Arizona Department of Transportation
Clean Water Act 404/401 Guidance Manual

Submitted to:
Arizona Department of Transportation
1611 West Jackson Street
Phoenix, Arizona 85007

Submitted by:
AMEC Environment & Infrastructure, Inc.
4600 East Washington Street, Suite 600
Phoenix, Arizona 85034

June 2013

ADOT Clean Water Act Section 404/401 Guidance Manual

FOREWORD
This manual provides an overview of Sections 404 and 401 of the Clean Water Act, as they
apply to Arizona Department of Transportation activities.
Compliance with Sections 404 and 401 is necessary for Arizona Department of Transportation
activities that involve the discharge of dredged or fill material into waters of the United States.
The manual also provides general guidance on the preparation of jurisdictional delineations,
Nationwide Permit Pre-Construction Notification submittals, and Individual Permit applications.
The
intended
audience
includes
all
Arizona
Department
of
Transportation
design/construction/maintenance and environmental planning staff, consultants, Arizona
Department of Transportation Districts, and others as applicable.
Applicable regulations, guidance documents, forms, and checklists are cited and/or included in
this manual, with document dates, print dates, and sources identified in the References section
as appropriate. Although this manual will be periodically updated by the Arizona Department of
Transportation Office of Environmental Services to address regulatory and guidance
modifications, as well as changes in Arizona Department of Transportation policy, it is the
responsibility of the user to identify and comply with current standards.

Foreword

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Foreword

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ADOT Clean Water Act Section 404/401 Guidance Manual

TABLE OF CONTENTS
INTRODUCTION ........................................................................................................................ I-1
A. Manual Content, Format, and Update Process ................................................... I-1
B. Overview of this Manual ...................................................................................... I-1
C. Quick Facts ......................................................................................................... I-4
STEP 1. INITIAL REVIEW OF SURFACE WATERS WITHIN THE BOUNDARIES OF
THE ACTIVITY ................................................................................................ Step 1-1
A. Definitions and Examples of Waters of the US.......................................... Step 1-1
B. Initial Review of Activity Area .................................................................... Step 1-2
STEP 2. WILL THE ACTIVITY INVOLVE THE DISCHARGE OF DREDGED OR FILL
MATERIAL INTO WATERS OF THE US? ...................................................... Step 2-1
A. Definitions and Examples .......................................................................... Step 2-1
B. Regulated Activities ................................................................................... Step 2-1
STEP 3M (MAINTENANCE ACTIVITIES) - IS A JURISDICTIONAL DELINEATION OF
WATERS OF THE US WITHIN THE ACTIVITY AREA NECESSARY? ....... Step 3M-1
STEP 3C (CONSTRUCTION DESIGN/PLANNING) - ARE WATERS OF THE US PRESENT
WITHIN THE BOUNDARIES OF THE ACTIVITY? ....................................... Step 3C-1
A. Jurisdictional Delineation ......................................................................... Step 3C-2
B. Jurisdictional Determinations Submittals ................................................. Step 3C-3
STEP 4: WHAT TYPE AND QUANTITY OF IMPACTS ON WATERS OF THE US WILL
RESULT FROM THE ACTIVITY AND HOW WILL IMPACTS
BE MITIGATED? ............................................................................................. Step 4-1
A. Definitions and Examples .......................................................................... Step 4-2
B. Methodology – Quantifying Impacts .......................................................... Step 4-2
C. Mitigation Measures .................................................................................. Step 4-4
STEP 5 : WHAT TYPE OF SECTION 404 PERMIT IS NECESSARY FOR
THE ACTIVITY? .............................................................................................. Step 5-1
A. Nationwide Permits ................................................................................... Step 5-2
B. Individual Permits .................................................................................... Step 5-10
C. In-Lieu Fee Mitigation .............................................................................. Step 5-13
STEP 6: WHAT TYPE OF SECTION 401 CERTIFICATION IS ESSENTIAL FOR THE
ACTIVITY? ...................................................................................................... Step 6-1
A. Definitions .................................................................................................. Step 6-1
B. Certification for Activities that Qualify for a Section 404
Nationwide Permit ..................................................................................... Step 6-1
C. Section 401 Certification for Activities that Require a Section 404 Individual
Permit ........................................................................................................ Step 6-2
D. Components of a Section 401 Individual Certification Application ............ Step 6-3

TABLE
Table 1.

Overview of the Necessary Steps to Complete the Section 401/404 Process .......... I-2

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ADOT Clean Water Act Section 404/401 Guidance Manual

FLOW CHARTS
Flow Chart I-1:
Overview ..................................................................................................... I-4
Flow Chart I-2:

Construction Activities – Coordination Process ........................................... I-6

Flow Chart I-3:

Maintenance Activities – Coordination Process........................................... I-6

Flowchart 1-1:

Step 1 Process Overview ................................................................... Step 1-2

Flow Chart 2-1:

Step 2 Process Overview ................................................................... Step 2-2

Flow Chart 3M-1: Is a Jurisdictional Delineation Required?......................................... Step 3M-1
Flow Chart 3M-2: Jurisdictional Delineation Process for Maintenance Activities.......... Step 3M-3
Flow Chart 3C-1: Is a Jurisdictional Delineation Required?..........................................Step 3C-1
Flow Chart 3C-2: Jurisdictional Delineations for Construction Design/Planning
Activities...........................................................................................Step 3C-4
Flow Chart 4C-1: Step 4 for Construction Design/Planning Projects .............................. Step 4-1
Flow Chart 4M-1: Step 4 for Maintenance Activities ....................................................... Step 4-1
Flow Chart 4-1:

Key Decision for Step 4...................................................................... Step 4-4

Flow Chart 5C-1: Step 5 for Construction Design/Planning Activities. ............................ Step 5-1
Flow Chart 5M-1: Step 5 for Maintenance Activities ....................................................... Step 5-2
Flow Chart 5M-2: Nationwide Permits for Common ADOT Maintenance Activities ......... Step 5-4
Flow Chart 5-1:

ADOT Permit Limits and Conditions Compliance and PCN Decision
Documentation................................................................................... Step 5-6

Flow Chart 5-2:

Pre-Construction Notification Process ................................................ Step 5-7

Flow Chart 5-3:

Key Actions for Nationwide Permits.................................................... Step 5-9

Flow Chart 5-4:

Individual Permit Submittal Process ................................................. Step 5-12

Flow Chart 5-5:

Steps to take after receiving the Individual Permit and Section 401 Individual
Certification ...................................................................................... Step 5-12

Flow Chart 5-6:

ADOT In-Lieu Fee Fund Process ..................................................... Step 5-14

Flow Chart 6-1:

Key Decisions to Determine Section 401 Certification ........................ Step 6-4

Abbreviations, Acronyms, and Definitions of Terms ....................................................................v

REFERENCES
APPENDICES

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ADOT Clean Water Act Section 404/401 Guidance Manual

ABBREVIATIONS, ACRONYMS, AND DEFINITIONS OF TERMS
ADEQ – Arizona Department of Environmental Quality
ADOT – Arizona Department of Transportation
C&S – Contracts and Specifications Section
CFR – Code of Federal Regulations
Corps – US Army Corps of Engineers
CWA (Clean Water Act) – Establishes the basic structure for regulating discharges of
pollutants into the waters of the United States. The objective of the CWA is to restore and
maintain the chemical, physical, and biological integrity of the Nation’s waters.
Decision document – Demonstrates compliance with the Section 404(b)(1) guidelines, as well
as NEPA and other applicable federal laws and policies. The document is constituted by an
environmental assessment, NEPA/404 Memorandum of Agreement compliance, review and
compliance determination, alternatives analysis, mitigation plan, statement of findings public
interest review, and a finding of no significant impact.
Dredged materials – Material that is excavated or dredged from waters of the United States.
Discharge of dredged material – Any addition of dredged material into the waters of the
United States.
Discharge of fill material – The addition of fill material into waters of the United States.
EPA – Environmental Protection Agency
EPG (Environmental Planning Group) - Oversees the preparation of environmental
documents for all highway construction projects and maintenance actions. These documents
ensure that all relevant environmental factors are appropriately addressed and mitigated, in
accordance with state and federal laws, including the National Environmental Policy Act.
FHWA – Federal Highway Administration
Fill materials – Any material used for the primary purpose of replacing an aquatic area with dry
land or changing the bottom elevation of a waterbody.
HPT – Historic Preservation Team (of EPG)
Impaired Waters – Surface waters that do not meet surface water quality standards and
therefore receive special consideration. Impaired waters are listed in section 303(d) of CWA
Section 401, which in Arizona, is maintained by ADEQ.
IP (Individual Permit) – Intended to authorize activities with greater than minimal adverse
environmental impacts. Individual permits are needed for an activity that will result in the
discharge of dredged of fill material into waters of the United States, but does not qualify for any
Nationwide Permit.

Abbreviations, Acronyms, and Definitions of Terms

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ADOT Clean Water Act Section 404/401 Guidance Manual

JD (Jurisdictional delineation) – The process through which the boundaries and other
physical characteristics of a potential water of the United States are evaluated for the activity
area.
Jurisdictional determination – Used to describe the resulting report, ultimately submitted by
ADOT EPG to the Corps for their consideration and approval.
MOA - Memorandum of Agreement
NEPA – National Environmental Policy Act
NWP (Nationwide permit) – Intended to authorize activities with minimal adverse
environmental impacts and are designed to regulate such activities with little, if any, delay or
paperwork. The acreage of loss of waters of the United States is a threshold measurement of
the impact to jurisdictional waters for determining whether an activity may qualify for a
nationwide permit. Waters of the US temporarily filled, flooded, or drained, but restored to preconstruction contours and elevations after construction are not included in the measurement of
loss of waters of the United States.
Non-tribal lands – Requires ADEQ to issue 401 certification.
OAW (Outstanding Arizona Waters) – Surface waters in Arizona classified by ADEQ as
outstanding due to their exceptional water quality.
OES (Environmental Services) - Oversees the environmental programs within the agency.
OES ensures compliance with local, state, and federal environmental laws during the
construction and operation of ADOT facilities.
OHWM (Ordinary High Water Mark) – A line on the bank or shore established by the
fluctuations of water and indicated by the following physical characteristics: a clear, natural line
imposed on the bank; shelving; changes in the character of soil; destruction of terrestrial
vegetation; and the presence of litter and debris.
PCN (Pre-Construction Notice) – Notification to the Corps based on specific conditions as
identified in each Nationwide permit, General Conditions, and Regional Conditions.
Preliminary JD (Preliminary Jurisdiction Determination) - Preliminary JDs are non-binding,
written indications that there may be waters of the United States, including wetlands, on a parcel
or indications of the approximate location(s) of waters of the United States or wetlands on a
parcel. Preliminary JDs are advisory in nature and may not be appealed.
Permanent losses of waters of the United States – Waters of the US that are permanently
adversely affected by filling, flooding, excavation of native soils/vegetation, or drainage because
of the regulated activity.
Qualified Professional – Individual performing a initial evaluation of a site for the
presence/absence of potential waters of the United States under Section 404 of the CWA. A
qualified professional must have the ability to recognize water features on aerial and
topographic mapping.
RGL – Regulatory Guidance Letter

Abbreviations, Acronyms, and Definitions of Terms

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ADOT Clean Water Act Section 404/401 Guidance Manual

Routine Maintenance - Routine maintenance is simply maintenance of a structure to return it to
a functioning as-built condition.
River – A large natural stream of water emptying into an ocean, lake, or other body of water and
usually fed along its course by converging tributaries.
Section 401 of CWA – Requires that the State provide certification that any activity authorized
under Section 404 is in compliance with effluent limits, the state’s water quality standards, and
any other appropriate requirements of state law. Section 401 is administered by ADEQ in
Arizona on non-tribal lands. On tribal lands, Section 401 is administered by EPA or the tribe.
Section 404 of CWA – Regulates the discharge of dredged or fill material into waters of the
United States. Section 404 is regulated by the Army Corps of Engineers.
Special Aquatic Site - Geographic areas, large or small, possessing special ecological
characteristics of productivity, habitat, wildlife protection, or other important and easily disrupted
functions and values. These areas are generally recognized as significantly influencing or
positively contributing to the general overall environmental health or vitality of the entire
ecosystem of a region. The following have been identified as special aquatic sites: sanctuaries
and refuges, wetlands, mud flats, vegetated shallows, coral reefs, and riffle and pool complexes.
Small wash – Wash that is typically low volume and has infrequent or short duration flow. Small
washes are generally considered non-jurisdictional under CWA Section 404.
Temporary losses of waters of the United States – Short term losses typically attributes to
project activity discharges that will be mitigated such that preconstruction conditions, including
contours and elevations, and/or uses are restored.
Tribal lands – Requires EPA to issue a 401 certification except where EPA has delegated 401
certification authority.
USGS – United States Geological Survey
Wash – The dry bed of a stream common in the arid western US.
Waters of the US (waters of the United States) – Denotes the Corps’ jurisdictional limits
under CWA Section 404 as outlined in Title 33 Code of Federal Regulations Chapter II, Part
328. Navigable waters, interstate lakes, rivers, streams (including intermittent streams),
mudflats, sandflats, wetlands, sloughs, prairie potholes, wet meadows, playa lakes, and natural
ponds are considered “Waters of the US.”
Wetlands – Areas that are inundated or saturated by surface or ground water at a frequency
and duration sufficient to support, and that under normal circumstances do support, a
prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands
generally include swamps, marshes, bogs, and similar areas.

Abbreviations, Acronyms, and Definitions of Terms

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Abbreviations, Acronyms, and Definitions of Terms

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ADOT Clean Water Act Section 404/401 Guidance Manual

INTRODUCTION
A. Manual Content, Format, and Update Process

Arizona Department of Environmental
Quality (ADEQ) issues Section 401
certification on non-tribal lands and US
Environmental Protection Agency
(EPA) or the tribe issues Section 401
certification on tribal lands.

1. Manual Content
This manual focuses on the Clean Water Act (CWA)
Section 404/401 process as it relates to Arizona
Department of Transportation (ADOT) activities. As
such, the manual discusses some documentation components and coordination guidelines
desired by ADOT, in an effort to implement CWA regulations as they apply to the agency.
Therefore, it is essential that ADOT activity proponents follow specific Section 404/401
guidelines and related standards established by ADOT.
2. Manual Format
The manual describes the Section 404 and 401 processes as a series of six consecutive steps.
At each step, users are prompted to evaluate their activity to determine regulatory applicability
and compliance requirements. Many regulatory excerpts, guidance documents, and forms are
included as Appendices to this manual and also found on ADOT Environmental Services and
Planning website
(http://www.azdot.gov/highways/EPG/EPG_Common/Services_Water_Quality.asp).
Online sources for the following documents are identified in this manual. Due to their size, hard
copies of these documents are not included in the manual.





1987 Corps of Engineers Wetlands Delineation Manual
Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West
Region (Version 2.0) (Corps 2008a)
Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Western
Mountains, Valleys, and Coast Region (Version 2.0) (Corps 2010a)
Corps and EPA Final Rule: Compensatory Mitigation for Losses of Aquatic Resources
(Corps 2008b)
*Please refer to the references section for the links to these documents.

3. Manual Update Process
ADOT will periodically update this manual to ensure consistency with regulatory and guidance
modifications and ADOT policy changes. However, it is the responsibility of the user to identify
and comply with current standards.
B. Overview of this Manual
The federal CWA requires a permit for all construction and maintenance activities that impact
jurisdictional waters of the United States (Waters of the US) through the discharge of dredge or
fill materials. The permit is issued by the US Army Corps of Engineers (Corps).
A Section 404 Permit
requires a Section 401
Water Certification

Introduction

Section 404 of the CWA regulates the discharge of dredged or fill
material into waters of the US. Section 404 is regulated by the Corps;
the EPA reviews regulated fill activities in conjunction with Corps.

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ADOT Clean Water Act Section 404/401 Guidance Manual

Section 401 of the CWA allows for state certification of the federal Section 404 permitted
activity. The Section 401 certification is necessary for all activities that may result in a discharge
to Waters of the US and ensures that an activity will not violate applicable water quality
standards.
ADOT activities that involve the discharge of dredged or fill material into Waters of the US
require compliance with Sections 404 and 401. This manual was developed to provide general
guidance on the preparation of jurisdictional delineation (JD) submittals, Nationwide Permit
(NWP) preconstruction notification (PCN) submittals, application for Individual Permit (IP), and
the associated decision processes. There are six basic steps to ADOT’s CWA Section 404/401
process.
The following table and flowchart provide a brief overview of the 404 permit application,
approval and compliance process. They also identify key terms and documentation pertaining to
each step. This process is covered in detail in Steps 1 through 6 of this manual.
Table 1.

Overview of the Necessary Steps to Complete the Section 401/404 Process

Step 1
(Page Step 1-1)
Step 2
(Page Step 2-1)

Step 3M
(Maintenance
Activities)
(Page Step 3M-1)

Step 3C
(Construction
Design/Planning)
(Page Step 3C-1)

Step 4
(Page Step 4-1)

Initial review of surface waters within the boundaries of the activity
 Identify types of drainages typically excluded from Corps’ 404 jurisdiction
Will the activity involve the discharge of dredged or fill material into surface
waters?
Have you confirmed the activity will not discharge into Waters of the US?
Is a JD of Waters of the US within the activity area necessary?
 If the activity will impact less than 1/10 acre of potential Waters of the US
and does not involve work in a wetland, a JD may not be needed.
 If there are potential biological or cultural impacts, a JD may be necessary.
Please refer to Step 3M-1.
Key components: aerial photograph and/or as-builts or activity design plans
Are Waters of the US present within the boundaries of the activity?
 Is a JD necessary?
 Complete a JD
Key components: aerial photograph, topographic map, ground photographs, text
and/or table describing activity area conditions, wetland field equipment (soil
auger, shovel, etc.), Corps Jurisdictional Delineation Form
Would the impact on Waters of the US be a temporary disturbance or a
permanent loss? Would there be discharges to Waters of the US from the
activity?
What quantity of impacts (permanent and temporary) on Waters of the US
will result from the activity and will the impacts be mitigated?
 Most commonly quantified in surface area/acreage, cubic yards, or linear
feet
What mitigation measures would be feasible and prudent?
 Mitigation includes avoidance and minimization of impacts, and may
include compensation when impacts can’t be avoided.

Introduction

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ADOT Clean Water Act Section 404/401 Guidance Manual

Table 1.
Step 5
(Page Step 5-1)

Step 6
(Page Step 6-1)

Introduction

Overview of the Necessary Steps to Complete the Section 401/404 Process
(Cont.)
Can the activity be authorized under a NWP or is an IP necessary?
NWP
What type of permit is needed?
 Commonly used NWPs for regulated ADOT activities
 Select from current NWPs
Is PCN necessary?
 No – Complete the Checklist for Section 404 NWP Limits and Conditions
Compliance and PCN Decision Process
 Yes – key components: topographic map, ENG Form 4345, plan sheets
depicting impacts, General Conditions Compliance, Work Order (for
maintenance activities), and mitigation plan if applicable. Additional
guidance can be found on the ADOT Environmental Services and Planning
website.
IP
 In-lieu fee mitigation
 Key components: topographic map, ENG Form 4345, plan sheets
depicting impacts, Section 404(b)(1) draft decision document, mitigation
plan (if applicable), copy of Section 401 Individual Certification application
Determine the certification under Section 401?
 Conditionally certified
 Individual certification
o Key components: vary depending on agency/tribe oversight

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ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart I-1: Overview

Step 3C and 3M
Step 2

Step 1
Could
Waters of
the US be
involved?

Construction Design/Planning
Activities(Step 3C) and Maintenance
Activities (Step 3M)

Will the activity
involve discharges
of dredged or fill
material into Waters
of the US?

Determine if JD is needed. This may
require preliminary calculation of
impacts
Conduct JD if required.

Project is awarded
and District
coordinates any
changes in scope
with OES/EPG* to
ensure 404 permit
conditions are met!

Step 6
Determine and
acquire Section
401 certification

Step 5

Step 4

Prepare 404 Permit
Application &
determine if PCN is
required
Submit application
to Corps

Quantify Impacts
& determine type
of 404 Permit
needed
(Nationwide or
Individual)

* EPG – Environmental Planning Group
OES – Office of Environmental Services

Important things to Remember!
 If determined in Step 1 or 2 that there is no activity in Waters of the US, document this in the
project file and you are done!
 If unsure about decisions for Steps 3 and 4, consult your EPG Planner or the OES Water Quality
Analyst.
 After Step 5, the Permit Application is reviewed by OES and the District concurrently. The District
signs the application and EPG sends application to the Corps.
 EPG gives the complete 404 package to Contracts and Specifications Section (C&S) for inclusion in
Bid Package Special Provisions.

C. Quick Facts
1. Regulation and Administration
The 1972 Federal Water Pollution Control Act was amended and became commonly known as
the CWA in 1977. The CWA "…established the basic structure for regulating discharges of
pollutants into the waters of the United States" (EPA 2013). The objective of the CWA “…is to
restore and maintain the chemical, physical, and biological integrity of the Nation’s waters" (33
U.S. Code 1251-1387).
Section 401 allows that the State provide certification that
any activity authorized under Section 404 is in compliance
with effluent limits, the state’s water quality standards, and
any other appropriate requirements of state law.

Section 404 of the CWA regulates
the discharge of fill material into
Waters of the US.

The Corps administers the day-to-day CWA Section 404 program, develops policy and
guidance, and enforces Section 404 provisions. The EPA develops and interprets environmental
criteria used in evaluating Section 404 permit applications, identifies activities that are exempt

Introduction

I-4

ADOT Cle
ean Water Ac
ct Section 404
4/401 Guidanc
ce Manual

from Sec
ction 404 re
egulation, an
nd assists th
he Corps in enforcing S
Section 404 provisions (EPA
2013).
In Arizon
na, the CWA
A Section 401
4
water quality
q
certiffication prog
gram is adm
ministered byy the
ADEQ, certain
c
federrally recogniized tribes, or EPA, dep
pending on the type an
nd location o
of the
activity.
mples of Re
egulated Arrizona Depa
artment of
2. Exam
Trans
sportation Activities
A
Common
n ADOT ac
ctivities that require Se
ection 404
and Sec
ction 401 compliance,
c
if conductted within
Waters of
o the US, inc
clude but are
e not limited
d to:

Most comm
mon dredged (eexcavated)
materials frrom ADOT activvities:
nd, soil, and grravel
 San
Most comm
mon fill materiaals from ADOT
activities:
 Soiil, concrete and asphalt, ripraap,
and
d steel

Cons
struction activities:
 Culvert
C
exten
nsions and in
nstallations
 New
N
bridge construction
c
 Bridge
B
scour countermea
asures and bridge
b
pier co
onstruction
 Roadway
R
and
d utility cross
sings
 Geotechnical
G
borings
Mainttenance actiivities:
 Channel
C
bank
k protection
 Wash
W
realignment and ch
hannelization
n
 Removal
R
of sediment buildup from culverts
(h
hydrovacuum
ming)
mples of Key Terms
3. Exam
Waters of the US commonly
y found in Arizona
include but
b are not lim
mited to:
 Washes
W
 Rivers
R
and sttreams
 Natural
N
ponds
s
 Wetlands
W
 Certain
C
canalls
s and Resp
ponsibilities
s and Coord
dination
4. Roles
Guidelines
Coordina
ation for all ADOT Ac
ctivities req
quiring a
Section 404
4
permit and/or Secttion 401 cerrtification
must comply with
h the AD
DOT Enviro
onmental
Commun
nication Polic
cy.

Close co
oordination between
b
EPG Planners//Consultantss and design personnel for constru
uction
design/planning acttivities, or between Districts,
D
EP
PG, and m
maintenance
e personne
el for
maintenance
m
activities, ensures S
Section 404 and
Communication with the
t Corps regarding
Section 401 calculation
ns and doccumentation
n are
Section 404 permittingg should begin
n at the
ac
ccurate. T
Typically, d
design perrsonnel pro
ovide
start of design.
im
mportant acttivity scope
e and impacct informatio
on to
EPG for inclu
usion in the S
Section 404 and Section
n 401
ntation. Main
ntenance pe
ersonnel wo
ork with theirr District to evaluate acctivity scope
e and
documen
impact in
nformation, with
w coordina
ation with EP
PG through a Work Orde
er process. For mainten
nance
Introductio
on

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ADOT Clean Water Act Section 404/401 Guidance Manual

projects, the District typically prepares Section 404 and Section 401 documentation and sends
to EPG for their review; EPG then submits to the Corps. The OES water quality analyst is
available to assist the EPG or District with the Section 404 and 401 processes and to provide
review of documents prior to submittal to the Corps.
Design personnel and District staff must be given the opportunity to review all Section 404 or
Section 401 conditions and mitigation measures applicable to an activity in order to identify
construction constraints as early as possible. Conditions and mitigation measures are ultimately
included in the environmental clearance and project specifications.
Flow Chart I-2: Construction Activities – Coordination Process

Design Staff

Project Team

District Staff

• Prepare activity
Scope
• Identify Impact
quantities

• Use information
from design
personnel and
Districts
• Complete
application in
coordination
with EPG

• Review
conditions and
mitigation
measures
• Identify
constraints and
constructability

OES and EPG
Staff
• Review Section
401 and 404
documentation
• Submit to
agencies for
approval

Throughout this manual, the following color codes apply:
Black color indicates information related to Construction/Design Planning activities.
Blue color indicates information related to Maintenance activities.
Yellow color indicates general information (e.g., ADOT or Corps‐related).

Flow Chart I-3: Maintenance Activities – Coordination Process

Maintenance
Personnel
•Identify activity
•Estimate impact
quantities

Introduction

District Staff
•Review
maintenance
activity and
identify the
appropriate
permit
•Coordinate with
EPG/OES

EPG and OES Staff
•Provide guidance
to District
•Identify constraints
• Coordinate/prepare
and submit Section
404 and 401
applications, as
needed

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ADOT Clean Water Act Section 404/401 Guidance Manual

5. Contact Information (As of 2/13)
Internal ADOT communication must comply with the ADOT Environmental Communication
Policy and the ADOT Memorandum of Agreement with the Corps. Refer to ADOT
Environmental Services and Planning website for submittal information.
(http://www.azdot.gov/highways/EPG/EPG_Common/Documents_Technical_Section_404_Proc
edures.asp)

Introduction

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Introduction

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ADOT Clean Water Act Section 404/401 Guidance Manual

STEP 1.

INITIAL REVIEW OF SURFACE WATERS WITHIN THE BOUNDARIES OF THE
ACTIVITY

The first step of the Section 404 compliance process is to perform a initial evaluation of the area
for the presence/absence of potential Waters of the US. A qualified professional will perform this
initial evaluation. EPG, in coordination with OES, is available to review the results of the initial
review to determine follow-up actions.
A. Definitions and Examples of Waters of the US
In general, Waters of the US is a term used to denote the
Corps’ jurisdictional limits under CWA Section 404. The full
definition of the term is provided in Title 33 Code of Federal
Regulations (CFR) Chapter II, Part 328—Definition of Waters
of the United States (available online:
http://www.wetlands.com/coe/coe328p0.htm).

Categories of Waters of the US:
 Territorial seas
 Tidal waters
 Non-tidal waters

Waters of the US may be categorized as tribal
waters (occurring on tribal lands), unique waters
(a.k.a.
Outstanding
Arizona Water
[OAW]
[classification designated by ADEQ]), impaired
waters or other waters (all non-tribal and non-unique
waters). Waters of the US can also include lakes
(wet or dry, including playa lakes), special aquatic
sites (including wetlands), mud and sandflats,
sloughs, and wet meadows. Because wetlands are
typically the special aquatic site potentially impacted by ADOT activities, the term “wetlands” is
referenced throughout this manual.
Arizona Waters of the US (tribal, unique and
other) include:
 Washes
 Rivers and streams
 Natural ponds
 Wetlands
 Certain canals

In Arizona, the Colorado River is a Water of the US and is considered a navigable water.
Projects involving navigable waters, such as the Colorado River, are also protected under
Section 10 of the Rivers and Harbors Act. Under Section 10, the Corps regulates any work in,
over, or under navigable Waters of the US. ADOT OES and EPG must be contacted for
guidance on any projects involving the Colorado River.
Features Generally Considered Non-jurisdictional

OES and EPG must be contacted for
guidance on any projects involving the
Colorado River.

