Wetlands and 404 Permitting
The following are typical questions regarding wetlands and 404 permits for construction of roadways and structures.
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A wetland is an area that is flooded or saturated by surface or ground water long enough to support vegetation typically adapted for life in saturated soil conditions. From a regulatory standpoint, an area is considered a wetland if it has wetland hydrology, wetland plants, and hydric soils (wet soils).
A jurisdictional stream includes rivers, streams, drainage ditches, and ravines with a defined streambed and stream banks, an ordinary high water mark (a clear line along the stream bank(s) below which vegetation does not grow due to the flow of water), and deposited sediment (i.e. sand or mud bars).
A 404 permit is issued by the U.S. Army Corps of Engineers under Section 404 of the Clean Water Act. The 404 permit authorizes construction within wetlands, streams, ponds, etc. The permit also contains general and special conditions, which clarify activities that are allowed and/or restricted for a particular project. The Iowa Department of Natural Resources' 401 certification is incorporated into and becomes a part of the "404 permit."
A 401 Certification is issued by the Iowa Department of Natural Resources under Section 401 of the Clean Water Act. The Iowa DNRs 401 certification also authorizes construction of the project and provides special conditions that must be followed.
Explain Nationwide, Regional, and Individual Permits.
Nationwide permits, regional permits, and individual permits are all types of 404 permits.
Nationwide permits and regional permits are issued for projects that have minimal environmental impacts. They provide a simplified, expedited process that eliminates lengthy review by the regulatory agencies and allows certain activities to proceed with little or no delay. Iowa Department of Transportation projects are normally covered by nationwide permits; however, regional permits may be issued if impacts from a project exceed the limits for nationwide permits but are not large enough to require an Individual permit. A 401 certification is automatically issued when the U.S. Army Corps of Engineers issues a nationwide or regional permit.
Individual permits are required for projects with potentially significant environmental impacts or impacts to rare or special aquatic types. These projects involve evaluation of applications by the Corps, Iowa Department of Natural Resources, the Iowa State Historic Preservation Officer, U.S. Fish and Wildlife Service, U.S. Environmental Protection Agency, as well as the public. These permits typically require compensatory mitigation.
A 404 permit is required for the discharge of dredged or fill material into waters of the United States, which include wetlands, rivers/streams/drainages, ponds, and lakes (fill material is the trigger). Typical activities that require Section 404 review include grading, widening, and resurfacing; culvert extensions; bridge/culvert replacements; riprap and/or flood emergency repairs; new construction on new alignment; and any construction in or around streams or wet areas (including clearing and grubbing).
The Iowa Department of Transportation secures all 404 permits/401 certifications within approved right of way, including Iowa DOT borrows. A contractor would be responsible for obtaining a 404 permit and other environmental clearances for contractor borrows, value engineering borrows, or any activities outside of approved right of way.
The length of the 404 permit process is dependent on the size and complexity of the project. For projects authorized by nationwide or regional permits, the timeframe is typically one to two months. For individual permits, the timeframe is typically six to eight months.
All Iowa Department of Transportation projects that need a 404 permit will have an Iowa DOT Standard Note 281-1 included in the standard notes. Standard Note 281-1 will list the type of 404 permit that has been obtained and the permit number. All projects that have 404 permit also have a 401 certification automatically included with the permit. Local projects also have a note in the plans to indicate a 404 permit has been obtained.
Specific permit requirements are described in the general and special conditions of the 404 permit. A copy of the 404 permit is e-mailed to the Iowa Department of Transportation's district construction engineer for all projects for which a permit has been obtained. The Iowa DOT's Contracts Bureau or Location and Environment Bureau can provide a copy of a project's 404 permit upon request, or 404 permits for Iowa DOT are available on the Iowa DOT's web site at Section 404 Permit Library.
Other sources of information related to wetlands and 404 permit requirements include:
- Iowa DOT's General Specifications 1107.18 and 2547.
- Project plans, bid items, and reference notes.
- Special provisions.
- Chapter 10 of the Iowa DOT's Construction Manual; and the Construction and Materials Bureau has a procedure guide titled "Iowa Department of Transportation Requirements for Section 404 permits".
No. The contractor is responsible for obtaining 404 permits and any other environmental clearances for contractor borrows or waste areas. See Iowa DOT's General Specification 1106.07.
Yes. Temporary stream crossings or workpads that are constructed in accordance with Standard Road Plan EW-401 and located within approved right of way will be authorized unless noted in the project plans, reference notes, or special provisions.
