DWR Guidance on 401 Certifications in Response to Helene - October 2024

The following information is intended to aid in determining what may/may not require a 401
Certification from the Division of Water Resources (DWR) following the damage in Western North
Carolina from Hurricane Helene. The public may contact us with any questions regarding 401
Certifications for projects related to Helene recovery. Every effort will be made to return voice
messages and e-mails as quickly as possible.
Projects in Ashville Region: 828-296-4500
Projects in Mooresville Region: 704-235-2100
Projects in Winston-Salem Region: 336-776-9800
Email Inquiries: [e-mail]
For any other area or to see a map of areas covered by each region, please visit DWR’s website:
https://www.deq.nc.gov/about/contact/regional-offices

401 Certifications are only required when the USACE determines that a 404 Permit is
necessary.
404 Exemption = No 401 Certification needed

In accordance with a Fact Sheet issued by the USACE1. A majority of work within waters of the U.S.
(WOTUS) to repair damage cause by Helene is expected to qualify for an exemption from 404
permitting or verification under one or more Nationwide Permit (NWP).
From USACE Factsheet:
● Exemptions: No permit is required for maintenance, including emergency reconstruction
of recently damaged parts, of currently serviceable structures such as dikes, dams,
levees, groins, riprap, breakwaters, causeways, bridge abutments or approaches, and
transportation structures. Maintenance does not include any modification that changes
the character, scope, or size of the original fill design.
● No permit is required for maintenance, repair, or replacement of moorings or pile-
supported structures including floats, stairs/pads, and boat/float lifts as well as other
miscellaneous structures within inland, non-navigable waters if there is no discharge of
dredged or fill material.
 No 401 Certification is required from DWR for projects that qualify for the above
noted exemptions.

1 Fact Sheet: Regulatory Flood Response in North Carolina, October 2024. U.S. Army Corps of Engineers. 3 October 2024
Guidance: Hurricane Helene Repair
work in Waters and Wetlands
NC Division of Water Resources
October 2024

● Discharge of dredged or fill material: If your project does not qualify for an exemption
from USACE, a 404 Permit and 401 Certification are required for the discharge of fill
material into WOTUS. For these activities, the DWR intends to expedite issuance of the
corresponding 401 Certification.
● Structures located in or over navigable waters: Permits and 401 Certifications are
required for work or structures in or over navigable waters pursuant to Section 10 of the
Rivers and Harbors Act of 1899. For these activities, the DWR intends to expedite issuance
of the corresponding 401 Certification.
NWP authorized activities:
Most NWPs in North Carolina have corresponding 401 General Certifications. A 401 General
Certification covers certain types of activities that can be conducted without needing to apply (via
an application or “PCN”) to the DWR. Each 401 General Certification specifies thresholds which
make a project ineligible for coverage under the General Certification and would therefore require
PCN submittal to request an Individual 401 Certification. The most common NWPs and GCs
expected to cover storm related activities are listed below.
USACE Nationwide Permit (404 Permit) DWR General Certification (401
Certification)
NWP 3. Maintenance General Certification #4239
NWP 13. Bank Stabilization General Certification #4245
NWP 14. Linear Transportation Projects General Certification #4246
NWP 37. Emergency Watershed Protection and Rehabilitation General Certification #4246
NWP 45. Repair of Uplands Damaged by Discrete Events General Certification #4268

Link: Full List of DWR General Certifications
Projects that qualify for coverage under any General Certification must comply with the Conditions
stated in the General Certification. With regards to the Condition in all 401 General Certifications
stating “Work within a designated trout watershed of NC or identified state or federal endangered or
threatened species habitat, shall be coordinated with the appropriate NCWRC, USFWS”, the
NCWRC has indicated that the standard trout moratorium for work in waters shall be waived for any
action that meets the definition of an “emergency” as defined by the USACE2. For projects that do
not meet this definition, an application will be required to allow DWR/USACE to conduct expedited
coordination with resource agencies.
Projects that require an Individual Certification will require a PCN submittal, and review by DWR.
You may apply for authorization through a website tool and joint permit application, available here.
DWR will expedite application review/approvals for activities related to emergency storm
recovery/repair as much as practical.

2 USACE Public Notice: Emergency Permit Application Processing Procedures for Hurricane Helene