1. PENNSYLVANIA
  2. FUNCTION BASED AQUATIC RESOURCE
  3. COMPENSATION PROTOCOL
  4. Draft Version 1.0
      1. DEPARTMENT OF ENVIRONMENTAL PROTECTION
      2. Bureau of Waterways Engineering and Wetlands
      3. Table of Contents
      4. Purpose
      5. Introduction
      6. 1.0 Aquatic Resource Functions
      7. 1.1 Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains
      8. 1.2 Wetlands: Palustrine/Tidal
      9. CODE DESCRIPTION
      10. 1.3 Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers
      11. 2.0 Compensation Requirement Evaluation
      12. 2.1 Area of Impact
      13. 2.2 Project Effect Category Value (P E )
      14. 2.2.1 Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains
      15. 2.2.2 Wetlands: Palustrine/Tidal
      16. 2.2.3 Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers
      17. 3.0 Aquatic Resource Value Category
      18. Table 4. Aquatic Resource Value Category
    1. Aquatic Resource Value Category
      1. Table 4. Aquatic Resource Value Category Con’t.
      2. 4.0 Resource Condition Assessment
      3. 5.0 Determining Compensation Requirements
      4. 6.0 Evaluating Compensation Proposals
      5. 6.1 Compensation Value Factor
      6. 6.2 Condition Differential
      7. 6.3 Calculating Functional Credit Gain (FCG)
      8. Table 5. Compensation Value Factor
      9. 7.0 Compensation Value Adjustment (C VAF )
      10. 7.1 Riverine Conservation Areas
      11. 7.1.1 Riverine Upstream Corridor Conservation
      12. Conservation Area
      13. Adjustment Factor
      14. C VAF = C V + (RECI x A F )
      15. 7.1.2 Riverine Lateral Conservation
      16. Conservation Area
      17. Adjustment Factor
      18. C VAF = C V + (RZOI CI x A F )
      19. 7.2 Wetland Conservation Areas
      20. Conservation Area
      21. Adjustment Factor
      22. + (WZOI CI x A F )
      23. 7.3 Lacustrine Conservation Areas
      24. Conservation Area
      25. Adjustment Factor
      26. Value Range
      27. 7.4 Addressing TMDL Related Impairments
      28. 7.5 Adjusting the Overall Functional Credit Calculation
      29. Resources
  5. Appendix A
  6. Aquatic Resource Function Compensation
  7. Worksheets
  8. Aquatic Resource Function Worksheet 1
      1. Compensation Requirement Determination
  9. Aquatic Resource Function Worksheet 2

PENNSYLVANIA

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FUNCTION BASED AQUATIC RESOURCE

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COMPENSATION PROTOCOL

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Draft Version 1.0
Bureau of Waterways Engineering and Wetlands
Division of Wetlands, Encroachments and Training

310-2137-001 / Draft March 7, 2014 / Page i
DEPARTMENT OF ENVIRONMENTAL PROTECTION
Bureau of Waterways Engineering and Wetlands
DOCUMENT NUMBER:
310-2137-001
TITLE:
Pennsylvania Function Based Compensation Protocol
EFFECTIVE DATE:
Upon publication of notice as final in the
Pennsylvania Bulletin
AUTHORITY:
The Dam Safety and Encroachments Act, Act of November 26, 1978,
P.L. 1375, as amended, P.S. § 693.1 et seq.
POLICY:
This document provides guidance for establishing a system for valuing
compensatory mitigation for use with Chapter 105 actions.
PURPOSE:
To provide standard guidelines for evaluating need for aquatic resource
mitigation for the purposes of meeting application requirements contained
in Chapter 105. The guidance outlines how to conduct evaluations, the
factors to consider and establishes a system for quantifying mitigation
requirements and proposals to meet those requirements. This guidance is
developed for use with the three Level 2 Resource Condition Assessment
Protocols (310-2137-002, 310-2137-003 and 310-2137-004).
APPLICABILITY:
The guidance document applies to consulting professionals performing
mitigation evaluations for planning and permitting requirements for
obtaining Chapter 105 Water Obstruction and Encroachment permits and
mitigation bank instruments.
DISCLAIMER:
The policies and procedures outlined in this guidance are intended to
supplement existing requirements. Nothing in the policies or procedures
shall affect regulatory requirements.
The policies and procedures herein are not an adjudication or a regulation.
There is no intent on the part of DEP to give the rules in these policies that
weight or deference. This document establishes the framework within
which DEP will exercise its administrative discretion in the future. DEP
reserves the discretion to deviate from this policy statement if
circumstances warrant.
PAGE LENGTH:
36 pages

310-2137-001 / Draft March 7, 2014 / Page ii
Table of Contents
Purpose .........................................................................................................................................................1
Introduction ..................................................................................................................................................2
1.0
Aquatic Resource Functions ............................................................................................................2
1.1
Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains ........................3
1.2
Wetlands: Palustrine/Tidal ..................................................................................................6
1.3
Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers .................................................7
2.0
Compensation Requirement Evaluation ..........................................................................................8
2.1
Area of Impact .....................................................................................................................8
2.2
Project Effect Category Value (P
E
) ......................................................................................9
2.2.1 Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains ..........10
2.2.2 Wetlands: Palustrine/Tidal ....................................................................................11
2.2.3 Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers ...................................12
3.0
Aquatic Resource Value Category .................................................................................................17
4.0
Resource Condition Assessment ....................................................................................................20
5.0
Determining Compensation Requirements ....................................................................................20
6.0
Evaluating Compensation Proposals..............................................................................................21
6.1
Compensation Value Factor ...............................................................................................21
6.2
Condition Differential ........................................................................................................21
6.3
Calculating Functional Credit Gain (FCG) ........................................................................22
7.0
Compensation Value Adjustment (C
VAF
).......................................................................................25
7.1
Riverine Conservation Areas .............................................................................................25
7.1.1 Riverine Upstream Corridor Conservation ............................................................26
7.1.2 Riverine Lateral Conservation ...............................................................................27
7.2
Wetland Conservation Areas .............................................................................................27
7.3
Lacustrine Conservation Areas ..........................................................................................28
7.4
Addressing TMDL Related Impairments...........................................................................29
7.5
Adjusting the Overall Functional Credit Calculation ........................................................29
Resources ...................................................................................................................................................30
Appendix A ................................................................................................................................................31

310-2137-001 / Draft March 7, 2014 / Page 1
Purpose
The purpose of this protocol is to:
1.
Establish a process for determining aquatic resource compensation requirements.
2.
Establish a process for determining the potential value of proposed aquatic resource
compensation projects.
This protocol is intended for use in determining functional compensation requirements for projects
effecting watercourses (streams and rivers); floodways and floodplains; wetlands and open bodies of
water, such as lakes and reservoirs; requiring authorization by Pennsylvania Department of
Environmental Protection (DEP) and the Army Corps of Engineers (ACOE) regulatory programs.
This protocol does not take the place of avoidance and minimization of
a project’s
proposed direct and
secondary impacts or take the place of a project specific review and evaluation. An applicant for a
Chapter 105 permit is required to provide a mitigation plan. 25 Pa. Code § 105.13(d)(1)(ix). Mitigation
is defined as follows:
(i)
An action undertaken to accomplish one or more of the following:
(A)
Avoid and minimize impacts by limiting the degree or magnitude of the action
and its implementation.
(B)
Rectify the impact by repairing, rehabilitating or restoring the impacted
environment.
(C)
Reduce or eliminate the impact over time by preservation and maintenance
operations during the life of the action.
(ii)
If the impact cannot be eliminated by following clauses (A)—(C), compensate for the
impact by replacing the environment impacted by the project or by providing substitute
resources or environments.
25 Pa. Code § 105.1. Accordingly, the project specific review may result in adjustments to the
compensation requirements or credits obtained through the application of this process.
This protocol is intended to:
1.
Provide a process in which compensation is required to offset proposed aquatic resource impacts.
2.
Assist in identifying measures that minimize proposed project effects and thereby reduce
subsequent compensation requirements.
3.
Evaluate proposed compensation projects performed on-site, off-site, at a mitigation bank, or
through an in-lieu fee project.
The utilization of this protocol ensures a standardized process for determining compensation
requirements, evaluating and crediting compensation projects regardless of the method of
implementation. This protocol and companion aquatic resource condition level 2 rapid assessment
protocols (
See Section 1.0
) can be found on the World Wide Web at www.dep.state.pa.us/XXXXX.