Surface waters generally considered non-jurisdictional under CWA Section 404 include:
 Swales and erosional features such as gullies and small washes that typically are low
volume and have infrequent or short duration flow
 Ditches (including roadside ditches) excavated wholly in and draining only uplands that
do not carry a relatively permanent flow of water
The Corps and EPA have provided additional guidance on how they will identify jurisdictional
Waters of the US protected by Section 404 – Clean Water Act Jurisdiction Following the U.S.
Supreme Court’s Decision in Rapanos v. United States & Carabell v. United States, December
2008 (EPA and Corps 2008) (available online:
http://www.usace.army.mil/Portals/2/docs/civilworks/regulatory/cwa_guide/cwa_juris_2dec08.pd
f)

Preliminary Review of Surface Water

Step 1-1

ADOT Clean Water Act Section 404/401 Guidance Manual

B. Initial Review of Activity Area
An initial review of the activity area must be performed by a qualified professional to determine
the presence or absence of potential Waters of the US. This initial review should include the use
of aerial imagery or ground photographs and topographic mapping of the activity area if a site
visit is not performed. The review will evaluate what type of, if any, surface waters occur within
the area (e.g., streams, roadside ditches, potential wetlands).
Key Decisions for Step 1:
Flowchart 1-1: Step 1 Process Overview

Potential Waters of the US
•If determined present, move to
Step 2
•If not present, document in the
project file!

STEP 2 - Discharge of Dredged or Fill
Materials in Waters of the US
•Refer to Step 2 for actions to take
determining if activity will involve
discharges of fill or dredged
materials into Waters of the US

Additional Assistance Documents for Step 1:
 Title 33 CFR Chapter II, Part 328—Definition of Waters of the United States. Available
online: http://www.wetlands.com/coe/coe328p0.htm).
 Clean Water Act Jurisdiction Following the U.S. Supreme Court’s Decision in Rapanos v.
United States & Carabell v. United States, December 2008 (EPA and Corps 2008).
Available online:
http://www.usace.army.mil/Portals/2/docs/civilworks/regulatory/cwa_guide/cwa_juris_2d
ec08.pdf

Preliminary Review of Surface Water

Step 1-2

ADOT Cle
ean Water Ac
ct Section 404
4/401 Guidanc
ce Manual

STEP 2.

WILL THE
E ACTIVITY
Y INVOLVE THE
T
DISCH
HARGE OF D
DREDGED O
OR FILL
MATERIA
AL INTO WA
ATERS OF THE
T
US?

The seco
ond step is to
t determine
e whether the activity wi ll involve the
e discharge of dredged or fill
material into potentia
al Waters of the US, as addressed in 33 CFR 3
323 – Permiits for Discha
arges
of Dred
dged or Fill
F
Materialls into Wa
aters of th
he United States (a
available online:
http://ww
ww.ecfr.gov/c
cgi-bin/text-id
dx?c=ecfr&ttpl=/ecfrbrow
wse/Title33/3
33cfr323_ma
ain_02.tpl).
A. Defin
nitions and Examples
As define
ed in 33 CFR
R 323, within
n the context of Section 404:
 Dredged
D
matterial is defin
ned as “…m
material that is excavate
ed or dredge
ed from wate
ers of
th
he United States”
 Discharge
D
of dredged ma
aterial is deffined as “…a
any addition
n of dredged material intto the
waters
w
of the United States”
 Fill material is defined as
s “…any ma
aterial used for the prim
mary purpose
e of replacin
ng an
aquatic area with dry land
d or changin
ng the bottom
m elevation o
of…[a] wate
erbody”
 Discharge
D
of fill material is defined as “…the addition of filll material in
nto waters o
of the
United
U
States
s”
Co
ommon dredge
ed (excavated)) materials resu
ulting from AD
DOT activities aare:
 Sand, soil, and gravel
Co
ommon fill material discharged into Waterss of the US from ADOT activiities include:
 Soil, concrete and pavvement, riprap
p, steel, and grravel

ulated Activ
vities
B. Regu
ADOT ac
ctivities that commonly result
r
in the discharge o
of dredged and/or fill material into W
Waters
of the US
S include butt are not limited to:
Activities
 Construction
C
o Culvert ex
xtensions an
nd installatio
ons
cour counterm
measures
o Bridge sc
y and utility crossings
c
o Roadway
nical borings
s
o Geotechn
 Maintenance
M
Activities
o Channel bank
b
protecttion
o Erosion re
epair
o The remo
oval of sedim
ment buildup from culvert
rts (activity m
must have discharge of
material [i.e. hydrovac
cuuming])
portant to note
n
that ac
ctivity comp
ponents succh as
It is imp
access ro
outes, stagin
ng areas, an
nd stockpile areas may result
in discha
arges to Wa
aters of the US. These areas shou
uld be
identified
d during the design proc
cess if possible. 33 CFR
R 323
provides additional description
d
of
o specific ac
ctivities regu
ulated
under Se
ection 404, as
a well as ac
ctivities thatt are exemptt from
regulation.

Will the Activity Involve
e the Discharg
ge of Dredge of Fill Materia
al?

Acttivity componeents such as
acccess routes, staaging areas, an
nd
sto
ockpile areas sh
hould be
evaaluated for 404
4 impacts.

Ste
ep 2-1

ADOT Cle
ean Water Ac
ct Section 404
4/401 Guidanc
ce Manual

Key Dec
cisions for Step
S
2:
2
Step 2 Process O
Overview
Flow Chart 2-1:

Pottential Dischaarges
•Activity haas potential for
f discharge
of dredge or fill materials into
Waters off the US, go too Step 3M or
3C dependding on the tyype of activity
•If it is confirmed that there is no
a add to the
discharge, document and
project file!

SSTEP 3M or 33C‐ Jurisdictioonal
Delineation
•If theree is a potentiaal discharge,
move to the next seection for
detailedd activities asssociated with
Step 3M
M or 3C – Juriisdictional
Delineaation

Please
e note that Step
S
3 has be
een divided into two sub
b-sections. O
One sub-secction (Step 3M) is
dedica
ated for main
ntenance acttivies and the
e other sub--section (Ste
ep 3C) addre
esses constrruction
activite
es. Please ch
hoose the appropriate sub-section b
based on the
e type of acttivity associa
ated
with yo
our project.
nal Assistan
nce Docume
ents for Ste
ep 2:
Addition
 33 CFR 323 – Permits for
f Discharg
ges of Dredged or Fill Materials into Waters o
of the
United
U
States
s. Available online:
o
http
p://www.ecfrr.gov/cgi-bin//text-idx?c=e
ecfr&tpl=/ecffrbrowse/Tittle33/33cfr32
23_main_02
2.tpl)

Will the Activity Involve
e the Discharg
ge of Dredge of Fill Materia
al?

Ste
ep 2-2

ADOT Clean Water Act Section 404/401 Guidance Manual

STEP 3M (MAINTENANCE ACTIVITIES) - IS A JURISDICTIONAL DELINEATION OF
WATERS OF THE US WITHIN THE ACTIVITY AREA NECESSARY?

Prior to this step, an initial area review of the project area has been performed and it has been
determined that a surface water potentially considered jurisdictional under Section 404 occurs
within the activity area (Step 1). In addition, the activity is expected to result in discharges of
dredged or fill materials (Step 2).
Now the activity and anticipated impacts must be evaluated to determine if a JD is necessary.
Many ADOT maintenance activities can be performed within the conditions of Section 404
NWPs that do not require PCN, in which case jurisdiction is often assumed and a JD may not be
necessary. Also, many common ADOT maintenance activities can be performed in a manner
such that impacts to Waters of the US are within the limits of a NWP.
Flow Chart 3M-1: Is a Jurisdictional Delineation Required?

If an activity impacts
wetlands AND has the
potential to impact
biological or cultural
resources:

If the activity is
maintenance of an existing
structure AND anticipated
impacts to potential Waters
of the US are within NWP
impact limits and PCN
threshold:

A JD is needed and
Biological and
Cultural studies are
necessary

Activity must also
occur outside of a
wetland and no
impacts to biological
or cultural resources

See Step 3C
(Construction
Design/Planning)
for information on
performing JDs

No JD typically
needed

Work Order
Request for EPG
assistance

If you have permanent
impacts to a wetland,
you will need an IP.

Delineate the
ordinary high water
mark on aerial
imagery, topographic
maps, and as-builts
or activity design
plans. Include in
project files

If the activity involves a
new structure or new fill
AND anticipated impacts to
Waters of the US are
greater than NWP impact
limits and PCN threshold:

A JD is needed

See Step
3C(Construction
Design/Planning)
for detailed
information on
performing JDs

Work Order
Request for
assistance. Refer to
Flow Chart 5M-1 for
maintenance
activities

Proceed to Step 5 to
review NWP limits
and conditions to
determine appropriate
permit for your activity

Is a Jurisdictional Delineation Required? (Maintenance Activities)

Step 3M-1

ADOT Clean Water Act Section 404/401 Guidance Manual

If the activity is maintenance of an existing structure and
Please refer to Step 3C
anticipated impacts to Waters of the US are less than the impact
(Construction Design/
limits for a NWP (typically under a 1/10 acre) or meet the conditions
Planning) for a definition of
of the NWP for maintenance, instead of a JD, the ordinary high
ordinary high water mark
water mark (OHWM) of all washes must be identified and depicted
on aerial imagery and activity design plans or as-built drawings, if available. If not available, a
hand drawn line of the OHWM on a Google map (or similar) will suffice and should be included
in the project files. Several photographs representative
of the activity area should be taken as well to
ADOT maintenance activities typically
document the current activity area conditions.
resulting in impacts to Waters of the US
Topographic maps may also be helpful in evaluating
within NWP limits (typically less than 1/10
the activity area and confirming field observations.
acre):




Repair of existing culverts
Removal of debris from existing culverts
Replacement of storm-damaged
culverts or water intake structure
Temporary cofferdams or culverts to
perform maintenance activities

Once the OHWM has been evaluated and indicated on
pertinent documentation, Step 4 provides detailed
information on how to quantify impacts to Waters of
the US as a result of the activity and is needed to

ensure the activity is covered by the appropriate
Section 404 permit. After quantifying impacts, proceed
to Step 5 to review permitted activities and permit conditions to ensure the appropriate Section
404 permit is selected for the activity. If uncertain, please contact your District for assistance. If
District staff is unavailable, please consult EPG or OES.

Source: http://www.nws.usace.army.mil/Missions/CivilWorks/Regulatory/PermitGuidebook/CorpsPermit/LimitsofJurisdiction.aspx

For larger activity areas or more complex
maintenance activities, a JD will likely be
needed to determine potential Waters of
the US within the activity area

Activities that will result in the use of a NWP that requires
PCN will typically require a JD to be performed. Refer to
Step 5 for the Notification process.

Is a Jurisdictional Delineation Required? (Maintenance Activities)

Step 3M-2

ADOT Clean Water Act Section 404/401 Guidance Manual

boundaries. A JD is the process through which the boundaries and other physical
characteristics of a potential Water of the US are evaluated for the activity area.
Please refer to Step 3C (Construction Design/Planning) for a complete description of the
process to perform a JD.
Flow Chart 3M-2: Jurisdictional Delineation Process for Maintenance Activities
District
•See Flow Chart
3M-1 to
determine if JD
is needed
•Initiates Work
Order Request
for EPG to
perform a JD

EPG/Consultant
•Contacts the Corps
to determine if a JD
has been
previously
performed for the
project area and is
still valid
•Performs JD
•Submits JD to the
Corps

Corps
•Reviews and
approves JD
•May take 2 to 3
months for
approval

Aerial imagery and ground photographs must be representative of the
current site conditions. Document the reference source and date of all
imagery used to evaluate and depict the OHWM and other physical
characteristics of the activity area.

EPG/Consultant
•Receives
approval of JD
from Corps
•Step 4 provides
additional
information on
quantifying
impacts to
Waters of the US
•Continue to Step
5 to review
actions required
for Section 404
permitting

Key Documents for Step 3M (Maintenance Activities):
 33 CFR 328 – Definitions of Waters of United States. Available online:
http://www.nap.usace.army.mil/Portals/39/docs/regulatory/regs/33cfr328.pdf
 RGL 05-05 – Ordinary High Water Mark (OHWM) Identification. Available online:
http://www.usace.army.mil/Portals/2/docs/civilworks/RGLS/rgl05-05.pdf
Additional Assistance Documents for Step 3M (Maintenance Activities):
 Step 3C (Construction Design/Planning).

Is a Jurisdictional Delineation Required? (Maintenance Activities)

Step 3M-3

ADOT Clean Water Act Section 404/401 Guidance Manual

THIS PAGE INTENTIONALLY LEFT BLANK

Is a Jurisdictional Delineation Required? (Maintenance Activities)

Step 3M-4

ADOT Cle
ean Water Ac
ct Section 404
4/401 Guidanc
ce Manual

STEP 3C
C (CONSTR
RUCTION DESIGN/PLA
ANNING) - A
ARE WATER
RS OF THE US PRESEN
NT
WITHIN THE
T
BOUND
DARIES OF THE ACTIV
VITY?

Prior to this
t
step, a initial activity
y area revie
ew has been
n performed and it has been determ
mined
that a su
urface water potentially considered jurisdictiona
j
al under CW
WA Section 4
404 occurs w
within
the activity area (Ste
ep 1). In addition, the activity
a
will o
or most likely will result in discharg
ges of
dredged or fill materials to surfac
ce waters (S
Step 2).
e activity area
a
must be evaluate
ed for the
Now the
presence
e or absenc
ce of Wate
ers of the US
U through
completio
on of a JD.. General fe
eatures of waterbodies
w
that are typically co
onsidered Waters
W
of the
e US were
ed in Step 1. Before mov
ving forward
d with a JD,
discusse
coordinate with EPG to identify whether a JD has
already been
b
perform
med for the activity
a
area in question
and is stiill valid.
w Chart 3C-1:
Flow
Steps 1 and
a 2
Completted
•Initial review of
o
Waters
W
of the US
•A
Activity involves
discharge
d
of
dredge
d
or fill
materials
m
to
potential
p
Wate
ers
of
o the US.

If the activvity would resu
ult in less than
NWP impaact limits to Waaters of the USS
and would
d not result in iimpacts to
biological or cultural resources, delineaate
M without a JD
D submittal to tthe
the OHWM
Corps. Doccument the wo
ork and includee in
project filee and proceed to Step 5.

Is a Ju
urisdictiona
al Delineatio
on Required
d?
Step 3 - EPG
E
manage
es
JD field work
w
and
Submittals
•E
EPG and OES
S
r
review
the JD
p
package
and
f
finalize
•E
EPG submits
p
package
to Co
orps
•C
Corps approv es
p
package
in 2 to 3
m
months
•If no JD is req
quired,
m
move
to Stepss 4 & 5
to estimate im
mpacts
a determine
and
e the
a
appropriate
N WP

Are Wate
ers of the US
S present? (Construction
n Design/Pla
anning Activvities)

Ready for
f Step 4 Quantifyying Impacts
•On
nce JD approval
is received, movve
to Step 4

Step 3C-1

ADOT Clean Water Act Section 404/401 Guidance Manual

A. Jurisdictional Delineation
A jurisdictional delineation is the process through which the boundaries and other physical
characteristics of a potential Water of the US are evaluated for the activity area. The term
jurisdictional determination is used to describe the resulting report, ultimately submitted by
ADOT EPG to the Corps for their consideration and approval.
It is important to note that specific regulatory requirements apply to wetlands; therefore,
jurisdictional delineations of potential Waters of the US must clearly differentiate between nonwetland water features and wetlands.
1. Non-Wetland Water Features
An ordinary high water mark (OHWM) represents the Corps’ jurisdictional limit in a non-wetland
water feature. The Corps defines the OHWM at 33 CFR 328.3(e) as a line on the bank or shore
established by the fluctuations of water and indicated by the following physical characteristics
(refer to Page 3M-2 for illustration of OHWM):
 A clear, natural line imposed on the bank
 Shelving
 Changes in the character of soil
 Destruction of terrestrial vegetation
 The presence of litter and debris
The Corps has developed A Field Guide to the Identification of the Ordinary High Water Mark
(OHWM) in the Arid West Region of the Western United States (Corps 2008c) and RGL 05-05 –
Ordinary High Water Mark (OHWM) Identification (Corps 2005) to further assist in determining
the OHWM in the Arid West, including Arizona, and is available online:
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/JD/RegionalSupplements/Ordinary_Hi
gh_Watermark_Manual_Aug_2008.pdf.
The presence or absence of the following features must
Please refer to the Jurisdictional
also be evaluated when conducting a jurisdictional
Determination Forms and Checklists
delineation of a non-wetland water feature:
Appendix for data forms and checklists.
 Sediment deposits
 Water stains
 Exposed roots
 Width and depth (cross-sectional area) of the OHWM
Wetlands are defined by the Corps as:
“areas that are inundated or saturated by
surface or ground water at a frequency
and duration sufficient to support, and
that under normal circumstances do
support, a prevalence of vegetation
typically adapted for life in saturated soil
conditions. Wetlands generally include
swamps, marshes, bogs, and similar areas”
(Corps 1987).

2. Wetlands
The Corps’ jurisdictional limit of a wetland is considered
to be the wetland boundary, defined as “the point on the
ground at which a shift from wetlands to non-wetlands or
aquatic habitats occurs. These boundaries usually follow
contours” (Corps 1987). The Corps of Engineers
Wetlands Delineation Manual (1987) provides guidance
in evaluating the jurisdictional limits of wetlands and is
available online at:
http://el.erdc.usace.army.mil/elpubs/pdf/wlman87.pdf.

Are Waters of the US present? (Construction Design/Planning Activities)

Step 3C-2

ADOT Clean Water Act Section 404/401 Guidance Manual

JDs of wetlands must be prepared in accordance with the 1987 Corps manual and the
appropriate Regional Supplement. If a situation occurs in which guidance in the Regional
Supplement conflicts with that of the 1987 Manual, the 1987 Manual guidance supersedes. The
Regional Supplement is found here:
http://www.usace.army.mil/Portals/2/docs/civilworks/regulatory/reg_supp/trel08-28.pdf
The ADOT Environmental Services and Planning website provides a template for jurisdictional
delineations containing wetlands areas:
http://www.azdot.gov/highways/EPG/EPG_Common/Documents_Technical_Section_404_Proc
edures.asp.
B. Jurisdictional Determinations Submittals

Please refer to the JD Forms and
Checklists Appendix for jurisdictional
determination submittal guidance and
checklists.

ADOT has developed jurisdictional determination
submittal guidance and a submittal checklist for
preliminary and approved jurisdictional determinations in
order to facilitate the Corps Regulatory Division’s review and processing of jurisdictional
determinations. These lists were compiled in coordination with the Corps, are provided in the JD
Forms and Checklists Appendix, and can also be found on the ADOT Environmental Services
and Planning website for Section 404 Guidance website.
The Corps also provides guidelines for the processing of jurisdictional determinations and
describes the differences between preliminary and approved jurisdictional determinations in
Regulatory Guidance Letter (RGL) 08-02 – Jurisdictional Determinations (Corps 2008d).
It is important to identify the source and date of all documentation and references used to
prepare a jurisdictional determination, including aerial photographs, ground photographs, and
applicable mapping. In addition, the Corps and ADOT have
Aerial imagery and ground
developed labels to be used on preliminary and approved
photographs must be
jurisdictional determination aerial photographs for all ADOT
representative of the current
activities and are provided in the JD Forms and Checklists
project area conditions
Appendix.
Key Documents for Step 3C and Step 3M:



33 CFR 328 – Definitions of Waters of United States. Available online:
http://www.nap.usace.army.mil/Portals/39/docs/regulatory/regs/33cfr328.pdf)
RGL 05-05 – Ordinary High Water Mark (OHWM) Identification. Available online:
http://www.usace.army.mil/Portals/2/docs/civilworks/RGLS/rgl05-05.pdf)

Jurisdictional Determination Forms and Checklist Appendix
 Preliminary Jurisdictional Delineation Submittal Guidance (EPG 2013)
 Approved Jurisdictional Delineation Submittal Guidance (EPG 2013)
 Checklist for Submitting a Section 404 Jurisdictional Delineation (EPG 2013)
 Table 1 – Jurisdictional Determination Physical Characteristics & Other Information
(EPG 2013)
 Corps Preliminary Jurisdictional Determination Form
 Corps labels for Jurisdictional Determinations

Are Waters of the US present? (Construction Design/Planning Activities)

Step 3C-3

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 3C-2:

Construction
Design
• Project
Manager
provides
information
(i.e., design
plans, aerial
imagery, site
photographs),
to EPG
Planner/
Consultant

Jurisdictional Delineations for Construction Design/Planning
Activities
EPG/
Consultant

ADOT Corps
Liaison

• Determine,
with Corps, if
a JD has been
previously
performed and
is still valid
• Performs JD
• Works with
EPG and OES
to review JD
submittal
• Submits JD to
the ADOT
Corps liaison

• Processes JD
• May take 2 to
3 months for
approval
• Returns
approved JD
to EPG/
Consultant

EPG/
Consultant
• Receives
approval of JD
from ADOT
Corps liaison
• Continue to
Step 4 to
determine type
and quantity of
impacts to
Waters of the
US as a result
of the project
activity

Additional Assistance Documents for Step 3C (Construction Design/Planning):





Regulatory Guidance Letter (RGL 08-02) Jurisdictional Determinations (Corps 2008d).
Available online: http://www.usace.army.mil/Portals/2/docs/civilworks/RGLS/rgl08-02.pdf
Final Summary Report: Guidelines for Jurisdictional Determinations for Waters of the
United States in the Arid Southwest (Corps 2001). Available online:
http://www.azdot.gov/highways/EPG/EPG_Common/PDF/Technical/Section_404/JD_Gu
idelines_for_JD_Arid_Southwest.pdf
A Field Guide to the Identification of the Ordinary High Water Mark (OHWM) in the Arid
West Region of the Western United States (Corps 2008c). Available online:
o



1987 Corps of Engineers Wetlands Delineation Manual. Available online:
o



http://www.usace.army.mil/missions/civilworks/regulatoryprogramandpermits/reg_supp.aspx

National Wetlands Plants List. Available online:
o



http://www.usace.army.mil/missions/civilworks/regulatoryprogramandpermits/reg_supp.aspx

Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Western
Mountains, Valleys, and Coast Region (Version 2.0; Corps 2010a). Available online:
o



http://el.erdc.usace.army.mil/elpubs/pdf/wlman87.pdf

Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West
Region (Version 2.0; Corps 2008a). Available online:
o



http://www.spl.usace.army.mil/Portals/17/docs/regulatory/JD/RegionalSupplements/Ordinary_
High_Watermark_Manual_Aug_2008.pdf

http://rsgisias.crrel.usace.army.mil/apex/f?p=703:23:0::NO:::

ADOT Environmental Services and Planning Section 404 Procedures website:
o http://www.azdot.gov/highways/EPG/EPG_Common/Documents_Technical_Section_404_Pr
ocedures.asp

Are Waters of the US present? (Construction Design/Planning Activities)

Step 3C-4

ADOT Clean Water Act Section 404/401 Guidance Manual

STEP 4:

WHAT TYPE AND QUANTITY OF IMPACTS ON WATERS OF THE US WILL
RESULT FROM THE ACTIVITY AND HOW WILL IMPACTS BE MITIGATED?

In the fourth step the activity proponent (e.g. EPG, environmental consultant, design team,
District) will identify the anticipated type (permanent or temporary) and quantity of impacts on
Waters of the US resulting from the construction/planning or maintenance activity, and evaluate
how to avoid or minimize those impacts.
Flow Chart 4M-1: Step 4 for Maintenance Activities
Step 3 Complete

• JD is approved
by the Corps, or
• If no JD
performed,
OHWM is
shown on aerial
imagery and
as-builts/design
plans for
activity

Step 4 - Calculate
Impacts to Waters
of the US

• District calculates
impacts
• District identifies
minimization/
avoidance
techniques to reduce
impacts
• District, in
coordination with
EPG as needed,
approves impact
calculations and
identifies mitigation
measures

Ready for Step 5 Determining
Appropriate Section
404 Permit
• Involves coordination
with District (EPG,
OES, and the Corps,
as needed)

Things to keep in mind:
 Consult your District and EPG if
you feel this activity has
previously occurred under a
NWP 3a.
 Step 4 can often be omitted
for common maintenance
activities if activity is under the
NWP 3a.

Flow Chart 4C-1: Step 4 for Construction Design/Planning Projects
Step 3M or 3C
Complete

• JD is approved
by the Corps
• If no JD is
required, move
to Step 5 to
determine the
appropriate
NWP

Step 4 - Calculate
Impacts to Waters
of the US

• Design Team submits
impact information to
EPG
Planner/Consultant for
review and calculation
of impact
• Design Team/EPG
identifies
minimization/avoidance
techniques to reduce
impacts
• EPG, in coordination
with OES, as needed,
approves impact
calculations and
identifies mitigation
measures

What are the Quantity of Impacts and How will they be Mitigated?

Ready for Step 5 Determining
Appropriate Section
404 Permit
• Involves
coordination with
EPG, OES, and
the ADOT Corps
liaison, if needed

Step 4-1

ADOT Clean Water Act Section 404/401 Guidance Manual

A. Definitions and Examples
In general, anticipated project activity impacts on
Waters of the US can be categorized as permanent
(long-term) losses or temporary (short-term)
disturbances. The Corps defines the permanent loss
of Waters of the US as “Waters of the US that are
permanently adversely affected by filling, flooding,
excavation, or drainage because of the regulated
activity.
Permanent adverse effects include
permanent discharges of dredged or fill material that
change an aquatic area to dry land, increase the
bottom elevation
Temporary disturbances of Waters of
of a waterbody, or
the US may result from:
change the use of
 Temporary stream diversion to
a
waterbody”
accommodate construction or
(Corps 2012a).

Permanent losses of Waters of the US may
result from:
 Placement of concrete to extend a
culvert
 Channelization of a wash to reduce
roadway flooding
 Placement of pavement to construct
an at-grade roadway crossing
 Placement of riprap
 Moving material within a channel (for
example, utilization of a backhoe to
move material within a channel) for
maintenance purposes
 Placement of bridge piers

Temporary disturbances of Waters of the US are typically
attributes to project activity discharges that will be mitigated
such that pre-construction conditions, including contours
and elevations, and/or uses are restored.




maintenance activities
Installation and removal of a
temporary culvert as part of a
construction detour
Construction of a temporary
construction access road

B. Methodology – Quantifying Impacts
The type and quantity of anticipated project activity impacts on Waters of the US are identified
through review of design plans (Construction Design/Planning) or maintenance activity plans or
as-builts (Maintenance). If maintenance activity plans or as-builts are unavailable for the activity,
activity impacts must be documented in detail in coordination with the District and EPG. Close
coordination between the Design Team and EPG /Consultant (Construction Design/Planning) or
between the Maintenance Team, District, and EPG (Maintenance) is needed to ensure accurate
and realistic quantification of impacts.
Project Activities – Quantifying Permanent and Temporary Impacts and Discharges
Project Activities within Waters of
the US Considered Impacts

Quantifing Temporary
Disturbances and Permanent
Losses includes

Discharges of Dredged and fill
Materials

• Placement of concrete or pavement
• Channelization of a wash
• Access routes
• Staging and/or Stockpile areas
• Surface area/acreage
• Linear feet
• See Figure 1, Impact Area Calculations Example
• Disturbance within a wash for more than 6 months
does not necessarily constitute a permanent loss Contact EPG or OES

• Quantified in cubic yards
• Quantities are required for PCN (see Step 5)

What are the Quantity of Impacts and How will they be Mitigated?

Step 4-2

Impacts Calculation Example Figure

Project area

Pier 29

Pier 28

Pier 27

Pier 26

Pier 25

Pier 24

Pier 23

Pier 22

Pier 21

Æ
?
Abutment #2

Acces s road
Abandoned piers
to be removed

"
)

Stock-pile
area

1

!

Staging area

-111.37985°, 33.05440°

Aerial Date: ca. 2010

Key
Wash number

Proposed concrete scour apron

Flow direction

Proposed shotcrete slope

Existing pier

Staging/stock-pile area

Abandoned pier to be removed

Waters of the U.S. (Waters)

Access road

Temporary disturbance to Waters
Permanent impacts of Waters

Section 404 Individual Permit
SR79 Gila River Bridge
079 PN 135 H7891 01C
5

Æ
?

Pinal
County

Source: USGS 7.5' Quadrangle
Florence Ariz. (1981)
Township 4S, Range 9E,
Section 25
UTM 1983 Zone 12N
464,609mE, 3,657,199mN
Federal Project No. 079-A(206)A

Feet
0
1" = 100'

January 2012
100

°

)
#

Figure 5

ADOT Cle
ean Water Ac
ct Section 404
4/401 Guidanc
ce Manual

C. Mitig
gation Meas
sures
Mitigation
n measures are intende
ed to ensure
e that adverrse
project activity
a
effec
cts to the aquatic env
vironment a
are
avoided or minimal (Corps 2012a). Mitigattion measurres
ed prior to, during, and/or followi ng
can be implemente
constructtion, depend
ding on the measure.
m
Identiffying mitigatio
on measures and quantifyingg
impactts:
 Con
nstruction Dessign/Planning ‐ Typically the
e
EPG
G Planner/ Con
nsultant works with the Dessign
Teaam.
 Maintenance activities ‐ Typicaally the Districct
t
a Worrk Order
worrks with EPG through
Req
quest.

