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Section 404 - 401 Procedures, Applications and Permits

Section 404 Procedures Manual
This manual provides guidance on the preparation of jurisdictional delineations, Nationwide Permit preconstruction notification submittals, and Individual Permit applications. This manual is divided into 5 easy-to-follow steps beginning with jurisdictional delineations and ending with Section 401 certification. This is a must resource for all practitioners involved with Section 404 permitting.

Note: This Manual was completely updated in November 2007 to reflect the new Nationwide Permits and to update submittal requirements for the Corps and ADEQ. Please refer to the Revision Chart for subsequent updates.

• Procedures Manual Revision History
	Revision Chart
• Cover Sheet, Endcaps, Tabs
	Cover Sheet 11 X 17
	Endcaps
	Tabs
• Forward, Table of Contents, and Introduction
	Forward and Table of Contents
	Introduction
	Section 404 Application and Approval Process Flowchart
	Section 401 Application Certification Flowchart
• STEP 1: Are waters of the US present within the boundaries of the activity?
	Step 1 Text
	Attachment 1-1: 33 CFR 328 - Definition of Waters of the United States
	Attachment 1-2: Required Submittal Items for Jurisdictional Delineations
	Attachment 1-3: Corps Labels for Jurisdictional Delineations
	Attachment 1-4: Tables of Wash Summary and JD Physical Characteristics
	Attachment 1-5: Approved Jurisdictional Determination Form ~ to be used when instructed by the EPG Planner
	Attachment 1-6: Preliminary Jurisdictional Determination Form ~ to be used in most instances
• STEP 2: Will the activity involve the discharge of dredged or fill material into waters of the US?
	Step 2 Text
	Attachment 2-1: Part 323 - Permits for Discharges of Dredged or Fill Material into Waters of the US
• STEP 3: What type and quantity of impacts on waters of the US will result from the activity and will the impacts be mitigated?
	Step 3 Text
• STEP 4: What type of Section 404 permit is required for the activity?
	Step 4 Text
	Attachment 4-1: Summary of 2007 Nationwide Permits
	Attachment 4-2: Environmental Planning Checklist for 404 Permit Applications / EPG Nationwide - Individual Permit Application Review
	Attachment 4-3: Application for Department of the Army Permit
• STEP 5: What type of Section 401 certification is required for the activity?
	Step 5 Text
	Attachment 5-1: 33 US Code 1341 - Certification
	Attachment 5-2: AAC Article 1, Section R18-11-112  Unique Waters
	Attachment 5-3: Required Components of an Individual Certification Application to the EPA
	Attachment 5-4: EPA's General and Permit-Specific Conditions for Section 401 Certification
	Attachment 5-5: ADEQ Application for Section 401 Certification
	Attachment 5-6: ADEQ/WQD Form 404-033 - Applicant's Response to ADEQ Policy for Protecting Water Quality During Facility Construction
	Attachment 5-7: White Mountain Apache Tribe Requirements for Section 401 Individual Certification
• Acronyms and Glossary
	Acronyms
	Glossary
• Appendices
	Appendix 1: Guidelines for JD Determinations for Waters of the US in the Arid Southwest, Final Summary Report
	Appendix 2: Guidance on Compensatory Mitigation Projects for Aquatic Resource Impacts
	Appendix 3: Guidance for the Establishment, Use and Operation of Mitigation Banks
	Appendix 4: Guidance on the Use of In-Lieu-Fee Arrangements for Compensatory Mitigation
	Appendix 5: Section 401 Conditions Modified for ADOT Activities
	Appendix 6: Special Public Notice - Nationwide Permits for Arizona
	Appendix 7: Nationwide Permit 23, Approved Categorical Exclusions - Special Public Notice
	Appendix 8: Nationwide Permit 23, Approved Categorical Exclusions - Regulatory Guidance Letter
	Appendix 9: Operating Agreement - Integration Process Relative to NEPA and Section 404
	Appendix 10: Section 404(b)(1) Guidelines for Specification of Disposal Sites for Dredged or Fill Material
	Appendix 11: Corps 404(b)(1) Template
	Appendix 12: Special Public Notice - Emergency Processing Procedures

Notification Forms
These three forms consist of Certification of Compliance, Notification of Commencement of Work, and Notification of Completion of Work.

 Certification of Compliance with Department of the Army Nationwide Permit
 Notification of Commencement of Work
 Notification of Completion of Work

Instruction to Contractors
These two downloads include: 1) a one-page document emphasizing the need for contractor to follow mitigation measures on ADOT projects, including those under Section 404, and 2) a checklist for contractors to follow on the Section 404 requirements.

 Environmental Protection on ADOT Projects - Instruction to Contractors
 Checklist for Environmental Compliance


Stand-Alone Nationwide Permits for Arizona
These downloads contain all of the terms and conditions of stand-alone Section 404 Nationwide Permits, effective March 19, 2007. Each download is a Word document; the file size varies between 130KB - 200KB.

NWP	Title		NWP	Title
1	Aids to Navigation		26	(Reserved for future permit)
2	Structures in Artificial Canals		27	Aquatic Habitat Restoration, Establishment, and Enhancement Activities
3	Maintenance		28	Modification of Existing Marinas
4	Fish and Wildlife Harvesting, Enhancement, and Attraction Devices and Activities		29	Residential Developments
5	Scientific Measurement Devices		30	Moist Soil Management for Wildlife
6	Survey Activities		31	Maintenance of Existing Flood Control Facilities
7	Outfall Structures and Associated Intake Structures		32	Completed Enforcement Actions
8	Oil and Gas Structures on the Outer Continental Shelf		33	Temporary Construction, Access and Dewatering
9	Structures in Fleeting and Anchorage Areas		34	Cranberry Production Activities (document not available)
10	Mooring Buoys		35	Maintenance Dredging of Existing Basins
11	Temporary Recreational Structures		36	Boat Ramps
12	Utility Line Activities		37	Emergency Watershed Protection and Rehabilitation
13	Bank Stabilization		38	Cleanup of Hazardous and Toxic Waste
14	Linear Transportation Projects		39	Commercial and Institutional Developments
15	U.S. Coast Guard Approved Bridges		40	Agricultural Activities
16	Return Water from Upland Contained Disposal Areas		41	Reshaping Existing Drainage Ditches
17	Hydropower Projects		42	Recreational Facilities
18	Minor Discharges		43	Stormwater Management Facilities
19	Minor Dredging		44	Mining Activities
20	Oil Spill Cleanup		45	Repair of Uplands Damaged by Discrete Events
21	Surface Coal Mining Activities		46	Discharges in Ditches
22	Removal of Vessels		47	Pipeline Safety Program Designated Time-Sensitive Inspections and Repairs
23	Approved Categorical Exclusions		48	Commercial Shellfish Aquaculture Activities
24	Indian Tribe or State Administered Section 404 Program (document not available)		49	Coal Remaining Activities
25	Structural Discharges		50	Underground Coal Mining Activities

Documents are posted as they become available in PDF format, which requires Adobe Reader to view.