310-2137-001 / Draft March 7, 2014 / Page 2
Introduction
One of the purposes of Chapter 105, among others, is to protect the natural resources, environmental
rights and values secured by the PA Const. Art. I, § 27 and conserve and protect the water quality and
carrying capacity of watercourses. 25 Pa. Code § 105.2(4). DEP has established this protocol to outline
an acceptable process for determining aquatic resource compensation requirements that result from
impacts to aquatic resources authorized pursuant to Chapter 105 authorizations. This protocol is
intended to ensure that compensation requirements and proposals, at a minimum, meet the requirements
of Chapter 105, as well as the ACOE and
Environmental Protection Agency’s (EPA) Final Joint Federal
Mitigation Rule published in April 2008. 33 C.F.R. §§ 332.1-332.8; 40 C.F.R. §§ 230.91-230.98.
The following protocol applies to all intermittent and perennial watercourses (wadeable and non-
wadeable), floodways and floodplains, wetlands and other open bodies of water such as lakes and
reservoirs.
1.0
Aquatic Resource Functions
Each type of aquatic resource (i.e. riverine, palustrine and lacustrine environments) has an
inherent suite of ecosystem services that may be present or occurring, herein referred to as
―functions‖.
The functions occurring within an aquatic resource can naturally vary due to
differences in the chemical, physical and biological composition of the resource at any given
location. In addition, anthropogenic influences can greatly affect the presence or performance
level of these inherent functions. To account for the natural variation in functions, function
groupings were established for each aquatic resource type. The function groups represent
multiple functions that have similar or related physical, chemical or biological attributes. The
current condition of a resource is important to understanding the ambient level of functioning
that is occurring in the resource and should be considered in establishing any compensatory
mitigation requirements. This process considers the existing resource condition during the
determination of compensatory requirements. The effects that anthropogenic activities outside of
the proposed project have on the existing aquatic resource conditions is in most cases established
through the use of resource condition level 2 rapid assessment protocols. The three companion
resource condition assessment protocols are:
Pennsylvania Wetland Condition Level 2 Rapid Assessment Protocol
Pennsylvania Riverine Condition Level 2 Rapid Assessment Protocol
Pennsylvania Lacustrine Condition Level 2 Rapid Assessment Protocol
There may be instances where more detailed assessments of resource conditions are required by
DEP. This process was developed to accommodate other intensive measures of resource
conditions such as Hydrogeomorphic (HGM) functional models, Habitat Evaluation Procedure
(HEP) models and Index of Biological Integrity (IBI) models, provided the results of the
procedures can be indexed or converted to a 0-1 scale. DEP will direct an applicant on the
process of utilizing such procedures on a case-by-case basis.
The function groups for each aquatic resource type are identified and briefly described below.
The groups described for each aquatic resource type provide the basis for determining functional
compensation requirements, however, these function groups are not intended to represent all

310-2137-001 / Draft March 7, 2014 / Page 3
resource functions occurring within a given aquatic resource type. They are designed to
represent the predominant functions present within each resource. Additional compensation may
be required based upon a project’s effect on
other functions that are not considered as part of this
process. These requirements will be determined on a case-by-case basis.
The grouping and labeling of aquatic resources within this protocol utilizes the terminology from
the Cowardin classification system. This terminology is used for organizational purposes only
and should not be confused with specific state or federal regulatory classification requirements,
nor should they be interpreted to replace or supplant regulatory definitions and requirements. At
this time these group labels include Riverine, Palustrine/Tidal and Lacustrine environments.
While there are numerous ways of classifying aquatic resources, the use of Cowardin
classification system provided a common bridge between the state and federal regulatory
programs that in some instances may label resources differently for various purposes. This
labeling may differ from the current terminology used by either of the state or federal regulatory
programs; however, the intent for establishing these categories is for organizational and
instructional purposes only and in no way expands or diminishes either state or federal regulatory
program authorities. The following functional groups have been established for each of the
resource categories.
1.1
Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains
The traditional approach for evaluating a project’s effect on this type of resource has been
to primarily focus on the wetted perimeter or instream habitat component of the
watercourse. To ensure the long-term viability of this aquatic resource, it is necessary to
consider a project’s effect on the entire resource and not just
the instream habitat
component of the resource. The functions inherent to this resource are driven by more
than instream habitat and a more holistic or encompassing view of the resource is
necessary to ensure the long-term health and viability of these ecosystems.
In more recent efforts led by the ACOE’s Ecosystem Management and Restoration
Research Program (Fischenich, 2006), three key functions in five functional groupings
were selected from a list of over 60 identified functions associated with riverine
environments. There is a significant amount of interdependence between these functions
and the framework established by that effort underscores the complexity of riverine
ecosystems. While this framework provides a significant advance in understanding
stream functioning and their interrelationships, it is not yet clear how this effort would
integrate with existing regulatory program requirements. However, this work does
provide a glimpse into future efforts at the state and federal levels for ensuring impacts to
riverine functions are avoided, minimized and compensated when affected.
While the above mentioned work provides a glimpse into the future, the concept of the
riparian ecotone provides the comprehensive view of the resource that will meet the
current regulatory program requirements. The coupling of these two approaches will be
investigated in the future through program development efforts. The riparian ecotone
provides a robust basis for defining the extent of this aquatic resource, delineating its
boundaries and is useful for describing the basic processes and functions that occur
within this type of aquatic resource.

310-2137-001 / Draft March 7, 2014 / Page 4
Ecotones are an assemblage of ecosystems that interact with each other chemically,
physically and biologically. Riparian ecotones are a three dimensional space of
interaction that include terrestrial and aquatic ecosystems that extend down into the
groundwater, up above the canopy, outward across the floodplain, up the near-slopes that
drain water laterally into the terrestrial ecosystem, and along the water course at a
variable width. The riparian ecotone includes the watercourse, 100 year floodplain and
100 feet landward along the valley. Where obvious slumps or landslides occur near the
floodplain, they are banded 45 feet around their edge instead of 100 feet, adapted from
Verry et al. (2004). The riverine functions have been grouped into four basic function
groups:
Hydrologic
Biogeochemical
Habitat
Recreation or Resource Support
Diagram 1 below depicts the location of these basic functions relative to a typical riverine
resource cross-section. The Hydrologic function group encompasses the channel and
floodplain, the Biogeochemical function group occurs within the floodplain and any
islands within the channel, the Habitat function group occurs within the banks of the
channel and the Recreation or Resource Support both occur within the channel as well.
The following function groups are representative of the basic functions occurring within
the riparian ecotone that are most affected by the typical structures and activities seeking
authorization. These function groups provide the basis for determining compensatory
requirements or valuation of compensation proposals:
Hydrologic (HYD1)
function group includes the storage capacity of the
floodplain, energy dissipating characteristics, maintenance of characteristic
watershed hydrologic dynamics (e.g., seasonal and storm flow patterns),
geomorphic channel stability and sediment transport processes. The level of
Diagram 1 Riverine Function Groups

310-2137-001 / Draft March 7, 2014 / Page 5
performance of this function group is primarily driven by channel characteristics
and accessibility to the floodplain as well as contributory watershed conditions.
Biogeochemical (BGC1)
function group includes the biogeochemical processes,
temperature regulation, nutrient cycling and organic matter cycling (both above
and below ground). The level of performance of this function group is primarily
driven by the type and quality of riparian vegetation located within the floodplain
and the vegetation root system’s interactions with the ground water table.
Note:
This function group will be applied in the context of Chapter 105 and does
not encompass the role of a best management practice (BMP) for removing
nutrients or pollutants from particular sources. The role of a BMP may provide
additional credits under other regulatory or non-regulatory programs and may be
considered above and beyond the inherent biogeochemical functions evaluated
under this protocol
.
Habitat (HAB1)
function group is comprised of numerous attributes within and
immediately adjacent to the watercourse. This area is commonly referred to as
instream habitat. The ordinary high water mark (OHWM) and/or the banks of the
watercourse provide easily observable delineating points to establish the physical
boundaries of this area. These functions include providing for the life
requirements of invertebrate, vertebrate, emergent plant, macrophytes and other
plant species located within or on the banks of an active watercourse. Standard
habitat types will be utilized to provide consistency in the process; however, other
habitat types may be identified for unique resources on a case-by-case basis. The
protected uses for aquatic life contained in 25 Pa. Code Chapter 93 Water Quality
Standards will be used to categorize general habitat types consisting of cold water
fishery (CWF), warm water fishery (WWF), trout stocked fishery (TSF) and
migratory fishery (MF).
Recreation or Resource Support (REC1 or RS)
is a dual function group in
which values are comprised of either public recreational opportunities (REC1)
that include fishing, boating, swimming, etc.
or
the chemical, physical and
biological attributes (RS) that contribute to maintaining downstream water quality
designations and uses. The RS group also may include the maintenance of
downstream existing and designated recreational uses. The protected uses for
recreation and fish consumption contained in 25 Pa. Code Chapter 93 Water
Quality Standards will be used to categorize the general types of recreation
consisting of boating (B), fishing (F), water contact sports (WC) and esthetics (E).
The applicable function group is established first by determining whether
recreational opportunities are present, if none are designated or known to exist
then the RS function group becomes the default function group. RS functions
should be categorized using 25 Pa. Code Chapter 93 Water Quality Standards
nomenclature for special protection waters exceptional value (EV) or high
quality (HQ) and the protected uses for aquatic life described above previously
CWF, WWF, TSF and/or MF.