Mitigation measuress are actions
o avoid,
taken iin sequence to
minimize, or compensate for
permanent losses orr temporary
disturb
bances of Watters of the US..
ple mitigation measures:
Examp
 Avvoid – siting th
he activity awaay
fro
om Waters of the US
 Minimize – redu
ucing the size of
the activity
 Co
ompensate – In‐Lieu fee
paayment

The fo
ollowing are project speciific exampless of mitigation measures:
 Avoidance
A
– Keeping roadw
way bank stab
bilization and equipment o
out of Waterss of the US
 Minimize
M
– Mo
odify slope stabilization measures to reeduce impactss to Waters o
of the US
 Compensation
n – Paying $10
0,000 in in‐lie
eu fee compe nsation for im
mpacts to wettland from
ulvert extension
cu

Flo
ow Chart 4-1
1: Key Deciision for Ste
ep 4
Determine type and
quantityy of impacts
to Wate
ers of the US
•Temporary
disturbances
osses
•Permanent lo
•Discharges

Evaluate
e mitigation
measure
es

•Avoidance
•
•Minimization
•
n
•Compensate,
•
, as
appropriate, ffor
impacts that can’t
be avoided

What are
e the Quantitty of Impacts
s and How will
w they be M
Mitigated?

Ready ffor Step 5 ‐
Section
n 404 Permits

•Refer to thee next
section for
detailed acttions to
take in Step
p5

Ste
ep 4-4

ADOT Clean Water Act Section 404/401 Guidance Manual

Key Documents for Step 4:
 Construction Design/Planning activities:
o Design plans
o JD approved by the Corps
 Maintenance activities:
o Maintenance activity plans or as-builts
o Delineated ordinary high water mark when jurisdiction is assumed
o JD (if one was performed for larger or more complex maintenance activities)
Additional Assistance Documents for Step 4:
 Pre-Construction Notification – Nationwide/Individual Permit Submittal Guidance (404
Permit and PCN Templates, Checklists, and Instructions Appendix)

What are the Quantity of Impacts and How will they be Mitigated?

Step 4-5

ADOT Clean Water Act Section 404/401 Guidance Manual

THIS PAGE INTENTIONALLY LEFT BLANK

What are the Quantity of Impacts and How will they be Mitigated?

Step 4-6

ADOT Clean Water Act Section 404/401 Guidance Manual

STEP 5 : WHAT TYPE OF SECTION 404 PERMIT IS NECESSARY FOR THE ACTIVITY?
The fifth step is to identify the type of Section 404 permit needed for the activity, determine if a
notification or permit application is needed, and prepare the necessary documentation as
identified. The two types of Section 404 permits are the NWP and IP. The NWP is intended to
authorize activities with minimal impacts to Waters of the US and are designed to regulate such
activities with little, if any, delay or paperwork. IPs are intended to authorize activities with
greater than minimal impacts to Waters of the US. IPs are necessary if an activity and/or
associated impacts does not qualify for any NWP.
Construction Design/Planning Activities Permit Determination Process
Construction design/planning activities can require a number of different types of Section 404
permits and documentation, depending on the scope of the activity. The following flowchart
identifies the process and responsible parties involved with determining the correct Section 404
permit and documentation for ADOT construction design/planning activities.
Flow Chart 5C-1: Step 5 for Construction Design/Planning Activities.

Step 4 Complete

• Quantified
temporary and
permanent impacts
and discharges to
Waters of the US
• Identified mitigation
measures to avoid,
minimize or
compensate for
impacts to Waters
of the US

Step 5 –
EPG/Consultant
determines if PCN or IP
application is required
and prepares 404
permit application
• EPG reviews project
activity scope, JD,
and impacts
calculations
• EPG determines
appropriate 404
permit for the activity
• EPG ensures 404
permit conditions
and General and
Regional Conditions
are met
• Coordinate help and
review with District
and OES Water
Quality Analyst, as
needed

Ready for Step 6 Section 401
Certification

• Section 401
certification
requirements vary
by Section 404
permit

Things to remember for construction design/planning activities before proceeding through Step 5:
 Has the Corps approved the JD?
 Are the impacts temporary and/or permanent discharges into Waters of the US?
 Have the impacts to Waters of the US been quantified?

Which Section 404 Permit is Required?

Step 5-1

ADOT Clean Water Act Section 404/401 Guidance Manual

Maintenance Activities Permit Determination Process
Maintenance activities typically occur under NWPs 3a and 14, depending on the scope of the
activity. The following flow chart identifies the standard process and responsible parties involved
with determining the correct Section 404 permit and documentation for ADOT maintenance
activities.
Flow Chart 5M-1: Step 5 for Maintenance Activities

Step 4 Completed

•Quantified
temporary and
permanent
impacts and
discharges to
Waters of the US
•Identified
mitigation
measures to
avoid or
minimize
impacts to
Waters of the US

Step 5 – District provides
information to EPG for
permit documentation
and PCN preparation.
•EPG reviews project
activity scope, Waters of
the US (assumed or
delineated) , and impacts
calculations
•EPG determines
appropriate 404 permit
for the activity
•EPG ensures 404 permit
conditions and General
and Regional Conditions
are met
•EPG sends to OES for
review of 404 Permit
application
•Use Flow Chart 3M-1 to
determine if PCN is
needed

Ready for Step 6 Section 401
Certification
•Section 401
certification
requirements
vary by Section
404 permit

Things to Remember for Maintenance Activities:
 Are the impacts to Waters of the US temporary, permanent and/or discharges?
 Have the impacts to Waters of the US been quantified?
 For the majority of ADOT maintenance activities, NWP 3a or 14 is used.
 A decision chart for commonly used NWPs is provided later in this section.
 Coordinate with the District, and EPG as needed, to ensure that a given NWP is acceptable.

A. Nationwide Permits
The Corps has developed and periodically updates (approximately
every five years) a set of NWPs intended to authorize activities with
minimal adverse environmental impacts and are designed to regulate
such activities with little, if any, delay or paperwork. As of March 2012,
a total of 50 NWPs are available for use (Corps 2012a). Each NWP is
classified by a permit number and a type of activity within Waters of
Which Section 404 Permit is Required?

NWPs are intended to
authorize activities with
minimal adverse
environmental impacts!

Step 5-2

ADOT Clean Water Act Section 404/401 Guidance Manual

the US (Corps 2012a and 2012b). An activity may qualify for one or more NWPs. In some
cases, as activity can be covered without notifying the Corps, provided the decision is included
in the project files.
1. Nationwide Permit Use Criteria and Impact Limitations
The Corps has established use criteria and impact limitations for each NWP.
“The acreage of loss of Waters of the US is a threshold measurement of the impact to
jurisdictional waters for determining whether an activity may qualify for a [NWP];…
Waters of the US temporarily filled, flooded, excavated, or drained, but restored to preconstruction contours and elevations after construction are not included in the
measurement of loss of waters of the United States” (Corps 2012a).

Permit
Use
Criteria

Detailed
descriptions of
activities covered
by the permit

Permit
Impact
Limitations

Threshold limits
for permanent
losses of Waters of
the US (e.g., 1/10
acre, 300 linear
feet)
Temporary
disturbances to
Waters of the US
are excluded

Maintenance Activities:
 Common ADOT maintenance activities in Waters of the US often qualify for either NWP 3 or 14.
 Please see Flow Chart 5M-2 on the following page for a list of common maintenance activities under each
of these two permits.
 The District should coordinate with EPG for assistance through a Work Order Request.
Construction Design/Planning Activities:
 Common activities may be regulated under NWP 14 or may require the use of a different NWP.
 Coordinate with the EPG / Consultant or OES for help in determining the appropriate permit for the
activity.

It is important to evaluate the activity against all use criteria, impact limitations, permit
application requirements, and conditions associated with a given NWP to confirm applicability.
Temporary disturbances of Waters of the US are provided to the Corps in permit applications (if
a PCN or IP is required), but are not factored into NWP impact limitations.
The Nationwide Permits Appendix includes a table (A Summary of 2012 Nationwide Permits
[Corps 2012b]) developed by the Corps listing key use criteria and impact limitations for each
NWP.

Which Section 404 Permit is Required?

Step 5-3

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 5M-2: Nationwide Permits for Common ADOT Maintenance Activities

There are 50 NWPs issued by the Corps. Commonly
used NWPs for ADOT Maintenance activities include
the NWP 3a (Maintenance) and NWP 14 (Linear
Transportation Projects) Permits.

Maintenance PM
coordinates with District to
ensure a commonly used
NWP is acceptable.

District reviews project to
verify appropriate NWP
selected

Coordinate with EPG or
OES as needed to verify
permit selection

Some activities covered by a
NWP 3a :
• Repair of existing culverts
• Removal of debris from
existing culverts
• Replacement of stormdamaged culverts or water
intake structure
• Temporary cofferdams or
culverts to perform
maintenance activities
Some activities covered by a
NWP 14 :
• Stream channel modification
or bank stabilization to protect
linear transportation projects
• Culvert extensions or new
installation

When considering a NWP, be aware of
the acreage thresholds and General and
Regional conditions that trigger the need
for a PCN or IP.

2. Conditions
Nationwide Permit General Conditions
The Corps has developed and periodically updates (approximately every five years) a set of
NWP General Conditions, including General Conditions 18, 20, and 21 (refer to chart of page
Step 5-5). As of March 2012, a total of 31 General Conditions are in effect (Corps 2012a).
Nationwide Permit Regional Conditions
Like the NWP general conditions, the Corps periodically reviews and develops a set of NWP
Regional Conditions. As of March 2012, six of the regional conditions in effect apply to activities
in Arizona (Corps 2012a). NWPs 3, 7, 12-15, 17-19, 21, 23, 25, 29, 35, 36, 39-46, or 48-52
cannot be used to authorize structures, work, and/or the discharge of dredged or fill material
that would result in the "loss" of wetlands, mudflats, vegetated shallows or riffle and pool
complexes as defined at 40 CFR Part 230.40-45.
Section 401 Certification Requirements
As detailed in Step 6, Section 401 certification requirements
vary by NWP. Each NWP specifies Section 401 certification
status (certified, conditional, or individual) based on the
types of Waters of the US (tribal, unique, impaired, or other)
to be impacted by an activity.
Which Section 404 Permit is Required?

For a given NWP, activities must be
evaluated for compliance with ALL
applicable NWP General and
Regional conditions and Section 401
certification requirements.

Step 5-4

ADOT Clean Water Act Section 404/401 Guidance Manual

Nationwide Permit General Conditions Requiring Pre-Construction Notification
If the activity has the potential to affect federally listed species
or designated critical habitat (General Condition 18).
•Construction Design/Planning Activities: EPG Planner/Consultant must be
contacted to provide a review of federally listed species and critical habitat.
•Maintenance Activities: District coordinates with EPG through the Work Order
process for a review of federally listed species and critical habitat.

If the activity has the potential to affect historical properties
eligible for listing on the National Register of Historic Places
(General Conditions 20 and 21).
•The EPG/Consultant, in coordination with the ADOT Project Manager, must
coordinate with the ADOT Historic Preservation Team.
•Only the ADOT Historic Preservation Team can determine the "potential to affect
historical properties."

All Section 404 Permits are required to adhere with the General and Regional Conditions.

3. Notification Requirements
All activities resulting in discharge of dredged or fill material into Waters of the US require
compliance with Section 404 and Section 401 of CWA. However, some activities that qualify for
a NWP do not require PCN to the Corps based on the permit conditions.
PCN requirements are indicated by specific conditions as
identified in each NWP, General Conditions, and
Regional Conditions.

In Arizona, Regional Conditions require
notification for all activities that would
discharge to a perennial watercourse or
waterbody.

For example, the specific limits for NWP 14 – Linear
An IP is required for activities that result
Transportation Projects require notification to the Corps
in impacts to a special aquatic site (e.g.,
if:
wetlands).
 The discharge of dredged or fill material causes
the permanent loss of greater than 1/10 acre of Waters of the US.
 The activity would involve the discharge of dredged or fill material in special aquatic site,
including wetlands.
 The activity would involve the discharge of dredged or fill material into a perennial wash.
Another example would be the permit conditions for “NWP 3a – Maintenance” do not require
notification to the Corps. However, the activity must be checked for compliance with all General
and Regional Conditions because some General and Regional Conditions require PCN.
If PCN is required, a NWP PCN submittal is prepared in accordance with General Condition #31 (see Special Public
Notice – Nationwide Permits for Arizona [Corps 2012a]).

Which Section 404 Permit is Required?

Step 5-5

ADOT Clean Water Act Section 404/401 Guidance Manual

4. ADOT Internal Documentation Process for Compliance with Permit Limits, Conditions, and
PCN Decision
ADOT has developed a Checklist for Section 404 Nationwide Permit Limits and Conditions
Compliance and Pre-Construction Notification Decision Process to document the decision
process undertaken to determine whether a given activity complies with certain General and
Regional Conditions and if it will require PCN. This checklist must be completed and included in
project files and is provided in the 404 Permit and Pre-Construction Notification Templates,
Checklists, and Instructions Appendix.
Flow Chart 5-1: ADOT Permit Limits and Conditions Compliance and PCN
Decision Documentation

How do I know if I need a
PCN?

Do the activity and
impacts to Waters of the
US (permanent and
temporary) meet the
conditions of a NWP?

Are discharges to
wetlands or perennial
waterbodies?

No

Look at another
NWP or IP.

If yes, you need a PCN or IP.
If no, continue to the next step
of this process!

No PCN required. Retain in
project documents:
•PCN decision checklist
•Copy of permit
•Delineated aerial

General Condition 18:
Federal threatened and
endangered
species/critical habitat
determination?
General Condition 20
and 21:

If yes, a PCN is
required.

Which Section 404 Permit is Required?

Section 106 National
Historic Preservation Act
concurrence?

Step 5-6

ADOT Clean Water Act Section 404/401 Guidance Manual

If the activity does not require a PCN:


You must complete a Checklist for Section 404 Nationwide Permit Limits and Conditions Compliance and
Pre-Construction Notification Decision Process and include in project files.



You must continue to Step 6 to evaluate for Section 401 certification compliance.



Following completion of Step 6, the completed and approved Checklist for Section 404 NWP Notification
Decision Process should be attached to a copy of the selected NWP and final JD (or delineated ordinary
high water mark if jurisdiction was assumed).
o

This becomes the complete Section 404 Permit Package.

If the activity does require a PCN, you must continue reading for the requirements of a Pre-Construction
Notification submittal.

5. Components of a Nationwide Permit Pre-construction Notification Submittal
If an activity requires Corps Notification, a PCN must be submitted to the Corps. EPG has
provided Pre-Construction Notification – Nationwide Permit/Individual Permit Submittal
Guidance and a Checklist for Submitting a Section 404 Pre-Construction Notification that
provides a complete list of all components that must be included in PCN submittals for ADOT
activities. These documents were developed in accordance with NWP General Condition 31 and
in coordination with the Corps and are provided in the 404 Permit and Pre-Construction
Notification Templates, Checklists, and Instructions Appendix.
Flow Chart 5-2: Pre-Construction Notification Process
EPG
•Review
Checklist for
Submitting a
Section 404
PCN
•Prepares PCN
submittal
package
•Sends to OES
and District

OES
•Final Review
of PCN
submittal
package
•Returns to
EPG

District or their
designee
•Receives PCN
submittal
package from
EPG
•Reviews and
signs submittal
package and
sends to EPG
•EPG submits
submittal
package to
Corps

Things you should know!
 For detailed procedures and forms (templates) for
submittals, refer to the Environmental Services and
Planning Section 404 website:
http://www.azdot.gov/highways/EPG/EPG_Common/
Documents_Technical_Section_404_Procedures.asp
 The Corps has 60 days to approve a NWP submittal
and 120 days to approve a IP submittal

Which Section 404 Permit is Required?

Corps
•Reviews PCN
submittal package
for approval
•Corps has 15 days
for review and
notify EPG if
approved
•Returns approved
package to EPG
•Note:
Construction/
Development
projects are
coordinated and
permitted through
the ADOT Corps
liaison.
Maintenance
projects are not
coordinated
through the
liaison.

Step 5-7

ADOT Clean Water Act Section 404/401 Guidance Manual

As noted on the checklist, key components of a PCN submittal include (Refer to the Checklist
for Submitting a Section 404 Notification in the 404 Permit and Pre-Construction Notification
Templates, Checklists, and Instructions Appendix for the complete list of all necessary PCN
submittal components):
 Application for Department of the Army Permit (ENG Form 4345 [Corps 2012 c];
provided in Nationwide Permits Appendix)
 Table 1 – Wash Summary (EPG; provided in Jurisdictional Delineation Forms and
Checklists Appendix)
 General Conditions compliance
Table 1 – Wash Summary is coded to identify information to be included in NWP PCN
submittals, IP applications, and information necessary for jurisdictional delineations. The activity
proponent should modify Table 1 as appropriate when preparing a PCN submittal.
A completed Checklist for Submitting a Section 404 Pre-Construction Notification must be
provided to EPG with the PCN submittal.
Step-by-step instructions developed by the Corps for completing ENG Form 4345 (Corps 2012d) are provided in
the 404 Permit and Pre-Construction Notification Templates, Checklists, and Instructions Appendix.
All mitigation measures and conditions (Block 23 of ENG Form 4345) applicable to an activity must be reviewed
by Design personnel and District staff and will be included in the environmental clearance and/or project
specifications, as appropriate.
It is important to note that Block 25 of ENG Form 4345, pertaining to addresses of adjoining property owners
and lessees, is not required for NWP PCN submittals; this information is only required for IP applications. For
NWP PCN submittals, this block should state “not applicable.”

Note: For maintenance activities the District coordinates with EPG
through the Work Order process!

Which Section 404 Permit is Required?

Step 5-8

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 5-3: Key Actions for Nationwide Permits
Determine the appropriate NWP
• For Construction
Design/Planning
projects, the project
team coordinates with
EPG
• For Maintenance
projects, coordination
should follow the
established Work Order
process

If No PCN required:

Complete and file the Checklist
for Section 404 Nationwide
Permit Limits and Conditions
Compliance and PreConstruction Notification
Decision Process
• May include coordination
with EPG, EPG Biologist,
and HPT for
determination of
effect/concurrence

If a PCN is required:

Continue to Step 6 to
evaluate Section 401
Certification
Requirements

Complete the Checklist
for Submitting a Section
404 Pre-Construction
Notification
EPG/Consultant
prepares the PCN
submittal

Continue to Step 6

Key Documents for Nationwide Permits:
Special Public Notice – Nationwide Permits for Arizona (Corps 2012a). Available online:
http://www.azdeq.gov/environ/water/permits/download/nwp.pdf
Nationwide Permits Appendix:
 A Summary of 2012 Nationwide Permits (Corps 2012b)
404 Permit and PCN Templates, Checklists, and Instructions Appendix:
 Checklist for Section 404 Nationwide Permit Limits and Conditions Compliance and PreConstruction Notification Decision Process (EPG)
 Checklist for Submitting a Section 404 Pre-Construction Notification (PCN) (EPG)
 Pre-Construction Notification – NWP/IP Submittal Guidance (EPG)
 Application for Department of the Army Permit ENG Form 4345 (Corps 2012c)
 Instructions for Preparing a Department of the Army Permit Application (Corps 2012d)
 Pre-Construction Notification/ Individual Permit Cover Letter Template (EPG)
Which Section 404 Permit is Required?

Step 5-9

ADOT Clean Water Act Section 404/401 Guidance Manual

B. Individual Permits
If an activity will result in the discharge of dredged or fill material into
Waters of the US, but does not qualify for any NWP (i.e., would not
comply with one or more criteria/limitations or conditions), an IP
application shall be prepared. IPs are intended to authorize activities with
greater than minimal adverse environmental impacts.

All IPs require
completion of a
permit application.

IPs for ADOT activities must also follow tasks and guidelines set forth by the following
Memorandum of Agreement (MOA) and Section 404(b)(1) Guidelines. These tasks and
guidelines in part define the components of an IP application for ADOT activities.
1. Federal Highway Administration Funded Transportation Activities
If a transportation activity will use Federal Highway Administration (FHWA) funding (in whole or
part) and requires an IP, the Section 404 of the Clean Water Act (NEPA/404 MOA) must be
implemented (FHWA 2012). The intent of the NEPA/404 MOA is to integrate NEPA and Section
404.
The NEPA/404 MOA identifies specific tasks for applicable agencies to ensure integration of the
two processes. The NEPA/404 MOA also includes a list of jurisdictional delineation components
and a list of IP application components. These components are also listed in EPG’s
Jurisdictional Delineation Submittal Guidance (Jurisdictional Delineation Forms and Checklists
Appendix) and Pre-Construction Notification – Nationwide Permit/Individual Permit Submittal
Guidance (provided in 404 Permit and Pre-Construction Notification Templates, Checklists, and
Instructions Appendix). The NEPA/404 MOA also includes a copy of a Notification of
Commencement and Completion of Work form, typically provided to the ADOT activity
proponent by EPG.
2. Section 404(b)(1) Guidelines
The Section 404(b)(1) Guidelines for Specification of Disposal Sites for Dredged or Fill Material
(40 CFR 230; Corps 2010b) were developed by the Corps and EPA to assist in implementation
of the CWA, and state that
“…dredged or fill material should not be discharged into the aquatic ecosystem, unless it
can be demonstrated that such a discharge will not have an unacceptable adverse
impact either individually or in combination with known and/or probably impacts of other
activities affecting the ecosystems of concern” (40 CFR 230).
The Section 404(b)(1) guidelines (provided in the Regulations Appendix) outline the Corps
review standards for IP applications, above and beyond NWP review standards.
3. Components of an Individual Permit Application
Components Common to Nationwide Preconstruction Notification Submittals and Individual
Permit Applications:
IP applications for ADOT activities must include all pertinent components identified in the EPG
Pre-Construction Notification – NWP/IP Submittal Guidance. The NWP/IP Submittal Guidance is
provided in the 404 Permit and PCN Templates, Checklists, and Instructions Appendix.

Which Section 404 Permit is Required?

Step 5-10

ADOT Clean Water Act Section 404/401 Guidance Manual

Additional Individual Permit Application Components – Draft Decision Document:
Before approving an IP application, the Corps must demonstrate that the activity will comply
with all provisions of the Section 404(b)(1) guidelines, as well as NEPA and other applicable
federal laws and policies. To demonstrate compliance with the Section 404(b)(1) guidelines, as
well as NEPA and other applicable federal laws and policies, a Decision Document is prepared
as part of the IP application. The Decision Document constitutes the following:













Environmental Assessment
The Corps cannot authorize an activity if a
o Prepared to meet NEPA requirements and
practicable alternative would result in less
demonstrate compliance with other
adverse impacts on the aquatic
applicable federal regulations.
ecosystem, provided that the alternative
would not result in other significant
NEPA/404 MOA Compliance
adverse environmental consequences.
o For federally funded transportation activities,
documentation of compliance with the
NEPA/404 MOA must be provided.
Review and Compliance Determination
o Demonstrates compliance with all provisions of the Section 404(b)(1) guidelines.
Alternatives Analysis
o Describes the activity sites and designs considered during the planning process, and
explains why the activity area and design is the least environmentally damaging and
practicable means of satisfying the purpose of the activity.
Mitigation Plan (as applicable)
o Describes all mitigation measures to avoid or minimize impacts to Waters of the US.
Statement of Findings
o Summarizes compliance with other applicable federal regulations and results of
public notice and comment process.
Public Interest Review
o Demonstrates that the activity is not contrary to the public interest. It addresses the
public and private need for the activity, anticipated impacts on public and private
uses of the activity area, etc.
Finding of No Significant Impact
o Demonstrates that an Environmental Impact Statement is not necessary for the
activity.

For most ADOT activities, a draft Decision Document is
All mitigation measures and conditions
prepared by the ADOT EPG Planner/Consultant using the
applicable to an activity must be
Corps’ preferred format (IP Section 404(b)(1) Template
reviewed by Design personnel and
[EPG], provided in the 404 Permit and Pre-Construction
District staff and will be included in the
Notification Templates, Checklists, and Instructions
environmental clearance and/or project
Appendix) and encompasses the components listed
specifications as appropriate.
above. The document is revised and finalized by the
Corps. During review, the Corps will provide input on
proposed mitigation measures, which may include compensatory mitigation (in-lieu fees; see
Step 5.C. for additional information on in-lieu fee mitigation).
A completed Checklist for Submitting a Section 404 Pre-Construction Notification must be
provided to EPG with the IP application (see 404 Permit and PCN Templates, Checklists, and
Instructions Appendix). EPG staff use the checklist when reviewing IP applications. The IP
application is ultimately forwarded by EPG to the Corps for their consideration and approval.
Which Section 404 Permit is Required?

Step 5-11

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 5-4: Individual Permit Submittal Process
EPG Planner/Consultant

Corps
•The Corps reviews and
approves (approximately 2-3
months) the permit application
•The Corps determines the
appropriate mitigation (if
applicable) for impacts 2-3
months after the application is
complete. Typically in-lieu fee is
the preferred mitigation (See
Section 5.C)
• Continue to Step 6

•Reviews the Checklist for
Submitting a Section 404
PreConstruction Notification
•Prepares draft Decision
Document (see Corps Individual
Permit Section 404(b)(1)
Template provided in the 404
Permit and Pre-Construction
Notification Templates,
Checklists, and Instructions
Appendix)
•Prepares Mitigation Plan
•Sends complete package to OES
and District for review and
submittal
•Submits package to the Corps
following OES review

After you have gone through the Section 404 process, the following actions remain to ensure use of the
Section 404 IP in compliance with Corps regulations:
Flow Chart 5-5: Steps to take after receiving the Individual Permit and Section
401 Individual Certification

Congratulations! You've
received a Section 404 IP
and Section 401
Individual Certification
for the activity!

These checklists and
notification forms are part
of the permit information in
the project special
provisions.

Which Section 404 Permit is Required?

Submit the Corps
Checklist of
Environmental
Compliance to EPG

Via email - submit the
Notification of
Commencement 1-2
weeks before start of
construction

This completes the
Section 404 Individual
Permit process

Via email - submit the
Notification of
Completion as soon as all
work within Waters of
the US is completed per
the permit terms and
conditions

Step 5-12

ADOT Clean Water Act Section 404/401 Guidance Manual

Key Documents for Individual Permits:
404 Permit and PCN Templates, Checklists, and Instructions Appendix
 Pre-Construction Notification – NWP/IP Submittal Guidance (EPG 2013).
 Checklist for Submitting a Section 404 Pre-Construction Notification (EPG 2013)
 Corps Individual Permit Section 404(b)(1) Template (EPG 2013)
 Pre-Construction Notification/ Individual Permit Cover Letter Template (EPG 2013)
Additional Assistance Documents for Individual Permits:
Section 404(b)(1) Guidelines for Specification of Disposal Sites for Dredged or Fill
Material (40 CFR 230; Corps 2010b). Available online:
http://www.wetlands.com/regs/tlpge03g.htm
C. In-Lieu Fee Mitigation
In-lieu fee mitigation is the preferred method for ADOT activities requiring compensatory
mitigation. In-lieu fee mitigation is a type of compensatory mitigation in which the permittee
provides funds to an in-lieu fee sponsor for off-site compensation.
For project activities that will be authorized under Section 404, compensatory mitigation is not
considered until all appropriate and practicable steps have been taken to first avoid and then
minimize adverse impacts to the aquatic ecosystem (Corps 2008b, EPA 1990). Compensatory
mitigation is essential for all activities in which the impacts to the aquatic resources have been
avoided and minimized to the maximum extent practicable, but would still result in unavoidable
adverse effects (Corps 2013).
The Corps has developed numerous guidance documents on
identification of applicable and practicable mitigation measures as
well as information on compensatory mitigation process for federal
aid highway projects. Online links to these documents are provided
at the end of this section.

In-lieu fee mitigation is not
typically used unless an IP
is required for an activity.

The Corps has the discretion to approve or reject the mitigation measures identified by an
activity proponent, and can identify additional activity-specific mitigation measures that must be
implemented in order for a permit to be valid. After approval by the Corps, mitigation measures
identified for the activity are included in the environmental clearance for the project
specifications.
ADOT has a process by which in-lieu fees are set aside for activities requiring them. This
process was developed to assist the ADOT Project Managers manage budget for in-lieu fees for
activities and to facilitate coordination between the ADOT groups involved in the in-lieu fee
process.

Which Section 404 Permit is Required?

