20180364 Ver 2_SAW-2014-00699 (signed NWP)_20221205

U.S. ARMY CORPS OF ENGINEERS
WILMINGTON DISTRICT
Action Id. SAW-2014-00699 County: Catawba U.S.G.S. Quad: NC -Stony Point
GENERAL PERMIT (REGIONAL AND NATIONWIDE) VERIFICATION
Permittee:
Address:
Telephone Number:
E-mail.
Size (acres)
Nearest Waterway
USGS HUC
Duke Energy Carolinas, LLC
Jon Wise
400 S. Tryon Street, Suite 30C
Charlotte, NC 28285
980-373-8631
i on.wise(d,duke-energy.com
Nearest Town Catawba
River Basin Santee
Coordinates Latitude: 35.753941
Longitude: -81.094389
Location description: The review area is located on the south side of Lookout Dam Road; 1.6 miles east of the intersection of
Lookout Dam Road Oxford School Road. PINs: 377302770605 and 377302952468. Reference the review area description
shown in the Pre -Construction Notification Package entitled "Figure 1, Project Vicinity" and Printed Date of 12/05/17.
122.76
Catawba River
03050101
Description of projects area and activity: This verification authorizes temporary impacts to 1.0 acre of wetland and 200 linear
feet of stream and permanent impacts to 0.6 acre of wetlands and 138 linear feet of stream. Temporary wetland and stream
impacts would result from activities associated with the installation of a temporary coffer dam and sediment basin and de -
watering activities associated with the installation of the headwall and culvert, respectively. Permanent wetland and stream
impacts would result from the discharge of fill material to construct a stability berm and activities associated with culvert
installation, respectively. Temporary impacts to the wetland area will occur and this area will be restored using stockpiled, on -
site wetland soils, re -grading to pre -construction contours, and re -vegetating the wetlands area with native wetland seed mix.
The purpose of temporary and permanent impacts to wetland and stream features are attributed to improving the
downstream slope of the existing earthen dam to meet minimum safety factor requirements for the post -seismic load case.
Applicable Law(s): ® Section 404 (Clean Water Act, 33 USC 1344)
❑ Section 10 (Rivers and Harbors Act, 33 USC 403)
Authorization: NWP 3. Maintenance
SEE ATTACHED NWP GENERAL, REGIONAL, AND/OR SPECIAL CONDITIONS
Your work is authorized by the above referenced permit provided it is accomplished in strict accordance with the enclosed
Conditions, your application signed and dated 3/12/2018, and the enclosed plans Site Surface Water Impacts dated 3/12/2018.
Any violation of the attached conditions or deviation from your submitted plans may subject the permittee to a stop work order,
a restoration order, a Class I administrative penalty, and/or appropriate legal action.
This verification will remain valid until the expiration date identified below unless the nationwide authorization is modified, suspended
or revoked. If, prior to the expiration date identified below, the nationwide permit authorization is reissued and/or modified, this
verification will remain valid until the expiration date identified below, provided it complies with all requirements of the modified
nationwide permit. If the nationwide permit authorization expires or is suspended, revoked, or is modified, such that the activity would
no longer comply with the terms and conditions of the nationwide permit, activities which have commenced (i.e., are under construction)
or are under contract to commence in reliance upon the nationwide permit, will remain authorized provided the activity is completed
within twelve months of the date of the nationwide permit's expiration, modification or revocation, unless discretionary authority has
been exercised on a case -by -case basis to modify, suspend or revoke the authorization.
Activities subject to Section 404 (as indicated above) may also require an individual Section 401 Water Quality Certification. You
should contact the NC Division of Water Resources (telephone [phone]) to determine Section 401 requirements.
For activities occurring within the twenty coastal counties subject to regulation under the Coastal Area Management Act (CAMA), prior
to beginning work you must contact the N.C. Division of Coastal Management Morehead City, NC, at [phone].
This Department of the Army verification does not relieve the permittee of the responsibility to obtain any other required Federal, State
or local approvals/permits.

If there are any questions regarding this verification, any of the conditions of the Permit, or the Corps of Engineers regulatory program,
please contact Bryan Roden -Reynolds at 704-510-1440 or bryan.roden-reynolds(d,usace.army.mil.
RODEN
Corps Regulatory Official: REYNOLDS.BRYAN.KENNETH.1263385574
Expiration Date of Verification: 03/18/2022
Dig.11y signed n,1100EN nnraLos.emAN KENNETH.izs33ass,a
mentou=oo0,ou=e1(1,ou,SA,cn=1,100HN
M338557a
Date: 04/16/2018

The Wilmington District is committed to providing the highest level of support to the public. To help us ensure we
continue to do so, please complete the Customer Satisfaction Survey located at
h tip ://corpsmapu.usace .army.mil/cm_apex/f?p=136:4:0
Copy furnished:
Agent: HDR, Inc.
Eric Mularski
Address: 440 S. Church Street, Suite 900
Charlotte, NC 28202
Telephone Number: 704-973-6878
E-mail. eric.mularski*hdrinc.com

SPECIAL CONDITIONS
a. In order to compensate for impacts associated with this permit, mitigation shall be provided in accordance
with the provisions outlined on the most recent version of the attached Compensatory Mitigation Responsibility
Transfer Form. The requirements of this form, including any special conditions listed on this form, are hereby
incorporated as special conditions of this permit authorization.