310-2137-001 / Draft March 7, 2014 / Page 6
1.2
Wetlands: Palustrine/Tidal
The HGM wetland classification system provides a robust basis for describing the basic
processes and function groups that occur within any given wetland type. There are
currently eleven HGM function models that were developed for use in Pennsylvania as
listed in Table 1 (Brooks, 2004). However, greater than 95% of wetland impacts are not
sufficient in size to warrant the use of HGM function models. Wetland functions vary
greatly from one wetland to another due to a variety of factors, including landscape
position, hydrodynamics and naturally occurring differences in the chemical, physical
and biological composition of the wetland. This resource category represents all wetland
types as defined in § 105.1 and includes those wetlands classified by Cowardin as
palustrine, tidal, estuarine and lacustrine.
The HGM function models developed represent the predominant functions that occur
across the range of HGM wetland types found in Pennsylvania. The HGM models are
grouped into three basic function groups:
Hydrologic (HYD2)
Biogeochemical (BGC2)
Habitat (HAB2)
Table 1. HGM Functions by Functional Group
Group
Function
Description
HYD2
F1
Energy Dissipation/Short-Term Surface Water Detention
F2
Long Term Surface Water Storage
F3
Maintain Characteristic Hydrology
F4
Reserved
BGC2
F5
Removal of Imported Inorganic Nitrogen
F6
Solute Adsorption Capacity
F7
Retention of Inorganic Particulates
F8
Export of Organic Carbon (dissolved and particulate)
HAB2
F9
Maintain Characteristic Native Plant Community Composition
F10
Maintain Characteristic Detrital Biomass
F11
Vertebrate Community Structure and Composition
F12
Maintain Landscape Scale Biodiversity
The following three function groups are representative of the basic functions occurring
within wetlands and will provide the basis for determining any compensatory
requirements or valuation of compensation projects:
Hydrologic (HYD2)
function group includes energy dissipation, short-term and
long-term surface water detention, and maintenance of characteristic hydrology.
These functions are driven by the hydrodynamics of the wetland, gradient,
roughness, landscape position, macrotopography, hydrologic source, recharge
zones, aquatic connectivity, as well as, other geomorphological features. The
source of water (surface versus ground) may also be a determinate of plant
communities (Bishop, 2004).

310-2137-001 / Draft March 7, 2014 / Page 7
Biogeochemical (BIOG2)
function group includes inorganic nitrogen removal,
solute adsorption capacity, inorganic particulate retention and export of dissolved
and particulate organic carbon. These functions are driven by the percent of
organic matter, reduction/oxidation processes, gradient, biomass, roughness,
macrotopography, coarse woody debris and fine woody debris.
Habitat (HAB2)
function group is comprised of characteristic native plant
community compositions, characteristic detrital biomass, vertebrate community
structure and composition and maintenance of landscape scale biodiversity.
These functions are driven by species composition, vegetation regeneration
capability, coarse woody debris, fine woody debris, snags, organic matter, habitat
attributes, landscape condition and aquatic connectivity. While standard habitat
types will be utilized as described in Table 2, specific habitats types may be
identified for unique resource types on a case-by-case basis. The Cowardin
classification system will be used in most cases as follows:
Table 2. Wetland Habitat Types
CODE
DESCRIPTION
EAB
Estuarine Aquatic Bed
EEM
Estuarine Emergent
EFL
Estuarine Flat
LAB
Lacustrine Aquatic Bed
LEM
Lacustrine Emergent
LFL
Lacustrine Flat
PAB
Palustrine Aquatic Bed
PEM
Palustrine Emergent
PFL
Palustrine Flat
PFO
Palustrine Forested
PSS
Palustrine Scrub/Shrub
1.3
Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers
Though these three water bodies differ substantially in some ways, several characteristics
demonstrate a convergence in functions. This resource category does not include wetland
areas that meet the definition of wetland as defined in § 105.1. Lakes lack significant
flow while rivers are defined by flow for most of their length. Reservoirs are largely
manmade hybrids of the former systems. However, as rivers approach their mouths and
the gradient decreases, lacustrine qualities predominate under normal and low flow
conditions in many areas of large rivers and inputs become more autochthonous.
Shoreline and backwater areas can be indistinguishable from a lake or reservoir
environment.
The following function groups are representative of the basic functions occurring within
lakes, reservoirs and large rivers that will provide the basis for determining any
compensatory requirements or valuation of compensation projects:
Habitat (HAB3)
function group is comprised of numerous attributes within and
immediately adjacent to the wetted perimeter of the lake, reservoir or large non-

310-2137-001 / Draft March 7, 2014 / Page 8
wadeable river. These functions include the physical requirements to provide
invertebrate, vertebrate and macrophyte species life requirements. These
functions are driven by the composition of the substrate, water depth and velocity,
shoreline vegetation, near shore vegetation condition, etc. Some standard habitat
types may be utilized; however, specific habitats types may be identified for
unique resource types on case-by-case basis. The protected uses for aquatic life
contained in 25 Pa. Code Chapter 93 Water Quality Standards will be used to
categorize general habitat types consisting of CWF, WWF, TSF and MF.
Recreation (REC2)
function group values are comprised of public recreational
opportunities including fishing, boating, swimming, etc. This group also includes
the maintenance of existing and designated recreational uses. The protected uses
for recreation and fish consumption contained in 25 Pa. Code Chapter 93 Water
Quality Standards will be used to categorize general types of recreation consisting
of B, F, WC and E.
2.0
Compensation Requirement Evaluation
The evaluation process for determining whether a project may require compensation begins with
establishing
a project’s potential effect on the respective function groups for the applicable
resource category. This process begins with determining the area of impact for each applicable
resource category function group and then proceeds to determining the project effect category for
each of the applicable function groups. Compensation requirements will be determined for each
resource function group. The determination of compensation follows the evaluation of
avoidance and minimization of project impacts that is performed during the permit application
review in accordance with Chapter 105 requirements.
2.1
Area of Impact
The area of impact(s) must be determined for each of the resource category function
groups proposed to be affected. Acreage is calculated to the nearest one hundredth of an
acre (0.00). In many instances, the project may affect more than one function group.
Impacts may be comprised of both direct and indirect project effects. Direct impacts are
considered to have both acreage and functional losses, whereas indirect impacts result in
a change in function without the loss of acreage.
Direct impacts consist of filling, draining or conversion of a resource to another type such
as a wetland to an open body of water. Examples include placement of fill in a wetland,
placement of a box culvert in a stream, placement of fill in the floodplain, building a dam
where the impoundment area will flood resources (stream, floodplain or wetlands) with a
sufficient depth as to change the existing aquatic resource to another aquatic resource
type. This would include changes such as converting a riverine system to a lacustrine
system, changing a palustrine wetland to a lacustrine system, etc.
Indirect impacts consist of altering the chemical, physical or biological components of an
aquatic resource to the extent that changes to the functions of the resource results.
However, indirect impacts do not result in a loss of resource acreage. Changes include
such things as conversion of a forested wetland system to a non-forested state through
chemical, mechanical or hydrologic manipulation that results in a maintained state of

310-2137-001 / Draft March 7, 2014 / Page 9
vegetation; altered hydrologic conditions (increases or decreases) such as stormwater
discharges or water withdrawals that alter the chemical, physical or biological functions
of the resource, areas upstream and downstream of a culvert or bridge that require
periodic excavation to ensure waterway openings (e.g. bedload deposition removal), etc.
Criteria for establishing direct and indirect impacts associated with navigational and
commercial dredging projects are not considered in this process. The impacts from these
activities have unique conditions and this process was not developed to establish
compensatory requirements for these types of projects. However, impacts associated
with maintenance dredging around facilities can be addressed by this process and should
be applied. Compensatory mitigation for navigational and commercial dredging projects
can use this basic framework established by this protocol, however, unique measures of
resource condition, function groups, project effect factors and compensation value tables
may need to be determined on a case-by-case basis.
2.2
Project Effect Category Value (P
E
)
Impacts may result in varying levels of effect to aquatic resources and their
corresponding functions. Different types of impacts can therefore be classified based
upon the degree to which they are expected to affect the various functions. However, the
effects of a project are not necessarily equal across the suite of
a resource’s
functions. A
project’s effect
is evaluated for each applicable function group of the aquatic resource
category proposed to be affected.
Table 3
provides example criteria for each of the four
Project Effect Categories (Severe, Moderate, Limited, and Minimal) for each of the
aquatic resource types and function groups. Each Project Effect Category has a
corresponding P
E
value, as provided in
Table 3
, the more severe the effect the higher the
P
E
value. Therefore, an activity considered to have a severe effect has the highest
P
E
value of 3.0 representing an activity or structure that has a complete or near-complete
loss of all beneficial functions for the applicable resource function group. Conversely, an
activity considered to have a minimal effect has a P
E
value of 0.0. These activities or
structures generally will not require compensation; however, they are included in
Table 3
to show that project designs or modifications can result in the minimization
of a project’s
effect. Project design modifications may be documented in the permit application to
demonstrate the extent of efforts to minimization impacts. This minimization may reach
the point to which that activity or structure falls into the Minimal Project Effect Category
and therefore compensation may not be required.
As described above, the
project’s effect is
individually
evaluated for each applicable
resource category function group. A project may have differing P
E
values for individual
function groups depending on the project specifics. The criteria listed in
Table 3
or
discussed in the narrative can be used directly or used to guide project reviewers for
establishing additional equivalent criterion. If an identified
criterion for a project’s effect
is not listed for an applicable resource function group, then best professional judgment
should be used in determining the most applicable Project Effect Category. A project
reviewer may identify alternative criteria to determine the Project Effect Category.

