rre nc e f ro m t h e

re l ev an t S erv ic e ( s) t h a t you r new or modified true minor source’s construction/modification and operation a re n o t

lik e l y t o a dver s e l y a ffe c t li s t ed s p e ci es o r c r i t i c a l ha b i t a t

. Y o u m us t incl u de c o pi es o f t h e c o rre s p o n de nc e b e tw een

y o u r s e l f an d t h e S e r v ic e ( s ) with your submittal

.

Cr ite r ion D :

Co n s u l t a t i o n b et w een another F eder a l A ge n c y an d t h e Service(s) u n d e r s e c t i o n 7 o f t h e E S A ha s b een c o ncl u de d

. T h e

c o n s u l t a t i o n m us t ha ve a ddres s ed t h e effe c t s o f your true minor source’s construction/modification and operation

o n feder all y

- li s t ed t h re a t e n ed o r e n d an ge r ed s p e ci es an d feder ally

- des i g na t ed c r i t ic a l hab i t a t

. T h e re s u l t o f t hi s

c o n s u l t a t i o n m us t b e e i t h er:

1. A bi o l o g ica l o pini o n t h a t c o ncl u des t ha t t h e a c t i o n i n q u e s t i o n ( t akin g i n t o acc ou n t t h e effe c t s o f y ou r

s ource’s construction/modification and operation) i s n o t lik e l y t o j e o pa rd i z e t h e c o n t in u ed ex i s t e nc e o f

li s t ed s p e ci e s

, o r result in t h e des t r u c t i o n o r a dverse m o d i f ica t i o n o f c r i t i ca l hab i t a t ; o r

2. Written c o nc u rre nc e f ro m t h e appl i cabl e S erv ic e ( s ) w i t h a f in d in g t h a t t h e source’s

construction/modification and operation a re n o t lik e l y t o a dver s e ly a ffe c t feder all y

- li s t ed s p e ci es o r

fed e r all y

- des i g na t ed critical habi t a t

.

Y o u m u st incl u de c o pi es o f t h e relevant documentation cited above i n y o u r submittal

.

Cr ite r ion E :

Y ou have obtained an incidental take permit from the Service(s) under section 10 of the ESA in connection with your

c o n s t r u c t i o n/modification and operation ac t i v i t i es, an d t hi s permit a ddres s e s t h e effe c t s o f t h e source o n relevant

feder all y

- li s t ed s p e ci es an d feder all y

- des i g na t ed c r i t i ca l hab i t a t

. Y o u m u st incl u de c o pi es o f t h e incidental take permit

and associated documentation and c o rre s p o n de nc e b e tw e e n y o u r s e l f an d t h e S erv i c e ( s ) with your submittal

.Evaluation of Threatened and Endangered Species and Historic Properties Page 5 of 13

Version 1.0 

### 2.0 De t e r mini n g W hich Cr ite r ion A pp lies

To qualify for a permit by rule

, yo u need to m e et o n e o f t h e five c r i t er i a l i s t ed a b o ve . Y o u m u st f o ll o w t h e p r o c ed u res

i n S t e p s 1 t h r ou gh 5 below t o de t erm in e t h e listed species c r i t er i o n, if any, u n der w hic h y o u r project i s e li g ibl e f o r

p e r m i t c o ver a ge.

Step 1

- Determine if Previous or Separate Assessments Have Already Addressed Your Source

You should first determine whether you are eligible to select either Criterion D or E based on a n ESA section 7

consultation previously completed by another Federal Agency (Criterion D) or a n ESA s ection 10 permit (Criterion E)

issued by the Service(s) as follows:

Meeting Criterion D : If consultation under section 7 of the ESA has been concluded in connection with another Federal

Agency’s involvement with your sourc e, you may be eligible to select Criterion D. To be eligible to select Criterion D, you

must confirm that all the following are true:

 A consultation between a Federal Agency and the Service(s) under section 7 of the ESA has been concluded.

Consultations c an be either formal or informal, and would have occurred in connection with a separate action by

a separate Federal Agency (e.g., as part of a separate Federal Agency’s authorization for you to construct or

operate your business in Indian country). The con sultation must have addressed the effects of the construction,

modification and operation of your new or modified source on all federally

- listed threatened or endangered

species and all federally

- designated critical habitat in your action area. The result of this consultation must be

either:

a. A biological opinion that concludes that the construction, modification and operation of your new or

modified source is not likely to jeopardize the continued existence of any listed species, nor result in the

destruct ion or adverse modification of any designated critical habitat. The consultation must have included

consideration of the effects of your facility’s emissions and other related activities on all listed species and

designated critical habitat in your action area; or

b. Written concurrence (e.g., letter of concurrence) from the applicable Service(s) with a finding that the

construction, modification and operation of your new or modified source are not likely to adversely affect

listed species or designated criti cal habitat. The consultation must have included the effects of your

facility’s emissions and other related activities on all the listed species and designated critical habitat in

your action area.