Step 5-13

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 5-6: ADOT In-Lieu Fee Fund Process
Estimate funds
required for in-lieu
fee

Set aside funds for
in-lieu fee

• Corps determines
amount of funds
required
• Corps notifies EPG
and Project
Manager about
amount of funds
required
• EPG and OES
notify ADOT
Project Manager

• ADOT Project
Manager
coordinates with
ADOT Right of
Way Office

In-lieu fee due date

• EPG/Consultant
verifies project bid
date with ADOT
Project Manager
• Corps sets in-lieu
fee due date based
on project bid date

Additional Assistance Documents for In-Lieu Fee Mitigation:


Compensatory Mitigation for Losses of Aquatic Resources, Final Rule (Corps 2008b).
Available online:
o http://water.epa.gov/lawsregs/guidance/wetlands/upload/2008_04_10_wetlands_wetlands_mi



RGL 08-03 Minimum Monitoring Requirements for Compensatory Mitigation Projects
Involving the Restoration, Establishment, and/or Enhancement of Aquatic Resources
(Corps 2008e). Available online:
o http://www.usace.army.mil/Portals/2/docs/civilworks/RGLS/rgl08_03.pdf
Federal Guidance on the Use of the TEA-21 Preference for Mitigation Banking to fulfill
Mitigation Requirements under Section 404 of the Clean Water Act (EPA, Corps, and
FHWA 2003). Available online:
o http://water.epa.gov/lawsregs/guidance/wetlands/upload/2003_07_11_wetlands_TEA-

tigation_final_rule_4_10_08.pdf



21Guidance.pdf

Which Section 404 Permit is Required?

Step 5-14

ADOT Clean Water Act Section 404/401 Guidance Manual

STEP 6:

WHAT TYPE OF SECTION 401 CERTIFICATION IS ESSENTIAL FOR THE
ACTIVITY?

The sixth step is to identify the type of Section 401 water quality certification necessary for the
activity, and prepare a certification application if needed. Section 401 certification requirements
vary by NWP and this information is needed for NWP PCN and IP applications (Step 5). Section
404 permits (Nationwide or Individual) will not be issued by the Corps without a Section 401
certification.
A. Definitions
Section 401 of CWA states that
“Any applicant for a [f]ederal license or permit to conduct any activity including, but not
limited to, the construction or operation of facilities, which may result in any discharge
into…[Waters of the US], shall provide the licensing or permitting agency a certification
from the [s]tate in which the discharge originates or will originate, or, if appropriate, from
the interstate water pollution control agency having jurisdiction over the…waters [of the
US] at the point where the discharge originates or will originate, that any such discharge
will comply with the applicable provisions of sections 1311, 1312, 1313, 1316, and 1317
of this title" (pertaining to effluent standards [33 U.S. Code 1341])
Section 401 jurisdiction is primarily determined by the geographic location of activities:
 Tribal Lands – EPA is responsible for issuing 401 certification except where EPA has
delegated 401 certification authority1
 Non-Tribal Lands – ADEQ is the lead agency responsible for issuing 401 certification on
lands that are not part of a federally recognized Indian Reservation
As part of Section 401 certification, discharges to several types of surface waters are
considered.
 303(d)-listed Impaired Waters – surface waters that do not meet surface water quality
standards and therefore receive special consideration. The current 303(d) list of
Impaired Waters is available on the ADEQ website (ADEQ 2008):
(http://www.azdeq.gov/environ/water/assessment/assess.html)
 Outstanding Arizona Waters (OAWs) – surface waters classified as outstanding due to
their exceptional water quality. Note: these were formerly referred to as “Unique
Waters.”The current list of OAW is also available on the ADEQ website (ADEQ 2013):
(http://www.azdeq.gov/environ/water/permits/download/oaw.pdf)
B. Certification for Activities that Qualify for a Section 404 Nationwide Permit
There are two types of Section 401 certifications: conditional and individual. As discussed in
earlier sections, Section 401 certification requirements vary by NWP. Refer to the ADEQ Clean
Water Act 401 Certification for Nationwide Permits at
http://www.azdeq.gov/environ/water/permits/cwa401.html

1

To date, the White Mountain Apache, Hopi, Haualapai, and Navajo Indian Reservations are the only Arizona Indian
Reservations that have been granted authority by EPA over Section 401 compliance for Waters of the US within its
Reservation boundaries.

What Type of Section 401 Certification is Required?

Step 6-1

ADOT Clean Water Act Section 404/401 Guidance Manual

Certification requirements example: NWP 14,
Linear Transportation Projects, carries the
following Section 401 certification requirements
in Arizona:
 303(d) Impaired Waters — Individual
Certification
 OAWs — Individual Certification
 Lakes — Individual Certification
 Other Waters — Conditional Certification

1. Conditional Certification
Conditionally certified projects do not require
notification or submittal of a Section 401
application. Activity impacts may be conditionally
certified under pre-determined limits established
by CWA Section 404 NWPs.

Continuing with the NWP 14 example, if a linear
transportation activity was located on non-tribal
land, activities were located in an ephemeral
stream (“other waters”) that was not listed as either a 303(d) Impaired Water or an OAW, and
the activity met all NWP 14 limits, conditions, and applicable General and Regional conditions,
the activity would be Conditionally Certified under Section 401. No certification application would
be necessary, but the activity proponent would be needed to comply with the 30 Section 401
General Conditions (defined and enforced by ADEQ), applicable to the activity scope, in order
for the Conditional Certification to be valid.
The Section 401 General Conditions are listed in ADEQ Clean Water Act 401 Certification for
Nationwide Permits (provided in 401 Forms and Guidance Appendix) and at the end of the
Special Public Notice – Nationwide Permits for Arizona in the Nationwide Permits Appendix.).
2. Individual Certification
If the Section 401 General Conditions cannot be met, an Individual Certification would be
necessary.
Continuing with the example of NWP 14, if the linear transportation
activity was located on a Reservation other than White Mountain
Apache, Hopi, Hualapai, or Navajo Nation, or would impact a
Section 303(d) water or Unique Arizona Water, a Section 401
Individual Certification would be needed for the activity.




An Individual 401
Certification is required if an
activity has the potential to
impact any designated OAW
or 303(d) Impaired Water.

On tribal lands (other than White Mountain Apache, Hopi, Hualapai Reservations, or
Navajo Nation) an Individual Certification is obtained through application to EPA
(application components defined in later sections) and activity-specific Section 401
conditions are defined and enforced by EPA
On non-tribal lands—an Individual Certification is obtained through application to ADEQ
(application components defined in later sections) and activity-specific Section 401
conditions are defined and enforced by ADEQ

C. Section 401 Certification for Activities that Require a Section 404 Individual Permit
A Section 401 Individual Certification is necessary for all activities that require a Section 404 IP
from the Corps. As with activities that qualify for NWPs, a Section 401 Individual Certification for
Section 404 IP activities on tribal lands (other than those that have been granted authority by
EPA over Section 401 compliance) is obtained through application to EPA, and activity-specific
conditions are defined and enforced by EPA. A Section 401 Individual Certification for Section
404 IP activities on non-tribal lands is obtained through application to ADEQ, and activityspecific conditions are defined and enforced by ADEQ.

What Type of Section 401 Certification is Required?

Step 6-2

ADOT Clean Water Act Section 404/401 Guidance Manual

D. Components of a Section 401 Individual Certification Application
1. Individual Certification Application to the Environmental Protection Agency
EPA has not developed a standard Individual Certification application format. However, all
applications must include the components identified by EPA (1999; see EPA facsimile listing
required components of an Individual Certification application to EPA in 401 Forms and
Guidance Appendix). Typically, an Individual Certification application to EPA is prepared as a
stand-alone document paraphrasing and/or attaching the data provided in the NWP PCN or
Section 404 IP application.
For a non-notifying NWP, an
Individual 401 Certification is
still required for projects on
Tribal land.

2. Individual Certification Application to authorized Indian
Reservations
The activity proponent must contact the appropriate tribe to
confirm the vital application components. Typically, a Section 401 Individual Certification
application to a Tribe is prepared as a stand-alone document paraphrasing and/or attaching the
data provided in the NWP PCN or Section 404 IP application.
3. Individual Certification Application to the Arizona Department of Environmental Quality
ADEQ requires the following documents to be considered a complete Individual 401
Certification application:
 ADEQ Application for Certification under CWA Section 401 (ADEQ 2013; provided in
401 Forms and Guidance Appendix)
 A US Geological Survey (USGS) topographic map or other contour map of activity area
 A map delineating the ordinary high water mark of Waters of the US to be affected by
the activity to be certified
 A copy of the application for the federal NWP or IP
 A description of the measures to be applied to the activities in order to control the
discharge of pollutants into Waters of the US to:
o Minimize potential pollution of surface waters
o Demonstrate compliance with state surface water quality standards
Typically, the ADEQ Section 401 Application form paraphrases and/or attaches the data
provided in a Section 404 NWP or IP application and the activity-specific conditions and
mitigation measures included in a NWP PCN or Section 404 IP application, as well as
specifications from the ADOT Standard Specifications for Road and Bridge Construction.
Section 401 Individual Certification applications are
ultimately forwarded by EPG to the EPA, ADEQ, or
Tribe for their consideration and approval. Approval is
typically in the form of an approval letter.
Refer to Flow Chart 6-1 of this section for the key
decisions associated with the Section 401 Certification

What Type of Section 401 Certification is Required?

A copy of the EPA, ADEQ, or Tribal (as
appropriate) Section 401 Individual
Certification approval letter must be
forwarded to the Corps. The Corps will not
approve a Section 404 permit until Section
401 certification has been received.

Step 6-3

ADOT Clean Water Act Section 404/401 Guidance Manual

Flow Chart 6-1: Key Decisions to Determine Section 401 Certification
Does the project need a
Section 404 Permit?

NO

No Section 401 certification is
required!

YES
If Tribal Certification is required:
Activity proponent prepares Individual Certification application
Submit application to EPG for review
After review, District signs and sends to Tribe
If Tribal Certification is NOT required:
Verify activity is certified under NWP
If NOT, EPA 401 certification is required and activity proponent must prepare the application
EPG reviews the application, the District then signs and submits to EPA
After EPA approval, the 401 certification is sent to the District and EPG is copied
If applicable, the Corps will include in the approved 404 permit package.
If Tribal waters are NOT involved, go to the next step in this process!

Are lakes, 303 (d), or OAW involved?
 If YES, ADEQ 401 certification is required and activity proponent must prepare the application
EPG reviews the application, the District then signs and submits to ADEQ
After ADEQ approval, the 401 certification is sent to the District and EPG is copied
If applicable, the Corps will include in the approved 404 permit package.
If lakes, 303 (d), or OAW are NOT involved, go to the next step in this process!

Are other waters, including ephemeral, involved and is the activity is conditional certified?
If YES, adhere to the Section 401 and 404 general conditions
If NO, the following must occur:
ADEQ 401 certification is required and activity proponent must prepare the application
EPG reviews the application, the District then signs and submits to ADEQ
After ADEQ approval, the 401 certification is sent to the District and EPG is copied
If applicable, the Corps will include in the approved 404 permit package.

Remember!
For an IP, submit Individual 401 Certification application to ADEQ after the 404 permit public notice has posted.

What Type of Section 401 Certification is Required?

Step 6-4

ADOT Clean Water Act Section 404/401 Guidance Manual

Key Documents for Step 6:
401 Forms and Guidance Appendix:
 ADEQ Application for Certification under the Clean Water Action Section 401 (ADEQ
2013)
 EPA facsimile listing required components of an Individual Certification application to
EPA (reproduced for printing; EPA 1999)
Additional Assistance Documents for Step 6:
 Certification Requirements under Section 401 of the Clean Water Act (33 U.S. Code
1341; available online: http://www.gpo.gov/fdsys/granule/USCODE-2000title33/USCODE-2000-title33-chap26-subchapIV-sec1341/content-detail.html)
 Section 303(d) Impaired Waters. (ADEQ, 2008); (available online:
http://www.azdeq.gov/environ/water/assessment/assess.html)
 Outstanding Arizona Waters (OAWs). (ADEQ, 2013); (available online:
http://www.azdeq.gov/environ/water/permits/download/oaw.pdf)
 ADEQ Clean Water Act 401 Certification for Nationwide Permits (ADEQ 2012) (available
online: http://www.azdeq.gov/environ/water/permits/cwa401.html

What Type of Section 401 Certification is Required?

Step 6-5

ADOT Clean Water Act Section 404/401 Guidance Manual

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What Type of Section 401 Certification is Required?

Step 6-6

ADOT Clean Water Act Section 404/401 Guidance Manual

REFERENCES
ADEQ. 2008. 2006/2008 303(d) Impaired Waters List (Current EPA Approved List). Available online:
http://www.azdeq.gov/environ/water/assessment/assess.html
ADEQ. 2013. Outstanding Arizona Waters (Arizona Administrative Code R18-11-112(G)). Available
online: http://www.azdeq.gov/environ/water/permits/download/oaw.pdf
US Army Corps of Engineers (Corps). 1987. Corps of Engineers Wetlands Delineation Manual.
Available online: http://el.erdc.usace.army.mil/elpubs/pdf/wlman87.pdf
Corps. 2001. Final Summary Report: Guidelines for Jurisdictional Determinations for Waters of the
United States in the Arid Southwest
Corps. 2005. Regulatory guidance Letter (RGL) 05-05, Ordinary High Water Mark (OHWM)
Identification
Corps. 2008a. Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid
West Region (Version 2.0). September. Available online:
http://www.usace.army.mil/missions/civilworks/regulatoryprogramandpermits/reg_supp.aspx
Corps. 2008b. Compensatory Mitigation for Losses of Aquatic Resources; Final Rule. Dated April 10,
2008 (Title 33 CFR Part 332).
http://water.epa.gov/lawsregs/guidance/wetlands/wetlandsmitigation_index.cfm#guidance
Corps. 2008c. A Field Guide to the Identification of the Ordinary High Water Mark (OHWM) in the
Arid West Region of the Western United States. Available online:
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/JD/RegionalSupplements/Ordinary
_High_Watermark_Manual_Aug_2008.pdf
Corps. 2008d. Regulatory Guidance Letter (RGL) 08-02 Jurisdictional Determinations.
Corps. 2008e. Regulatory Guidance Letter (RGL) 08-03. Minimum Monitoring Requirements for
Compensatory Mitigation Projects Involving the Restoration, Establishment, and/or
Enhancement of Aquatic Resources
http://www.usace.army.mil/Portals/2/docs/civilworks/RGLS/rgl08_03.pdf
Corps. 2010a. Regional Supplement to the Corps of Engineers Wetland Delineation Manual:
Western Mountains, Valleys, and Coast Region (Version 2.0). May. Available online:
http://www.usace.army.mil/missions/civilworks/regulatoryprogramandpermits/reg_supp.aspx
Corps. 2010b. July. Part 230- Section 404(b)(1) Guidelines for Specification of Disposal Sites for
Dredged or Fill Material. http://www.wetlands.com/epa/epa230ph.htm
Corps. 2012a. Special Public Notice – Nationwide Permits for Arizona. Dated: May 18, 2012.
http://www.azdeq.gov/environ/water/permits/download/nwp.pdf Accessed on 02/04/2013.
OR
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/Permit_Process/SPN_AZ_NWP(wit
hAppendix).pdf
Corps. 2012b. A Summary of 2012 Nationwide Permits. Available online:
http://www.usace.army.mil/Missions/CivilWorks/RegulatoryProgramandPermits/NationwideP
ermits.aspx

List of Appendices

ADOT Clean Water Act Section 404/401 Guidance Manual

Corps. 2012c. ENG Form 4345 – Application for Department of the Army Permit.
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/Permit_Process/Eng4345_2012OC
T.pdf OR
http://www.usace.army.mil/Missions/CivilWorks/RegulatoryProgramandPermits/ObtainaPerm
it.aspx OR
http://www.usace.army.mil/Portals/2/docs/civilworks/regulatory/engform_4345_2012oct.pdf
Corps. 2012d. ENG Form 4345 Instructions:
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/Permit_Process/ENG%204345%20
Instructions.pdf
Corps. 2013. Mitigation. http://www.spl.usace.army.mil/Missions/Regulatory/Mitigation.aspx
Accessed on 02/04/2013.
Environmental Protection Agency (EPA). 1990. Memorandum of Agreement Between the
Environmental Protection Agency and the Department of the Army Concerning the
Determination of Mitigation Under the Clean Water Act Section 404(b)(1) Guidelines.
http://water.epa.gov/lawsregs/guidance/wetlands/mitigate.cfm
EPA. 1999. EPA facsimile listing required components of an Individual Certification application to
EPA.
EPA. 2013. Summary of the Clean Water Act. Available online:
http://www.epa.gov/lawsregs/laws/cwa.html. Accessed on 2/14/2013.
EPA and Corps. 2008. Clean Water Act Jurisdiction Following the U.S. Supreme Court’s Decision in
Rapanos v. United States & Carabell v. United States, December 2008. Available online:
http://www.usace.army.mil/Portals/2/docs/civilworks/regulatory/cwa_guide/cwa_juris_2dec08
.pdf
EPA, Corps, and Federal Highway Administration (FHWA). 2003. Federal Guidance on the Use of
the TEA-21 Preference for Mitigation Banking to fulfill Mitigation Requirements under Section
404 of the Clean Water Act. Available online:
http://water.epa.gov/lawsregs/guidance/wetlands/upload/2003_07_11_wetlands_TEA21Guidance.pdf
FHWA. 2012. Section 404 of the Clean Water Act (NEPA/404 Memorandum of Agreement).
Available online:
http://www.spl.usace.army.mil/Portals/17/docs/regulatory/WRDA/ADOT_MOA.pdf

List of Appendices

ADOT Clean Water Act Section 404/401 Guidance Manual

LIST OF APPENDICES
A. JD Forms and Checklists:
A.1 Preliminary Jurisdictional Delineation Submittal Guidance (includes Tables 1&2) (EPG)
A.2 Approved Jurisdictional Delineation Submittal Guidance (includes Tables 1&2) (EPG)
A.3 Corps Preliminary Jurisdiction Form
A.4 Corps Approved Jurisdiction Form
A.5 Corps Labels
A.6 Table 1 - JD Physical Characteristics
A.7 ADOT Cover Letter
A.8 Checklist for Submitting a Section 404 Jurisdictional Delineation (EPG)
B. 404 Permit and PCN Templates, Checklists, and Instructions:
B.1 Checklist for Section 404 Nationwide Permit Limits and Conditions Compliance and
Pre-Construction Notification Decision Process
B.2 Pre-Construction Notification – Nationwide/Individual Permit Submittal Guidance
B.3 Pre-Construction Notification / Individual Permit Cover Letter Template
B.4 Application for Department of the Army Permit (ENG Form 4345)
B.5 Instructions for Preparing Department of the Army Permit (ENG Form 4345)
Application
B.6 Corps Individual Permit Section 404(b)(1) Template
B.7 Pre-Construction Notification / Individual Permit Submittal Checklist
C. Nationwide Permits:
C.1 A Summary of 2012 Nationwide Permits (Corps 2012b)
C.2 Link to Environmental Planning and Services Website with all Nationwide Permits
relevant to ADOT Activities
D. 401 Forms and Guidance:
D.1 ADEQ Application for Certification under the Clean Water Action Section 401 (ADEQ
2013)
D.2 EPA facsimile listing required components of an Individual Certification application to
EPA (reproduced for printing; EPA 1999)
E. In-Lieu Fee Procedures
E.1 Procedures for Processing In-Lieu Payments for 404 Impacts

List of Appendices

ADOT Clean Water Act Section 404/401 Guidance Manual

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APPENDIX A
JD Forms and Checklists
(Please go to the Environmental Services and Planning website for all fill able
versions of the forms:
http://www.azdot.gov/business/environmental‐services‐and‐planning/environmental‐guidance‐
documents/section‐404‐401‐procedures

A1
PRELIMINARY JURISDICTIONAL DELINEATION SUBMITTAL GUIDANCE
(INCLUDES TABLES 1&2) (EPG)

Preliminary Jurisdictional Delineation Submittal Guidance
U.S. Army Corps of Engineers ~ Arizona Branch
To facilitate the Regulatory Division’s review and processing of your requests please observe
the following guidelines. Corps guidelines for the processing of JD’s are described in
Regulatory Guidance Letter (RGL 08-02).
Submit only information which will assist in the evaluation for the JD. Concise and organized
information is much easier to review. If your submittal lacks any of the requested information
listed below, it may be returned to you for additional information. If deviating from the
recommended submittal items please coordinate with the Corps regulator prior to submittal.

Before beginning, please note:
Only one (1) complete electronic document is required for submittal.
All Jurisdictional Delineation (JD) requests will be considered to be for a Preliminary JD (PJD), unless
otherwise specifically requested as an Approved “Rapanos” Jurisdictional Delineation.
Cultural resource reports or biological reports should not be submitted for the JD submittal. These reports
are required for permits.
Submit only one copy of the aerial photograph. Provide a blank aerial photograph upon request from the
Corps.
Map figures should follow the requirements from the Corps Final Map and Drawing Standards for the
South Pacific Division Regulatory Program, dated August 6, 2012.

The following items are required for JD processing:
1. Cover letter
Include a short description of the project area and scope of work.
Include latitude and longitude in decimal degrees form (i.e. 32.123456N and -110.123456W) of the
midpoint of the project area, the datum should be NAD 83. Include, Township, and Range, Section (1/4
section) if applicable, of project area (e.g. T4N, R3E, Sec. 4, (NE1/4)).
Refer to sample cover letter on the Environmental Services and Planning website

2. State, vicinity, and floodplain maps
3. USGS quadrangle map
Survey area must be outlined in thick black line and clearly labeled.
An 8”1/2 x 11” section showing the project area is sufficient. (Do not send the entire quad map).
Multiple maps can be used if needed.
USGS quadrangle name and date should be referenced.

4. Table 1. JD Physical Characteristics
Must include jurisdictional and non-jurisdictional washes.

5. Preliminary JD form
Must contain signature of the EPG planner.
Must include electronic excel file of Corps water data sheet for JD with 5 or more washes.

6. OHWM in the Arid West form and documentation, if used
Must include if following the OHWM in the Arid West Field Guide from 2008.

7. Aerial photo
Must have clear resolution.
Must be taken within last two years, be no smaller than 1"=200' scale, and be legible (full color images
and 11” x 17” minimum are preferred). If recent aerial photographs are unattainable, please coordinate
with the EPG planner to obtain an aerial from ADOT Photogrammetry as early as possible.
Do not make the aerial photo “transparent.”
Do not overlay the proposed project on the aerial.
Overlay DTM/contours.
Submit one aerial set with proposed delineation for the survey area.
Provide a title block to include ADOT project info, “N” arrow, scale (bar and text), and date of photo
(date photo taken, not date aerial produced), Name and year of USGS map that corresponds to aerial. If
multiple maps, include a Map KEY for the whole project area here or on a separate sheet.
Provide a clear map legend to include wash width, wash name, flow direction arrow, photo point
number/direction, and survey area/OHWM/waters (may be placed here if not illustrated on Corps label).
Label features such as roads, trails, etc that appear to be potential waters.
If wash meanders in and out of the survey area, illustrate delineation continuously.
The survey area should be outlined in black, the OHWM indicated in red, and the waters of the U.S. (dry
washes) in transparent yellow. Use a transparent green for wetlands and transparent blue for open water
(e.g. Salt River, Colorado River).

8. Color photographs
Must be high quality and clear.
Must be recent and taken at ground level.
Clearly key locations into the aerial to indicate location and direction. Do not place any text or graphics
over the delineated portion of the wash except what is described below.
Provide sufficient photos (generally 4 photos/wash) to accurately represent the characteristics of the site
features (i.e. whether or not the drainage shows jurisdictional characteristics) . Please use a rod or other
items for scale in the photos and note the size of the item.

9. Delineations of wetlands (if applicable)
Consult the EPG planner first before proceeding.
Submit a detailed wetland delineation report (use the template available on the Environmental Services
and Planning website) with the most current arid or mountain region delineation sheets. Be sure to include
methods of how the boundary was established and transects were selected.
Include location of sample plot for soil and vegetation sampling on the aerial.
Verify presence or absence of any other special aquatic sites that may be applicable in AZ (sanctuary or
refuge, vegetated shallows, riffle and pool complexes).

10. Current drainage report or USGS gauge data (if available)
Include project plan view showing 10-year, 5-year and 2-year event surface area.
2

11. Electronic Submittal of the JD
Be sure to separate 8 ½ x 11 and 11 x 17 into two files. Do not submit a combined file.
Submittals under 10 MB can be emailed to Kathleen.A.Tucker@usace.army.mil (multiple emails can be
used). Files over 10 MB should be uploaded to the Corps FTP site at
https://safe.amrdec.army.mil/safe2/Welcome.aspx

12. A bibliography sheet
Include if referencing other information.

3

Table 1. J.D. Physical Characteristics & Other Information
Project Name and No.
Date
YES / NO

Wash No. or
Name
wash sample

MP

Vegetation
Difference
Between Wash
& Upland

Change in Soil Waterline Mark
Characteristics on Bank
Water Stains

Shelving or
Cut Banks

YES/NO

Sediments
Exposed Roots Deposits

Presence of
Wash Depth (ft
Litter or Debris Wash Width (ft) or in)

Ground Photo
Numbers

Existing
Drainage
Structure Type
text

WOUS

Waters_Name

Cowadin_Code

HGM_Code

Measurement_Type Amount

Units

Waters_Types

Latitude

Longitude

Local_Waterway

A2
APPROVED JURISDICTIONAL DELINEATION SUBMITTAL GUIDANCE (INCLUDES
TABLES 1&2) (EPG)

Approved Jurisdictional Delineation Submittal Guidance
U.S. Army Corps of Engineers ~ Arizona Branch
To facilitate the Regulatory Division’s review and processing of your requests please observe
the following guidelines. Corps guidelines for the processing of JD’s are described in Section
IV of the U.S. Army Corps of Engineers Jurisdictional Determination Form Instructional
Guidebook dated, 5.30.2007.
Submit only information which will assist in the evaluation for the JD. Concise and organized
information is much easier to review. If your submittal lacks any of the requested information
listed below, it may be returned to you for additional information. If deviating from the
recommended submittal items please coordinate with the Corps regulator prior to submittal.

Before beginning, please note:
Confirm the Approved JD approach through the EPG planner and the Corps.
Only one (1) complete electronic document is required for submittal.
All Jurisdictional Delineation (JD) requests will be considered to be for a Preliminary JD (PJD), unless
otherwise specifically requested as an Approved “Rapanos” Jurisdictional Delineation.
Cultural resource reports or biological reports should not be submitted for the JD submittal. These reports
are required for permits.
Submit only one copy of the aerial photograph. Provide a blank aerial photograph upon request from the
Corps.
Map figures should follow the requirements from the Corps Final Map and Drawing Standards for the
South Pacific Division Regulatory Program, dated August 6, 2012.

The following items are required for JD processing:
1. Cover letter
Include a short description of the project area and scope of work.
Include latitude and longitude in decimal degrees form (i.e. 32.123456N and -110.123456W) of the
midpoint of the project area, the datum should be NAD 83. Include, Township, and Range, Section (1/4
section) if applicable, of project area (e.g. T4N, R3E, Sec. 4, (NE1/4)).
Refer to sample cover letter on the Environmental Services and Planning website.

2. State, vicinity, and floodplain maps
3. USGS quadrangle map
Survey area must be outlined in thick black line and clearly labeled.
An 8”1/2 x 11” section showing the project area is sufficient. (Do not send the entire quad map).
Multiple maps can be used if needed.
USGS quadrangle name and date should be referenced.

4. Table 1. JD Physical Characteristics
Must include jurisdictional and non-jurisdictional washes.

5. Approved JD form
Must include appropriate documentation (consult with EPG planner and the Corps) describing whether a
wash has a significant nexus or not.
Include a detailed description in Section C and any backup data such as HEC or USGS gauge data.
GRAPHIC: Include a watershed map depicting the watershed of the wash outlined on a topo map. Include
acreage of area.
Include an electronic version of the Corps water data sheet if the JD is for 5 or more washes.

6. OHWM in the Arid West form and documentation, if used
Must include if following the OHWM in the Arid Field Guide from 2008.

7. Aerial photo
Must have clear resolution.
Must be taken within last two years, be no smaller than 1"=200' scale, and be legible (full color images
and 11” x 17” minimum are preferred). If recent aerial photographs are unattainable, please coordinate
with the EPG planner to obtain an aerial from ADOT Photogrammetry as early as possible.
Do not make the aerial photo “transparent.”
Do not overlay the proposed project on the aerial.
Overlay DTM/contours.
Submit one aerial set with proposed delineation for the survey area.
Provide a title block to include ADOT project info, “N” arrow, scale (bar and text), and date of photo
(date photo taken, not date aerial produced), Name and year of USGS map that corresponds to aerial. If
multiple maps, include a Map KEY for the whole project area here or on a separate sheet.
Provide a clear map legend to include wash width, wash name, flow direction arrow, photo point
number/direction, and survey area/OHWM/waters (may be placed here if not illustrated on Corps label).
Label features such as roads, trails, etc. that appear to be potential waters.
If wash meanders in and out of the survey area, illustrate delineation continuously.
The survey area should be outlined in black, the OHWM indicated in red, and the waters of the U.S. (dry
washes) in transparent yellow. Use a transparent green for wetlands and transparent blue for open water
(Salt River, Colorado River).