310-2137-001 / Draft March 7, 2014 / Page 10
2.2.1 Riverine: Watercourses, Streams, Wadeable Rivers and their Floodplains
Hydrologic (HYD1)
A project can have significant effects on the carrying
capacity of the floodplain by altering the cross-sectional area of the
floodplain, roughness or flood storage capacity. Secondary effects are
possible by altering hydraulic characteristics of the stream resulting in
possible changes to aquatic habitat and sediment transport processes.
Additional changes may occur from altering runoff amounts from rainfall
events and the timing of runoff due to landscape alterations. The P
E
value
is determined by the extent of the change in 100 year frequency flood
event elevation, the existence of detailed flood studies, or extent of the fill
placement in portions of the floodplain of streams with ≤
6,400 acre
drainage areas.
Biogeochemical (BGC1)
A project can have significant effects on the
fundamental nutrient, organic matter processing and chemical or
biological processes that occur within or originate from these areas.
Particular attention is placed on the ability of the floodplain area to
support a mature forested community or vegetated wetland when present.
The key to determining the project effect value of this function group is
evaluating the
potential ability
of the floodplain area to support a forested
condition or to maintain vegetated wetlands. The interaction of the
floodplain vegetation with the groundwater table or the interference of
such interaction factors into determining the value. The current condition
of the floodplain area (forested versus lawn) does not factor into the
P
E
value determination. However, the existing floodplain condition is
factored into the process through the resource condition assessment and is
reflected in the resulting resource condition score.
Habitat (HAB1)
A project can have significant effects on aquatic habitat
from direct losses through the placement of fill materials, structures; or
indirectly affected through hydraulic changes, scour and redeposition,
sediment transport changes or through re-occurring long term maintenance
activities of a project. The P
E
value is determined by evaluating the
capacity of the area to be used as habitat after the project is completed or
the extent of the changes or transformations of the area that may result
from indirect sources. In addition, the resulting condition of the stream
banks (i.e. armoring banks with riprap stone) is another factor that is used
to evaluate the need for compensation.
Recreation or Resource Support (REC1 or RS)
This is a dual function
group and, where present, recreation uses are primary over resource
support functions and will be used for compensation determination. If
recreation functions are not present, then the Resource Support function
group becomes the primary and is used for any compensation
determination. A project can have significant effects on the ability of the
public to utilize the resource for recreational opportunities by preventing
access to the resource, blocking navigation, eliminating use of the
resource, etc. In watercourses that do not provide recreation (i.e. small to

310-2137-001 / Draft March 7, 2014 / Page 11
headwater streams), a project can affect the physical, chemical and
biological processes that contribute to the maintenance of downstream
designated or existing uses. The P
E
value is determined by evaluating the
total stream length of an individual stream affected or the total stream
length affected in a watershed through elimination, enclosing, culverting,
etc. (disconnecting form groundwater interaction).
2.2.2 Wetlands: Palustrine/Tidal
Hydrologic (HYD2)
A project can have significant effects on surface
water drainage patterns, regulation of flow or source of hydrology, which
can result in long term changes to other function groups that may not be
readily observable or measurable and may take extended periods of time
to manifest, while in other instances, the changes may be quick and
dramatic. Landscape position plays a dominate role in establishing the
source of hydrology and the general movement or pathway taken. The
P
E
value is determined by evaluating the
project’s effect on
conversion of
wetland areas to open water, dry land, and connection to surface water
sources, draining or topographic modification occurring. Increases in
stormwater discharges, infiltration or diminution of hydrology through
withdrawal of surface or groundwater that results in departures from
typical hydrographs for the appropriate HGM subclasses may also be
considered.
Biogeochemical (BGC2)
A project can have significant short- and long-
term effects on the biogeochemical processes when changes occur to the
typical hydroperiod of specific HGM subclass of wetland as a result of a
project. The P
E
value
is determined by evaluating the project’s effect on
direct losses, hydrologic modifications, decreased macrotopography,
biomass and both coarse and fine woody debris through vegetation
management may also result in modifications to the biogeochemical
functioning of a wetland. Many types of projects not associated with
direct losses, such as utility line crossings, may result in changes to this
function group depending upon the level of disturbance, regeneration
technique, vegetation management and relationship of disturbed area to
overall wetland size.
Habitat (HAB2)
A project can have significant effects to habitat functions
through direct loss of habitat acreage, conversion of resources from
palustrine to lacustrine or from vegetation management activities. The
P
E
value
is also determined by evaluating the project’s effect on
vegetation
structure or interference with the potential for regeneration through
management, while not a loss of wetland area they are considered a
secondary loss of function. The method of revegetation and the likelihood
of invasive species colonization will also be evaluated. Cowardin
vegetation classification in the form of aquatic bed (AB), emergent (EM),
scrub shrub (SS) and forested (FO) will form the basis for recording loss
of habitat functions. Species specific habitat may form the basis for
compensation, especially where threatened or endangered species are

310-2137-001 / Draft March 7, 2014 / Page 12
concerned or unusual or rare palustrine wetland communities may be used
as the basis.
Note:
Vernal pools are considered Palustrine wetlands HGM subclasses: DFC or
DFA.
2.2.3 Lacustrine: Lakes, Reservoirs and Non-Wadeable Rivers
Habitat (HAB3)
A project can have significant effects on aquatic habitat
through actual losses through the displacement of the habitat, areas
affected by shading and sediment transport and deposition pattern
changes and areas affected through long term maintenance activities
resulting from the project
.
Recreation (REC2)
A project can have significant effects on the ability
of the public to utilize the resource for recreational opportunities by
preventing access to the resource, blocking navigation, eliminating the
resource, etc. Projects can also result in interference of processes that
contribute to the maintenance of downstream recreational opportunities
such as flow regulation.

310-2137-001 / Draft March 7, 2014 / Page 13
Value
Function
Group
Rive rine
Function
Group
We tland
Function
Group
Lacus trine
1. Fills or structures that result in
any increase in the 100-year
frequency water surface elevation
in a delineated FEMA mapped
floodway; or
1. Wetland area converted to open
water or dry land (non-wetland)
through inundation or filling; or
2. Wetland connection to
stream/floodplain or other natural
surface drainage features lost
contributing to hydrologic source
of wetland; or
3. Wide spread hydrologic
modification through draining,
flooding or topographic
modification.
1. Floodplain ability to support
vegetation eliminated through
filling/development; or
1. Wetland area converted to open
water or dry land (non-wetland); or
2. Floodplain converted to open
body of water through inundation;
or
2. Wide spread activities effecting
surface roughness (vegetation
clearing or maintenance, clearing or
grubbing (macro and
microtopography reduction); or
3. Floodplain vegetation isolated
from accessing groundwater table
via activities that lower
groundwater table levels (e.g.
dredging of stream channel, filling
of floodplain areas).
3. Wide spread hydrologic
modification through draining,
flooding or topographic
modification (project results in 4 or
more hydrologic stressors from
Level 2 RAP ).
1. Stream substrate replaced with
concrete, metal, plas tic, riprap,
buried with fill, etc.; or
1. Wetland area converted to open
water or dry land (non-wetland); or
1. Bottom substrate of near shore
areas replaced with concrete, metal,
plastic, riprap, buried with fill, etc.;
or
2. Stream bank armoring along >
1000 linear feet of stream bank
(each bank length measured
independently).
2. Greater than 60% of the
individual delineated wetland area
effected by vegetation clearing or
long term vegetation management.
2. Structure that causes extenisve
shading of near shore bottom
prohibiting macrophyte growth
res ulting from project.
REC1
1. Recreational use potential
eliminated or altered to the point of
unavailbility or non-use.
REC2
1. Recreational use potential
eliminated or altered to the point of
unavailbility or non-use.
1. Greater than 500 feet of
continuous s tream eliminated,
enclosed or disconnected from the
groundwater table; or
2. Cumulative effect of a project is >
2,000 linear feet of stream in any
one State Water Plan watershed.
Project Effect Category
Table 3 Project Effect Category
Severe Effect
RS
HYD1
HYD2
BGC1
BGC2
N/A
HAB1
HAB2
HAB3
2. Fills that eliminate s ignificant
portions of the floodplain of
streams with ≤ 6,400 acre drainage
areas extending along > 500 linear
feet of stream length.
N/A
N/A
3.0