 The consultation remains current, in accordance with 50 C FR § 402.16; or, if re

- initiation of consultation is

required (e.g., due to a new species listing or critical habitat designation or new information), such reinitiated

consultation is concluded, and the result of the consultation is consistent with the sta tements above. Attach a

copy of any consultation re

- initiation documentation from the Service(s) or other consulting Federal Agency.

I f all of the above are true, you may select Criterion D. You must also provide a description of the basis for the

criterion selected. In your submittal you must also provide the Biological Opinion (or Public Consultation Tracking

System tracking number) or concurrence letter and any other documentation supportin g your determination.

If any of the above is not true, you may not select C riterion D. For example : if the biological opinion or written

concurrence from the Service(s) did not include the effects of your source’s air emissions or other

- related activities as

described above ; or if the previous consultation covered some but not all of the listed species or critical habitat in your

action area ; or if the consultation is no longer current (e.g., due to new species listings) ; then you are not eligible under

C ri terion D.Evaluation of Threatened and Endangered Species and Historic Properties Page 6 of 13

Version 1.0 Meeting Criterion E : You have obtained an incidental take permit under section 10 of the ESA

, and this permit

addresses the effects of the construction/modification and operation of your new or modified source on federally

listed species and designated critical habitat in your action area.

You may rely on a section 10 permit that you have previously obtained so long as it addresses the

construction/modification and operation of your new or modified source and all federally

- listed species an d

designated critical habitat in your action area

. (Note: If you do not hold a section 10 permit already, you can

consider obtaining one, however, it may be more efficient to instead meet the requirements for Criterion A, B or C

as described in Steps 2

– 5.)

If you choose to apply for a new section 10 permit, y o u m u s t f o ll o w applicable Service p r o c e d u res ( s ee 50 C F R §

1 7

. 2 2 ( b ) ( 1) f o r F W S an d § 22 2

. 22 f o r N M F S )

. A pplica t i o n in s t r u c t i o n s f o r s e c t i o n 10 p erm i t s f o r F W S a n d N M F S ca n b e

o b t ain ed b y acc e s s in g t h e F W S an d N M F S w e b s i t es ( h tt p : // www

. f w s

. g o v a n d h t t p : // www

. n mf s

. n o a a

. g o v ) o r b y

c o n t ac t in g t h e app r o p r ia t e F W S a n d N M F S reg i o na l o ff ic e

.

If the above is true, you may select C riterion E. You must also provide a description of the basis for the criterion

selected. In your submittal you must provide a copy of the permit issued by the Service ( s )

.

If the above is not true, you may not select C riterion E at this time and must proc eed to Step 2

. For example, i f a

permit has been issued under section 10 of the ESA, but t he permit did not consider the effects of the facility’s air

emissions and/or emission

- related activities on all federally listed species and designated critical habi tat on your

species list, you are not eligible under C riterion E.

Step 2

- De t erm in e i f L i s t ed T h re a t e n ed o r En d an gered S p e ci es o r t h e i r D e s i g na t ed C r i t ica l Ha b i t a t ( s ) a re L ik e l y t o

O cc u r within the Action Area of your Minor Source.

Y o u m u s t de t erm in e, t o t h e b e s t o f y o u r kn o w l edge, w h e t h er s p e ci es federally li s t ed a s e i t h er t h re a t e n ed o r

e n d an ge r ed, o r t h e i r designated c r i t ic a l hab i t a t ( s ), a re l o ca t ed within the action area of your minor source. 2 This is a two

step process. The first step is to determine your action area

. When defining the boundaries of your action area, you should

take into account the following criteria:

 Ground disturbance

– Effects during construction, maintenance and operation of the facility should be

considered.

 Changes in water quality/quantity (both surface and groundwater)

– This would include effects that may extend

far beyond the footprint of the facility. An example may be stormwater runoff from impervious surfaces

(containing sediments or other contaminants) on the site tha t may reach water bodies (including ditches that

empty into water bodies) some distance from a facility. All receiving water bodies that could receive pollutants

from the facility’s construction, maintenance, or operation should be included in the action area.

 Air Quality Impacts

– Effects during construction, maintenance and operation of the facility should be

considered.

 Lighting effects

– Effects during construction, maintenance and operation of the facility should be considered.

 Noise Disturbance

– Eff ects during construction, maintenance and operation of the facility should be considered.

2 For definitions of terms that you might encounter when addressing the listed species requirements , go to:

http://www.fws.gov/midwest/endangered/glossary/index.html and http://www.fws.gov/northeast/nyfo/es/actionarea.htm

.Evaluation of Threatened and Endangered Species and Historic Properties Page 7 of 13

Version 1.0 Note: If you have questions about determining the extent of the action area, you should coordinate with the

local Service field office as noted below. If site

- spe cific conditions exist such that the action area would be

limited to the facility footprint, but that fact may not be obvious from a map or figure, submit a narrative

description of the action area in addition to a map for evaluati on of the action area sel ected. To de t erm in e

t h e f i e l d o ff ic e t ha t c o rres p o n ds t o y ou r p r o je c t s i t e, v i s i t :

h t t p : // www

. f w s

. g o v / e n d an gered / reg i o n s / in de x

. h t ml an d h t t p : // www

. n mf s

. n o a a

. g o v/ ( un der t h e l eft t ab f o r

“ R eg i o n s ” )

.