Action ID Number: SAW-2014-00699 County: Catawba
Permittee: Duke Energy Carolinas, LLC, Jon Wise
Project Name: Lookout Shoals ESSI
Date Verification Issued: 04/16/2018
Project Manager: Bryan Roden -Reynolds
Upon completion of the activity authorized by this permit and any mitigation required by the permit,
sign this certification and return it to the following address:
US ARMY CORPS OF ENGINEERS
WILMINGTON DISTRICT
Attn: Bryan Roden -Reynolds
Charlotte Regulatory Office
U.S Army Corps of Engineers
8430 University Executive Park Drive, Suite 615
Charlotte, North Carolina 28262
or
[e-mail]
Please note that your permitted activity is subject to a compliance inspection by a U. S. Army Corps of
Engineers representative. Failure to comply with any terms or conditions of this authorization may
result in the Corps suspending, modifying or revoking the authorization and/or issuing a Class I
administrative penalty, or initiating other appropriate legal action.
I hereby certify that the work authorized by the above referenced permit has been completed in
accordance with the terms and condition of the said permit, and required mitigation was completed in
accordance with the permit conditions.
Signature of Permittee Date

MEMORANDUM FOR RECORD
SUBJECT: Department of the Army Memorandum Documenting General Permit
Verification
1.0 Introduction and overview: Information about the proposal subject to one or more of
the Corps regulatory authorities is provided in Section 1, detailed evaluation of the
activity is found in Sections 2 through 4 and findings are documented in Section 5 of this
memorandum. Further, summary information about the activity including administrative
history of actions taken during project evaluation is attached (ORM2 summary).
1.1 Applicant name: Duke Energy Carolinas, LLC, Jon Wise
1.2 Activity location: Latitude: 35.753941 Longitude: -81.094389 Location description: The
review area is located on the south side of Lookout Dam Road; 1.6 miles east of
the intersection of Lookout Dam Road Oxford School Road. PINs: 377302770605
and 377302952468. Reference the review area description shown in the Pre -
Construction Notification Package entitled "Figure 1, Project Vicinity" and Printed
Date of 12/05/17.
1.3 Description of activity requiring verification: This verification would authorize
temporary impacts to 1.0 acre of wetland and 200 linear feet of stream and
permanent impacts to 0.6 acre of wetlands and 138 linear feet of stream.
Temporary wetland and stream impacts would result from activities associated
with the installation of a temporary coffer dam and sediment basin and de -
watering activities associated with the installation of the headwall and culvert,
respectively. Permanent wetland and stream impacts would result from the
discharge of fill material to construct a stability berm and activities associated
with culvert installation, respectively. Temporary impacts to the wetland area will
occur and this area will be restored using stockpiled, on -site wetland soils, re-
grading to pre -construction contours, and re -vegetating the wetlands area with
native wetland seed mix. The purpose of temporary and permanent impacts to
wetland and stream features are attributed to improving the downstream slope of
the existing earthen dam to meet minimum safety factor requirements for the
post -seismic load case.
1.4 Permit authority: Section 404 of the Clean Water Act (33 USC 1344)
1.5 Applicable Permit: NWP 3. Maintenance
1.6 Activity requires written waiver? No. A waiver is not required for the applicant to
begin work because the project did not exceed any established thresholds that
require a waiver.
2.0 Evaluation of the Pre -Construction Notification
2.1 Direct and indirect effects caused by the GP activity: The direct effects of the
proposed activity in waters would include the loss of jurisdictional waters (as

