Section 401 Water Quality Certification 

Pursuant to the federal Clean Water Act, anyone who wishes to discharge dredged or fill material into the waters of the U.S., regardless of whether on private or public property, must obtain a Section 404 permit from the U.S. Army Corps of Engineers (Corps) and a Section 401 Water Quality Certification (WQC) from the state.

Certification Materials

Pre-Application Meetings

Planning a project that will impact wetlands, streams, rivers, lakes or other regulated water resources, and anticipating how Ohio EPA will respond to your application can be difficult. In an effort to avoid delays and confusion, and ensure that Ohio's environment is protected, Ohio EPA offers pre-application coordination for all applicants who need to apply for a Section 401 Water Quality Certification or Isolated Wetland Permit. Most delays in the application review process are caused by applicants not providing all the information required by Ohio EPA. Through the pre-application coordination process, Ohio EPA representatives can help ensure you know exactly what you need before you submit your application.

A pre-application meeting is an informal, completely voluntary (though highly recommended) process where you meet with an Ohio EPA 401 Coordinator to discuss a project that is in its early planning stages.

• General pre-application guidance [PDF 198K]
• Pre-application request form with instructions [PDF 282K]
  The form can be completed and saved using the free Adobe Acrobat™ reader (version 7.0 or later)

401 Water Quality Certification Application Requirements

ORC section 6111.30 specifies what items must be submitted for a Water Quality Certification application package to be considered complete. The required components under ORC division 6111.30(A) are:

1. A complete 401 Water Quality Certification application form [PDF 49K];
2. A copy of the United States Army Corps of Engineers’ jurisdictional determination letter. If no jurisdictional determination is to be issued by the Corps, the public notice or notification that the project is authorized under a general permit will fulfill this requirement;
3. If the project impacts a wetland, a wetland characterization analysis consistent with the Ohio Rapid Assessment Method;
4. If the project impacts a stream for which a specific aquatic life use designation has not been made, a use attainability analysis;
5. A specific and detailed mitigation proposal, including the location and proposed legal mechanism for protecting the property in perpetuity;
6. Applicable permit fees (see Fees page);
7. Site photographs;
8. Adequate documentation confirming that the applicant has requested comments from the Ohio Department of Natural Resources and the United States Fish & Wildlife Service regarding threatened and endangered species, including the presence or absence of critical habitat;
9. Descriptions, schematics, and appropriate economic information of the applicant’s preferred alternative, non-degradation alternatives and minimal degradation alternatives for design and operation of the activity;
10. The applicant’s investigation report of the waters of the United States in support of the 404 permit application. If no investigation report is required by the Corps, the public notice or notification that the project is to be authorized under a general permit will fulfill this requirement; and
11. A copy of the United States Army Corps of Engineers’ public notice regarding the 404 permit application. If no public notice is to be issued by the Corps, notification that the project is authorized under a general permit will fulfill this requirement.

15-Day Completeness Review

Ohio Revised Code division 6111.30(B) requires Ohio EPA to review an application within 15 business days of submission and to notify the applicant in writing whether the application is considered complete, or not. If incomplete, the letter will specify what parts of the application package are missing. If complete, the letter will specify what type of public notice is required for the proposed project. The letter will also provide the name and contact information for the application reviewer assigned to that project. This notification will be a letter that is faxed to the applicant or their designated agent. The applicant, or their agent, will be asked to acknowledge receipt of the 15-day review letter by signature and return fax.

Should the application be incomplete, the applicant has 60 days in which to provide the missing information. After 60 days, the Director may return the application and the review fee without further action. The application fee will not be refunded.

401 Water Quality Certification Process Changes

As a result of the Kaizen event undertaken by Ohio EPA to address concerns with the 401 water quality certification process, a number of changes will be taking place to that process. Some of these changes will be implemented now, while other changes will require more time to develop necessary procedures and guidance documentation.

Effective June 1, 2010, Ohio EPA began implementing a number of the recommended improvements:

1. A customer feedback survey has been created. The link to the survey will be included on each 401 certification issued. Results of the survey will be included in the annual wetlands permitting report that the Agency generates. 
2. A formal pre-application process has been established that will promote better communication between Ohio EPA and project applicants.
3. A formal mid-project review meeting procedure [PDF 41K] has been established to ensure that all applicants are offered the opportunity to meet with the application reviewer after the close of the public comment period if they so desire.
4. A formal dispute resolution procedure [PDF 39K] has been established to ensure the timely resolution of disagreements that arise during the technical review process.
5. The task of conducting the 15-day completeness reviews will be shifted from a single individual to the individual application reviewers to minimize any loss of productivity associated with multiple staff reviewing each application.
6. Revisions to the manner in which public notice documents are generated will be made to eliminate the “back and forth” process currently in place between the agency and the applicant. 

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