After determining the boundaries of the action area, you will next de t erm ine i f li s t ed s p e ci es an d /o r c r i t ica l hab i t a t a re

ex p e c t ed t o ex i s t there. Relevant sources of information regarding the locations of listed species and critical habitats are

often organized along county and/or township lines. You should thus first identify the counties and/or townships within

which your action area is located. You would then consult relevant sources of information regarding the locations of listed

species and critical habitats. T h e l o ca l o ff ic es o f t h e F W S and N M F S o f t en m ain t a i n li s t s o f feder all y li s t ed threatened or

endangered s p e ci es o n t h e i r Internet si t es. Fo r F W S t erre s t r ia l a n d aq u a t i c s p e ci es in f o rm a t i o n

, y o u c a n u se the F W S o n

lin e m app i n g t oo l

, t h e I n f o rm a t i o n

, P lannin g, a n d Co n su l t a t i o n S y st em, l o ca t ed a t h t t p : // www

. f w s

. g o v / ipac /

.

I n m o st ca se s

, listed s p e ci es an d designated c r i t ica l hab i t a t li s t s will all o w yo u t o de t erm in e i f an y s u c h s p e ci es o r

habi t a t ex i s t s i n y o u r c o u n t y o r t o w n s h i p

. Yo u ca n al so f in d c r i t i ca l hab i t a t des i g na t i o n s an d a sso ci a t ed

re q u i reme n t s a t 50 CF R P a r t s 17 an d 22 6 (see h t t p : // www

. acc e s s

. g p o .g o v )

. You may also use the FWS Critical

Habitat Portal (see http://criticalhabitat.fws.gov/crithab/ ).

 I f t h e r e ar e n o li s ted sp e cies or critical habitat in the coun t ies / t o w n s hip s where your action area is located

y o u m a y select Cr

i t e r i o n A

. Y o u m u st al so p r o v i de a des c r ip t i o n o f t h e ba s i s f o r t h e c r i t er i o n s e l e c t ed an d

p r o v i de d o c u me n t a t i o n su pp o r t in g t h e c r i t er i o n selected in your submittal

.

 I f the r e ar e li s ted sp e cies a n d

/or c r itic a l h ab it a t in the coun t ies / t o w n sh ips in your action area, y o u s h ou l d

c o n t ac t you r l o c a l F W S or N MFS office t o de t erm in e i f t h e l i s t ed sp e ci es a re kn o w n t o ex i st within the

specific action area of y o u r minor source an d i f any designated c r i t i c a l ha b i t a t a re a s o ver la p the action area of

y o u r minor source

.

o I f you r l o ca l F W S or N M F S office in d ica t es t h a t t h ese s p e ci es an d /o r c r i t ica l hab i t a t c ou l d ex i s t within the

action area of y o u r minor source

, y o u m us t do one of the following to determine if the species and/or

critical habitat may actually be present in or may use your action area :

 Co n d u c t v i su a l in s p e c t i o n s. T hi s me t h o d m a y be pa r t ic u la r l y su i t abl e f o r s i t es t h a t a re s m all er in

s i z e o r l o ca t ed i n n o n

- na t u r a l s e tt in gs s u c h a s hi g hly u r bani z ed a re a s o r in d u s t r ia l pa r k s w h ere

t h ere i s l i t t l e o r n o na t u r a l hab i t a t

.

 Co n d u c t a f o rm a l bi o l o g i ca l su rv e y

. I n so me ca s e s

, pa r t ic u la r l y f o r la rger s i t es, b i o l o g ica l s u rv e y s

m a y b e a n app r o p r ia t e w a y t o a s s e s s w h e t h er s p e ci es a re l o ca t ed within the action area of y o u r

minor source

. Bi o l o g ica l su rv e y s a r e fre q u e n t ly p erf o rmed b y e n v i r o n me n t a l c o n s u l t in g f i rms. A

b i o l o g ica l su rv e y m a y i n s o me ca s e s b e u se f u l t o c o n d u c t in c o n j u nc t i o n w i t h S t e p s 3, 4 or 5 o f

t h e s e in s t r u c t i o n s.

 I f , after performing one or more of the assessments above, you determine that t h e r e ar e n o li s ted sp e cies

or critical habitat in y our a ct i on ar e a

, y o u m a y select C

r i t e r i o n A

. Y o u m u st al so p r o v i de a des c r ip t i o n o f t h e

ba s i s f o r t h e c r i t er i o n s e l e c t ed an d p r o v i de d o c u me n t a t i o n su pp o r t in g t h e c r i t er i o n selected in your submittal

.