310-2137-001 / Draft March 7, 2014 / Page 14
Value
Function
Group
Rive rine
Function
Group
We tland
Function
Group
Lacus trine
1. Fills or structures that result in >
1.0 foot rise in the 100-year
frequency water surface elevation
of the natural unobstructed water
surface elevation; or
1. Hydrologic patterns altered from
typical hydrographs for HGM
wetland subclass (i.e. seasonal
saturation / fluctuation changed to
static persistent level); or
2. Multiple s tormwater runoff
sources directed to wetland
whether point or non-point in
origin; or
3. Moderate hydrologic
modification through draining,
flooding or topographic
modification.
1. Floodplain vegetation
maintained in a non-forested state
through physical, mechanical or
chemical means (e.g. maintaining
right of ways); or
1. Wetland vegetation maintained
in a non-forested state through
phys ical, mechanical or chemical
means (e.g. maintaining right of
ways); or
2. Floodplain vegetation removed
and left to natural regeneration and
likelihood of invasive species
colonization is moderate to high.
2. Wetland vegetation removed
and left to natural regeneration,
likelihood of invasive species
colonization is moderate to high.
3. Loss of macrotopographic
features or features contributing to
surface roughness due to project;
or
3. Loss of macrotopographic
features or features contributing to
surface roughness due to project;
or
1. Structure results in stream
substrate being altered by flow and
velocity changing scour and
deposition features; or
1. Areas of structure > 0.1 ac. and
any mainenance dredging
extending outward no more than 10
feet around structure; or
2. Areas upstream and downstream
of a structure authorized to be
maintained to ensure waterway
opening capacity; or
2. Bottom substrate of near shore
areas authorized to be maintained
for docking or mooring purposes or
for other activities that extend
beyond 10 feet from the structure;
or
3. Stream bank armoring along >
500 but ≤ 1000 linear feet of stream
bank (each bank length measured
independently).
3. Structure that causes significant
shading of near shore bottom
prohibiting macrophyte growth
res ulting from project.
1. Recreational use potential
disrupted or restricted due to
project; or
1. Recreational use potential
disrupted or restricted due to
project;or
2. Recreational use interference or
loss extensive in scope but
temporary in nature.
2. Recreational use interference or
loss extensive in scope but
temporary in nature.
1. Greater than 100 but
500 feet of
a single continuous stream is
eliminated, enclos ed or
disconnected from the
groundwater table; or
2. Cumulative effect of a project >
1,000 but ≤ 2,000 feet of stream
effected in any one State Water
Plan waters hed.
Table 3 Project Effect Category con't
Project Effect Category
Moderate Effect
HYD1
2. Fills that eliminate significant
portions of the floodplain of
streams with ≤ 6,400 acre drainage
areas extending along > 100 but ≤
500 linear feet of stream length.
HYD2
N/A
HAB1
HAB2
1. Greater than 30% but
60% of
the individual delineated wetland
area effected by vegetation
clearing, long term vegetation
management or other activities that
would alter habitat conditions.
HAB3
BGC2
BGC1
N/A
N/A
REC1
2.0
REC2
RS

310-2137-001 / Draft March 7, 2014 / Page 15
Value
Function
Group
Rive rine
Function
Group
We tland
Function
Group
Lacus trine
1. Fills or structures that result in
an increase of the 100-year
frequency water surface elevation
of the natural unobstructed water
surface elevation but result in less
than a 1.0 foot rise; or
1. Hydrologic patterns altered from
typical hydrographs for HGM
wetland subclass but within 25% of
normal range (i.e. seasonal
saturation ); or
2. Fills that eliminate s ignificant
portions of the floodplain of
streams with
6,400 acre drainage
areas extending along < 100 linear
feet of stream length.
2. Limited hydrologic modification
through draining, flooding or
topographic modification; or
BGC1
1. Floodplain vegetation removed
and left to natural regeneration and
likelihood of invasive species
colonization is low.
BGC2
1. Wetland shrub and forested
vegetation removed and left to
natural regeneration and likelihood
of invasive species colonization is
low.
1. Bridges spanning the channel
and floodplain, with instream piers;
or
2. Stream bank armoring along ≤
500 feet of stream bank (each bank
length meas ured independently).
REC1
1. Recreational use interference or
loss limited in scope and temporary
in nature (< 1 year in duration).
1. Less than 100 feet of continuos
stream channel eliminated,
enclosed or disconnected from the
groundwater table; or
2. Cumulative total of a project >
100 but ≤ 1,000 linear feet of stream
effected in any one State Water
Plan waters hed.
Table 3 Project Effect Category con't
Project Effect Category
Limited Effect
N/A
REC2
1. Recreational use interference or
loss limited in scope and temporary
in nature (< 1 year in duration).
HYD1
HYD2
1.0
RS
N/A
N/A
HAB3
1. Area of dock > 0.02 ac. but
0.1
ac. and mainenance dredging
extending outward no more than 10
feet around dock structure.
HAB1
HAB2
1. Greater than 10% but
30% of
the individual delineated wetland
area effected by vegetation
clearing, long term vegetation
management or other activities that
would alter habitat conditions.

310-2137-001 / Draft March 7, 2014 / Page 16
Value
Function
Group
Rive rine
Function
Group
We tland
Function
Group
Lacus trine
HYD1
1. Fills or structures that do not
result in a rise in the 100-year
frequency water surface elevation
of the natural unobstructed water
surface elevation and fills are not
located in portions of the
floodplain of streams with ≤ 6,400
acre drainage areas.
HYD2
1. No hydrologic modification
through draining, flooding,
topographic modification or from
stormwater discharges.
1. Floodplain tree canopy closure
maintained; or
2. Potential for tree canopy closure
remains and area restored with
native tree and shrub species
plantings.
HAB1
1. Bridges spanning the channel
and floodplain, no instream piers.
HAB2
1. Less than or equal to 10 % of the
individual delineated wetland area
effected by vegetation clearing or
long term vegetation management.
HAB3
1. Area of dock
0.02 ac. and
mainenance dredging extending
outward no more than 10 feet
around structure.
REC1
1. Recreational uses unimpeded or
maintained without altering
recreational us e.
REC2
1. Recreational uses unimpeded or
maintained without altering
recreational us e.
1. Stream not eliminated, enclosed
or disconnected from the
groundwater table; or
2. Cumulative total of a project less
than 100 feet in any one State
Water Plan watershed.
Table 3 Project Effect Category con't
Minimal Effect
0.0
RS
N/A
N/A
Project Effect Category
N/A
BGC2
BGC1
1. Typical hydrology,
hydrodynamics and vegetation
s tructure maintained for HGM
subclass and vegetation type.

310-2137-001 / Draft March 7, 2014 / Page 17
3.0
Aquatic Resource Value Category
Evaluation of a project’s effect and
the amount of compensatory mitigation requires
consideration of the aquatic resource’s uniqueness, special characteristics, related classification,
etc. and assignment of an Aquatic Resource Value (R
V
). There are five categories of Aquatic
Resource Values: Significant Resource Waters, Special Resource Waters, Quality Resource
Waters, Support Resource Waters and Minimal Resource Waters.
All Commonwealth waters have designated and existing use protections as defined in 25 Pa.
Code Chapter 93 Water Quality Standards. The Aquatic Resource Value Category takes into
consideration these certain uses as well as other criteria for assigning a resource value such as,
resource condition, biological communities; special regulation areas established by the Pa. Fish
and Boat Commission and other unique or regional public recreational opportunities.
The Aquatic Resource Value Category is determined by using the criteria below and applying it
to the reach or area assessed as part of a permit application or proposed compensatory mitigation
project. The highest resource value that occurs within the assessment area should be used in
determining compensation requirements or valuing compensatory mitigation proposals.
DEP staff reviewing permit applications or compensatory mitigation proposals may establish the
Aquatic Resource Value Category using alternative criteria provided justification is provided in
writing in the record of decision and the applicant is informed of the reasoning for the
establishing alternative criteria. Alternative criteria should have a solid regulatory and scientific
basis for establishment.

310-2137-001 / Draft March 7, 2014 / Page 18
Table 4. Aquatic Resource Value Category
Riverine
Wetland
Lacustrine
Waters with a designated or
existing use of Exceptional
Value under Chapter 93 (relating
to water quality standards).
Presence of federal or state
threatened or endangered
species.
Wetlands classified Exceptional
Value in accordance with 105.17.
Wetlands that support a significant
aquatic community scoring equal to
or greater than 0.87 using the DEP's
Level 2 Wetland Rapid Assessment
Protocol. Wetlands characterized by
DCNR's wetland plant community
classification and designated a State
Rank of S1 Critically Imperiled or S2
Imperiled.
Waters with a designated or existing
use of Exceptional Value under
Chapter 93 (relating to water quality
standards). Presence of federal or
state threatened or endangered
species.
Riverine
Wetland
Lacustrine
Waters with a designated or
existing use of High Quality
under Chapter 93 (relating to
water quality standards). Waters
with a designated or existing use
of Migratory Fish and used by
migratory fish populations for
reproduction (not just passage).
Waters designated with special
regulations by the PA FBC as
big bass waters or trophy trout
waters. Geographically unique
or rare fisheries (i.e. salmon or
steelhead waters, naturally
reproducing northern pike
waters).
Wetlands that are located in or along
the floodplain of the reach of waters
with a designated or existing use
listed as high quality under Chapter
93 (relating to water quality
standards). Wetlands that support a
high quality aquatic community
based upon scoring equal to or
greater than 0.58 but less than 0.87
using the DEP's Wetland Condition
Level 2 Rapid Assessment Protocol.
Wetlands characterized by the
DCNR's natural community
classification system and designated
a State Rank of S3 Vulnerable.
Waters with a designated or existing
use of High Quality under Chapter 93
(relating to water quality standards).
Waters designated with special
regulations by the PA FBC as big
bass waters or trophy trout waters.
Special Resource Waters
Value
3.0
Aquatic Resource Value Category
2.5
Significant Resource Waters