8. Color photographs
Must be high quality and clear.
Must be recent and taken at ground level.
Clearly key locations into the aerial to indicate location and direction. Do not place any text or graphics
over the delineated portion of the wash except what is described below.
Provide sufficient photos (generally 4 photos/wash) to accurately represent the characteristics of the site
features (i.e. whether or not the drainage shows jurisdictional characteristics). Please use a rod or other
items for scale in the photos and note the size of the item.

9. Delineations of wetlands (if applicable)
Consult the EPG planner first before proceeding.

2

Submit a detailed wetland delineation report (use the template available on the Environmental Services
and Planning website) with the most current arid or mountain region delineation sheets. Be sure to include
methods of how the boundary was established and transects were selected.
Include location of sample plot for soil and vegetation sampling on the aerial.
Verify presence or absence of any other special aquatic sites that may be applicable in AZ (sanctuary or
refuge, vegetated shallows, riffle and pool complexes).

10. Current drainage report or USGS gauge data (if available)
Include project plan view showing 10-year, 5-year and 2-year event surface area.

11. Electronic Submittal of the JD
Be sure to separate 8 ½ x 11 and 11 x 17 into two files. Do not submit a combined file.
Submittals under 10 MB can be emailed to Kathleen.A.Tucker@usace.army.mil (multiple emails can be
used). Files over 10 MB should be uploaded to the Corps FTP site at
https://safe.amrdec.army.mil/safe2/Welcome.aspx

12. A bibliography sheet
Include if referencing other information.

3

Table 1. J.D. Physical Characteristics & Other Information
Project Name and No.
Date
YES / NO

Wash No. or
Name
wash sample

MP

Vegetation
Difference
Between Wash
& Upland

Change in Soil Waterline Mark
Characteristics on Bank
Water Stains

Shelving or
Cut Banks

YES/NO

Sediments
Exposed Roots Deposits

Presence of
Wash Depth (ft
Litter or Debris Wash Width (ft) or in)

Ground Photo
Numbers

Existing
Drainage
Structure Type
text

WOUS

Waters_Name

Cowadin_Code

HGM_Code

Measurement_Type Amount

Units

Waters_Types

Latitude

Longitude

Local_Waterway

A3
CORPS PRELIMINARY JURISDICTION FORM

PRELIMINARY JURISDICTIONAL DETERMINATION FORM
This preliminary JD finds that there “may be” waters of the United States on the subject project site, and identifies
all aquatic features on the site that could be affected by the proposed activity, based on the following information:
District Office
State

File/ORM #

PJD Date:

City/County
Name/
Address of
Person
Requesting
PJD

Nearest Waterbody:
Location: TRS,
LatLong or UTM:

Identify (Estimate) Amount of Waters in the Review Area:
Stream Flow:

Non-Wetland Waters:
linear ft
Wetlands:

acres

width
acre(s)

Name of Any Water Bodies Tidal:
on the Site Identified as
Section 10 Waters: Non-Tidal:

Cowardin
Class:

Office (Desk) Determination
Field Determination:

Date of Field Trip:

SUPPORTING DATA: Data reviewed for preliminary JD (check all that apply - checked items should be included in case file and, where checked
and requested, appropriately reference sources below):

Maps, plans, plots or plat submitted by or on behalf of the applicant/consultant:
Data sheets prepared/submitted by or on behalf of the applicant/consultant.
Office concurs with data sheets/delineation report.
Office does not concur with data sheets/delineation report.
Data sheets prepared by the Corps
Corps navigable waters’ study:
U.S. Geological Survey Hydrologic Atlas:
USGS NHD data.
USGS 8 and 12 digit HUC maps.
U.S. Geological Survey map(s). Cite quad name:
USDA Natural Resources Conservation Service Soil Survey. Citation:
National wetlands inventory map(s). Cite name:
State/Local wetland inventory map(s):
FEMA/FIRM maps:
100-year Floodplain Elevation is:
Photographs:
Aerial (Name & Date):
Other (Name & Date):
Previous determination(s). File no. and date of response letter:
Other information (please specify):
IMPORTANT NOTE: The information recorded on this form has not necessarily been verified by the Corps and should not be relied upon for later jurisdictional determinations.

_____________________________________________________________
Signature and Date of Regulatory Project Manager
(REQUIRED)

____________________________________________________________________
Signature and Date of Person Requesting Preliminary JD
(REQUIRED, unless obtaining the signature is impracticable)

EXPLANATION OF PRELIMINARY AND APPROVED JURISDICTIONAL DETERMINATIONS:
1. The Corps of Engineers believes that there may be jurisdictional waters of the United States on the subject site, and the permit applicant or other affected party who requested this preliminary JD is
hereby advised of his or her option to request and obtain an approved jurisdictional determination (JD) for that site. Nevertheless, the permit applicant or other person who requested this preliminary JD
has declined to exercise the option to obtain an approved JD in this instance and at this time.
2. In any circumstance where a permit applicant obtains an individual permit, or a Nationwide General Permit (NWP) or other general permit verification requiring “preconstruction notification” (PCN),
or requests verification for a non-reporting NWP or other general permit, and the permit applicant has not requested an approved JD for the activity, the permit applicant is hereby made aware of the
following: (1) the permit applicant has elected to seek a permit authorization based on a preliminary JD, which does not make an official determination of jurisdictional waters; (2) that the applicant has
the option to request an approved JD before accepting the terms and conditions of the permit authorization, and that basing a permit authorization on an approved JD could possibly result in less
compensatory mitigation being required or different special conditions; (3) that the applicant has the right to request an individual permit rather than accepting the terms and conditions of the NWP or
other general permit authorization; (4) that the applicant can accept a permit authorization and thereby agree to comply with all the terms and conditions of that permit, including whatever mitigation
requirements the Corps has determined to be necessary; (5) that undertaking any activity in reliance upon the subject permit authorization without requesting an approved JD constitutes the applicant’s
acceptance of the use of the preliminary JD, but that either form of JD will be processed as soon as is practicable; (6) accepting a permit authorization (e.g., signing a proffered individual permit) or
undertaking any activity in reliance on any form of Corps permit authorization based on a preliminary JD constitutes agreement that all wetlands and other water bodies on the site affected in any way by
that activity are jurisdictional waters of the United States, and precludes any challenge to such jurisdiction in any administrative or judicial compliance or enforcement action, or in any administrative
appeal or in any Federal court; and (7) whether the applicant elects to use either an approved JD or a preliminary JD, that JD will be processed as soon as is practicable. Further, an approved JD, a
proffered individual permit (and all terms and conditions contained therein), or individual permit denial can be administratively appealed pursuant to 33 C.F.R. Part 331, and that in any administrative
appeal, jurisdictional issues can be raised (see 33 C.F.R. 331.5(a)(2)). If, during that administrative appeal, it becomes necessary to make an official determination whether CWA jurisdiction exists over a
site, or to provide an official delineation of jurisdictional waters on the site, the Corps will provide an approved JD to accomplish that result, as soon as is practicable.

PRELIMINARY JURISDICTIONAL DETERMINATION FORM
This preliminary JD finds that there "may be" waters of the United States on the subject project site, and identifies all
aquatic features on the site that could be affected by the proposed activity, based on the following information:

Appendix A - Sites
District Office
State

File/ORM #
City/County

Site
Number

Notes:

Latitude

PJD Date:
Person Requestinq PJD

Longitude

Cowardin Class

Est. Amount of
Aquatic Resource
in Review Area

Class of
Aquatic Resource

A4
CORPS APPROVED JURISDICTION FORM

APPROVED JURISDICTIONAL DETERMINATION FORM
U.S. Army Corps of Engineers
This form should be completed by following the instructions provided in Section IV of the JD Form Instructional Guidebook.
SECTION I: BACKGROUND INFORMATION
A. REPORT COMPLETION DATE FOR APPROVED JURISDICTIONAL DETERMINATION (JD):
B.

DISTRICT OFFICE, FILE NAME, AND NUMBER:

C.

PROJECT LOCATION AND BACKGROUND INFORMATION:
State:
County/parish/borough:
City:
Center coordinates of site (lat/long in degree decimal format): Lat.
° Pick List, Long.
° Pick List.
Universal Transverse Mercator:
Name of nearest waterbody:
Name of nearest Traditional Navigable Water (TNW) into which the aquatic resource flows:
Name of watershed or Hydrologic Unit Code (HUC):
Check if map/diagram of review area and/or potential jurisdictional areas is/are available upon request.
Check if other sites (e.g., offsite mitigation sites, disposal sites, etc…) are associated with this action and are recorded on a
different JD form.

D.

REVIEW PERFORMED FOR SITE EVALUATION (CHECK ALL THAT APPLY):
Office (Desk) Determination. Date:
Field Determination. Date(s):

SECTION II: SUMMARY OF FINDINGS
A. RHA SECTION 10 DETERMINATION OF JURISDICTION.
There Pick List “navigable waters of the U.S.” within Rivers and Harbors Act (RHA) jurisdiction (as defined by 33 CFR part 329) in the
review area. [Required]
Waters subject to the ebb and flow of the tide.
Waters are presently used, or have been used in the past, or may be susceptible for use to transport interstate or foreign commerce.
Explain:
.
B. CWA SECTION 404 DETERMINATION OF JURISDICTION.
There Pick List “waters of the U.S.” within Clean Water Act (CWA) jurisdiction (as defined by 33 CFR part 328) in the review area. [Required]
1. Waters of the U.S.
a. Indicate presence of waters of U.S. in review area (check all that apply): 1
TNWs, including territorial seas
Wetlands adjacent to TNWs
Relatively permanent waters2 (RPWs) that flow directly or indirectly into TNWs
Non-RPWs that flow directly or indirectly into TNWs
Wetlands directly abutting RPWs that flow directly or indirectly into TNWs
Wetlands adjacent to but not directly abutting RPWs that flow directly or indirectly into TNWs
Wetlands adjacent to non-RPWs that flow directly or indirectly into TNWs
Impoundments of jurisdictional waters
Isolated (interstate or intrastate) waters, including isolated wetlands
b. Identify (estimate) size of waters of the U.S. in the review area:
Non-wetland waters:
linear feet:
width (ft) and/or
Wetlands:
acres.

acres.

c. Limits (boundaries) of jurisdiction based on: Pick List
Elevation of established OHWM (if known):
.
2.

1

Non-regulated waters/wetlands (check if applicable):3
Potentially jurisdictional waters and/or wetlands were assessed within the review area and determined to be not jurisdictional.
Explain:
.

Boxes checked below shall be supported by completing the appropriate sections in Section III below.
For purposes of this form, an RPW is defined as a tributary that is not a TNW and that typically flows year-round or has continuous flow at least “seasonally”
(e.g., typically 3 months).
3
Supporting documentation is presented in Section III.F.
2

SECTION III: CWA ANALYSIS
A.

TNWs AND WETLANDS ADJACENT TO TNWs
The agencies will assert jurisdiction over TNWs and wetlands adjacent to TNWs. If the aquatic resource is a TNW, complete
Section III.A.1 and Section III.D.1. only; if the aquatic resource is a wetland adjacent to a TNW, complete Sections III.A.1 and 2
and Section III.D.1.; otherwise, see Section III.B below.
1.

TNW
Identify TNW:

.

Summarize rationale supporting determination:
2.

B.

.

Wetland adjacent to TNW
Summarize rationale supporting conclusion that wetland is “adjacent”:

.

CHARACTERISTICS OF TRIBUTARY (THAT IS NOT A TNW) AND ITS ADJACENT WETLANDS (IF ANY):
This section summarizes information regarding characteristics of the tributary and its adjacent wetlands, if any, and it helps
determine whether or not the standards for jurisdiction established under Rapanos have been met.
The agencies will assert jurisdiction over non-navigable tributaries of TNWs where the tributaries are “relatively permanent
waters” (RPWs), i.e. tributaries that typically flow year-round or have continuous flow at least seasonally (e.g., typically 3
months). A wetland that directly abuts an RPW is also jurisdictional. If the aquatic resource is not a TNW, but has year-round
(perennial) flow, skip to Section III.D.2. If the aquatic resource is a wetland directly abutting a tributary with perennial flow,
skip to Section III.D.4.
A wetland that is adjacent to but that does not directly abut an RPW requires a significant nexus evaluation. Corps districts and
EPA regions will include in the record any available information that documents the existence of a significant nexus between a
relatively permanent tributary that is not perennial (and its adjacent wetlands if any) and a traditional navigable water, even
though a significant nexus finding is not required as a matter of law.
If the waterbody4 is not an RPW, or a wetland directly abutting an RPW, a JD will require additional data to determine if the
waterbody has a significant nexus with a TNW. If the tributary has adjacent wetlands, the significant nexus evaluation must
consider the tributary in combination with all of its adjacent wetlands. This significant nexus evaluation that combines, for
analytical purposes, the tributary and all of its adjacent wetlands is used whether the review area identified in the JD request is
the tributary, or its adjacent wetlands, or both. If the JD covers a tributary with adjacent wetlands, complete Section III.B.1 for
the tributary, Section III.B.2 for any onsite wetlands, and Section III.B.3 for all wetlands adjacent to that tributary, both onsite
and offsite. The determination whether a significant nexus exists is determined in Section III.C below.
1.

Characteristics of non-TNWs that flow directly or indirectly into TNW
(i)

General Area Conditions:
Watershed size:
Pick List
Drainage area:
Pick List
Average annual rainfall:
inches
Average annual snowfall:
inches

(ii) Physical Characteristics:
(a) Relationship with TNW:
Tributary flows directly into TNW.
Tributary flows through Pick List tributaries before entering TNW.
Project waters are Pick List river miles from TNW.
Project waters are Pick List river miles from RPW.
Project waters are Pick List aerial (straight) miles from TNW.
Project waters are Pick List aerial (straight) miles from RPW.
Project waters cross or serve as state boundaries. Explain:
.
Identify flow route to TNW5:
Tributary stream order, if known:

4

.
.

Note that the Instructional Guidebook contains additional information regarding swales, ditches, washes, and erosional features generally and in the arid
West.
5
Flow route can be described by identifying, e.g., tributary a, which flows through the review area, to flow into tributary b, which then flows into TNW.

(b) General Tributary Characteristics (check all that apply):
Tributary is:
Natural
Artificial (man-made). Explain:
.
Manipulated (man-altered). Explain:

.

Tributary properties with respect to top of bank (estimate):
Average width:
feet
Average depth:
feet
Average side slopes: Pick List.
Primary tributary substrate composition (check all that apply):
Silts
Sands
Cobbles
Gravel
Bedrock
Vegetation. Type/% cover:
Other. Explain:
.

Concrete
Muck

Tributary condition/stability [e.g., highly eroding, sloughing banks]. Explain:
Presence of run/riffle/pool complexes. Explain:
.
Tributary geometry: Pick List
Tributary gradient (approximate average slope):
%

.

(c) Flow:
Tributary provides for: Pick List
Estimate average number of flow events in review area/year: Pick List
Describe flow regime:
.
Other information on duration and volume:
.
Surface flow is: Pick List. Characteristics:
Subsurface flow: Pick List. Explain findings:
Dye (or other) test performed:
.

.
.

Tributary has (check all that apply):
Bed and banks
OHWM6 (check all indicators that apply):
clear, natural line impressed on the bank
changes in the character of soil
shelving
vegetation matted down, bent, or absent
leaf litter disturbed or washed away
sediment deposition
water staining
other (list):
Discontinuous OHWM.7 Explain:
.

the presence of litter and debris
destruction of terrestrial vegetation
the presence of wrack line
sediment sorting
scour
multiple observed or predicted flow events
abrupt change in plant community

If factors other than the OHWM were used to determine lateral extent of CWA jurisdiction (check all that apply):
High Tide Line indicated by:
Mean High Water Mark indicated by:
oil or scum line along shore objects
survey to available datum;
fine shell or debris deposits (foreshore)
physical markings;
physical markings/characteristics
vegetation lines/changes in vegetation types.
tidal gauges
other (list):
(iii) Chemical Characteristics:
Characterize tributary (e.g., water color is clear, discolored, oily film; water quality; general watershed characteristics, etc.).
Explain:
.
Identify specific pollutants, if known:
.

6

A natural or man-made discontinuity in the OHWM does not necessarily sever jurisdiction (e.g., where the stream temporarily flows underground, or where
the OHWM has been removed by development or agricultural practices). Where there is a break in the OHWM that is unrelated to the waterbody’s flow
regime (e.g., flow over a rock outcrop or through a culvert), the agencies will look for indicators of flow above and below the break.
7
Ibid.

(iv) Biological Characteristics. Channel supports (check all that apply):
Riparian corridor. Characteristics (type, average width):
.
Wetland fringe. Characteristics:
.
Habitat for:
Federally Listed species. Explain findings:
.
Fish/spawn areas. Explain findings:
.
Other environmentally-sensitive species. Explain findings:
Aquatic/wildlife diversity. Explain findings:
.
2.

.

Characteristics of wetlands adjacent to non-TNW that flow directly or indirectly into TNW
(i)

Physical Characteristics:
(a) General Wetland Characteristics:
Properties:
Wetland size:
acres
Wetland type. Explain:
.
Wetland quality. Explain:
.
Project wetlands cross or serve as state boundaries. Explain:

.

(b) General Flow Relationship with Non-TNW:
Flow is: Pick List. Explain:
.
Surface flow is: Pick List
Characteristics:
.
Subsurface flow: Pick List. Explain findings:
Dye (or other) test performed:
.

.

(c) Wetland Adjacency Determination with Non-TNW:
Directly abutting
Not directly abutting
Discrete wetland hydrologic connection. Explain:
Ecological connection. Explain:
.
Separated by berm/barrier. Explain:
.

.

(d) Proximity (Relationship) to TNW
Project wetlands are Pick List river miles from TNW.
Project waters are Pick List aerial (straight) miles from TNW.
Flow is from: Pick List.
Estimate approximate location of wetland as within the Pick List floodplain.
(ii) Chemical Characteristics:
Characterize wetland system (e.g., water color is clear, brown, oil film on surface; water quality; general watershed
characteristics; etc.). Explain:
.
Identify specific pollutants, if known:
.
(iii) Biological Characteristics. Wetland supports (check all that apply):
Riparian buffer. Characteristics (type, average width):
.
Vegetation type/percent cover. Explain:
.
Habitat for:
Federally Listed species. Explain findings:
.
Fish/spawn areas. Explain findings:
.
Other environmentally-sensitive species. Explain findings:
.
Aquatic/wildlife diversity. Explain findings:
.
3.

Characteristics of all wetlands adjacent to the tributary (if any)
All wetland(s) being considered in the cumulative analysis: Pick List
Approximately (
) acres in total are being considered in the cumulative analysis.

For each wetland, specify the following:
Directly abuts? (Y/N)

Size (in acres)

Directly abuts? (Y/N)

Summarize overall biological, chemical and physical functions being performed:

C.

Size (in acres)

.

SIGNIFICANT NEXUS DETERMINATION
A significant nexus analysis will assess the flow characteristics and functions of the tributary itself and the functions performed
by any wetlands adjacent to the tributary to determine if they significantly affect the chemical, physical, and biological integrity
of a TNW. For each of the following situations, a significant nexus exists if the tributary, in combination with all of its adjacent
wetlands, has more than a speculative or insubstantial effect on the chemical, physical and/or biological integrity of a TNW.
Considerations when evaluating significant nexus include, but are not limited to the volume, duration, and frequency of the flow
of water in the tributary and its proximity to a TNW, and the functions performed by the tributary and all its adjacent
wetlands. It is not appropriate to determine significant nexus based solely on any specific threshold of distance (e.g. between a
tributary and its adjacent wetland or between a tributary and the TNW). Similarly, the fact an adjacent wetland lies within or
outside of a floodplain is not solely determinative of significant nexus.
Draw connections between the features documented and the effects on the TNW, as identified in the Rapanos Guidance and
discussed in the Instructional Guidebook. Factors to consider include, for example:

Does the tributary, in combination with its adjacent wetlands (if any), have the capacity to carry pollutants or flood waters to
TNWs, or to reduce the amount of pollutants or flood waters reaching a TNW?

Does the tributary, in combination with its adjacent wetlands (if any), provide habitat and lifecycle support functions for fish and
other species, such as feeding, nesting, spawning, or rearing young for species that are present in the TNW?

Does the tributary, in combination with its adjacent wetlands (if any), have the capacity to transfer nutrients and organic carbon that
support downstream foodwebs?

Does the tributary, in combination with its adjacent wetlands (if any), have other relationships to the physical, chemical, or
biological integrity of the TNW?
Note: the above list of considerations is not inclusive and other functions observed or known to occur should be documented
below:

D.

1.

Significant nexus findings for non-RPW that has no adjacent wetlands and flows directly or indirectly into TNWs. Explain
findings of presence or absence of significant nexus below, based on the tributary itself, then go to Section III.D:
.

2.

Significant nexus findings for non-RPW and its adjacent wetlands, where the non-RPW flows directly or indirectly into
TNWs. Explain findings of presence or absence of significant nexus below, based on the tributary in combination with all of its
adjacent wetlands, then go to Section III.D:
.

3.

Significant nexus findings for wetlands adjacent to an RPW but that do not directly abut the RPW. Explain findings of
presence or absence of significant nexus below, based on the tributary in combination with all of its adjacent wetlands, then go to
Section III.D:
.

DETERMINATIONS OF JURISDICTIONAL FINDINGS. THE SUBJECT WATERS/WETLANDS ARE (CHECK ALL
THAT APPLY):
1.

TNWs and Adjacent Wetlands. Check all that apply and provide size estimates in review area:
TNWs:
linear feet
width (ft), Or,
acres.
Wetlands adjacent to TNWs:
acres.

2.

RPWs that flow directly or indirectly into TNWs.
Tributaries of TNWs where tributaries typically flow year-round are jurisdictional. Provide data and rationale indicating that
tributary is perennial:
.
Tributaries of TNW where tributaries have continuous flow “seasonally” (e.g., typically three months each year) are
jurisdictional. Data supporting this conclusion is provided at Section III.B. Provide rationale indicating that tributary flows
seasonally:
.

Provide estimates for jurisdictional waters in the review area (check all that apply):
Tributary waters:
linear feet
width (ft).
Other non-wetland waters:
acres.
Identify type(s) of waters:
.
3.

Non-RPWs8 that flow directly or indirectly into TNWs.
Waterbody that is not a TNW or an RPW, but flows directly or indirectly into a TNW, and it has a significant nexus with a
TNW is jurisdictional. Data supporting this conclusion is provided at Section III.C.
Provide estimates for jurisdictional waters within the review area (check all that apply):
Tributary waters:
linear feet
width (ft).
Other non-wetland waters:
acres.
Identify type(s) of waters:
.

4.

Wetlands directly abutting an RPW that flow directly or indirectly into TNWs.
Wetlands directly abut RPW and thus are jurisdictional as adjacent wetlands.
Wetlands directly abutting an RPW where tributaries typically flow year-round. Provide data and rationale
indicating that tributary is perennial in Section III.D.2, above. Provide rationale indicating that wetland is
directly abutting an RPW:
.
Wetlands directly abutting an RPW where tributaries typically flow “seasonally.” Provide data indicating that tributary is
seasonal in Section III.B and rationale in Section III.D.2, above. Provide rationale indicating that wetland is directly
abutting an RPW:
.
Provide acreage estimates for jurisdictional wetlands in the review area:

5.

Wetlands adjacent to but not directly abutting an RPW that flow directly or indirectly into TNWs.
Wetlands that do not directly abut an RPW, but when considered in combination with the tributary to which they are adjacent
and with similarly situated adjacent wetlands, have a significant nexus with a TNW are jurisidictional. Data supporting this
conclusion is provided at Section III.C.
Provide acreage estimates for jurisdictional wetlands in the review area:

6.

E.

acres.

Impoundments of jurisdictional waters.9
As a general rule, the impoundment of a jurisdictional tributary remains jurisdictional.
Demonstrate that impoundment was created from “waters of the U.S.,” or
Demonstrate that water meets the criteria for one of the categories presented above (1-6), or
Demonstrate that water is isolated with a nexus to commerce (see E below).

ISOLATED [INTERSTATE OR INTRA-STATE] WATERS, INCLUDING ISOLATED WETLANDS, THE USE,
DEGRADATION OR DESTRUCTION OF WHICH COULD AFFECT INTERSTATE COMMERCE, INCLUDING ANY
SUCH WATERS (CHECK ALL THAT APPLY):10
which are or could be used by interstate or foreign travelers for recreational or other purposes.
from which fish or shellfish are or could be taken and sold in interstate or foreign commerce.
which are or could be used for industrial purposes by industries in interstate commerce.
Interstate isolated waters. Explain:
.
Other factors. Explain:
.
Identify water body and summarize rationale supporting determination:

8

acres.

Wetlands adjacent to non-RPWs that flow directly or indirectly into TNWs.
Wetlands adjacent to such waters, and have when considered in combination with the tributary to which they are adjacent and
with similarly situated adjacent wetlands, have a significant nexus with a TNW are jurisdictional. Data supporting this
conclusion is provided at Section III.C.
Provide estimates for jurisdictional wetlands in the review area:

7.

acres.

.

See Footnote # 3.
To complete the analysis refer to the key in Section III.D.6 of the Instructional Guidebook.
10
Prior to asserting or declining CWA jurisdiction based solely on this category, Corps Districts will elevate the action to Corps and EPA HQ for
review consistent with the process described in the Corps/EPA Memorandum Regarding CWA Act Jurisdiction Following Rapanos.
9

Provide estimates for jurisdictional waters in the review area (check all that apply):
Tributary waters:
linear feet
width (ft).
Other non-wetland waters:
acres.
Identify type(s) of waters:
.
Wetlands:
acres.

F.

NON-JURISDICTIONAL WATERS, INCLUDING WETLANDS (CHECK ALL THAT APPLY):
If potential wetlands were assessed within the review area, these areas did not meet the criteria in the 1987 Corps of Engineers
Wetland Delineation Manual and/or appropriate Regional Supplements.
Review area included isolated waters with no substantial nexus to interstate (or foreign) commerce.
Prior to the Jan 2001 Supreme Court decision in “SWANCC,” the review area would have been regulated based solely on the
“Migratory Bird Rule” (MBR).
Waters do not meet the “Significant Nexus” standard, where such a finding is required for jurisdiction. Explain:
.
Other: (explain, if not covered above):
.
Provide acreage estimates for non-jurisdictional waters in the review area, where the sole potential basis of jurisdiction is the MBR
factors (i.e., presence of migratory birds, presence of endangered species, use of water for irrigated agriculture), using best professional
judgment (check all that apply):
Non-wetland waters (i.e., rivers, streams):
linear feet
width (ft).
Lakes/ponds:
acres.
Other non-wetland waters:
acres. List type of aquatic resource:
.
Wetlands:
acres.
Provide acreage estimates for non-jurisdictional waters in the review area that do not meet the “Significant Nexus” standard, where such
a finding is required for jurisdiction (check all that apply):
Non-wetland waters (i.e., rivers, streams):
linear feet,
width (ft).
Lakes/ponds:
acres.
Other non-wetland waters:
acres. List type of aquatic resource:
.
Wetlands:
acres.

SECTION IV: DATA SOURCES.
A. SUPPORTING DATA. Data reviewed for JD (check all that apply - checked items shall be included in case file and, where checked
and requested, appropriately reference sources below):
Maps, plans, plots or plat submitted by or on behalf of the applicant/consultant:
.
Data sheets prepared/submitted by or on behalf of the applicant/consultant.
Office concurs with data sheets/delineation report.
Office does not concur with data sheets/delineation report.
Data sheets prepared by the Corps:
.
Corps navigable waters’ study:
.
U.S. Geological Survey Hydrologic Atlas:
.
USGS NHD data.
USGS 8 and 12 digit HUC maps.
U.S. Geological Survey map(s). Cite scale & quad name:
.
USDA Natural Resources Conservation Service Soil Survey. Citation:
.
National wetlands inventory map(s). Cite name:
.
State/Local wetland inventory map(s):
.
FEMA/FIRM maps:
.
100-year Floodplain Elevation is:
(National Geodectic Vertical Datum of 1929)
Photographs:
Aerial (Name & Date):
.
or
Other (Name & Date):
.
Previous determination(s). File no. and date of response letter:
.
Applicable/supporting case law:
.
Applicable/supporting scientific literature:
.
Other information (please specify):
.

B. ADDITIONAL COMMENTS TO SUPPORT JD:

.