 If, listed species or critical habitat are located in your action area then proceed to step 3.Evaluation of Threatened and Endangered Species and Historic Properties Page 8 of 13

Version 1.0 

### 2. 3 Step 3

D e t erm in e i f t h e Co n s t r u c t i o n/Modification or Operation of Your New or Modified Minor Source is L ik e l y t o

A d ver s e l y A f f e c t L i s t ed T h re a t e n ed o r En d an gered S p e ci es o r D e s i g na t ed C r i t ica l H a b i t a t

I f i n S t ep 2 y o u de t erm in e

, ba s ed o n c o mm u nica t i o n w i th yo u r l o ca l F WS or N M F S office

, o r o t h erwise, t ha t l i s t ed

s p e ci es an d /o r c r i t i c a l habi t a t c ou l d ex i s t within the action area of your new or modified minor source

, y o u m u s t

n ext a s se s s w h e t h er the construction/modification or operation of your new or modified minor source is lik e l y t o a dver s e l y

a ffe c t li s t ed t h re a t e n ed o r e n d an gered s p e ci es o r d e s i g na t ed c r i t ica l h a b i t a t.

P o t e n t ia l a dver s e effe c t s fr o m construction/ modification and operation activities incl u de direct and indirect effects and

could include, but are not limited to, the following:

 Ha b i t a t Disturbance

. Surface disturbance activities such as e x ca v a t i o n

, s i t e deve l o p me n t, gr a d in g, and associated

light and noise m a y a dverse l y a ffe c t li s t ed s p e ci es o r t h e i r habi t a t

.

 Operation of the Source. Source operations could result in additional traffic, noise and light that could affect

species or habitat.

 Water

- Related Impacts. Changes in water usage or water discharges may affect listed species or their habitat.

 Air Emission Impacts. Increases in emission of certain pollutants may i n certain cases affect vegetation growth

patterns that can affect listed species or their habitat.

T h e s c o p e o f e ffe c t s t o c o n s i der w il l v a ry w i t h e a c h site and project

. I f yo u a re ha v in g d i ff ic u l t y de t erm inin g w h et h er

y o u r p r o je c t i s lik e l y t o a dver s e l y a ffe c t li s t ed s p e ci es o r c r i t ical habi t a t

, o r o n e o f t h e S e r v ic es ha s al re a dy r ai sed

c o nc er n s t o y o u

, y o u s h o u l d c o n t act t h e app r o p r i a t e o ff ic e o f t h e F W S or N MF S f o r a s s i st anc e.

 I f a d v e rs e e

ff e cts to li s ted th r e a tened or en da n g e r ed sp ecies or their c r itic a l h ab it a t ar

e not l i kel y

, t h e n y o u

m a y s e l e c t Cr

i t e r i o n B

. Y o u m u st p r o v i de t h e f o ll o w in g s p e ci f i c in f o rm a t i o n with your submittal :

1 . The feder all y li s t ed s p e ci es an d /o r d e s i g na t ed hab i t a t that a re l o ca t ed within the action area of your minor

source ;

2 . T h e d i s t anc e b et w een you r s i t e an d t h e li s t ed s p e ci e s o r des i g na t ed c r i t ica l h a b i t a t ( i n m il es ); and

3 . Any other information necessary to show that the construction/modification and operation of your source are

not likely to cause any adverse effects to the listed threatened or endangered species or their critical habitat.

 If adverse effects to listed threatened or endangered species or their critical habitat are likely, you must

follow Step 4 below.Evaluation of Threatened and Endangered Species and Historic Properties Page 9 of 13

Version 1.0 

### 2. 4 Step 4

D e t erm in e i f M e a s u r e s C a n B e I m pl eme n t ed t o A v o i d A d ver s e E f f e c t s

I f yo u de t erm in e i n S t ep 3 t ha t a dver s e effe c t s fr o m the construction/modification or operation of your new or

modified minor source are lik e l y to o c c u r

, y o u ca n s t i l l select e li g ibili t y C r i t er i o n B i f you undertake app r o p r ia t e

me a su res t o a v o i d o r e li m ina t e t h e lik e l ih oo d o f a dve r se ef f e c t s p r i o r t o seeking c o v er a g e under the permit by rule

.

T h ese me a su r es m a y in v o l ve re la t i ve l y s i m pl e chan ges t o c o n s t r u c t i o n ac t i v i t i es s u c h a s re

- r ou t in g construction t o

b y pa s s a n a rea w h ere s p e ci es a re l o ca t ed, re l o ca t in g source activities

, o r m o d i f y in g t h e “ f oo t p r in t ” o f t h e site

.

 I f y ou ar e ab l e to im p le m ent appr o pr i a te me as u r

es to av oid the likelihood of adv e rs e e f f e ct s

, t h en y o u m a y

s e l e c t C r i t e r i o n B

. T h e me a s u r e s y o u a d o p t t o a v o i d o r e li m ina t e a dver s e e ffe c t s m u st b e i m pl eme n t ed f o r t h e

d u r a t i o n o f t h e c o n s t r u c t i o n/modification and operation of your new or modified minor source an d y o u r

c o v er a ge u n der t h is permit by rule

. Yo u m us t al so p r o v i de a d e s c r ip t i o n o f t h e ba s i s f o r t h e c r i t er i o n s e l e c t ed,

an d t h e f o ll o w in g s p e ci f i c in f o rm a t i o n o n y o u r request for coverage f o r m : ( 1 ) the feder all y li s t ed s p e ci es

an d /o r d e s i g na t ed hab i t a t that a re l o ca t ed within the action area of your minor source ; ( 2 ) t h e d i s t anc e b et w een

you r source an d t h e li s t ed s p e ci e s o r des i g na t ed c r i t ica l h a b i t a t ( i n m il es ); and (3) what steps were or will be

taken to avoid the likelihood of adverse effects.