310-2137-001 / Draft March 7, 2014 / Page 19
Table 4. Aquatic Resource Value Category
Con’t.
Riverine
Wetlands
Lacustrine
Small streams with greater than
1,280 acre drainage areas but
less than or equal to 6,400 acre
drainage areas, streams
designated Trout Stocked
Fisheries (TSF) under Ch. 93 and
streams with other recreation
valued species present with
sufficient populations to provide
recreational opportunities.
This category includes all other
wetlands not categorized as
significant, special, support or
minimal resource wetlands.
Wetlands that support a quality
aquatic community based upon upon
scoring equal to or greater than
greater than or equal to 0.42 but less
than 0.58 using the DEP's Wetland
Condition Level 2 Rapid Assessment
Protocol.
Includes all other waters not
categorized as significant, special,
support or minimal resource waters.
Riverine
Wetland
Lacustrine
Headwater streams with less
than or equal to 1,280 acre
drainage areas and streams
containing non-recreation valued
fisheries (CWF and WWF) not
identified in above sections.
Wetlands that support an aquatic
community based upon scoring less
than 0.42 using the DEP's Wetland
Condition Level 2 Rapid Assessment
Protocol.
Private ponds (including farm or
stock ponds) equal to or greater than
10 acres in size.
Riverine
Wetland
Lacustrine
Armored swales, gabion lined
channels, riprap lined channels,
concrete lined channels and
channels constructed to control
erosion and sediment or to
convey stormwater.
Wetlands as defined in 105.12a(6)
related to erosion and sediment
control and stormwater management.
Treatment wetlands as defined in
105.12a(5) constructed and
maintained for the treatment of mine
drainage, sewage, or other waste.
Private ponds (including farm or
stock ponds) less than 10 acres in
size.
1.0
Minimal Resource Waters
Support Resource Waters
2.0
Quality Resource Waters
1.5
Aquatic Resource Value Category
Value

310-2137-001 / Draft March 7, 2014 / Page 20
4.0
Resource Condition Assessment
Three companion resource condition assessment protocols have been developed and should be
used in establishing the applicable resource condition for utilization in determining the
compensation requirements as outlined in
Section 5.0 Determining Compensation
Requirements
. This protocol is designed to work with those condition assessment protocols and
the use of other condition assessments or measures of biological integrity, etc. are not permitted
without prior written approval by DEP. The resource condition protocols were developed to be
rapid and cost effective while providing reliable estimates of resource condition. The condition
assessments also provide additional information that is considered during the environmental
review performed by DEP and ACOE.
There may be instances where intensive Level 3 HGM functional assessments, IBI protocols,
Habitat Suitability Models or other such quantitative methods as approved by the DEP are
performed in addition to these rapid condition assessments. These circumstances are dealt with
on a case-by-case basis.
The condition assessment protocols have been designed to result in a single score that does not
exceed 1.0. Results will fall between 0 and 1 and are carried to two decimal places (0.00). The
following condition assessment protocols can be found on the World Wide Web at
www.dep.state.pa.us/XXXXX.
Pennsylvania Wetland Condition Level 2 Rapid Assessment Protocol
Pennsylvania Waterway Condition Level 2 Rapid Assessment Protocol
Pennsylvania Lacustrine Condition Level 2 Rapid Assessment Protocol
Proposed compensation projects for permittee responsible mitigation, mitigation bank
development or in-lieu program should refer to Section 6.0 Evaluating Compensation Proposals
for direction on utilizing resource condition assessments or more intensive methods for
establishing condition differential.
5.0
Determining Compensation Requirements
The Compensation Requirement (CR) for a project is calculated after the following values have
been determined:
1)
Determine the area(s) of direct and secondary impacts in acres to the nearest hundredth of
an acre (A
I
) for each of the applicable resource category function groups;
2)
Determine the Project Effect Category and P
E
value (s) for each of the applicable
functional groups from Table 3;
3)
Determine the appropriate R
V
value(s) for each of the applicable resources from Table 4;
4)
Obtain the appropriate resource condition score(s) for each of the applicable resource
categories.

310-2137-001 / Draft March 7, 2014 / Page 21
The CR for
each applicable function group
is calculated using the following equation:
Compensation Requirement (CR) = A
I
x P
E
x R
V
x C
I
Where,
CR = Compensation Requirement
A
I
= Area of Impact (in acres, 0.00)
P
E
= Project Effect Factor (Table 3)
R
V
= Resource Value (Table 4)
C
I
= Condition Index Value (0.00) (from applicable resource condition assessment)
To determine the CR, the area of impact (A
I
) is multiplied by the P
E
obtained from Table 3, then
multiplied by the R
V
from Table 4, then multiplied by the applicable resource C
I
. The end
product is the amount of compensation credits necessary to offset the effects the project has on
each functional group. Where both direct and secondary impacts are documented the CR for
each of the impact types for the applicable function groups should be determined independently.
The CR should indicate (label) which type of impact direct or secondary for each applicable
function group as well.
6.0
Evaluating Compensation Proposals
Proposals for compensating aquatic resource impacts from an applicant, mitigation banker or an
in-lieu-fee program, will utilize the following process to evaluate whether the mitigation project
proposal will provide adequate compensation to offset the function compensation requirements
as determined in
Section 5.0
. Projects proposed by mitigation bankers and in-lieu-fee program
may be evaluated independent of compensation requirements to determine the type and amount
of function credits generated by a compensatory mitigation project.
6.1
Compensation Value Factor
The compensatory mitigation project will be evaluated for each applicable aquatic
resource function group and the level of credits will be determined on a resource function
group basis. The same process for determining function compensation requirements is
applied to compensatory mitigation project proposals, except instead of the Project Effect
Factor table, reviewers will use the Compensation Value Factor table (Table 5) in the
calculation to determine the overall value of the compensation proposal. Additional
adjustment factors and procedures that may alter the Compensation Value Factor are
outlined in
Section 7.0 Compensation Value Adjustment
.
6.2
Condition Differential
The difference between the condition of the resource pre-project implementation and
post-project implementation must be determined for each applicable resource proposal.
This condition differential will be used to determine the function gains realized as a result
of the project. The initial function gain will be based upon design plans and expectations
as outlined in the final compensatory mitigation project proposal.
The Level 2 resource condition rapid assessment protocols discussed previously, may be
utilized in the planning stages to establish the potential for condition improvement and
under some limited circumstances may be sufficient to document the condition

310-2137-001 / Draft March 7, 2014 / Page 22
differential; however, in most instances more intensive methods will be needed to
ascertain the amount of improvement in resource condition and the methods may vary
from function group to function group.
It is especially important to evaluate and provide hydrologic monitoring data for
wetland rehabilitation efforts where the
intent to restores a wetland’s
hydroperiod
to approximate pre-disturbance patterns.
The resource condition starting point for determining functional gains under the
following circumstances will be considered 0 and the compensation project will be given
the maximum function gain based upon the final resource state using appropriate and
approved measures that can demonstrate improvements to the resource function groups:
Dam removal with riverine and floodplain reestablishment
Legacy sediment removal with riverine and floodplain reestablishment
Wetland establishment and reestablishment (does not included rehabilitation)
The resource condition starting point for determining functional gains under the
following circumstances will be based upon the existing resource condition:
Enhancement of wetland, riverine or lacustrine resources
Rehabilitation of wetland, riverine or lacustrine resources
In most cases, it will be necessary to perform more detailed or intensive resource
condition, functional or other approved measures, including but not limited to HGM
functional assessments, Index of Biological Integrity, Habitat Evaluation Procedure,
Hydrologic, Hydraulic, or other resource specific modeling. When enhancement or
rehabilitation of existing resources is proposed, project developers should coordinate with
the DEP and ACOE early in the process to determine the need for more intensive
assessment methods. It may be necessary to convert or aggregate intensive findings.
After the project has stabilized and successfully completed monitoring requirements, the
selected methods would be performed again and the condition differential would be
calculated to determine the final amount of resource credits generated from the project.
The timing of the second evaluation may vary from project to project and will be decided
upon by DEP and the ACOE.
6.3
Calculating Functional Credit Gain (FCG)
The Functional Credit Gain (FCG) for a compensation project proposal is calculated after
the following values have been determined:
1)
Determine the area(s) anticipated to gain in functional capacity in acres to the
nearest hundredth of an acre (A
P
) for each of the applicable functional groups;

310-2137-001 / Draft March 7, 2014 / Page 23
2)
Determine the appropriate R
V
value(s) for each of the applicable resources from
Table 4;
3)
Determine the Compensation Value Category and C
V
value(s) for each of the
applicable aquatic resources from Table 5;
4)
Obtain the existing resource condition score for each of the applicable resources,
utilize protocols and design plans to project final resource condition upon project
completion; calculate the condition index differential (CI
diff
) by subtracting the
existing resource condition from the projected resource condition.
The FCG for
each applicable function group
is then calculated using the following
equation:
Functional Credit Gain (FCG) = A
P
x R
V
x C
V
x CI
diff
FCG
= Functional Credit gain
A
P
= Area of Project for applicable function group (in acres, 0.00)
R
V
= Resource Value (Table 4)
C
V
= Compensation Value (Table 5)
CI
diff
= Condition Index Differential Value (0.00) (this is the difference
between the existing condition and the projected condition post project
implementation for each applicable resource condition assessment)