Performing unauthorized work in wetlands or streams is a violation of the Clean Water Act with potentially stiff penalties including fines and/or requirements to restore the area and/or imprisonment. Enforcement is an important part of the U.S. Army Corps of Engineers regulatory program. Surveillance and monitoring activities are often aided by various agencies, groups, and individuals who report suspected violations.
The Iowa Department of Transportation's Location and Environment Bureau's water resources section has six project managers on staff whose primary responsibility is to secure 404 permits and coordinate projects with the Corps and Iowa DNR. These project managers are more than willing to handle any interaction with either the Corps or Iowa DNR, as necessary.
The 404 permit should authorize fill placement in any wetlands and/or streams that fall within approved Iowa Department of Transportation's right of way, including Iowa DOT borrow areas. Occasionally, there may be wetland areas located inside of approved right of way that are protected from disturbance. These areas will be noted in the plans or special provisions, and are typically marked in the field with orange snow fence.
These areas should be identified in project plans or in special provisions for environmental protection. In some cases, exclusionary fence is installed on the project to ensure that the contractor does not disturb these areas.
Yes. Iowa Department of Transportation's Standard Note 281-1 and General Specifications 1107.18.
A copy of the 404 permit should be kept in the project trailer or with the inspector.
The Iowa Department of Transportation's Office of Location and Environment's water resources section has a construction engineer. For projects with 404 permit-related issues, the OLE construction engineer may be invited at the discretion of the Iowa DOT's resident construction engineer.
The RCE may be responsible for some documentation during the project, such as notifying the U.S. Army Corps of Engineers when a project begins, providing the Corps with a plan for temporary construction activities, or providing the Corps and Iowa Department of Natural Resources results of sediment analysis when hydraulic dredging is to occur. However, these notifications will likely be limited to projects within large rivers (i.e., the Mississippi or Missouri) and the requirements for these notifications will be clearly defined in special conditions of the 404 permit, in plan notes, or in special provisions.
The RCE is typically not responsible for any 404 permit documentation after completion of a project; however, the RCE should notify the Iowa DOT's Office of Location and Environment's construction engineer upon completion of the project. OLE is responsible for providing the Corps with a Completed Work Certificate as required by all 404 permits. OLE can be notified informally via email; otherwise, the 435 serves as the trigger for OLE to notify the Corps of project completion.
Typically, the only involvement that the regulatory agencies will have will be inspection of the construction site to ensure the Iowa Department of Transportation is in compliance with the 404 permit.
For larger projects, particularly those within the Missouri River or the Mississippi River, additional involvement may be necessary, including notifying the U.S. Army Corps of Engineers and U.S. Coast Guard when the project is scheduled to begin, providing the Corps with a plan for all temporary construction within a specific resource; providing the Corps and Iowa Department of Natural Resources with results of sediment analysis as required for projects with hydraulic dredging; and coordinating with the Corps and/or Iowa DNR for unauthorized fills or spills.
Environmental Considerations, Clearances, and Permits
The following provides a summary of each type of permit, a description of the purpose of the permit, the regulatory agency responsible for the permit, and the Iowa Department of Transportation's OT office responsible for obtaining the permit for Iowa DOT administered projects. For projects administered by a local agency, the local agency is responsible for obtaining the permit. In general, permits and clearances pertain to essential work within highway rights-of-way.
See the additional information for environmental considerations, permits, & clearances summarizing permit types, purposes, regulatory agency, etc.
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If a contractor has a question whether something had been pursued and denied, they need to post the question on BIDX.
Any permit approvals obtained by the contractor postletting, after award of contract and signing, would not be subject to value engineering, as long as it does not involve a change to the plans. The postletting permit approvals must be confirmed in writing from the regulatory agency and will be accepted by the Iowa Department of Transportation.
It is not possible for the Iowa DOT to submit all the potential methods for permit approval because this is dependent on the contractor's means and methods. The Iowa DOT will ensure that there is at least one method that can be used to ensure the work is constructible.
Temporary stream access is detailed in Standard Road Plan EW-401.
The term ordinary high-water mark means a point on a streambank or shoreline at which the presence and action of surface water is so continuous as to leave a distinct mark below which vegetation and soil is noticeably different from the top of the streambank or shoreline. This mark is typically recognized by the presence of a clear line below which vegetation cannot grow due to the presence of surface water, but can also be identified by other physical characteristics within the stream channel, including the presence of litter and woody debris (e.g., corn stubble, leaves, tree branches and/or limbs), or erosional features, such as shelving, scour holes, and sediment.