 I f y ou c a n n ot determine sufficient me as u r es to im p l em ent to a v

oid the l i kelih oo d of ad v e rs e e

ff e ct s

, y o u

m u s t f o ll o w t h e p r o c ed u r e s i n S t ep 5

.



### 2. 5 Step 5

Coordinate with the Service(s)

I f i n S t ep 4 y o u cann o t determine sufficient me a su res t o a v o i d t h e lik e lih oo d o f a dver s e e f fe c t s

, y o u m u s t c o n t a c t t h e

applicable Service(s)

. Yo u m a y s t il l b e e li g ibl e f o r c o ver a ge under th e permit by rule i f the lik e l y a dver s e ef f e c t s c an b e

a ddre s sed t h r o u gh mee t in g c r i t er i o n C

.

 Cr ite r ion C : Y o u ha ve c o o rd ina t ed w i t h t h e S erv ic e(s) an d ha ve a ddre s s ed t h e effe c t s o f the

construction/modification and operation of your new or modified minor source o n fe d er all y

- li s t ed t h re a t e n ed

o r e n d an gered s p e ci es an d feder all y

- d e s i g na t ed c r i t ica l hab i t a t. The Service(s) must provide w r i t t e n

c o nc u rre nc e t ha t the construction/modification and operation of your new or modified minor source is n o t

lik e ly t o a dverse l y a f fe c t li s t ed s p e ci es o r c r i t ica l hab i t a t

.

o I f yo u ha ve obtained the Service(s) written concurrence as described above

, then y o u m a y s e l e c t Criterion C

. As part of your submittal , y o u m u st p r o v i de a d e s c r ip t i o n o f t h e ba s i s f o r t h e c r i t er i o n s e l e c t ed an d m us t

incl u de c o p i es o f t h e c o rr e s p o n de n c e b e tw een yo u an d t h e applicabl e S erv ic e(s).Evaluation of Threatened and Endangered Species and Historic Properties Page 10 of 13

Version 1.0 

## A pp en d i x B

– H i s to r ic P r o p e r ty Sc r e ening P r oce s s

1.0 B a ck gr ound

T h e p u r p os e o f t hi s appendix i s t o a s s i s t y o u i n completing t h e screening procedure for addressing historic properties

that are either listed on, or eligible for listing on, the National Register for Historic Places prior to submitting your

notification of coverage under a p ermit by rule for new or modified

t rue m inor s ource s in Indian country

. I n o rder t o b e e l i g ibl e f o r

c o ver a ge u n d e r a p erm i t by rule

, y o u must de m o n s t r a t e t h a t yo u

qualify under o n e o f t h e c r i t er i a l i s t ed i n t h i s app e n d ix w i t h re s p e c t

t o t h e p r o t e c t i o n o f hi storic properties under the NHPA.

T o a ddre s s an y i s s u e s re la t in g t o hi s t o r ic p r o p er t i es, the EPA ha s

d ev e l o p ed t h e s c ree nin g p r o c ess i n t hi s app e n d i x t o e nabl e source

owners/operators t o: (1) app r o p r ia t e ly c o n s i der t h e p o t e n t i a l

i m pac t s

, i f any

, resulting from the construction, modification, and/or

operation of a new or modified emission source o n hi s t o r ic

p r o p er t i es an d, (2) if applicable, de t erm in e w h e t h er a c t i o n s ca n b e

t ak e n t o m i t i g a t e an y su c h i m pac t s

. A l t h ou gh each decision that a

specific minor source meets the requirements for coverage u n der t hi s

p erm i t by rule does n o t c o n s t i t u t e a s e pa r a t e F eder a l u n der t akin g,

t h e s c ree nin g p r o c ess i n t hi s app e n d i x p r o v i des a n app r o p r ia t e si t e

s p e c i f i c me an s o f ad dres s in g hi s t o r i c p r o p e r t y i s s u e s i n c o nn e c t i o n

w i t h coverage under a p erm i t by rule

.

If the impacts from your source have already been reviewed under another Federal agency’s approval process (e.g., the

Bureau of Indian Affairs authorizing operation of your source in Indian country) then documentation from that review

may satisfy the requi rements of this section. In some cases the review by another agency will have evaluated the

impacts from site disturbance activities (e.g., site clearing), but not from air emissions. In such cases supplemental

evaluation may be required to complete the a nalysis.