A5
CORPS LABELS

Preliminary JD Labels:
* * * * P R E L I M I N A R Y (RGL 08-02)* * * *

SECTION 404 JURISDICTIONAL DELINEATION
U.S. Army Corps of Engineers, Los Angeles District
Application No. SPL -_______-_________-_________

* * * * P R E L I M I N A R Y (RGL 08-02)* * * *

SECTION 404 JURISDICTIONAL DELINEATION
U.S. Army Corps of Engineers, Los Angeles District
Application No. SPL -_______-_________-_________

------Boundary of area surveyed for
jurisdictional waters of the United States
------Approximate Ordinary High Water Mark

------Boundary of area surveyed for
jurisdictional waters of the United States
------Approximate Ordinary High Water Mark

------Potential Waters of the United States

------Potential Waters of the United States

------Potential Wetlands (If legend is blank no
wetlands occur with survey area.)

------Potential Wetlands (If legend is blank no
wetlands occur with survey area.)

________Scale _______________Date of Photograph
______Site Visit by Corps(Y/N) Date:_____________
_________________Date Delineation issued by Corps
_________________________Corps Project Manager
Sheet _____ of _____

* * * * P R E L I M I N A R Y (RGL 08-02)* * * *

________Scale _______________Date of Photograph
______Site Visit by Corps(Y/N) Date:_____________
_________________Date Delineation issued by Corps
_________________________Corps Project Manager
Sheet _____ of _____

* * * * P R E L I M I N A R Y (RGL 08-02)* * * *

Approved JD Labels:
SECTION 404 JURISDICTIONAL DELINEATION
U.S. Army Corps of Engineers, Los Angeles District
Application No. SPL -_______-_________-_________
------Boundary of area surveyed for
jurisdictional waters of the United States
------Ordinary High Water Mark
------Waters of the United States
------Wetlands (If legend is blank no
wetlands occur with survey area.)
________Scale _______________Date of Photograph
______ Site Visit by Corps(Y/N) Date:_____________
_________________Date Delineation issued by Corps
_________________________Corps Project Manager
Sheet _____ of _____

SECTION 404 JURISDICTIONAL DELINEATION
U.S. Army Corps of Engineers, Los Angeles District
Application No. SPL -_______-_________-_________
------Boundary of area surveyed for
jurisdictional waters of the United States
------Ordinary High Water Mark
------Waters of the United States
------Wetlands (If legend is blank no
wetlands occur with survey area.)
________Scale _______________Date of Photograph
______ Site Visit by Corps(Y/N) Date:_____________
_________________Date Delineation issued by Corps
_________________________Corps Project Manager
Sheet _____ of _____

A6
TABLE 1 - JD PHYSICAL CHARACTERISTICS

Table 1. J.D. Physical Characteristics & Other Information
Project Name and No.
Date
YES / NO

Wash No. or
Name
wash sample

MP

Vegetation
Difference
Between Wash
& Upland

Change in Soil Waterline Mark
Characteristics on Bank

Water Stains

Shelving or
Cut Banks

YES/NO

Sediments
Exposed Roots Deposits

Presence of
Wash Depth (ft
Litter or Debris Wash Width (ft) or in)

Ground Photo
Numbers

Existing
Drainage
Structure Type
text

WOUS

A7
ADOT COVER LETTER

(Place letter on current ADOT letterhead)

Ms. Sallie Diebolt, Chief
Arizona Section Regulatory Branch
US Army Corps of Engineers
3636 North Central Avenue, Suite 900
Phoenix, AZ 85012
Attention: Kathleen Tucker
Re: [Purpose of the package, JD, PCN, etc.]
Preliminary Jurisdictional Delineation
040 AP 316 H6924 01C
Dead River EB Structure No. 565, Scour Repair
USACE File No.: if available
Dear Ms. Diebolt:
Provide brief project description including: type of project (scour protection, drainage
improvement, widening, etc.), location such as highway, milepost, geographic reference point,
Township, Range, Section, LAT/LONG NAD83, and USGS maps reference.
The Arizona Department of Transportation (ADOT) is planning to install concrete scour
protection at the Eastbound (EB) Dead River bridge Structure No. 565 on Interstate 40 (I-40)
from milepost (MP) 315.87 to MP 316.17 located approximately 30 miles northeast of Holbrook,
Apache County, Arizona (Figures 1 and 2). The project occurs within and adjacent to an ADOT
easement through undeveloped New Lands under the jurisdiction of the Navajo Nation. The
cadastral location for the project area is SE ¼ of Section 32, Township 20N, Range 25E (Gila
and Salt River Baseline and Meridian). The Dead River EB bridge crosses the Dead Wash at
UTM 618010mE, 3883003mN, NAD 83, Zone 12N.
Provide any other pertinent information that is not documented in any attached document
A ground survey to identify waters of the US in the project area was completed on October 25,
2007 by consultant name, firm’s name. The aerial photograph used during the ground survey
was taken on an unknown date in 2005. Although the aerial photograph is more than 2 years
old, it still accurately depicts waters of the US. Within the survey area, approximately 2.42 acres
of the Dead Wash is proposed as waters of the US.
Provide a list of attachments, if necessary.
This letter serves as a request for review and issue of the preliminary jurisdictional delineation.
Included for your review are the following items:
 State Location (Figure 1) and Project Vicinity (Figure 2) Maps
 Topographic and Floodplain Map (Figure 3)
 Drainage Area Map (Figure 4)
 Proposed Jurisdictional Delineation with Photo Points (Figure 5)
 Ground Photos
 JD Tables with Physical Characteristics and Other Information
If you have any questions or require additional information, please feel free to call me at
602.712.8633. Thank you for your assistance.
Sincerely,
EPG Planner
Environmental Planner
ADOT Environmental Planning Group

A8
CHECKLIST FOR SUBMITTING A SECTION 404 JURISDICTIONAL DELINEATION
(EPG)

Checklist for Submitting a Section 404 Jurisdictional Delineation (JD)
Instructions: The Consultant and the ADOT EPG planner will check the appropriate box to verify that the
JD package meets Corps’ requirements. If any of the items are not complete, the EPG planner will return
the JD package to the consultant for correction. Refer to ADOT’s Environmental Services and Planning
website for guidance and templates.
Consultant

EPG
Planner

QC Checklist Items
Signed cover letter from EPG Planner.
Project location maps, including USGS map and FEMA floodplain map.
Table 1: JD Physical Characteristics and Other Information
Correct JD form with signature of planner (additional graphics per guidance should
accompany an approved JD form). Include electronic version of Corps water data
sheet if JD is for 5 or more washes.
Delineated aerial photographs (per the Corps drawing standards) of high resolution
and medium to high contrast, taken within the last two years, show overlapping
adjacent properties, be 11" x 17" minimum size, have a scale of 1”= 100’ or 1” =
200’, and include index map.
Ground photographs that clearly illustrate whether or not a drainageway is
jurisdictional.
Electronic copy of all documents (8 ½ x 11 separated from 11 x 17) that are correctly
scaled and submitted via email or FTP site
Additional items (if appropriate):
Wetlands documentation per current Corps guidance and template on
Environmental Services and Planning website.
Correct form and documentation if following the current OHWM Field Guide from
August 2008
Current drainage report and USGS gauge date (if available), Project Plan view
showing 10-year, 5-year and 2-year event surface area, one to two foot contour
intervals overlaid onto aerial at the same scale.
Documentation that substantiates conditions have not changed for reapproving an
expired JD (that was approved by the Corps).

Consultant signature and date

ADOT EPG Planner signature and date

APPENDIX B
404 PERMIT AND PCN TEMPLATES, CHECKLISTS, AND INSTRUCTIONS
(For all fill able versions of the forms, please go to the
http://www.azdot.gov/business/environmental-services-and-planning)

B1
CHECKLIST FOR SECTION 404 NATIONWIDE PERMIT LIMITS AND CONDITIONS
COMPLIANCE AND PRE-CONSTRUCTION NOTIFICATION DECISION PROCESS

Checklist for Section 404 Nationwide Permit Limits and Conditions
Compliance and Pre-Construction Notification Decision Process
Instructions: The Consultant and the ADOT EPG planner will check the appropriate box and/or provide
additional information to document the decision process for determining whether or not a given activity complies
with permit, regional, and general conditions or requires Pre-Construction Notification. If any of the items are not
complete, the EPG planner will return the Checklist to the consultant for correction. Refer to ADOT’s Section
404 Procedures website for current Section 404 information.
Consultant
ADOT EP
Nationwide Permit Number:
Notification Required by Permit
Yes / No
Conditions?
Loss of waters of the US limits (e.g., less than ½ acre, 500 linear
feet):

Proposed activity impacts
Permanent (acres/linear feet)
Wetlands:
Waters of the US:
Temporary (acres/linear feet)
Wetlands:
Waters of the US:
Will discharges to any of the following aquatic resources result from the activity?
Wetlands:
Perennial river:
Other perennial waterbody (e.g., lake):
Federal Threatened and Endangered Species / Critical Habitat
Project-specific species list attached? Yes / No
Determination:
No effect
Not likely to adversely
effect
May effect
Comments:

Section 106 National Historic Preservation Act Concurrence
Concurrence granted?

Yes. Date:
No. Date:
Date Concurrence anticipated (month/year):
Comments:

Is a Pre-Construction Notification Required?
Consultant signature and date:
ADOT EPG signature and date:

Yes / No

B2
PRE-CONSTRUCTION NOTIFICATION – NATIONWIDE/INDIVIDUAL PERMIT
SUBMITTAL GUIDANCE

Pre-Construction Notification – NWP/IP Submittal Guidance
U.S. Army Corps of Engineers ~ Arizona Branch
To facilitate the Regulatory Division’s review and processing of your requests please observe
the following guidelines. Corps guidelines for the processing of Department of the Army
Permits are described in 33 CFR Part 325 and in 40 CFR Part 230.
Submit only information which will assist in the evaluation for the PCN. Concise and
organized information is much easier to review. If your submittal lacks any of the requested
information listed below, it may be returned to you for additional information.

Before beginning, please note:
Only one (1) complete document is required for submittal.
Cultural resource concurrence letters (SHPO and Tribal, and related MOA or PA, as applicable) and
biological reports (BR or BE) are required for all PCN submittals.If the Corps is the lead federal agency
additional documentation may be required for consultation. Biological reports must be current or within 6
months. USFWS evaluation must be per the current list.
Do not duplicate information in the submittal package.
Reference mile post locations (not stationing) in the submittal package.

Minimum information required for processing:
1. Cover letter (see Environmental Services and Planning website for template)
2. Current Eng Form 4345
Application MUST be signed by District Engineer and EPG planner. Original signatures must be included
in submittal to the Corps.
Fill out each block completely per the instructions.

3. Preliminary/Approved JD Aerial /Impact Sheets
Overlay both temporary and permanent impacts of the proposed project on the prelim/approved JD aerial.
Include relevant construction plan sheets and details to scale.
All of these documents must be to a standard engineering scale and have required mapping information.
This includes a legend, appropriate label, and the requirements from the Corps Final Map and Drawing
Standards for the South Pacific Division Regulatory Program, dated August 6, 2012.

4. Floodplain map
Do not need to duplicate state, vicinity, and floodplain maps if the PCN is for a project related to a
previously accepted approved JD or PJD.

5. General and Regional Conditions
Document describing how the project is in compliance with all 31 General Conditions including Regional
Conditions (General Condition 27).
Include all supporting documentation for General Condition 18 and 20.

6. Copy of 401 Individual Certification, if applicable
If applying for an IP and 401certification will be issued by ADEQ, do not submit an Individual 401
Certification application to ADEQ until the 404 Individual Permit Public Notice has posted.

7. Electronic Submittal:
Be sure to separate 8 ½ x 11 and 11 x 17 into two files. Do not submit a combined file. Biology and
Cultural documentation should be separate files.
Submittals under 10MB can be emailed to Kathleen.A.Tucker@usace.army.mil (multiple emails can be
used). Files over 10MB should be uploaded to the Corps FTP site at
https://safe.amrdec.army.mil/safe2/Welcome.aspx

8. A bibliography sheet
Include if referencing other information.

Additional items for IP submittal:
9. 404(b)(1) document
Use the template available on the Environmental Services and Planning website.
Include completed applicable sections.
Submit electronic Word version.

10. Mitigation Plan
11. Electronic versions of aerials, plans and details for Public Notice
12. Labels for all adjacent landowners (MS Word file in Avery 5164 format is preferred)
13. Any comment(s) the Corps provides on a submittal needs to be addressed within 30 days
from receipt

2

B3
PRE-CONSTRUCTION NOTIFICATION / INDIVIDUAL PERMIT COVER LETTER
TEMPLATE

Ms. Sallie Diebolt, Chief
Arizona Section Regulatory Branch
US Army Corps of Engineers
3636 North Central Avenue, Suite 900
Phoenix, AZ 85012
Attention: Kathleen Tucker
Re: [Purpose of the package, JD, PCN, etc.]
Preconstruction Notification Nationwide Permit NWP 14 and NWP 33
040 AP 316 H6924 01C
Dead River EB Structure No. 565, Scour Repair
USACE File No.:
if available
Dear Ms. Diebolt:
Provide brief project description including: type of project (scour protection, drainage
improvement, widening, etc.), location such as highway, milepost, geographic reference point,
Township, Range, Section, LAT/LONG NAD83, and USGS maps reference.
The Arizona Department of Transportation (ADOT) is planning to install concrete scour protection
at the Eastbound (EB) Dead River bridge Structure No. 565 on Interstate 40 (I-40) from milepost
(MP) 315.87 to MP 316.17 located approximately 30 miles northeast of Holbrook, Apache
County, Arizona (Figures 1 and 2). The project occurs within and adjacent to an ADOT easement
through undeveloped New Lands under the jurisdiction of the Navajo Nation. The cadastral
location for the project area is SE ¼ of Section 32, Township 20N, Range 25E (Gila and Salt
River Baseline and Meridian). The Dead River EB bridge crosses the Dead Wash at UTM
618010mE, 3883003mN, NAD 83, Zone 12N.
Provide any other pertinent information that is not documented in any attached document and a
brief summary of the impacts
The Preliminary jurisdictional delineation for this project was approved on July 16, 2008 (Corp
File No. if available). The project will result in xx acres of permanent impact to Waters of the US
due to the installation of the concrete floor and xx acres of temporary impact due to temporary
construction access.
This letter serves as a request for review and approval of the PCN package for this project.
Included for your review are the following items:
 Engineer Form 4345
 State Location (Figure 1) and Project Vicinity (Figure 2) Maps
 Topographic and Floodplain Map (Figure 3)
 Impacts to Waters of the US (Figure 4)
 Profile Sheets, and Access Plan Sheets
 Documentation of Compliance with NWP General and Regional Conditions
 Biological Evaluation
 Cultural Concurrence
If you have any questions or require additional information, please feel free to call me at
602.712.8633. Thank you for your assistance.
Sincerely,
EPG Planner Name
Environmental Planner
ADOT Environmental Planning Group

B4
APPLICATION FOR DEPARTMENT OF THE ARMY PERMIT (ENG FORM 4345)

B5
INSTRUCTIONS FOR PREPARING DEPARTMENT OF THE ARMY PERMIT (ENG
FORM 4345) APPLICATION

Instructions for Preparing a
Department of the Army Permit Application
Blocks 1 through 4. To be completed by Corps of Engineers.
Block 5. Applicant’s Name. Enter the name and the E-mail address of the responsible party or parties. If the
responsible party is an agency, company, corporation, or other organization, indicate the name of the organization
and responsible officer and title. If more than one party is associated with the application, please attach a sheet with
the necessary information marked Block 5.
Block 6. Address of Applicant. Please provide the full address of the party or parties responsible for the application.
If more space is needed, attach an extra sheet of paper marked Block 6.
Block 7. Applicant Telephone Number(s). Please provide the number where you can usually be reached during
normal business hours.
Blocks 8 through 11. To be completed, if you choose to have an agent.
Block 8. Authorized Agent’s Name and Title. Indicate name of individual or agency, designated by you, to
represent you in this process. An agent can be an attorney, builder, contractor, engineer, or any other person or
organization. Note: An agent is not required.
Blocks 9 and 10. Agent’s Address and Telephone Number. Please provide the complete mailing address of the
agent, along with the telephone number where he / she can be reached during normal business hours.
Block 11. Statement of Authorization. To be completed by applicant, if an agent is to be employed.
Block 12. Proposed Project Name or Title. Please provide name identifying the proposed project, e.g., Landmark
Plaza, Burned Hills Subdivision, or Edsall Commercial Center.
Block 13. Name of Waterbody. Please provide the name of any stream, lake, marsh, or other waterway to be
directly impacted by the activity. If it is a minor (no name) stream, identify the waterbody the minor stream enters.
Block 14. Proposed Project Street Address. If the proposed project is located at a site having a street address (not
a box number), please enter it here.
Block 15. Location of Proposed Project. Enter the latitude and longitude of where the proposed project is located.
If more space is required, please attach a sheet with the necessary information marked Block 15.
Block 16. Other Location Descriptions. If available, provide the Tax Parcel Identification number of the site,
Section, Township, and Range of the site (if known), and / or local Municipality that the site is located in.
Block 17. Directions to the Site. Provide directions to the site from a known location or landmark. Include highway
and street numbers as well as names. Also provide distances from known locations and any other information that
would assist in locating the site. You may also provide description of the proposed project location, such as lot
numbers, tract numbers, or you may choose to locate the proposed project site from a known point (such as the right
descending bank of Smith Creek, one mile downstream from the Highway 14 bridge). If a large river or stream,
include the river mile of the proposed project site if known
Block 18. Nature of Activity. Describe the overall activity or project. Give appropriate dimensions of structures such
as wing walls, dikes (identify the materials to be used in construction, as well as the methods by which the work is to
be done), or excavations (length, width, and height). Indicate whether discharge of dredged or fill material is involved.
Also, identify any structure to be constructed on a fill, piles, or float-supported platforms.
The written descriptions and illustrations are an important part of the application. Please describe, in detail, what you
wish to do. If more space is needed, attach an extra sheet of paper marked Block 18.
Block 19. Proposed Project Purpose. Describe the purpose and need for the proposed project. What will it be used
for and why? Also include a brief description of any related activities to be developed as the result of the proposed
project. Give the approximate dates you plan to both begin and complete all work.

Block 20. Reasons for Discharge. If the activity involves the discharge of dredged and/or fill material into a wetland
or other waterbody, including the temporary placement of material, explain the specific purpose of the placement of
the material (such as erosion control).
Block 21. Types of Material Being Discharged and the Amount of Each Type in Cubic Yards. Describe the
material to be discharged and amount of each material to be discharged within Corps jurisdiction. Please be sure this
description will agree with your illustrations. Discharge material includes: rock, sand, clay, concrete, etc.
Block 22. Surface Areas of Wetlands or Other Waters Filled. Describe the area to be filled at each location.
Specifically identify the surface areas, or part thereof, to be filled. Also include the means by which the discharge is to
be done (backhoe, dragline, etc.). If dredged material is to be discharged on an upland site, identify the site and the
steps to be taken (if necessary) to prevent runoff from the dredged material back into a waterbody. If more space is
needed, attach an extra sheet of paper marked Block 22.
Block 23. Description of Avoidance, Minimization, and Compensation. Provide a brief explanation describing
how impacts to waters of the United States are being avoided and minimized on the project site. Also provide a brief
description of how impacts to waters of the United States will be compensated for, or a brief statement explaining why
compensatory mitigation should not be required for those impacts.
Block 24. Is Any Portion of the Work Already Complete? Provide any background on any part of the proposed
project already completed. Describe the area already developed, structures completed, any dredged or fill material
already discharged, the type of material, volume in cubic yards, acres filled, if a wetland or other waterbody (in acres
or square feet). If the work was done under an existing Corps permit, identity the authorization, if possible.
Block 25. Names and Addresses of Adjoining Property Owners, Lessees, etc., Whose Property Adjoins the
Project Site. List complete names and full mailing addresses of the adjacent property owners (public and private)
lessees, etc., whose property adjoins the waterbody or aquatic site where the work is being proposed so that they
may be notified of the proposed activity (usually by public notice). If more space is needed, attach an extra sheet of
paper marked Block 24.
Information regarding adjacent landowners is usually available through the office of the tax assessor in the
county or counties where the project is to be developed.
Block 26. Information about Approvals or Denials by Other Agencies. You may need the approval of other
federal, state, or local agencies for your project. Identify any applications you have submitted and the status, if any
(approved or denied) of each application. You need not have obtained all other permits before applying for a Corps
permit.
Block 27. Signature of Applicant or Agent. The application must be signed by the owner or other authorized party
(agent). This signature shall be an affirmation that the party applying for the permit possesses the requisite property
rights to undertake the activity applied for (including compliance with special conditions, mitigation, etc.).

DRAWINGS AND ILLUSTRATIONS
General Information.
Three types of illustrations are needed to properly depict the work to be undertaken. These illustrations or drawings
are identified as a Vicinity Map, a Plan View or a Typical Cross-Section Map. Identify each illustration with a figure or
attachment number.
Please submit one original, or good quality copy, of all drawings on 8½ x11 inch plain white paper (electronic media
may be substituted). Use the fewest number of sheets necessary for your drawings or illustrations.
Each illustration should identify the project, the applicant, and the type of illustration (vicinity map, plan view, or crosssection). While illustrations need not be professional (many small, private project illustrations are prepared
by hand), they should be clear, accurate, and contain all necessary information.

B6
CORPS INDIVIDUAL PERMIT SECTION 404(B)(1) TEMPLATE

CESPL-CO-RA
Application XXX-XXXX-XXXXX (ORM number)
MEMORANDUM FOR RECORD
SUBJECT: Department of the Army Environmental Assessment and Statement of Finding for
Above-Numbered Permit Application
This document constitutes the Environmental Assessment, 404(b)(1) Guidelines Evaluation, Public
Interest Review, and Statement of Findings.
1.

Application as described in the public notice.
APPLICANT:
WATERWAY & LOCATION:
LATITUDE & LONGITUDE: Latitude North:
Longitude West:
PROJECT PURPOSE
Basic:
Overall:
Water Dependency Determination:
PROPOSED WORK:
Avoidance and Minimization Information:
Compensatory Mitigation:
EXISTING CONDITIONS:

2. Authority.
Section 10 of the Rivers and Harbors Act of 1899 (33 U.S.C. §403).
Section 404 of the Clean Water Act (33 U.S.C. §1344).
Section 103 of the Marine Protection, Research and Sanctuaries Act of 1972 (33 U.S.C. 1413).
3. Scope of Analysis.
a. NEPA. (Write an explanation of rationale in each section, as appropriate)
(1) Factors.
(i) Whether or not the regulated activity comprises "merely a link" in a corridor type
project.

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
(ii) Whether there are aspects of the upland facility in the immediate vicinity of the
regulated activity which affect the location and configuration of the regulated
activity.
(iii) The extent to which the entire project will be within the Corps jurisdiction.
(iv) The extent of cumulative Federal control and responsibility.
(2) Determined scope.
Only within the footprint of the regulated activity within the delineated water.
Over entire property. Explain.
b. NHPA "Permit Area".
(1) Tests. Activities outside the waters of the United States are/ are not included
because all of the following tests are/ are not satisfied: Such activity would/
would not occur but for the authorization of the work or structures within the
waters of the United States; Such activity is/ is not integrally related to the work
or structures to be authorized within waters of the United States (or, conversely, the
work or structures to be authorized must be essential to the completeness of the
overall project or program); and Such activity is/ is not directly associated(first
order impact) with the work or structures to be authorized. Explain.
(2) Determined scope. Describe.
c. ESA "Action Area".
(1) Action area means all areas to be affected directly or indirectly by the Federal action
and not merely the immediate area involved in the action.
(2) Determined scope. Describe.
d. Public notice comments.

NA

(1) The public also provided comments at
Explain.

public hearing,

public meeting, and/or

(2) Commentors and issued raised.
(3) Site was/ was not visited by the Corps to obtain information in addition to
delineating jurisdiction. Include dates and synopsis of information gathered if site was
visited.
(4) Issues identified by the Corps. Describe.

Page 2

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
(5) Issues/comments forwarded to the applicant.
(6) Applicant replied/provided views.

NA/

NA/

Yes.

Yes.

(7) The following comments are not discussed further in this document as they are
outside the Corps purview.
NA/ Yes Explain.
4. Alternatives Analysis.
a. Basic and Overall Project Purpose (as stated by applicant and independent definition by
Corps).
Same as Project Purpose in Paragraph 1.
Revised: Insert revised project purpose here and explain why it was revised.
b. Water Dependency Determination:
Same as in Paragraph 1.
Revised: Insert revised water dependency determination here if it has changed due to
changing project purpose or new information.
c. Applicant preferred alternative site and site configuration.
Same as Project Description in Paragraph 1.
Revised: Explain any difference from Paragraph 1
Criteria. Include issue and measurement and/or constraint.
d. Off-site locations and configuration(s) for each. (e.g. alternatives located on property
not currently owned by the applicant are not practicable under the Section 404(b)(1)
Guidelines as this project is the construction or expansion of a single family home and
attendant features, such as a driveway, garage, storage shed, or septic field; or the
construction or expansion of a barn or other farm building; or the expansion of a small
business facility; and involves discharges of dredged or fill material less than two acres into
jurisdictional wetlands.)
Off-site locations and configurations – description and comparison to criteria
e. ( NA) Site selected for further analysis and why.
f. On-site configurations. Description and comparison to criteria
g. Other alternatives not requiring a permit, including No Action. Description and
comparison to criteria
h. Alternatives not practicable or reasonable. Describe/explain
i. Least environmentally damaging practicable alternative. Describe/explain

Page 3

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
5. Evaluation of the 404(b)(1) Guidelines. (

NA)

a. Factual determinations.
Physical Substrate.
See Existing Conditions, paragraph 1
Water circulation, fluctuation,and salinity.
Addressed in the Water Quality Certification.
Suspended particulate/turbidity.
Turbidity controls in Water Quality Certification.
Contaminant availability.
General Condition requires clean fill.
Aquatic ecosystem and organism.
Wetland/wildlife evaluations, paragraphs 5, 6, 7 & 8.
Proposed disposal site.
Public interest, paragraph 7.
Cumulative effects on the aquatic ecosystem.
See Paragraph 7.e.
Secondary effects on the aquatic ecosystem.
See Paragraph 7.e.

b. Restrictions on discharges (230.10).
(1) It has/ has not been demonstrated in paragraph 5 that there are no
practicable nor less damaging alternatives which could satisfy the project's basic
purpose. The activity is/ is not located in a special aquatic site (wetlands,
sanctuaries, and refuges, mudflats, vegetated shallows, coral reefs, riffle & pool
complexes). The activity does/ does not need to be located in a special
aquatic site to fulfill its basic purpose.
(2) The proposed activity does/ does not violate applicable State water quality
standards or Section 307 prohibitions or effluent standards ( based on
information from the certifying agency that the Corps could proceed with a
provisional determination). The proposed activity does/ does not
jeopardize the continued existence of federally listed threatened or endangered
species or affects their critical habitat. The proposed activity does/ does
Page 4

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
not violate the requirements of a federally designate marine sanctuary.

(3) The activity will/ will not cause or contribute to significant degradation of
waters of the United States, including adverse effects on human health; life
stages of aquatic organisms' ecosystem diversity, productivity and stability; and
recreation, esthetic, and economic values.
(4) Appropriate and practicable steps have/ have not been taken to minimize
potential adverse impacts of the discharge on the aquatic ecosystem (see
Paragraph 8 for description of mitigative actions).
6. Public Interest Review: All public interest factors have been reviewed as summarized here.
Both cumulative and secondary impacts on the public interest were considered. Public
interest factors that have had additional information relevant to the decision are discussed in
number 7.
+ Beneficial effect
0 Negligible effect
- Adverse effect
M Neutral as result of mitigative action
+

0

-

M
Conservation.
Economics.
Aesthetics.
General environmental concerns.
Wetlands.
Historic properties.
Fish and wildlife values
Flood hazards.
Floodplain values.
Land use.
Navigation.
Shore erosion and accretion.
Recreation.
Water supply and conservation.
Water quality.
Energy needs.
Safety.
Food and fiber production.
Mineral needs.
Considerations of property ownership.
Needs and welfare of the people.

Page 5

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
7. Effects, policies and other laws.
a.

NA

Public Interest Factors. (add factors that are relevant to specific project that you checked in
number 6 above and add a discussion of that factor)
Factor

Discussion

b. Endangered Species Act.

NA

The proposed project:
(1) Will not affect these threatened or endangered species:
Any/
. Explain.
(2) May affect, but is not likely to adversely affect:
Species:
. Explain.
(3)

Will/ Will not adversely modify designated critical habitat for the
Explain.

(4)

Is/ Is not likely to jeopardize the continued existence of the
Explain.

(5) The Services

concurred/

.