Sandbars and vegetation bars within the stream channel are generally considered to be below the ordinary high-water mark.
Not at this time, but this will be further reviewed for consideration in the future.
Not at this time, but this will be further reviewed for consideration in the future.
For some projects the Iowa Department of Transportation will hold possible constructability meetings and/or pre-bid meetings for discussion of the project and to received input from the construction industry.
Copies of permits are now available on the Iowa DOT's web site at: Section 404 permit Library.
If Iowa Department of Transportation determines that dredging is essential to construct the project, then the Iowa DOT will pursue approval of dredging in the 404 permit application. This typically includes dredging inside cofferdams, barge slips, removal of sand bars to improve water flow, etc.
If the Iowa DOT determines that dredging in the project area is not allowed, due to environmental or other concerns, then the Iowa DOT will include a Standard Note 282-2 in the plans clearly stating that dredging of any type is not allowed and the reason why.
When not specifically disallowed by the Iowa DOT, contractors may elect to pursue their own approvals for the use of dredged materials, provided those approvals are in accordance with Articles 1107.18 and 1106.07 and there are no environmental concerns. Elective items typically include the use of dredged materials for causeways constructed according to Standard Road Plan EW-401, work pads, etc. The Iowa DOT will inform contractors of relevant information about stream conditions as much as possible based on specific questions provided via BIDX. Please note that Iowa DOT obtains approval for temporary structures constructed according to Standard Road Plan EW-401, but not for the source of materials used within those structures.
In general, 404 permits require that materials excavated/dredged from the stream be removed to upland, non-wetland locations when no longer necessary for construction of the project.
The initial step in addressing archeological concerns is to ensure completion of an Iowa Site (I-Sites) File Search for the borrow site. Information regarding the I-Sites archeology database is available via The Office of the State Archeologist webpage, or by calling (319) 384-0735.
If an archaeological site is identified via the I-Sites file search and must be avoided, take measures to fence off the area prior to mobilization and ground disturbance. Fencing is typically used for site avoidance, and it is recommended that an archaeologist guides the fencing of the restricted area. If a survey is recommended, proceed with completion of a survey. If the I-Sites file search results in no recommended action, then the minimum effort for site review has is complete.
If the recommendations for a site or a survey are unclear, it is recommended to contact the state archaeologist or the Corps of Engineers.
Please forward the I-Site file search to the Corps of Engineers.
The vast majority of regulated materials reviews can be satisfied with a desktop search of on-line regulatory databases, historic aerial photos, Google Earth, and county assessor web pages. This is meant to roughly follow the requirements of a Phase I Environmental Site Assessment (ESA) as outlined in ASTM Standard E1527. If needed, an environmental consulting firm can be hired to perform a Phase I ESA.
A listing of sites where contamination has the potential to be present would be extensive and likely could never be considered all-inclusive. However, the most commonly contaminated sites are gas stations/convenience stores, dry cleaners, junkyards, landfills, bulk petroleum storage facilities, railyards, former manufactured gas plants, etc. The majority of potentially contaminated sites would involve previously or currently developed commercial or industrial parcels. It is highly unlikely crop, pasture or otherwise vacant land with no prior history of commercial or industrial usage would have contamination issues (but still need to be reviewed as confirmation).
Sites that are known to be contaminated should be avoided if at all possible. If avoidance is not an option, on-site testing of soil and groundwater will be necessary to determine the limits of the contamination plume(s) so the area(s) of contaminated material can be avoided. These types of investigations have the potential to become very costly.
Sites that could potentially be contaminated based on the desktop review will need confirmation sampling of the soil and groundwater. This typically involves a Phase II Environmental Site Assessment (ESA) performed in accordance with ASTM Standard E1903. An environmental professional would be needed to perform a Phase II ESA.
Testing requirements will vary depending upon the present and prior site usage and potential contamination sources. An environmental professional would need to develop a sampling plan identifying sampling locations and appropriate analytical testing.
EW-401 and Construction of Temporary Stream Crossings
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Updated: June 2018
The following are questions regarding 404 permits and the construction of temporary stream crossings and work pads for construction of bridges and reinforced concrete box culverts.
In the 404 permit and in Iowa Department of Transportation's General Specifications 1107.18 and 2547. A contractor is permitted to do construction that is authorized by the 404 permit. Because the permit contains conditions that may affect construction methods, it should be reviewed by the contractor before the work is performed.