### 2.0 I n s t r uctions f

or Source Owners/ Op e ra to r s

Y o u a re re q u i red t o f o ll o w t h e s c ree nin g p r o c ess i n t hi s app e n d i x t o de t e r m in e i f the construction, modification or

operation of a new or modified minor source of air pollutants o n y o u r s i t e ha s t h e p o t e n t ia l t o ca u se effe c t s t o hi s t o r i c

p r o p er t i e s

, an d w h e t h er o r n o t y o u n eed t o c o n t ac t you r State Historic Preservation Officer ( S H PO)

, Tribal Historic

Preservation Officer ( T H P O)

, o r o t h er t r iba l re p r e s e n t a t i ve f o r f u r t h er in f o rm a t i o n

. Yo u m a y n o t su b m i t your

Notification of Coverage under a permit by rule u n t i l y o u ha ve c o m pl e t ed t hi s s c ree nin g p r o c e s s and obtained

confirmation of satisfactory completion from the EPA

. T h e f o ll o w in g f ou r s t e p s d e s c r ib e h o w app l ica n t s ca n meet t h e

hi s t o r i c p r o p erty re q u i r e me n t s u n der t hi s p erm i t

.



### Step 1

Ha ve p r i o r p r o f e s s i o na l c u l t u r a l re s o u r c e s u rv e y s o r o t h er ev al u a t i o n s de t e r m i n ed whether h i s t o r i c

p r o p ert i es ex i st in the area of your proposed source? Or, have p r i o r earth d i s t u r banc es p re cl u ded t h e

ex i s t e nc e o f h i s t o r i c p r op ert i e s in the area of your proposed source?

I f it h a s al re a dy b een de t erm i n ed t h a t n o hi s t o r i c p r o p er t i es ex i st in the area of your proposed source ba s ed

o n a v ailabl e in f o rm a t i o n

, incl u d in g in f o rm a t i o n t h a t m a y b e p r o v i ded b y y o u r applica b l e S H P O

, T H P O

, o r K ey T e rm s

H i sto r ic p r o p e r ty

- pr e h i s t o r i c o r h i s t o r i c d i s t r i c t s

,

s i te s

, b u i l d i n gs

, s t r uctu r e s

, o r ob j ec t s t h a t a r e

i n c l u d e d i n o r e l i g i b l e fo r i n c l u s i o n i n t h e Na t i ona l

R e g i s ter o f H i s t o r i c P l a c e s

, i n c l u d i n g a r t i f a ct s

,

r ec or ds

, a n d r e m a i n s t h a t a r e r e l a ted to an d l o c a ted

w i t h i n s uch prop e r t i e s

S H PO

– T h e S t a te H i s t o r i c P r e s e rv a t i o n O f f i cer fo r

a p a r t i c u l a r s t a te

T H P O o r T r ibal r e p r ese n t a t i v e

– T h e Tr i b a l H i s t o r i c

P r e s e rv a t i o n O f f i cer fo r a p a r t i c u l a r Tr i b e or

, i f t h e r e i s

n o T H P O

, t h e r e pr e s e n t a t i v e d e s i g n a t e d b y s uch T r i b e

fo r NH P A p u rpo s esEvaluation of Threatened and Endangered Species and Historic Properties Page 11 of 13

Version 1.0 o t h er t r iba l re p re s e n t a t i ve, t h en yo u m a y submit the appropriate documentation of “no historic properties

affected” with y o ur submittal

, an d n o f u r t h er s c ree nin g s t e p s a re n e c e s s a r y

.

Similarly, i f e a r t h d i s t u r banc es t ha t h a ve o cc u rred p r i o r t o y o u r p r o je c t ha ve e li m ina t ed t h e p os s ibil i ty t ha t hi s t o r i c

p r o p er t i es ex i st o n y o u r s i te or in the area affected by your new or modified minor source

, t h en yo u m a y submit the

appropriate documentation of “no historic properties affected” with y o ur submittal

, an d n o f u r t h er s c ree nin g s t e p s a re

n e c e s s a r y

.

During the 30

- day period following receipt of your screening process documentation by the EPA , the SHPO, THPO, or

other tribal representative may request that the EPA deny coverage under a permit by rule based on concerns about

potential adverse impacts to historic properties. The EPA will evaluate any such request and notify you if any additional

information is needed to address adverse impacts to historic properties.



### S t ep 2

I f yo u a re constructing, or modifying a minor source of air pollutants, as defined in 40 CFR § 49.152

, yo u m us t

d e t erm in e i f the construction, modification or operation of the minor source w i l l ha ve a n ef f e c t o n h i s t o r i c

p r o p ert i es.

I f you r an s w er t o t h e q u e s t i o n s i n S t e p 1 i s “n o, ” t h en y o u m us t a s s e s s w h e t h er the ac t i v i t i es re la t ed t o t h e

construction, modification or operation of your new or modified minor source w i l l ha ve a n e ff e c t o n h i s t o r i c p r o p ert i e s.

Activities that could have an adverse effect on historic properties could include, for example:

 Excavations;

 Demolitions of existing buildings;

 Construction of f oundations (e.g., for buildings, tanks or stacks);

 Installations of underground tanks;

 Addition of impervious surfaces; and

 Increases in truc k traffic during excavation, demolition, or construction.

No t e : T h i s l i s t i s n o t i n t e n ded t o b e ex ha us t i ve. Ot h er activities t ha t a re n o t o n t h i s l i st m a y in v o l ve e a r t h

- d i s t u r b i n g

a c t i v i t i es an d m u s t al

so b e ex a m i n ed f

o r t h eir p o t e n t i a l t o a

f f e c t h i s t o r i c p r o p ert i e s . For more information, go to the

National Park Service, National Register of Historic Places database found at

http://www.nps.gov/history/nr/research/index.htm

.