specified in Section 1.3) and their associated aquatic resource functions. The
proposed activity also has the potential to result in indirect effects to waters
including excess sedimentation in downstream waters, disruption and/or killing
of aquatic life in the direct vicinity of the project area, increase of downstream
flows, and blocking/restricting aquatic life passage transiting in and through the
project area. These indirect effects are expected to be minimal due to design
criteria and Best Management Practices (BMPs) required by Nationwide Permit
General and Regional Conditions. Additionally, indirect effects would be further
reduced through the implementation of BMPs required by state, local, and
Federal ordinances and regulations.
2.2 Site specific factors: The project area is part of a 0.2 square mile watershed that is
2.6 percent impervious surfaces. Given the largely rural nature of the watershed,
the waters within the project area provide important aquatic resource functions to
downstream waters. The loss of functions associated with this specific project
are expected to be minimal due to the applicant's efforts to avoid and minimize
impacts to jurisdictional waters.
2.3 Coordination
2.3.1 Was the PCN coordinated with other agencies? Yes.
Agency coordination with the USFWS is required for the Northern Long Eared
Bat. However, the Corps is not required to wait for a response from the USFWS
Asheville Office in accordance with local procedures.
In accordance with General Condition 32(d)(2), since the proposed project would
result in the loss of greater than 0.5 acre of wetland, agency coordination was
required. On April 17, 2017, agencies were contacted and given 10 calendar days
to provide substantive, site -specific comments which explain why the agency
believes the adverse environmental effects will be more than minimal. If
contacted by an agency, the Corps is required to wait an additional 15 calendar
days before making a decision on the pre -construction notification. During the
10-day comment period, only the North Carolina Wildlife Resources Commission
(NCWRC) provided comments. The results of this coordination along with the
Corps' evaluation of concerns are provided below.
NCWRC Comment 1: The NCWRC stated "we have historical records for the state
significantly rare Carolina quillback (Carpoides sp. cf. cyprinus) upstream of
Lookout Dam. We have no other records for federal or state rare, threatened, or
endangered species near the project area, but the lack of records from the project
area does not imply or confirm the absence of federal or state -listed species or
state Species of Greatest Conservation Need listed in the 2015 State Wildlife
Action Plan. An on -site survey is the only definitive means to determine if the
proposed project would impact rare, threatened, or endangered species."
Corps' Evaluation: The last observation of the Quillback (Carpoides cyprinus) in
the Upper Catawba sub basin (i.e., HUC 03050101) was in 1991, approximately 10
river miles north of the Lookout Shoals Dam in Lake Hickory. The Endangered

Species Act of 1973 protects endangered and threatened species and their
habitats by prohibiting the take of listed animals. The Quillback does not have a
Federal designation (i.e., Endangered or Threatened).The Quillback has a North
Carolina status of "significantly rare" meaning any species existing within the
state in small numbers (i.e., likely less than 100 statewide populations).
In 2013, the applicant conducted on -site field surveys for Federally -listed species
(e.g., Dwarf -flowered heartleaf [Hexastylis naniflora], Schweinitz's sunflower
[Helianthus schweinitzii], Bald Eagle [Haliaeetus leucocephalus], and Northern
Long-eared Bat [Myotis septentrionalis]) occurring within Catawba County, North
Carolina. Results of this investigations are listed below:
1. Dwarf -flowered heartleaf — suitable habitat but no individuals observed;
2. Schweinitz's sunflower — suitable habitat but no individuals observed;
3. Bald Eagle — suitable foraging habitat but no nests are known to occur
within the project area and no nests or individuals were observed; and
4. Northern Long-eared Bat — potential roosting habitat was observed but the
project area is not located within known maternity trees or hibernation
sites and no individuals were observed.
At this time the Corps does not believe conducting a fisheries survey to
determine if the Quillback is present downstream of the project area is warranted
based on evidence which shows this species was observed upstream from the
project nearly 30 years ago. In addition, as stated above, the applicant conducted
recent on -site field investigations for Federally -listed species. Therefore, the
Corps believes the applicant has adequately addressed the issue of Federally -
and state -listed threatened and endangered species is the vicinity of the project.
NCWRC Comment 2: The NCWRC offered the applicant the following general
recommendations:
1. Minimize impacts to streams and wetlands. Use bridges for all permanent
roadway crossings of streams and associated wetlands to eliminate the
need to replace the culvert. If a culvert must be used, the culvert should be
designed to allow passage of aquatic organisms;
2. A minimum 100-foot setback for perennial streams and a 50-foot setback
for intermittent streams and wetlands;
3. Disturbed stream banks and wetlands should be restored to original
contours and re -vegetated with native plants. Native vegetation and
bioengineered structures should be used for stream stabilization where
possible. Riprap used for stream bank stabilization should be limited to the
stream bank below the high-water mark. Riprap should not be placed in the
stream bed. Long-term stabilization can be accomplished using native
plants;
4. Avoid tree clearing activities during the maternity roosting season for bats
(May 15 — August 15);
5. Re -seed disturbed areas with native seed mixtures that are beneficial to
wildlife. Consider planting native, wildflower seed mixes that will create
pollinator habitat within the project boundary. Avoid using Bermudagrass,