310-2137-001 / Draft March 7, 2014 / Page 24
Table 5. Compensation Value Factor
Riverine
Wetland
Lacustrine
1.) Project entails reestablishment
of stream and floodplain areas as
appropriate in consideration of
existing watershed conditions and
restoration potentials; or
1.) Project entails reestablishment
of wetlands; not rehabilitation,
establishment or enhancement.
Projects must be equal to or
greater than 5.0 acres in size; or
1.) Project entails a comprehensive
effort including public recreation
access improvement through
acquisition/easements; and habitat
improvement; or
2.) Riverine reestablishment or
rehabilitation providing 3 of 4
riverine function groups, as
appropriate in consideration of
existing watershed conditions and
restoration potentials and in
conjunction with a wetland
reestablishment component.
2.) Any size wetland
reestablishment in conjunction with
a riverine reestablishment or
rehabilitation providing 3 of 4
riverine function groups, as
appropriate in consideration of
existing watershed conditions and
restoration potentials
2.) Project including one of the
objectives in 1.) above and other
efforts involving water quality
improvements such as: phosphorus
control, sediment control, nitrate
control; or shoreline and riparian
zone reestablishment or
rehabilitation; or contributory
riverine, floodplain or wetland
reestablishment or rehabilitation.
Riverine
Wetland
Lacustrine
1.) Riverine reestablishment or
rehabilitation providing 3 of 4
riverine function groups, as
appropriate in consideration of
existing watershed conditions; or
1.) Wetland reestablishment
project equal to or greater than 1.0
acre but less than 5.0 acres in
size; or
1.) Project providing either public
recreation improvements or access
acquisition\easements and habitat
reestablishment or rehabilitation,
enhancement or establishment; or
2.) Any wetland establishment or
enhancement project with specific
function targets in conjunction with
riverine or floodplain
reestablishment or rehabilitation
project; or
3.) Wetland establishment or
enhancement projects equal to or
greater than 5.0 acres in size with
specific function targets.
Riverine
Wetland
Lacustrine
1.) Wetland reestablishment or
rehabilitation project < 1.0 acre in
size; or
2.) Wetland establishment or
enhancement projects < 5.0 acres
in size with specific function
targets; or
2.) Any stream or floodplain project
coupled with wetland or lacustrine
project; must provide 1 of 4 function
groups excluding HAB1 function
group.
3.) Any wetland reestablishment,
rehabilitation or enhancement
project with riverine, floodplain or
lacustrine project; must provide 1 of
3 function groups.
Riverine
Wetland
Lacustrine
1.) Proposed project only entails
riverine habitat (HAB1) function
group.
1.) Proposed project only entails
wetland habitat (HAB1) function
group.
1.) Proposed project only entails
lacustrine habitat (HAB3) function
group such as invasive species
control or efforts to establish native
aquatic plant species.
Aquatic Compensation Value Category
Value
Extensive
3.0
Moderate
2.0
2.) Any riverine reestablishment or
rehabilitation in conjunction with a
wetland restoration or approved
enhancement project.
2.) Project coupled with either
riverine, floodplain or wetland
reestablishment or rehabilitation;
must provide 1 of 2 function groups.
Limited
1.5
1.) Stream or floodplain
rehabilitation or enhancement
project; must provide a minimum 2
of 4 functional groups; or
1.) Project provides at least 1 of 2
functional groups; if HAB3
functional group physical habitat
improvement must be done.
Invasive species control or aquatic
plantings ineligible (see Minimal
Project Category).
Minimal
1.0

310-2137-001 / Draft March 7, 2014 / Page 25
7.0
Compensation Value Adjustment (C
VAF
)
The conservation of aquatic resources in lieu of providing compensatory mitigation through
enhancing or restoring aquatic resources is not accepted as compensatory mitigation for
offsetting projects authorized to effect aquatic resources pursuant to Chapters 105. However,
there is a role for conservation of lands through deed restrictions, conservation easements or
resource management plans related to compensatory mitigation enhancement or restoration
projects.
As required pursuant to the joint federal mitigation rule (33 C.F.R. § 332.7; 40 C.F.R. § 230.97),
areas that encompass the enhancement or restoration project area must be protected under a
conservation easement or deed restricted covenants. Lands owned by government entities must
have project area facility management plans or integrated natural resource plans. The areas that
are directly part of the enhancement or restoration project are not considered conservation areas
for the purposes of adjusting the compensation value. However, conservation of lands
surrounding the project areas in conjunction with enhancement or restoration of aquatic
resources will be considered, but they must be directly linked to and contribute to the long-term
viability of the project and for private lands placed under a conservation easement or deed
restrictions. Government lands must extend coverage of the resource management plans to
include such areas.
The Compensation Value (C
V
) established in
Section 6.0
may be adjusted according to the
requirements outlined in
Sections 7.1
7.3
resulting in an Adjusted Compensation Value (C
VAF
).
The C
VAF
is then used in place of the C
V
value for calculating the potential function credit
generation from a project. The C
VAF
values are determined for the applicable resource and are
not used across resource types. The area of conservation must meet the minimum requirements
as indicated below for each applicable resource type in order to adjust the C
V
initially determined
for the proposed project.
7.1
Riverine Conservation Areas
There are two types of conservation that may be used to adjust the Compensation Value
of a Riverine project; Riverine Upstream Corridor Conservation (RUCC) and Riverine
Lateral Conservation (RLC). Projects that do not provide a continuous or unbroken
conservation area according to the criteria listed below may be evaluated for a partial
adjustment factor. If the condition of the area is anticipated, then the adjustment factor is
an anticipated one and the final rating will be determined at a point in time based upon
the proposed project’s monitoring plans, time scales and the established success criteria.
The RUCC type of conservation area must consider, at a minimum, the following:
Riparian Ecotone Condition Index of the proposed RUCC area as evaluated
utilizing the
Pennsylvania Riverine Condition Level 2 Rapid Assessment
Protocol
;
Length of the RUCC area in relation to the downstream project length;
RUCC area must be immediately upstream of the enhancement or restoration
project and conservation area must also include the 100 year floodplain.

310-2137-001 / Draft March 7, 2014 / Page 26
The RLC type of conservation area must consider, at a minimum, the following:
The condition of the vegetation/land cover of the RLC area utilizing the Riparian
Zone of Influence (RZOI) Condition Index procedures from the
Pennsylvania
Riverine Condition Level 2 Rapid Assessment Protocol
and adjusting the
boundaries based upon the RLC distance;
The distance extends laterally from the floodplain boundary of the enhancement
or restoration project and at a minimum must include the RZOI.
7.1.1 Riverine Upstream Corridor Conservation
The RUCC area extends upstream
from the compensation project’s
most upstream boundary; and
extends laterally to encompass the
stream channel, the 100 year
floodplain and the Riparian Zone of
Influence (RZOI) area as defined in
the
Riverine Condition Level 2
Rapid Assessment Protocol
. The
overall RECI of the RUCC area
must be >0.65. The example to the
right depicts a project with a
proposed RUCC area that is greater
than 2X’s the project length and
with a RECI condition >0.65. This
RUCC would provide an additional
value of 0.65 - 1.0 to the compensation value established in
Section 6.0
.
Table 6 RUCC Adjustment Factor provides the ranges and length of conservation
corridor to project length criteria that will be considered.
Table 6. RUCC Adjustment Factor
Conservation Area
(length of stream)
Adjustment Factor
(A
F
)
Value Range
RECI x A
F
½ of project stream length
0.25
0.17
0.25
½
Equal to project stream length
0.50
0.33
0. 50
Equal to
2 times project stream length
0.75
0.49
0.75
>2 times project stream length
1.0
0.65
1.00
The following formula is used to determine the Adjusted Compensation Value
(C
VAF
) for use in calculating the function credit gain as described in
Section 6.0
:
C
VAF
= C
V
+ (RECI x A
F
)

310-2137-001 / Draft March 7, 2014 / Page 27
7.1.2 Riverine Lateral Conservation
The RLC area must be immediately adjacent to the 100 year floodplain of the
project area and at a minimum, extend to the limits of the RZOI and extend along
the compensation project area. Using the procedures for the RZOI Condition
Index (CI) and applying them to the RLC area; the CI for the RLC area must be
>0.65.
Table 7 RLC Adjustment Factor provides the ranges and lateral extent of the
conservation area extending from the Riparian area (100 year floodplain) that will
be considered.
Table 7. RLC Adjustment Factor
Conservation Area
(length of stream)
Adjustment Factor
(A
F
)
Value Range
RZOI CI x A
F
RZOI of project area
0.25
0.17
0.25
RZOI of project area plus >100 feet
0.50
0.33
0. 50
RZOI of project area plus >200 feet
0.75
0.49
0.75
RZOI of project area plus >300 feet
1.0
0.65
1.00
The following formula is used to determine the adjusted compensation value for
use in calculating the function credit gain as described in
Section 6.0
:
C
VAF
= C
V
+ (RZOI CI x A
F
)
7.2
Wetland Conservation Areas
Wetland Conservation (WC) areas include the conservation of upland areas adjacent to
wetland enhancement or restoration project. The area proposed to be conserved must
extend from the wetland boundary into the uplands and at a minimum encompass the
Wetland Zone of Influence (WZOI) area as defined in the
Wetland Condition Level 2
Rapid Assessment Protocol
.
WC must consider, at a minimum, the following:
Condition of the proposed conservation area
HGM wetland class (important to establishing areas beyond the WZOI)
Area adjacent to the wetland known as the WZOI is considered the minimum area
necessary for conservation
Physical barriers such as roads, vertical topography, adjacent streams, etc.
The WZOI condition index must have an existing condition or a projected increase in
condition of >0.65 (the outer boundary of assessment must be adjusted to the
conservation area boundary). If the increase in condition is anticipated, then the
adjustment factor is an anticipated one and the final rating will be determined at a point in
time based upon the proposed project’s monitoring plans, time scales and the established
success criteria.