T he a s se ss m e n t m a y b e ba s ed on a site map of your source and an analysis of h i s t o r i c a l sou r c e s

, kn o w l edge o f t h e a re a

,

a n a s se s s m e n t o f t h e t y p es o f a c t i v i t i es yo u a re e n g a g i n g in

, c o n s i der a t i o n s o f an y c o n t r o l s an d / o r m ana ge m e n t

p r ac t ic es y o u w i l l a d o p t t o e n su re t ha t y o u r a c t i v i t i es w i l l n o t h a ve a n e ff e c t o n h i s t o r i c p r o p ert i es, an d any o t h er

re l ev an t f ac t o rs.

I f y o u de t er m in e ba sed o n t h i s a s s es s m e n t t h a t the activities re la t ed t o t h e construction, modification or operation of

your new or modified minor source w i l l n o t ca u se e ff e c t s to h i s t o r i c p r o p ert i e s

, t h en yo u m a y submit the appropriate

documentation of “no historic properties affected” with y o ur submittal

, an d n o f u r t h er s c ree nin g s t e p s a re n e c e s s a r y

. During the 30

- day period following receipt of your screening process documentation by the EPA , the SHPO, THPO, or

other tribal representative may request that the EPA delay your coverage under a permit by rule based on concerns

about potential adverse impacts to historic properties. The EPA will evaluate a ny such request and notify you if any

additional information is needed to address adverse impacts to historic properties.Evaluation of Threatened and Endangered Species and Historic Properties Page 12 of 13

Version 1.0 I f yo u a re in s t allin g or modifying equipment that ha s t h e p o t e n t i a l t o ha ve a n adverse effe c t o n hi s t o r i c p r o p er t i es, t he n

y o u m u st p r o c eed t o S t ep 3.



### Step 3

I f yo u a re constructing or modifying a minor source an d y o u ha v e n o t s a t i sf i ed t h e c o n d i t i o n s i n S t e p s 1

- 2

, yo u

m us t c o n t ac t a n d c o n su l t w i t h t h e app r o p r i a t e h i s t o r i c p re s erv a t i o n a u t h o r i t i es.

Wh ere y o u a re constructing or modifying a minor source an d y o u cann o t de t erm in e i n S t ep 2 t h a t t his ac t i v i ty w il l n o t

ha ve effe c t s o n hi s t o r ic p r o p er t i e s

, t h en y o u m us t c o n t ac t t h e re l ev a n t S H P O

, T H P O

, o r o t h er t r iba l r e p re s e n t a t i ve t o

re q u est t h e i r v i e w s a s t o t h e lik e lih oo d t h a t hi s t o r i c p r o p er t i es m a y b e adversely affected b y t h e construction,

modification or operation o f your new or modified minor source

.

No t e : A ddre s s es f

o r S H P O s an d T

H POs m a y b e fo u n d o n t h e A dv i s o r y C o un c i l o n H i s t o r i c Preserv a t i o n ’s (ACHP’s) w e b s i t e

( http://www.achp.gov/programs.html )

. I n i n s t a n c es w h ere a t r i b e d o es n o t ha ve a T H PO, y o u s h o u l d c o n t ac t t h e

app r o p r ia t e T r iba l g o ver n m e n t o

ff i c e des i g n a t ed b y t h e t r i b e f o r t h i s p u r

p os e w h en re s p o n d i n g t o t h i s p e r m i t e l i g i b i l i t y

c o n d i t i o n

.

Y o u m u st su b m i t t h e f o ll o w in g m i n i m u m in f o rm a t i o n i n o rder t o p r o p er l y ini t ia t e you r re q u e s t f o r in f o rm a t i o n :

1. Project name (i.e., the name or title most commonly associated with your project);

2. A narrative description of the project;

3. Name, address, phone and fax number, and email address (if available) of the operator;

4. Most recent U.S. Geological Survey map section (7.5 minute quadrangle) showing actual project location and

boundaries clearly indicated; and

5. Sections of site map that show locations where activities might cause an adverse effect on historic properties.

Wi t h ou t s u b m i t t in g t hi s m i ni m u m in f o rm a t i o n

, y o ur request cannot be considered. Yo u w il l n eed t o p r o v i de t h e

S H P O

, T H PO

, o r o t h er t r iba l re p rese n t a t i ve a m ini m u m o f 15 cal e n d a r d a y s a f t er t h ey re c e i ve t h ese m a t er ial s t o

res p o n d t o y o u r re q u est f o r in f o rm a t i o n ab ou t y o u r p r o je c t

. Y o u a re a dv i sed t o get a r e c e ip t fr o m t h e p o st o ff ic e o r

o t h er ca rr i er c o n f i rm in g t h e d a t e o n w h i c h y o u r l e tt er w a s re c e i v ed.