.

provided a Biological Opinion(s). Explain.

c. Historic Properties. The proposed project will/ will not have any affect on any
sites listed, or eligible for listing, in the National Register of Historic Places, or
otherwise of national, state, or local significance based on letter from SHPO/
. Explain.
d. Cumulative & Secondary Impacts. The geographic area for this assessment is the
watershed.
(1)

Baseline. Approximately
% of the watershed area is wetland. There
are also approximately
stream miles contained within the watershed
comprised of
% perennial,
% intermittent, and
%
ephemeral tributaries. Corps permits for the period
has authorized the
Page 6

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
fill of
acres and
linear feet of stream. The projection is that
authorizations will continue at the current rate/ increase/
because
. Natural resource issues of particular concern [from Corps &
non-Corps activities] are
.
(2)

Context. The proposed project is typical of / a precedent / very large
compared to /
other activities in the watershed. Development
similar to the proposal have occurred since
. Future conditions are
expected to be..
. Besides Corps authorized projects, other activities
include.
. Resulting natural resource changes and stresses include
. These resources are also being affected by
. A key issue(s) of
concern in this watershed is/are the
resulting from wetland loss.

(3)

Mitigation and Monitoring. The project affects the following key issue(s):
. The magnitute of the proposed effect is
within the watershed.
Avoidance and minimization methods include
that will result in
. Compensatory mitigation, namely
and monitoring described
in herein will result in
.

Expand this section commensurate with the level of impact and appropriate level of existing and
reasonably forseeable watershed stress to aquatic resources.
e. Corps Wetland Policy. Based on the public interest review herein, the beneficial
effects of the project outweigh the detrimental impacts of the project.
f. ( NA) Water Quality Certification under Section 401 of the Clean Water Act
has/ has not yet been issued by
/ State/ Commonwealth.
g. Other authorizations.
h. (

NA) Significant Issues of Overriding National Importance. Explain.

8. Compensation and other mitigation actions.
a. Compensatory Mitigation
(1) Is compensatory mitigation required?
the rest of this section]

yes

no [If “no,” do not complete

(2) Is the impact in the service area of an approved mitigation bank?

yes

(i) Does the mitigation bank have appropriate number and resource type of
credits available?
yes
no
(3) Is the impact in the service area of an approved in-lieu fee program?
yes
no
Page 7

no

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
(i) Does the in-lieu fee program have appropriate number and resource type of
credits available?
yes
no
(4) Check the selected compensatory mitigation option(s):
mitigation bank credits
in-lieu fee program credits
permittee-responsible mitigation under a watershed approach
permittee-responsible mitigation, on-site and in-kind
permittee-responsible mitigation, off-site and out-of-kind
(5) If a selected compensatory mitigation option deviates from the order of the
options presented in §332.3(b)(2)-(6), explain why the selected compensatory
mitigation option is environmentally preferable. Address the criteria provided in
§332.3(a)(1) (i.e., the likelihood for ecological success and sustainability, the
location of the compensation site relative to the impact site and their
significance within the watershed, and the costs of the compensatory mitigation
project):
(6) Other Mitigative Actions
9. General evaluation criteria under the public interest review. We considered the following
within this document:
a. The relative extent of the public and private need for the proposed structure or work.
(e.g. Public benefits include employment opportunities and a potential increase in the
local tax base. Private benefits include land use and economic return on the property; for
transportation projects benefits include safety, capacity and congestion issues.) Explain.
b.

There are no unresolved conflicts as to resource use. ( There are unresolved
conflicts as to resource use. One or more of the alternative locations and methods
described above are reasonable or practicable to accomplish the objectives of the
proposed structure or work but are not being accepted by the applicant.) ( There are
unresolved conflicts as to resource use however there are no practicable reasonable
alternative locations and methods to accomplish the objective of the purposed work.)
Check the appropriate box, delete the statements that do not apply and explain.

c. The extent and permanence of the beneficial and/or detrimental effects, which the
proposed work is likely to have on the public, and private uses to which the area is
suited.
Detrimental impacts are expected to be minimal although they would be
permanent in the construction area. The beneficial effects associated with utilization of
the property would be permanent. Explain.
10. Determinations.
a. Public Hearing Request:

NA
Page 8

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
I have reviewed and evaluated the requests for a public hearing. There is sufficient
information available to evaluate the proposed project; therefore, the requests for a
public hearing are denied.
b. Section 176(c) of the Clean Air Act General Conformity Rule Review: The proposed
permit action has been analyzed for conformity applicability pursuant to regulations
implementing Section 176(c) of the Clean Air Act. It has been determined that the
activities proposed under this permit will not exceed de minimis levels of direct or
indirect emissions of a criteria pollutant or its precursors and are exempted by 40 CFR
Part 93.153. Any later indirect emissions are generally not within the Corps' continuing
program responsibility and generally cannot be practicably controlled by the Corps. For
these reasons a conformity determination is not required for this permit action.
c. Relevant Presidential Executive Orders.
(1)

EO 13175, Consultation with Indian Tribes, Alaska Natives, and Native
Hawaiians.
This action has no substantial direct effect on one or more
Indian tribes. Explain, if appropriate.

(2)

EO 11988, Floodplain Management. Not in a floodplain. ( Alternatives to
location within the floodplain, minimization, and compensation of the effects
were considered above.)

(3)

EO 12898, Environmental Justice. In accordance with Title III of the Civil
Right Act of 1964 and Executive Order 12898, it has been determined that the
project would not directly or through contractual or other arrangements, use
criteria, methods, or practices that discriminate on the basis of race, color, or
national origin nor would it have a disproportionate effect on minority or lowincome communities.

(4)

EO 13112, Invasive Species.
There were no invasive species issues involved.
The evaluation above included invasive species concerns in the analysis of
impacts at the project site and associated compensatory mitigation projects.
Through special conditions, the permittee will be required to control the
introduction and spread of exotic species.

(5)

EO 13212 and 13302, Energy Supply and Availability.
The project was not
one that will increase the production, transmission, or conservation of energy,
or strengthen pipeline safety. ( The review was expedited and/or other
actions were taken to the extent permitted by law and regulation to accelerate
completion of this energy-related (including pipeline safety) project while
maintaining safety, public health, and environmental protections.)

Page 9

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
b. Finding of No Significant Impact (FONSI). Having reviewed the information provided
by the applicant and all interested parties and an assessment of the environmental
impacts, I find that this permit action will not have a significant impact on the quality of
the human environment. Therefore, an Environmental Impact Statement will not be
required.
c. Compliance with 404(b)(1) guidelines.

NA

Having completed the evaluation in paragraph 5, I have determined that the proposed
discharge complies/ does not comply with the 404(b)(1) guidelines.
d. Public Interest Determination: I find that issuance of a Department of the Army permit
is not/ is contrary to the public interest.

Page 10

CESPL-CO-RA (Application XXX-XXXX-XXXXX (ORM number) )
SUBJECT: Department of the Army Environmental Assessment and Statement of Findings for the
Above-Numbered Permit Application
PREPARED BY:

________________________

Date:

Kathleen Tucker
Project Manager
REVIEWED BY:

________________________

Date

Sallie Diebolt
Chief, Arizona Section
Regulatory Division

Page 11

B7
PRE-CONSTRUCTION NOTIFICATION / INDIVIDUAL PERMIT SUBMITTAL
CHECKLIST

Checklist for Submitting a Section 404 PreConstruction Notification (PCN)
or Individual Permit (IP) Application
Instructions: The Consultant and the ADOT EPG planner will check the appropriate box to verify that the
PCN package meets Corps’ requirements. If any of the items are not complete, the EPG planner will return
the PCN package to the consultant for correction. Refer to ADOT’s Environmental Services and Planning
website for guidance and templates.
Consultant

EPG
Planner

QC Checklist Items
Signed cover letter from EPG Planner.
Project location maps, including USGS map and FEMA floodplain map.
Completed 4345 signed by District Engineer and EPG Planner.
Impact Sheets that are a minimum size of 11 x 17 inches (HAND DRAWN
GRAPHICS WILL NOT BE ACCEPTED).
Documentation of compliance with General Conditions (including Regional
Conditions) and supporting documentation (i.e. BR, BE, concurrence letters) for
General Condition 18 and 20.
Current site photographs if conditions on the ground have changed since the JD
photographs (and noted in cover letter).
Copy of 401 Individual Certification that will be sent to the appropriate agency (if a
401 Individual Certification is required). Note: If submitting a 401 certification
application for a 404 IP to ADEQ, do not submit it until the 404 permit public notice
has posted.
Mitigation Plan (if applicable).
Electronic copy of all documents (8 ½ x 11 separated from 11 x 17) that are correctly
scaled and submitted via email or FTP site
ADDITIONAL ITEMS FOR INDIVIDUAL PERMITS:
Electronic copy of 404(b)(1) evaluation. Use template on Environmental Services
and Planning website.
Electronic copy of aerials, details, and plans for public notice.
Mailing labels for adjacent landowners (MS Word file in Avery 5164 format is
preferred).
Consultant signature and date

ADOT EPG Planner signature and date

APPENDIX C
NATIONWIDE PERMITS
(Refer to here for a complete list of all the Nationwide Permits)

C1
A SUMMARY OF 2012 NATIONWIDE PERMITS (CORPS 2012B)

Summary of the 2012 Nationwide Permits
Nationwide Permit

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

NWP 1 – Aids to Navigation

10

None

PCN not required

None

NWP 2 – Structures in
Artificial Canals
NWP 3 – Maintenance

10

None

PCN not required

None

(a) Repair,
rehabilitation, or
replacement of
previously authorized,
currently serviceable
structures or fills
(b) Discharges
associated with removal
of accumulated
sediments and debris in
the vicinity of existing
structures, including
intake and outfall
structures and
associated canals
(c) Temporary
structures, fills, and
work necessary to
conduct maintenance
activity
NWP 4 – Fish and Wildlife
Harvesting, Enhancement,
and Attraction Devices and
Activities
NWP 5 – Scientific
Measurement Devices

Changes in 2012

10/404

Does not authorize: maintenance dredging for
the primary purpose of navigation; beach
restoration; or new stream channelization or
stream relocation projects.
Authorizes only minor
deviations for
maintenance

PCN not required

Added “requirements of other regulatory agencies” to
allow minor deviation changes. Limit stream channel
modification to the minimum necessary for the
maintenance activity.

200 feet from
structure; minimum
necessary to restore
capacity intake or
outfall or associated
canal

all activities

Removed “and within” and “immediate” from removal of
accumulated sediments and debris in the vicinity of
existing structures. Clarifies that the activity can include
the placement of new or additional riprap in order to
qualify for the NWP.

PCN not required

None

Temporary fills must be removed in their entirety
and the affected areas returned to preconstruction elevations

Does not authorize impoundments or artificial
reefs. Does not authorize covered oyster trays or
clam racks.

10/404

None

PCN not required

Added fish aggregating devices to list of examples of
authorized structures or activities.

10/404

25 cubic yards for
weirs and flumes

PCN not required

NWP 6 – Survey Activities

10/404

1/10-acre for
temporary pads

PCN not required

NWP 7 – Outfall Structures
and Associated Intake
Structures

10/404

None

all activities

Added meteorological stations, current gages, and
biological observation devices to the list of examples.
Added requirement that devices and any associated
structures or fills be removed upon completion of the
use and restored to pre-construction elevations to
maximum extent practicable.
Added language stating the backfilling of exploratory
trenches must not drain a water of the U.S. Added
sample plots or transects for wetland delineations to list
of examples. Replaced the 25 cubic yard limit for
temporary work pads with a 1/10-acre limit.
None

Page 1 of 9
February 15, 2012

Other Information

Does not authorize fills for roads. Does not
authorize permanent structures. Does not
authorize fill associated with recovery of historic
properties.
Activity must comply with National Pollutant
Discharge Elimination System Program.

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

NWP 8 – Oil and Gas
Structures on the Outer
Continental Shelf
NWP 9 – Structures in
Fleeting and Anchorage
Areas
NWP 10 – Mooring Buoys

10

None

all activities

Changed Mineral Management Service to Bureau of
Ocean Energy Management

10

None

PCN not required

None

10

None

PCN not required

None

NWP 11 – Temporary
Recreational Structures
NWP 12 – Utility Line
Activities

10

None

PCN not required

None

10/404

1/2 acre of waters of
the U.S. for each
single and complete
project

PCN required if:

A section 10 permit
is required

Mechanized land
clearing in forested
wetlands for the
right-of-way

Discharge results in
the loss of >1/10
acre
PCN required if:

utility line exceeds
500 linear feet in
waters of the U.S.

utility line runs
parallel to a stream
bed within
jurisdictional area
PCN required if:

Discharge results in
the loss of >1/10
acre
PCN required if:

Discharge results in
the loss of >1/10
acre
PCN required if:

above-grade
permanent access
roads exceeding 500
feet;

permanent access
roads constructed
with impervious
materials

Clarified locations when copies of PCN would be sent by
Corps to NOAA National Ocean Service for charting
(coastal United States; Great Lakes, and U.S.
territories). For overhead utility lines, added
requirement for DE to send PCN and verification letter to
Department of Defense Siting Clearinghouse, which will
evaluate potential effects on military activities.

Nationwide Permit

Utility lines

Utility line substations

Foundations for
overhead utility line
towers, poles, and
anchors
Access roads

Changes in 2012

Limited to facilities in areas leased by the
Bureau of Ocean Energy Management of the
Department of the Interior.
Applies to structures, buoys, and other devices
placed in anchorage or fleeting areas
established by the U.S. Coast Guard.
Non-commercial, single boat mooring buoys
Structures must be removed within 30 days after
use discontinued.
Temporary fills must be removed in their entirety
and the affected areas returned to preconstruction elevations.

Must restore area to pre-construction contours.

Separate footings for each tower leg should be
used where feasible.

Clarify that access road is included with other utility line
activities that comprise a single and complete project,
including the 1/2-acre that applies to each single and
complete project.

Page 2 of 9
February 15, 2012

Other Information

Access roads must be constructed to minimize
adverse effects to waters of the U.S.

Nationwide Permit
NWP 13 – Bank
Stabilization

Statutory
Authority

Limits

10/404



500 feet along
the bank
(unless waived
by DE)
1 cubic yard per
running foot
(unless waived
by DE)





Pre-Construction
Notification (PCN)
Threshold

Changes in 2012

PCN required if:

>500 linear feet in
length

>1 cubic yard per
running foot along
bank below OHWM
or HTL

discharges into
special aquatic sites
PCN required if:

>1/10 acre

discharges into
special aquatic sites

Added language authorizing temporary structures, fills
and work necessary to construct the activity. Invasive
plant species may not be used for bioengineering or
vegetative bank stabilization.

Activity cannot impair surface water flow into or
out of waters of the U.S. Temporary fills must be
removed in their entirety and the affected areas
returned to pre-construction elevations.

None

PCN not required

Clarified that the construction of the bridge structure
must be authorized by the U.S. Coast Guard under
Section 9 of the Rivers and Harbors Act of 1899 and
other applicable laws.
Clarified that disposal site may be in an area that has no
waters of the United States.

Temporary fills must be removed in their entirety
and the affected areas returned to preconstruction elevations. Does not authorize
storage buildings, parking lots, train stations,
aircraft hangars, or other non-linear
transportation features.
Causeways and approach fills for bridges are not
authorized by this NWP; those activities require
separate section 404 authorization.

NWP 14 – Linear
Transportation Projects

10/404

NWP 15 – U.S. Coast
Guard Approved Bridges

404

1/2 acre in nontidal waters of
the U.S.

1/3 acre in tidal
waters of the
U.S.
None

NWP 16 – Return Water
From Upland Contained
Disposal Areas
NWP 17 – Hydropower
Projects

404

None

PCN not required

404

None

all activities

None

NWP 18 – Minor Discharges

10/404



10/404

PCN required if:

>10 cubic yards
discharged below
plane of
OHWM/HTL

discharges into
special aquatic sites
PCN not required

None

NWP 19 – Minor Dredging

25 cubic yards
discharged
below plane of
OHWM/HTL

1/10-acre of
waters of the
U.S.
25 cubic yards below
plane of OHWM/
MHWM

NWP 20 – Response
Operations for Oil and
Hazardous Substances
NWP 21 – Surface Coal
Mining Activities

10/404

None

PCN not required

10/404



all activities



1/2 acre of nontidal waters of
U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)

None

Changed title. Also authorizes approved regional or local
contingency plans, as well as temporary structures and
fills for spill response training exercises.
Added 1/2-acre limit and limits losses of stream beds to
300 linear feet unless district engineers waives in writing
for intermittent and ephemeral streams. Agency
coordination required for proposed waivers of the 300
linear foot limit. Does not authorize valley fills. Added
definition of “valley fill.”

Page 3 of 9
February 15, 2012

Other Information

Applies to activities licensed by the Federal
Energy Regulatory Commission or activities
exempt from licensing requirements.
Does not authorize discharges for stream
diversions.

Does not authorize dredging or degradation
through siltation of coral reefs, submerged
aquatic vegetation beds, anadromous fish
spawning areas, or wetlands.
Authorizes activities subject to the National Oil
and Hazardous Substances Pollution
Contingency Plan.
Activities that were verified under the 2007 NWP
21 may be reauthorized without the limits, if the
permittee submits a written request to the DE for
reauthorization by February 1, 2013. Expansions
in waters of the U.S. are not eligible for
reauthorization. To be reauthorized, the district
engineer must issue a written verification.

Statutory
Authority

Limits

NWP 22 – Removal of
Vessels

10/404

None

NWP 23 – Approved
Categorical Exclusions

10/404

None

NWP 24 – Indian Tribe or
State Administered Section
404 Program
NWP 25 – Structural
Discharges

10

Nationwide Permit

Pre-Construction
Notification (PCN)
Threshold

Changes in 2012

Other Information

PCN required if:

if vessel listed or
eligible for National
Register of Historic
Places

activities in special
aquatic sites
PCN required for certain
activities listed in RGL 0507

None

Does not authorize maintenance dredging, shoal
removal, or river bank snagging. Disposal of
removed vessel in waters of the U.S. may
require separate authorizations from EPA and
Corps

None

None

PCN not required

None

Categorical exclusions must be approved by the
Office of the Chief of Engineers. See RGL 05-07
for list of agencies and their activities that are
currently eligible for NWP 23.
Does not authorize activities in navigable waters
that require only a section 10 permit.

404

None

PCN not required

None

NWP 27 – Aquatic Habitat
Restoration, Establishment,
and Enhancement Activities

10/404

None

PCN required for most
activities, except for
those activities that
require reporting and a
30-day review period
(e.g., activities under a
binding agreement
between the landowner
and an agency)

NWP 28 – Modifications of
Existing Marinas
NWP 29 – Residential
Developments

10

Previously authorized
marina area

1/2 acre of nontidal waters of
U.S.

300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)

PCN not required

Added rehabilitation or enhancement of tidal streams
and tidal wetlands. Authorize discharges to restore
stream channels after removing water control structures
or fills. Clarified activities that may be authorized to reestablish wetland or stream hydrology. Authorize the reestablishment of submerged aquatic vegetation and tidal
wetlands in areas where those habitats previously
existed. Clarified that changes in wetland plant
communities that occur after restoring wetland hydrology
are not considered conversions. Clarified that
compensatory mitigation is not required for NWP 27
activities. Included stream restoration or enhancement in
the types of activities authorized, as long as they are
included in the agreements. Activities subject to the
reporting provision must include information on baseline
ecological conditions, such as a delineation of wetlands,
streams, and other aquatic habitats. Added U.S. Forest
Service to the list of agencies in the notification
provision.
None

10/404

all activities

Clarified that district engineers must make written
determinations of minimal effects when waiving the 300
linear foot limit for losses of intermittent or ephemeral
stream bed. Agency coordination required for proposed
waivers of the 300 linear foot limit.

Page 4 of 9
February 15, 2012

Structure may require section 10 permit if
located in navigable waters of the U.S. Does not
authorize structures that support buildings or
similar structures.
Does not authorize stream channelization. Does
not authorize relocation or conversion of tidal
waters. Does not authorize conversion of natural
wetlands or streams, except for relocation
activities.

Does not authorize dredging, additional slips,
dock spaces, or expansion in waters of the U.S.
For residential subdivisions, the aggregate total
loss of waters of the U.S. cannot exceed 1/2acre.

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

NWP 30 – Moist Soil
Management for Wildlife

404

None

PCN not required

None

NWP 31 – Maintenance of
Existing Flood Control
Facilities

10/404

Maintenance baseline
approved by DE

all activities

NWP 32 – Completed
Enforcement Actions

10/404



NWP 33 – Temporary
Construction, Access, and
Dewatering

10/404

5 acres of nontidal waters

1 acre of tidal
waters

also see text of
NWP
None

Notification through nonjudicial settlement
agreement with Corps,
court decision, consent
decree, or settlement
agreement
all activities

Added that the NWP authorizes the removal of
vegetation from levees associated with a flood control
project, in those cases where a Corps permit is required.
Clarified that disposal site may be in an area that has no
waters of the United States.
None

NWP 34 – Cranberry
Production Activities

404

all activities

None

NWP 35 – Maintenance
Dredging of Existing Basins

10

PCN not required

None

Dredged material must be deposited at upland
site.

NWP 36 – Boat Ramps

10/404

PCN required if:

>50 cubic yards

>20 feet wide

Clarified that district engineers must make written
determinations of minimal effects when waiving the
limits of 50 cubic yard and/or the 20 feet in width.
Clarified that excavated materials must be removed to
an area that has no waters of the United States.

Section 10 permit required if dredging navigable
water is necessary for access to boat ramp. No
material in special aquatic sites.

NWP 37 – Emergency
Watershed Protection and
Rehabilitation

10/404

10 acres, and activity
cannot result in net
loss of wetland
acreage
Dredging to
previously authorized
depths or controlling
depths, whichever is
less

50 cubic yards,
unless waived by
DE

20 foot width,
unless waived by
DE
None

all activities

NWP 38 – Cleanup of
Hazardous and Toxic Waste

10/404

None

all activities

Updated reference to the U.S. Forest Service Burned
Area Emergency Rehabilitation Handbook (FSH
2509.13). Also clarified the permittee should wait 45
calendar days before proceeding with the activity if the
DE has not yet issued a verification letter.
None

In general, permittee should wait until District
Engineer issues verification, but may proceed
immediately if there is an unacceptable hazard
to life or significant loss of property or economic
hardship will occur.
Does not authorize the establishment of new
disposal sites or the expansion of existing
disposal sites.

Nationwide Permit

Changes in 2012

Clarified that temporary fills must be deposited in an
area that has no waters of the United States.

Page 5 of 9
February 15, 2012

Other Information
Authorizes only on-going activities. Does not
authorize construction of new dikes, roads, water
control structures, etc. Does not authorize
conversion of wetlands to uplands. Does not
authorize impoundments. Does not authorize net
loss of aquatic functions and services.
PCN must indicate location of dredged material
disposal sites and baseline information.

Associated primary activity must be authorized
by Corps or U.S. Coast Guard, or be exempt
from permit requirements. PCN must include
restoration plan.
Does not authorize discharges in waters of the
U.S. for attendant features, such as warehouses,
processing facilities, or parking areas.

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

NWP 39 – Commercial and
Institutional Developments

10/404



all activities

NWP 40 – Agricultural
Activities

404

NWP 41 – Reshaping
Existing Drainage Ditches

404

1/2 acre of nontidal waters of
U.S.

300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)

1/2 acre of nontidal waters of
U.S.

300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)
None

NWP 42 – Recreational
Facilities

404



Nationwide Permit



NWP 43 – Stormwater
Management Facilities

404




1/2 acre of nontidal waters of
U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)
1/2 acre of nontidal waters of
U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)

all activities

PCN required if:

Reshaping greater
than 500 linear feet
of drainage ditch
all activities

PCN required if:

Construction or
expansion of
stormwater
management
facilities

Changes in 2012
Clarified that district engineers must make written
determinations of minimal effects when waiving the 300
linear foot limit for losses of intermittent or ephemeral
stream bed. Agency coordination required for proposed
waivers of the 300 linear foot limit. Added requirement
for DE to send PCN and verification letter to Department
of Defense Siting Clearinghouse, which will evaluate
potential effects on military activities. Removed
prohibition against constructing oil or gas wells.
Clarified that district engineers must make written
determinations of minimal effects when waiving the 300
linear foot limit for losses of intermittent or ephemeral
stream bed. Agency coordination required for proposed
waivers of the 300 linear foot limit. Modified 300 linear
foot limit so that it applies to all streams, not just
drainage ditches constructed in streams.

Does not authorize construction of new golf
courses or new ski areas.

None

Reshaping drainage ditch cannot increase
capacity of ditch or drain additional waters of the
U.S. Does not authorize relocation of drainage
ditches constructed in waters of the U.S.
Authorizes variety of recreational facilities,
except for hotels, restaurants, racetracks,
stadiums, arenas, or similar facilities (these may
be authorized by NWP 39).

Clarified that district engineers must make written
determinations of minimal effects when waiving the 300
linear foot limit for losses of intermittent or ephemeral
stream bed. Agency coordination required for proposed
waivers of the 300 linear foot limit.

Clarified that district engineers must make written
determinations of minimal effects when waiving the 300
linear foot limit for losses of intermittent or ephemeral
stream bed. Agency coordination required for proposed
waivers of the 300 linear foot limit. Clarified that
stormwater management facilities determined to be
waste treatment systems under 33 CFR 328.3(a)(8) are
not waters of the United States and generally §404
permits are not required for maintenance activities.
Added low impact development integrated management
features to the examples of facilities authorized.

Page 6 of 9
February 15, 2012

Other Information

NWP can be used for agricultural activities,
regardless of whether applicant is USDA
participant. Does not authorize aquaculture
ponds.

Does not authorize construction of new
stormwater management facilities in perennial
streams. Maintenance does not require PCN if
limited to restoring original design capacities.

Nationwide Permit

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

NWP 44 – Mining Activities

10/404



all activities

Added 300 linear foot limit for any activity causing the
loss of stream bed, unless waived for intermittent and
ephemeral stream. Agency coordination required for
proposed waivers of the 300 linear foot limit.

PCN must include reclamation plan if
reclamation is required by other statutes.

NWP 45 – Repair of
Uplands Damaged by
Discrete Events

10/404

1/2 acre of nontidal waters of
U.S.

300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)
Restore uplands to
pre-event ordinary
high water mark

all activities

NWP 46 – Discharges in
Ditches

404

1 acre of non-tidal
waters of U.S.

all activities

Clarified beach restoration or nourishment is not
authorized by this NWP. Clarified that the NWP
authorizes discharges of dredged or fill material
associated with the restoration of uplands.
None

NWP 48 – Existing
Commercial Shellfish
Aquaculture Activities

10/404

1/2-acre limit for
impacts to submerged
aquatic vegetation in
new project areas

NWP 49 – Coal Remining
Activities

10/404

Limited to sites that
were previously
mined for coal, but
new mining may be
conducted in adjacent
areas if the newly
mined area is less
than 40 percent of the
area being remined
plus any unmined
area needed for
reclamation

PCN required if:

activity includes
species not
previously cultivated
in waterbody

change from bottom
culture to floating or
suspended

dredge harvesting,
tilling, or harrowing
in submerged
aquatic vegetation

activity is in a new
project area
all activities

PCN must be submitted to district engineer
within one year of date of damage. Work must
start or be under contract within two years of
date of damage.
NWP does not authorize discharges into ditches
constructed in streams or other waters of the
U.S., or in streams that have been relocated in
uplands. Does not authorize discharges that
increase the ditch capacity and drain additional
jurisdictional waters.
Does not authorize nonindigenous species not
previously cultivated in the waterbody, aquatic
nuisance species, or attendant features such as
docks or staging areas. Does not authorize the
deposition of shell material back into waters of
the U.S. as waste.

Changes in 2012

Project area clarified as lease or permit area approved
by state or local agency or an area identified through a
treaty, easement, lease, deed, or contract. Removed the
reporting requirement for activities that do not require a
PCN. Added new activities, with a 1/2-acre limit in areas
with submerged aquatic vegetation. Defines “aquatic
nuisance species.” Aquatic nuisance species not
allowed and nonindigenous species not allowed unless
currently cultivated. Changed PCN thresholds. Identifies
information required for PCN.

Clarified how the 40% of newly mined area is
determined. Corps will review the SMCRA determination
regarding the amount of previously unmined area
necessary for the reclamation and make an independent
determination of the amount needed.