The Iowa DOT's Office of Contracts can provide a copy of a project's 404 permit upon request.
No, unless the dredging or stream excavation is a required element of the contract documents. If included in the contract documents, dredging or stream excavation would be authorized by Iowa Department of Transportation's 404 permit.
When not a part of Iowa DOT's 404 permit or contract documents, a contractor may, at his own discretion and his own expense, apply for a 404 permit to dredge or excavate the stream. Contractors should be aware that this process may take months and will not be paid for by the Iowa DOT.
No. The Iowa Department of Natural Resources requires that materials used for temporary stream crossings or work pads be removed to an upland area within 30 calendar days of no longer being needed.
The soil material excavated from a cofferdam must be removed to an upland area. If stockpiled for later use, the material must be stored in a manner that it will not erode into streams, water bodies, or wetlands.
Once cofferdam construction is complete, the cofferdam should be backfilled in accordance with Iowa Department of Transportation's General Specification 2405.02. The material originally excavated from the cofferdam may be replaced as backfill.
The 401 permit is issued by the Iowa Department of Natural Resources under Section 401 of the Clean Water Act. The Iowa DNR's 401 certification authorizes construction of the project and provides special conditions that must be followed.
The 404 permit is issued by the U.S. Army Corps of Engineers under Section 404 of the Clean Water Act. This also authorizes construction and provides special conditions. The Iowa Department of Natural Resources' 401 certification is incorporated into and becomes a part of the "404 permit".
Nationwide permit 14 provides for the construction or improvement of linear transportation projects, such as highways and bridges.
Nationwide permit 33 provides for temporary stream crossings and works surfaces, such as causeways or work pads.
Nationwide permit 13, Streambank Stabilization, provides for streambank shaping and riprap placement. Nationwide permit 3, Maintenance, provides for repair or replacement of existing infrastructure damaged by storm activity.
Standard Road Plan EW-401 provides for the basic design of temporary stream crossings, causeways, and work pads used with Iowa Department of Transportation projects. EW-401 has been preapproved by the regulatory agencies and is covered by Iowa DOT’s 404 permits.
Alternative methods of constructing stream crossings and work pads are not generally approved in contract documents or 404 permits, unless specifically stated. Contractors wishing to use alternative methods may, at their own discretion and expense, apply for a 404 permit to authorize an alternative stream crossing. Contractors should be aware that this process may take months and will not be paid for by the Iowa DOT.
Some requirements will be listed in the 404 permit. Other requirements include 1) the material must be clean (meaning 10 percent or fewer fines passing the #200 sieve), and 2) the activity must be approved in a 404 permit.
For hydraulic dredging in the Missouri River, the contractor is required to perform elutriate testing in accordance with Iowa Department of Natural Resources guidelines'. Hydraulic dredging in other rivers in Iowa does not have this requirement. Mechanical dredging has no additional special requirements.
An ordinary high-water mark is a line on the shore established by the fluctuations of water and indicated by physical characteristics, or by other appropriate means, that consider the characteristics of the surrounding areas (see 33 CFR 328.3(e)).
Ordinary high-water mark may be recognized in the field by a number of characteristics, including a pronounced scour line on the streambank or the lower limit of permanent vegetation. Normally, the ordinary high-water mark is that line on the bank or shoreline that has vegetation growing above and bare soil below.
The size of pipe and number of pipes is to be determined by the contractor. In accordance with Standard Road Plan EW-401, the pipes must be sized to not restrict expected high flows or prevent the movement of aquatic life. It is the contractor's responsibility to size the pipes depending on the field conditions to meet the requirements of the regulations.
In the future, floating silt curtain (Standard Road Plan EC-202), will be required whenever a temporary crossing or work pad is constructed according to Standard Road Plan EW-401. The purpose is to prevent sediment pollution that may be harmful to aquatic life during the installation or removal of temporary crossings or work pads. The engineer should be consulted if field conditions prevent installation of floating silt curtains.
The Iowa DOT will notify contractors when this requirement has been put into effect.
This would depend on what was allowed by the regulatory agencies in the 404 permit. Other methods may include temporary bridges, work from barges, barge slips at shoreline, or other methods involving little or no impacts to rivers or streams.
The Iowa DOT's General Specifications 2547.
Yes. In accordance with Iowa Department of Transportation's General Specifications 2547, revetment that has been removed may be incorporated elsewhere in the project provided it meets the specification for the intended final use.