I f yo u d o n o t re c e i ve a r e s p o n s e w i t hin 15 cal e n d a r d a y s a f t er re c e ip t b y t h e S H P O

, T H PO

, o r o t h er t r iba l re p re s e n t a t i ve

o f y o u r re q u e s t

, t h en y o u m a y in d ica t e t h i s in your submittal

, an d n o f u r t h er s c ree nin g s t e p s a re n e c e s s a ry

. O r

, i f t h e

applicabl e S H PO, T H P O

, o r o t h er t r ib a l re p rese n t a t i ve re s p o n ds t o y o u r re qu est w i t h a n i n d ica t i o n t h a t n o hi s t o r i c

p r o p er t i es w i l l be adversely a ffe c t ed b y t h e construction or modification of your minor source

, t h en yo u m a y submit the

appropriate documentation of “ no adverse effects ” with y o ur submittal

, an d n o f u r t h er s c ree nin g s t e p s a re n e c e s s a r y

. .

I f w i t hi n 15 cal e n d a r d a y s o f re c e ip t o f y o u r re q u e s t t h e ap p lica b l e S H P O

, T H P O

, o r o t h er t r ib a l re p re s e n t a t i ve

re s p o n ds w i t h a re q u est f o r a dd i t i o na l i n f o rm a t i o n o r f o r f u r t h er c o n s u l t a t i o n reg a rd in g app r o p r ia t e m e a su r e s f o r

t re a t me n t o r m i t i g a t i o n o f effe c t s o n h i s t o r i c p r o p er t i es ca u sed b y t h e construction, modification or operation of your

minor source

, y o u m us t c o m pl y w i th t h i s re q u e s t an d p r o c eed t o S t ep 4

. During the 30

- day period following receipt of your screening process documentation by the EPA , the SHPO, THPO, or

other tribal representative may request that the EPA place a hold on authorization based on concerns about potential

adverse impacts to historic properties. The EPA will evaluate any such request and notify you if any additional

information is needed to address adverse impacts to historic properties before continuing review of your requ est for

coverage under the permit by rule

.Evaluation of Threatened and Endangered Species and Historic Properties Page 13 of 13

Version 1.0 

### 2.4 Step 4

Co n s u l t a t i o n w i th you r app l i ca b l e S H PO, T H PO, o r o t h er t r i b a l re p rese n t a t i v e.

I f, f o ll o w in g y o u r d i s c us s i o n s w i t h t h e app r o p r ia t e h i s t o r i c p reserv a t i o n a u t h o r i t i es i n S t ep 3

, t h e applicabl e S H P O

, T H P O

,

o r o t h er t r iba l re p r e se nta t i ve re q u es t s a dd i t i o na l in f o rm a t i o n o r f u r t h er c o n s u l t a t i o n

, y o u m us t res p o n d w i t h s u c h

in f o rm a t i o n o r c o n s u l t to de t erm in e i m pac t s and appropriate measures to mitigate such impacts t o hi s t o r i c p r o p er t i es

t ha t m a y b e cau sed b y t h e construction, modification or operation of your new or modified minor source s i t e. If after

consultation it is determine d that there will be no adverse effects to historic properties, t h en yo u m a y submit the

appropriate documentation of “ no adverse effects ” with y o ur submittal , and no further screening steps are necessary. I f a s

a re s u l t o f y ou r d i s c us s i o n s w i t h t h e app li cabl e S H P O

, T H P O

, o r t r iba l re p re s e n t a t i ve, y o u e n t er i n t o

, an d c o m ply w i t h

, a

w r i tt en a greeme n t reg a rd in g t re a t me n t a n d /o r m i t i g a t i o n o f i m pac ts o n y o u r s i t e, t h en yo u m a y submit the appropriate

documentation of “ adverse effects ” with y o ur submittal

.

I f, h o w ever, a greeme n t o n a n app r o p r ia t e t re a tme n t o r m i t i g a t i o n pla n c ann o t be re ach ed b e tw een yo u a n d t h e S H P O

,

T H PO

, o r o t h er t r iba l re p re s e n t a t i ve w i t hi n 30 d a y s o f y o ur re s p o n se t o t h e S H PO

, T H P O

, o r o t h er t r iba l

re p rese n t a t i ve’s re q u est f o r a d d i t i o na l in f o rm a t i o n o r f u r t h er c o n s u l t a t i o n

, y o u m a y s u b m i t y o u r screening process

documentation

, b u t y o u m u st in d ica t e t h a t yo u ha ve n o t n eg o t ia t ed me a s u res t o a v o i d o r m i t i g a t e su c h e f fe c t s. Yo u

m u st al so incl u de the following with your submittal :

1. Copies of any written correspondence between you and the SHPO, THPO, or other tribal representative; and

2. A description of any significant remaining disagreements as to mitigation measures between you and the SHPO,

THPO, or other tribal representative.

During the 30

- day period following receipt of your submittal by the EPA , the SHPO, THPO, ACHP or other tribal

representative may request that the EPA place a hold on confirmation based upon concerns regarding potential adverse

effects to historic properties. The EPA, in coordination with the SHPO, THPO, ACHP or other tribal r epresentative, will

evaluate any such request and notify you if any additional measures to address potential adverse effects to historic

properties are necessary.