310-2137-001 / Draft March 7, 2014 / Page 28
If the averaged condition index fails to meet the minimum condition rating, no
adjustment factor may
be awarded for the conserved areas and the project’s credit
determination will be adjusted accordingly. Projects that do not provide a continuous or
unbroken WC area may be evaluated for a partial adjustment factor.
Table 8 WC Adjustment Factor provides the ranges and lateral extent of conservation
extending from the wetland boundary that will be considered.
Table 8. WZOI Conservation Area Adjustment Factor
Conservation Area
Adjustment Factor
(A
F
)
Value Range
WZOI CI x A
F
WZOI of project area
0.25
0.17
0.25
WZOI of project area plus
100 feet
0.50
0.33
0. 50
WZOI of project area plus
200 feet
0.75
0.49
0.75
WZOI of project area plus
300 feet
1.0
0.65
1.00
The following formula is used to determine the adjusted compensation value for use in
calculating the function credit gain as described in
Section 6.0
:
C
VAF
= C
V
+ (WZOI CI x A
F
)
7.3
Lacustrine Conservation Areas
Lacustrine Conservation (LC) areas include the conservation of upland areas adjacent to
lacustrine enhancement or restoration compensation projects. The area proposed to be
conserved must extend from the lacustrine boundary into the adjoining lands and at a
minimum encompass the Lacustrine Riparian Shoreline Vegetation (LRSV) area and the
Riparian Zone of Influence (RZOI) area which in combination extends 100 feet from the
edge of water as defined in the
Lacustrine Condition Level 2 Rapid Assessment
Protocol
.
LC must consider, at a minimum, the following:
Condition of the proposed conservation area
Area adjacent to the lacustrine resource known as the RZOI is considered the
minimum area necessary for conservation
The type of lacustrine environment such as reservoir, large river, small
impoundment, etc.
The minimum conservation area, the averaged LRSV and the RZOI condition indexes
will be used to determine the value range of the adjustment factor. If the averaged
condition index fails to meet the minimum condition rating, no adjustment factor will be
awarded for the conserved areas and the project’s credit determination will be adjusted
accordingly.
The
averaged
LRSV and the RZOI condition indexes must have an existing condition or
an anticipated increase in condition of
0.65. If the increase in condition is anticipated,

310-2137-001 / Draft March 7, 2014 / Page 29
then the adjustment factor is an anticipated one and the final rating will be determined at
a point in time based upon the proposed project’s monitoring
plans and time scales and
the established success criteria. If the area is larger than the combined LRSV and RZOI
area, then the condition should be established using the same process and criteria
excepting the expanded boundary and it would encompass the entire area (i.e. no need to
average LRSV and RZOI scores).
Table 9 LC Adjustment Factor provides the ranges and lateral extent of conservation
extending from the Riparian Shoreline that will be considered.
Table 9. LC Adjustment Factor
Conservation Area
Adjustment Factor
(A
F
)
Value Range
(
(
SV
2
)
xA
F
LRSV and RZOI area
0.25
0.17
0.25
LRSV and RZOI area plus >100 feet
0.50
0.33
0. 50
LRSV and RZOI area plus >200 feet
0.75
0.49
0.75
LRSV and RZOI area plus >300 feet
1.0
0.65
1.00
The following formula is used to determine the adjusted compensation value for use in
calculating the function credit gain as described in
Section 6.0
:
VAF
V
([
( SV
)
2
]x
A
F
)
7.4
Addressing TMDL Related Impairments
Projects that directly address sources of impairments with related TMDLs may receive
additional compensation value adjustment factors. The proposed project must result in
reduction of sources that are addressed as part of the TMDL. These projects will be
handled on a case-by-case basis. The compensation value may be adjusted up to an
additional 1.0.
Projects requesting adjustment under this section must provide an analysis of how the
enhancement or restoration project contributes to reducing or eliminating the source(s) of
impairment. This analysis should entail some quantitative measures related to the
TMDL.
7.5
Adjusting the Overall Functional Credit Calculation
The
C
VAF
calculated in the above sections is used in place of the
C
V
in the functional
credit calculation, thereby increasing the overall credit value for each applicable function
group. The
C
VAF
values in some instances are additive, such as the RUCC and RLC
adjustment factors. However, the values may also differ for components of larger
projects and may not be carried forward to another stream reach or separate wetland area
for example.
Functional Credit Gain (FCG) = A
P
x R
V
x C
VAF
x CI
DIFF

310-2137-001 / Draft March 7, 2014 / Page 30
Resources
25 Pa. Code Chapters 93 and 105.
A
E and Environmental Protection Agency’s (EPA) Final
Joint Federal Mitigation Rule published in
April 2008. 33 C.F.R. §§ 332.1-332.8; 40 C.F.R. §§ 230.91-230.98.
Brooks, R. P., M. M. Brinson, K. J. Havens, C. S. Hershner, R. D. Rheinhardt, D. H. Wardrop, D. F.
Whigham, A. D. Jacobs, and J. M. Rubbo. 2011. Proposed hydrogeomorphic classification for
wetlands of the Mid-Atlantic Region, USA. Wetlands 31(2):207-219.
Cowardin, L. M., Carter, V., Golet, F. C. and LaRoe, E. T.;
1979, ―Classification
of Wetlands and
Deepwater Habitats of the United States‖,
FWS/OBS-79/31, U.S. Fish and Wildlife Service.
Office of Biologic Services, Washington, D.C., 102 pp.
Fischenich, J.C. (2006). Functional objectives for stream restoration. EMRRP Technical Notes
Collection (ERDC TN-EMRRP-SR-52). Vicksburg, MS; U.S. Army Engineer Research and
Development Center.
http://el.erdc.usace.army.mil/elpubs/pdf/sr52.pdf
.
Harman, W., R. Starr, M. Carter, K. Tweedy, M. Clemmons, K. Suggs, C. Miller. 2012.
A Function-
Based Framework for Stream Assessment and Restoration Projects.
US Environmental
Protection Agency, Office of Wetlands, Oceans, and Watersheds, Washington, DC EPA 843-K-
12-006.
Harrelson, Cheryl C; Rawlins, C. L.; Potyondy, John P. 1994. Stream channel reference sites: an
illustrated guide to field technique. Gen. Tech. Rep. RM-245. Fort Collins, CO;
U.S. Department of Agriculture, Forest Service, Rocky Mountain Forest and Range Experiment
Station. 61 p.
Stream Mitigation Method; February 2007. U.S. Army Corps of Engineers, State of Missouri.
Stroud Water Research Center: 2008, Protecting Headwaters: The Scientific Basis for Safeguarding
Stream and River Ecosystems.
A esearch Synthesis from the Stroud™ Water esearch enter.
Unified Stream Methodology; January 2007. U.S. Army Corps of Engineers, Norfolk District and
Virginia Department of Environmental Quality.
Verry, E.S., Dolloff, C.A., and Manning, M.E.: 2004, Riparian Ecotone: A functional definition and
delineation for resource assessment. Water, Air and Soil Pollution: Focus 4:67-94.

310-2137-001 / Draft March 7, 2014 / Page 31

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Appendix A

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Aquatic Resource Function Compensation

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Worksheets

310-2137-001 / Draft March 7, 2014 / Page 32
Re source
Type
Function
Group
Area of
Impact (A
I
in
0.00 acres)
Project
Effect Factor
(P
E
)
Re source
Value Factor
(R
V
)
Re source
Condition Value
(C
I
)
Compensation
Requirement
(credits 0.00)
HYD1
0.00
0
0
0.00
0.00
BGC1
0.00
0
0
0.00
0.00
HAB1
0.00
0
0
0.00
0.00
REC1 - RS
0.00
0
0
0.00
0.00
HYD2
0.00
0
0
0.00
0.00
BGC2
0.00
0
0
0.00
0.00
HAB2
0.00
0
0
0.00
0.00
HAB3
0.00
0
0
0.00
0.00
REC2
0.00
0
0
0.00
0.00

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Aquatic Resource Function Worksheet 1
Version 1.0
Project Name:
Resource Identifier:
Compensation Requirement Determination
Streams
and/or
Floodplains
Wetlands
Re se rvoirs
and Large
Rive rs

310-2137-001 / Draft March 7, 2014 / Page 33
Re source
Type
Function
Group
Area of
Project (A
p
in
0.00 acres)
Compensation
Value Factor
(C
V
)
Re source
Value Factor
(R
V
)
Re source
Condition
Differential
Value (C
I
)
Propose d
Compensation
Value (credits
0.00)
HYD1
0.00
0
0
0.00
0.00
BGC1
0.00
0
0
0.00
0.00
HAB1
0.00
0
0
0.00
0.00
REC1 - RS
0.00
0
0
0.00
0.00
HYD2
0.00
0
0
0.00
0.00
BGC2
0.00
0
0
0.00
0.00
HAB2
0.00
0
0
0.00
0.00
HAB3
0.00
0
0
0.00
0.00
REC2
0.00
0
0
0.00
0.00

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Aquatic Resource Function Worksheet 2
Version 1.0
Project Name:
Site Identifier:
Streams
and/or
Floodplains
Wetlands
Re se rvoirs
and Large
Rive rs
Proposed Compensation Valuation

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