Page 7 of 9
February 15, 2012

Other Information

Permittee must demonstrate net increase in
aquatic resource functions through reclamation;
activities must be authorized by the Department of
Interior, Office of Surface Mining , or by states
with approved programs under Title IV and V of
the Surface Mining Control and Reclamation Act
of 1977 or are currently being processed as part
of an integrated permit processing procedure;
prospective permittee must receive written
authorization prior to commencing the activity

Nationwide Permit
NWP 50 – Underground
Coal Mining Activities

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

10/404



1/2 acre of nontidal waters of
U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)

1/2 acre of nontidal waters of
U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)



NWP 51 – Land-Based
Renewable Energy
Generation Facilities

10/404




Changes in 2012

Other Information

all activities

Added 1/2-acre limit and a 300 linear foot limit for any
activity causing the loss of stream bed. The 300 linear
foot limit may be waived for intermittent and ephemeral
streams through a written determination made by the
DE. Agency coordination required for proposed waivers
of the 300 linear foot limit.

all activities

new NWP

Activities must be authorized by the Department
of Interior, Office of Surface Mining, or by states
with approved programs under Title V of the
Surface Mining Control and Reclamation Act of
1977 or are currently being processed as part of
an integrated permit processing procedure. If
reclamation required, a copy of the plan must be
submitted with PCN. Does not authorize coal
preparation and processing activities outside of
the mine site. Prospective permittee must receive
written authorization prior to commencing the
activity
Authorizes construction, expansion or modification
of land-based renewable energy production
facilities, including attendant features. If only
activity requiring DA authorization is utility line,
then NWP 12 shall be used. Utility lines
transferring energy to a distribution system,
regional grid, or other facility are generally
considered to be separate single and complete
linear projects. Requirement for DE to send PCN
and verification letter to Department of Defense
Siting Clearinghouse, and the Clearinghouse will
evaluate potential effects on military activities.
Agency coordination required for proposed
waivers of the 300 linear foot limit.

Page 8 of 9
February 15, 2012

Nationwide Permit
NWP 52 – Water-Based
Renewable Energy
Generation Pilot Projects

Statutory
Authority

Limits

Pre-Construction
Notification (PCN)
Threshold

10/404



all activities





1/2 acre of
waters of U.S.
300 linear feet of
stream bed (DE
can waive for
intermittent and
ephemeral
streams)
No more than 10
generation units

Changes in 2012
new NWP

Page 9 of 9
February 15, 2012

Other Information
Authorizes construction, expansion, modification,
or removal of water-based wind or hydrokinetic
renewable energy generation pilot projects and
their attendant features. Limited to “pilot projects.”
Placement of a transmission line on bed of a
navigable water of U.S. from generation unit to
land-based collection facility is considered a
structure under Section 10 and is not considered
a loss of waters of the U.S. Prohibits activities in
coral reefs. Structures in anchorage areas must
comply with U.S. Coast Guard requirements.
Does not authorize structures in established
danger zones, restricted areas, etc. Upon
completion of pilot project, associated structures
and/or fills must be removed unless authorized by
separate DA permit. Utility lines transferring
energy to a distribution system, regional grid, or
other facility are generally considered to be
separate single and complete linear projects.
Requirement for DE to send PCN and
verification letter to Department of Defense
Siting Clearinghouse, and the Clearinghouse will
evaluate potential effects on military activities.
An activity located on existing maintained Corps
project requires separate approval under 33 USC
408. Agency coordination required for proposed
waivers of the 300 linear foot limit.

REGULATORY GUIDANCE
LETTER
No. 05-07

Date: 8 December 2005

SUBJECT: Approved NEPA Categorical Exclusions for Nationwide Permit 23
1. Purpose and Applicability
a. Purpose. To issue guidance regarding the Categorical Exclusions of other Federal
agencies approved for inclusion under Nationwide Permit 23 (NWP23). This guidance
consolidates expired Regulatory Guidance Letters 86-02, 87-10 and 96-01.
b. Applicability. This applies to activities that may qualify for authorization under
NWP23.
2. General Considerations
a. Background. Nationwide Permit 23 (NWP23) was first issued in 1982 to authorize
certain actions by other federal agencies that are categorically excluded under NEPA, in
accordance with 40 CFR Parts 1500 to 1508. After receiving a request from an agency to
include its Categorical Exclusions (CEs) under NWP23, the Headquarters of the Army Corps of
Engineers (HQUSACE) may approve CEs for use with NWP23 after conducting a public interest
review. A Regulatory Guidance Letter (RGL) is issued to the field with the approved list of
agency CEs.
To date, HQUSACE has concurred with the CEs of three federal agencies for inclusion
under NWP23. CEs were approved for the Bureau of Reclamation (BOR) in RGL 86-02 dated
January 17, 1986, the Federal Highway Administration (FHWA) in RGL 87-10 dated December
9, 1987, and the U.S. Coast Guard (USCG) in RGL 96-01 dated November 5, 1996.
b. Practice. While RGLs 86-02, 87-10 and 96-01 have expired, HQUSACE has
instructed districts that the guidance provided therein remains generally valid since the RGLs
have not been superseded by regulations or other RGLs. Districts currently use these expired
RGLs in determining whether activities qualifying for approved categorical exclusions may be
authorized under NWP23.
3. Guidance.
a. The CE actions approved by HQUSACE for BOR, FHWA, and USCG for inclusion
under NWP23 (see Attachments 1 though 3) continue to be in effect. Please note the lists
include many actions that do not require Department of the Army authorization. However, to be

consistent with past RGLs and reduce confusion when referencing the CE number, we have
included all agency CEs.
b. Notification to the district engineer is required for some CE activities to be authorized
under NWP23. In such cases, the prospective permittee must contact the appropriate district, so
that the district can review the project proposal and ensure the activity would have only minimal
individual and cumulative impacts on the aquatic environment. Notification is required for the
following:
•
•
•

BOR: CE activities that involve more than a small amount of fill, activities with the
potential to cause more than minor water quality impacts, and activities involving the
use of explosives near waters with significant fisheries resources;
FHWA: CE activities occurring under paragraphs (c)(3), (c)(7), (c)(9) and (c)(12),
and all activities under paragraph (d); and
USCG: CE activities under number (6) for projects where wetland impacts are
proposed, and number (8) to address potential impacts/encroachment on Federal
navigation projects.

Districts will review each notification and verify whether the activity meets the terms and
conditions of NWP23. Special conditions may be added to the NWP verification to ensure that
the individual and cumulative adverse effects on the aquatic environment are minimal. If the
district believes that concerns for the aquatic environment or any public interest factor warrant
further review, discretionary authority may be exercised on a case-by-case basis to require an
individual permit.
c. Districts will provide a response to the prospective permittee, verifying whether the
activity meets the terms and conditions of NWP23 within the designated response period for the
most recently issued nationwide permits (as provided in the “Notification” general condition for
the nationwide permits) or the appropriate regional condition. If the district does not respond
within the designated time, the activity qualifies for NWP23 authorization.
d. Unless a district or division has regional conditions that require notification for
additional CE activities, all other CE activities do not require pre-construction notification to the
district. BOR, FHWA, and USCG may however voluntarily seek written verification from
districts for CE actions that do not require notification.
e. This guidance rescinds and replaces RGLs 86-02, 87-10 and 96-01.
4. Duration. This guidance remains in effect unless revised or rescinded.

2

ATTACHMENT 1
RGL 05-07
Bureau of Reclamation
Approved Categorical Exclusions for NWP23
The following BOR Categorical Exclusions were approved for inclusion under NWP23 on January 17, 1986.
A. General Activities.
(2) Training activities of enrollees assigned to the various youth programs. Such training may include
minor construction activities for other entities.
(3) Research activities, such as nondestructive data collection and analysis, monitoring, modeling,
laboratory testing, calibration, and testing of instruments or procedures and nonmanipulative field studies.
B. Planning Activities.
(3) Data collection studies that involve test excavations for cultural resources investigations or test pitting,
drilling, or seismic investigations for geologic exploration purposes where the impacts will be localized.
C. Project Implementation Activities.
(3) Minor construction activities associated with authorized projects which correct unsatisfactory
environmental conditions or which merely augment or supplement, or are enclosed within existing facilities.
(4) Approval of land management plans where implementation will only result in minor construction
activities and resultant increased operation and maintenance activities.
D. Operation and Maintenance Activities.
(1) Maintenance, rehabilitation, and replacement of existing facilities which may involve a minor change in
size, location, and/or operation.
(9) Issuance of permits for removal of gravel or sand by an established process from existing quarries.
(11) Implementation of improved appearance and soil and moisture conservation programs where the
impacts are localized.
(12) Conduct of programs of demonstration, educational, and technical assistance to water user
organizations for improvement of project and on-farm irrigation water use and management.
(17) Minor safety of dams construction activities where the work is confined to the dam, abutment areas, or
appurtenant features, and where no major change in reservoir or downstream operation is anticipated as a result of
the construction activities.
E. Grant and Loan Activities.
(1) Rehabilitation and Betterment Act loans and contracts which involve repair, replacement, or
modification of equipment in existing structures or minor repairs to existing dams, canals, laterals, drains, pipelines,
and similar facilities.
(2) Small Reclamation Projects Act grants and loans where the work to be done is confined to areas already
impacted by farming or development activities, work is considered minor, and where the impacts are expected to be
localized.
(3) Distribution System Loans Act loans where the work to be done is confined to areas already impacted
by farming or developing activities, work is considered minor, and where the impacts are expected to be localized.

3

ATTACHMENT 2
RGL 05-07
Federal Highway Administration
Approved Categorical Exclusions for NWP23
The following FHWA Categorical Exclusions were approved for inclusion under NWP23 on December 9, 1987.
(c) The following actions meet the criteria for CEs in the CEQ regulation (section 1508.4) and §771.117 of this
regulation and normally do not require any further NEPA approvals by the Administration:
(1) Activities which do not involve or lead directly to construction, such as planning and technical studies;
grants for training and research programs; research activities as defined in 23 U.S.C. 307; approval of a unified work
program and any findings required in the planning process pursuant to 23 U.S.C. 134; approval of statewide
programs under 23 CFR part 630; approval of project concepts under 23 CFR part 476; engineering to define the
elements of a proposed action or alternatives so that social, economic, and environmental effects can be assessed;
and Federal-aid system revisions which establish classes of highways on the Federal-aid highway system.
(2) Approval of utility installations along or across a transportation facility.
(3) Construction of bicycle and pedestrian lanes, paths, and facilities.
(4) Activities included in the State's highway safety plan under 23 U.S.C. 402.
(5) Transfer of Federal lands pursuant to 23 U.S.C. 317 when the subsequent action is not an FHWA
action.
(6) The installation of noise barriers or alterations to existing publicly owned buildings to provide for noise
reduction.
(7) Landscaping.
(8) Installation of fencing, signs, pavement markings, small passenger shelters, traffic signals, and railroad
warning devices where no substantial land acquisition or traffic disruption will occur.
(9) Emergency repairs under 23 U.S.C. 125.
(10) Acquisition of scenic easements.
(11) Determination of payback under 23 CFR part 480 for property previously acquired with Federal-aid
participation.
(12) Improvements to existing rest areas and truck weigh stations.
(13) Ridesharing activities.
(14) Bus and rail car rehabilitation.
(15) Alterations to facilities or vehicles in order to make them accessible for elderly and handicapped
persons.
(16) Program administration, technical assistance activities, and operating assistance to transit authorities to
continue existing service or increase service to meet routine changes in demand.
(17) The purchase of vehicles by the applicant where the use of these vehicles can be accommodated by
existing facilities or by new facilities which themselves are within a CE.
(18) Track and railbed maintenance and improvements when carried out within the existing right-of-way.
(19) Purchase and installation of operating or maintenance equipment to be located within the transit
facility and with no significant impacts off the site.
(20) Promulgation of rules, regulations, and directives.
(d) Additional actions which meet the criteria for a CE in the CEQ regulations (40 CFR 1508.4) may be designated
as CEs only after cases specific FHWA approval. Examples of such actions include but are not limited to:
(1) Modernization of a highway by resurfacing, restoration, rehabilitation, reconstruction, adding shoulders,
or adding auxiliary lanes (e.g., parking, weaving, turning, climbing).
(2) Highway safety or traffic operations improvement projects including the installation of ramp metering
control devices and lighting.
(3) Bridge rehabilitation, reconstruction or replacement or the construction of grade separation to replace
existing at-grade railroad crossings.
(4) Transportation corridor fringe parking facilities.
(5) Construction of new truck weigh stations or rest areas.
(6) Approvals for disposal of excess right-of-way or for joint or limited use of right-of-way, where the
proposed use does not have significant adverse impacts.

4

(7) Approvals for changes in access control.
(8) Construction of new bus storage and maintenance facilities in areas used predominantly for industrial or
transportation purposes where such construction is not inconsistent with existing zoning and located on or near a
street with adequate capacity to handle anticipated bus and support vehicle traffic.
(9) Rehabilitation or reconstruction of existing rail and bus buildings and ancillary facilities where only
minor amounts of additional land are required and there is not a substantial increase in the number of users.
(10) Construction of bus transfer facilities (an open area consisting of passenger shelters, boarding areas,
kiosks and related street improvements) when located in a commercial area or other high activity center in which
there is adequate street capacity for projected bus traffic.
(11) Construction of rail storage and maintenance facilities in areas used predominantly for industrial or
transportation purposes where such construction is not inconsistent with existing zoning and where there is no
significant noise impact on the surrounding community.
(12) Acquisition of land for hardship or protective purposes; advance land acquisition loans under section
3(b) of the UMT Act.

5

ATTACHMENT 3
RGL 05-07
U.S. Coast Guard
Approved Categorical Exclusions for NWP23
The following USCG Categorical Exclusions were approved for inclusion under NWP23 on November 5, 1996.
1. Routine personnel, fiscal, and administrative activities, actions, procedures, and policies which clearly do
not have any environmental impacts, such as military and civilian personnel recruiting, processing, paying, and
record keeping.
2. Routine procurement activities and actions for goods and services, including office supplies, equipment,
mobile assets, and utility services for routine administration, operation, and maintenance.
3. Maintenance dredging and debris disposal where no new depths are required, applicable permits are
secured, and disposal will be at an existing approved disposal site.
4. Routine repair, renovation, and maintenance actions on aircraft and vessels.
5. Routine repair and maintenance of buildings, roads, airfields, grounds, equipment, and other facilities
which do not result in a change in functional use, or an impact on a historically significant element or settings.
6. Minor renovations and additions to buildings, roads, airfields, grounds, equipment, and other facilities
which do not result in a change in functional use, a historically significant element, or historically significant setting.
7. Routine repair and maintenance to waterfront facilities, including mooring piles, fixed floating piers,
existing piers, and unburied power cables.
8. Minor renovations and additions to waterfront facilities, including mooring piles, fixed floating piers,
existing piers, and unburied power cables, which do not require special, site-specific regulatory permits.
9. Routine grounds maintenance and activities at units and facilities. Examples include localized pest
management actions and actions to maintain improved grounds (such as landscaping, lawn care, and minor erosion
control measures) that are conducted in accordance with applicable Federal, State, and local directives.
10. Installation of devices to protect human or animal life, such as raptor electrocution prevention devices,
fencing to restrict wildlife movement on to airfields, and fencing and grating to prevent accidental entry to
hazardous areas.
11. New construction on heavily developed portions of Coast Guard property, when construction, use, and
operation will comply with regulatory requirements and constraints.
12. Decisions to decommission equipment or temporarily discontinue use of facilities or equipment. This
does not preclude the need to review decommissioning under Section 106 of the National Historic Preservation Act.
13. Demolition or disposal actions that involve buildings or structures when conducted in accordance with
regulations applying to removal of asbestos, PCB's, and other hazardous materials, or disposal actions mandated by
Congress. In addition, if the building or structure is listed, or eligible for listing, in the National Register of Historic
Places, then compliance with Section 106 of the National Historic Preservation Act is required.
14. Outleasing of historic lighthouse properties as outlined in the Programmatic Memorandum of
Agreement between the Coast Guard, Advisory Council on Historic Preservation, and the National Conference of
State Historic Preservation Officers.
15. Transfer of real property from the Coast Guard to the General Services Administration, Department of
the Interior, and other Federal departments and agencies, or as mandated by Congress; and the granting of leases,
permits, and easements where there is no substantial change in use of the property.
16. Renewals and minor amendments of existing real estate licenses or grants for use of government-owned
real property where prior environmental review has determined that no significant environmental effects would
occur.
17. New grants or renewal of existing grants of license, easements, or similar arrangements for the use of
existing rights-of-way or incidental easements complementing the use of existing rights-of-way for use by vehicles;
for such existing rights-of-way as electrical, telephone, and other transmission and communication lines; water,
wastewater, stormwater, and irrigation pipelines, pumping stations, and irrigation facilities; and for similar utility
and transportation uses.
18. Defense preparedness training and exercises conducted on other than Coast Guard property, where the
lead agency or department is not Coast Guard or Department of Transportation and the lead agency or department
has completed its NEPA analysis and documentation requirements.

6

19. Defense preparedness training and exercise conducted on Coast Guard property that do not involve
undeveloped property or increase noise levels over adjacent property and that involve a limited number of personnel,
such as exercises involving primarily electric simulation or command post personnel.
20. Simulated exercises, including tactical and logistical exercises that involve small numbers of personnel.
21. Training of an administrative or classroom nature.
22. Operations to carry out maritime safety, maritime law enforcement, search and rescue, domestic ice
breaking, and oil or hazardous substance removal programs.
23. Actions performed as a part of Coast Guard operations and the Aids to Navigation Program to carry out
statutory authority in the area of establishment of floating and minor fixed aids to navigation, except electronic
sound signals.
24. Routine movement of personnel and equipment, and the routine movement, handling, and distribution
of nonhazardous materials and wastes in accordance with applicable regulations.
25. Coast Guard participation in disaster relief efforts under the guidance or leadership of another Federal
agency that has taken responsibility for NEPA compliance.
26. Data gathering, information gathering, and studies that involve no physical change to the environment.
Examples include topographic surveys, bird counts, wetland mapping, and other inventories.
27. Natural and cultural resource management and research activities that are in accordance with
interagency agreements and which are designed to improve or upgrade the Coast Guard's ability to manage those
resources.
28. Contracts for activities conducted at established laboratories and facilities, to include contractoroperated laboratories and facilities, on Coast Guard-owned property where all airborne emissions, waterborne
effluents, external radiation levels, outdoor noise, and solid and bulk waste disposal practices are in compliance with
existing applicable Federal, State, and local laws and regulations.
29. Approval of recreational activities (such as Coast Guard unit picnic) which do not involve significant
physical alteration of the environment, increase disturbance by humans of sensitive natural habitats, or disturbance
of historic properties, and which do not occur in, or adjacent to, areas inhabited by threatened or endangered species.
30. Review of documents, such as studies, reports, and analyses, prepared for legislative proposals that did
not originate in DOT and that relate to matters that are not the primary responsibility of the Coast Guard.
31. Planning and technical studies which do not contain recommendations for authorization or funding for
future construction, but may recommend further study. This includes engineering efforts or environmental studies
undertaken to define the elements of a proposal or alternatives sufficiently so that the environmental effects may be
assessed and does not exclude consideration of environmental matters in the studies.
32. Bridge Administration Program actions which can be described as one of the following: (a)
Modification or replacement of an existing bridge on essentially the same alignment or location. Excluded are
bridges with historic significance or bridges providing access to undeveloped barrier islands and beaches. (b)
Construction of pipeline bridges for transporting potable water. (c) Construction of pedestrian, bicycle, or equestrian
bridges and stream gauging cableways used to transport people. (d) Temporary replacement of a bridge immediately
after a natural disaster or a catastrophic failure for reasons of public safety, health, or welfare. (e) Promulgation of
operating regulations or procedures for drawbridges. (f) Identification of advance approval waterways under 33 CFR
115.70. (g) Any Bridge Program action which is classified as a CE by another Department of Transportation agency
acting as lead agency for such action.
33. (blank)
34. Preparation of guidance documents that implement, without substantive change, the applicable
Commandant Instruction or other Federal agency regulations, procedures, manuals, and other guidance documents.
(a) Regulations which are editorial or procedural, such as those updating addresses or establishing application
procedures. (b) Regulations concerning internal agency functions or organization or personnel administration, such
as funding, establishing Captain of the Port boundaries, or delegating authority. (c) Regulations concerning the
training, qualifying, licensing, and disciplining of maritime personnel. (d) Regulations concerning manning,
documentation, admeasurement, inspection, and equipping of vessels. (e) Regulations concerning equipment
approval and carriage requirements. (f) Regulations establishing, disestablishing, or changing the size of Special
Anchorage Areas or anchorage grounds. (g) Regulations establishing, disestablishing, or changing Regulated
Navigation Areas and security or safety zones. (h) Special local regulations issued in conjunction with a regatta or
marine parade; provided that, if a permit is required, the environmental analysis conducted for the permit included
an analysis of the impact of the regulations. (i) Regulations in aid of navigation, such as those concerning rules of
the road, International Regulations for the Prevention of Collisions at Sea (COLREGS), bridge-to-bridge
communication, vessel traffic services, and marking of navigation systems.

7

35. Approvals of regatta and marine event permits for the following events: (a) Events that are not located
in, proximate to, or above an area designated as environmentally sensitive by an environmental agency of the
Federal, State, or local government. For example, environmentally sensitive areas may include such areas as critical
habitats or migration routes for endangered or threatened species or important fish or shellfish nursery areas. (b)
Events that are located in, proximate to, or above an area designated as environmentally sensitive by an
environmental agency of the Federal, State, or local government and for which the Coast Guard determines, based
on consultation with the Government agency, that the event will not significantly affect the environmentally
sensitive area.

8

C2
Please go to the Environmental Services and Planning website for all applicable
Nationwide Permits:
http://www.azdot.gov/business/environmental-services-andplanning/environmental-guidance-documents/section-404-401-procedures

APPENDIX D
401 FORMS AND GUIDANCE

D1
ADEQ APPLICATION FOR CERTIFICATION UNDER THE CLEAN WATER ACTION
SECTION 401 (ADEQ 2013)

APPLICATION
FOR CERTIFICATION UNDER
THE CLEAN WATER ACT SECTION 401
For ADEQ Use Only
LTF No.:

Date Application Rec’d:

Place No.:
Lat/Long OK:

Customer No.:
Zip OK:

.

AFIS No.:

Orig. Signatures:

Date Rec’d:

.
.

Project Name:
404 Permit Type (Select one):

____ Nationwide Permit or Regional General Permit (Number: ______)
____ Individual Permit

U.S. Army Corps of Engineers Project/File Number (if available):
Except for the signature page, an electronic (scanned copy) submittal of this application including
maps/drawings may be acceptable after making arrangements with the ADEQ 401 Certifications project
manager.
Signatures must be original; i.e., no copies, faxes or electronic versions.
Mailing Address For Completed Form:

Arizona Department Of Environmental Quality
Surface Water Section, 401 Certification, 5415A-1
Attn.: Robert Scalamera
1110 West Washington
Phoenix, Arizona 85007

Questions or requests for an application in another format may be directed to Robert Scalamera at the above
address or:
email: rs3@azdeq.gov
Voice: (602) 771-4502

All submitted maps, drawings and other attachments must be either 8½ x 11” or 11 x 17” in size unless other
arrangements have been made with the ADEQ project manager.
The sizing or spacing of the application form may be adjusted as needed to fit the required information
(attach additional pages as necessary). Signatures should be on one page. Typeface should be an easily
readable font (Times New Roman or Arial are preferred) and type size should be 10 point or greater (12
point is preferred). No other changes are acceptable; altered applications will be rejected.
Provide all information. Failure to do so may result in delay in processing or rejection of the application.

Modified: 4/5/12

Project Name:
Notes:


Waters of the U.S. (WUS) as defined by the Corps of Engineers and U.S. Environmental Protection
Agency under the Clean Water Act. This certification applies only to activities in any potentially
impacted WUS.



303[d]-listed Impaired Waters are surface waters that are identified pursuant to Clean Water Act
(CWA) Section 303[d] as impaired (e.g., not meeting surface water quality standards) and as a result
merit special consideration. The current 303[d] list of Impaired Waters is available on the ADEQ
website via: http://www.azdeq.gov/index.html



Outstanding Arizona Waters (OAW) are surface waters classified as an outstanding state resource
water by the ADEQ Director pursuant to the Arizona Administrative Code (A.A.C.) R18-11-112.
These waters are of exceptional quality and therefore merit special consideration. The current list of
OAW is available on the ADEQ website via: http://www.azdeq.gov/index.html



Temporary means not longer than the time required to complete the subject activities.



Native material/fill is defined as pollutant-free soil, sand, gravel, etc. that constitutes the streambed or
adjacent banks in the immediate area of the permitted work.

Project Site Location Information
Street Address (If available. For projects encompassing multiple addresses, either “n/a” or on-site office
address acceptable.):
City/town (indicate if near rather than within municipal boundaries):
County:
Site Zip code:
Site telephone (if available):
Approximate Center of Project (In degrees, minutes, seconds):

'
"
Latitude:
Longitude:

'
"
Directions to project location (from nearest intersection of major streets/highways). Include maps or
drawings displaying location relative to state boundaries and nearby cities, highways, waterbodies, etc.

Impacted and downstream waterbody(ies) (from Water Quality Standards for Surface Waters [18 A.A.C.
11, Article 1], otherwise use “unnamed” or “unnamed tributary to”). Include flow regime (ephemeral,
intermittent or perennial), name of downstream waterbody(ies) and name of watershed (from 18 A.A.C. 11,
Article 1).
Example: Deluge Wash (ephemeral) and several unnamed ephemeral washes, all tributary to the Big Sandy
River, in the Bill Williams River Watershed:

Modified: 4/5/12

Project Name:

Area Of Disturbance (label units; e.g., acres, linear feet, square feet, square miles, etc.)
1. The total jurisdictional waters within the project boundaries:
.
2. The impacted jurisdictional waters:
.
3. The project size:
PROJECT DESCRIPTION
Project Purpose:

Describe Work To Be Performed (e.g., pad fill, utility crossings, bridges, channel modification, detention
pond, etc.), including fill material to be used, armor material, structure material and revegetation /
reclamation plan.

Describe the measures to be taken in order to control the discharge of pollutants into waters of the U.S.
(WUS).
These measures may be procedural or physical in nature, temporary or permanent and must be functional
prior to beginning any construction activity other than the creation of the measures themselves.
If, in lieu of entering the information here, a reference is made to another document; e.g., Stormwater
Pollution Prevention Plan, the applicable portions of the referenced document must be included with this
application.

Attach only the maps or drawings (either 8½ x 11” or 11 x 17” in size) necessary to provide an overview
of the project. If details are needed, the ADEQ project manager will contact the applicant or agent requesting
additional material.
The following are required:
U.S.G.S. 7.5 min. Topographic map or other contour map of project area.
Map delineating the ordinary high water mark of jurisdictional waters affected by activity to be certified.

Modified: 4/5/12

Project Name:
APPLICANT INFORMATION (Complete all that apply. Use “N/A” for not applicable)
Applicant Name: Title:
Company, Agency, etc:
Phone Number:
email address:
Mailing Address:
City: State: Zip Code:
I have reviewed the Arizona Water Quality Standards for Surface Waters (18 A.A.C. 11, Article 1) (available
through www.azdeq.gov).
Application is hereby made for Arizona certification under CWA section 401 for the above-named project. I
certify that I am familiar with the information contained or referenced in this application and that the
information is true, accurate and complete.
Applicant’s Signature:

Date:

.

(delete this section if not applicable)
I hereby authorize (agent)
to act in my behalf in the processing of
this application and to furnish any supplemental information in support of this application. I understand that I
am bound by the actions of my agent.
Applicant’s Signature:

Date:

.

Agent Name: Title:
Company, Agency, etc:
Phone Number:
email address:
Mailing Address:
City: State: Zip Code:
Agent’s Signature:

Date:

.

(delete this section if applicant is property owner)
Property Owner Name: Title:
Company, Agency, etc:
Phone Number:
email address:
Mailing Address:
City: State: Zip Code:
Property Owner’s Signature:

Date:

.

Modified: 4/5/12

D2
EPA FACSIMILE LISTING REQUIRED COMPONENTS OF AN INDIVIDUAL
CERTIFICATION APPLICATION TO EPA (REPRODUCED FOR PRINTING; EPA
1999)

Reproduction of EPA facsimile listing required components of an Individual Certification
application to EPA

January 1999

Dear Applicant:

EPA Region 9 has instituted specific informational requirements for applications for 401
Certifications. There is no specific format or application form that must be used,
however the following information must be included in a request for a 401 Certification:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Applicant’s name, address, and telephone number
For non-Tribal applicants, the name, address and phone number of the Tribal
contact person
Complete written description of the activity (or activities) to be permitted
Other permits needed for project and status of those permits (include contacts)
Complete written description of the overall project
Purpose and need for the overall project
Purpose of proposed fill/activity (or activities)
Location and name of the watercourse (site location map)
Vicinity map of site (sites)
Scale plan-view diagram of existing (pre-project) project conditions
Scale plan-view diagram of conditions following construction of project
Cross-sections of the two above cited plan-views
Area of 404 CWA jurisdictional delineation juxtaposed on project plans
Estimated acres of waters of the U.S. (404 CWA jurisdiction) that will be impacted by
each activity and by the entire project overall
Quantities of material to be dredged or used as fill (per activity, and total)
Source and composition of fill material (per activity)
Preliminary plan to compensate for the anticipated loss of aquatic ecosystem

This material should be mailed to USEPA, Region 9, WTR-8, 75 Hawthorne St., San
Francisco, 94105.

APPENDIX E
IN-LIEU FEE PROCEDURES