redtop, tall fescue, and lespedeza, which are invasive and/or non-native
and provide little benefit to wildlife. Manage non-native, invasive species
during and after construction;
6. All mechanized equipment operated near surface waters should be
inspected and maintained regularly to prevent contamination from fuels,
lubricants, hydraulic fluids, or other toxic materials; and
7. The use of biodegradable and wildlife -friendly sediment and erosion
control devices is strongly recommended. Silt fencing, fiber rolls and/or
other products should have loose -weave netting that is made of natural
fiber materials with movable joints between the vertical and horizontal
twines. Silt fencing that has been reinforced with plastic or metal mesh
should be avoided as it impedes the movement of terrestrial wildlife
species. These measures should be routinely inspected and properly
maintained. Excessive silt and sediment loads can have numerous
detrimental effects on aquatic resources including destruction of spawning
habitat, suffocation of eggs, and clogging of gills of aquatic species.
Corps' Evaluation: In order for any activity to be authorized under Nationwide
Permit 3, the applicant must following the General Conditions and Regional
Conditions included in the issued permit. A Copy of the 2017 Nationwide Permit
3, with its General Conditions and Regional Conditions, will be supplied to the
applicant when the permit is issued by the Corps. Therefore, the Corps believes
the applicant will adequately addressed the NCWRC's general recommendations.
2.3.2 Was the PCN coordinated with other Corps offices? No.
2.4 Mitigation
2.4.1 Provide brief description of how the activity has been designed on -site to avoid and
minimize adverse effects, both temporary and permanent, to waters of the United States
to the maximum extent practicable at the project site: The applicant provided the
following information regarding their effort to avoid and minimize impacts to
waters of the United States: The applicant provided the following information
regarding their efforts to avoid and minimize adverse effects: "Avoidance and
minimization measures will include implementing a minimum 30-foot riparian
buffer on existing surface waters, including wetlands, to reduce the potential for
sedimentation and protect water quality and aquatic habitat. In addition, Duke
Energy has developed an Erosion and Sediment Control Plan which will be
implemented during construction to prevent sedimentation impacts to water
resources. Best Management Practices will include, but will not be limited to,
installing an on -site spill prevention plan for heavy equipment. Following
construction, all disturbed areas will be restored and re -graded to pre -
construction grades and re -vegetated with native trees, shrubs, and herbs."
2.4.2 Is compensatory mitigation required for unavoidable impacts to jurisdictional aquatic
resources to reduce the individual and cumulative adverse environmental effects to a
minimal level?
Yes.

Provide rationale: Compensatory mitigation is required by General Condition 23(c).
This condition states "Compensatory mitigation, at a minimum one -for -one ratio,
will be required for all wetland losses that exceed 1/10-acre and require PCN."
2.4.3 Type and location of compensatory mitigation
Is the impact in the service area of an approved mitigation bank? No.
If yes, does the mitigation bank have appropriate number iu t esource type of credits
available? N/A.
Is the impact in the service area of an approved in -lieu fee program? Yes.
If yes, does the in -lieu fee program have the appropriate number and resource type of
credits available? Yes.
Selected compensatory mitigation type/location(s): See Table 1
Table 1: Mitigation Type and Location
Mitigation bank credits
In -lieu fee program credits
X
Permittee-responsible mitigation under a watershed approach
Permittee-responsible mitigation, on -site and in -kind
Permittee-responsible mitigation, off -site and/or out of kind
Does the selected compensatory mitigation option deviate from the order of the options
presented in §332.3(b)(2)-(6)? No.
If yes, provide the rationale for the deviation, including the likelihood for ecological
success and sustainability, location of the compensation site relative to the impact site
and their significance within the watershed, and/or the costs of the compensatory
mitigation project (see 33 CFR §332.3(a)(1)): N/A
2.4.4 Amount of compensatory mitigation: 1.2 acres of wetland credits
Rationale for required compensatory mitigation amount: Compensatory mitigation for
permanent conversion of 0.6 acre of wetlands would be required at a ratio of 2:1.
This ratio is appropriate because the impacts would result in a complete loss of
waters.
3.0 Compliance with Other Laws, Policies and Requirements
3.1 Section 7(a)(2) of the Endangered Species Act (ESA)
3.1.1 ESA action area: The action area includes the waters of the United States that will
be directly affected by the proposed work or structures and uplands directly
affected as a result of authorizing the work or structures.

3.1.2 Has another federal agency taken steps to document compliance with Section 7 of the
ESA and completed consultation(s) as required? No.
3.1.3 Known species/critical habitat present? No. The Corps has determined that it has
fulfilled its responsibilities under Section 7(a)(2) of the ESA.
Listed Species in Catawba County:
Northern Long-eared Bat (Myotis septentrionalis) - Threatened
Schweinitz's Sunflower (Helianthus schweinitzii) - Endangered
Dwarf -flowered Heartleaf (Hexastylis naniflora) - Threatened
Effect determination(s), including no effect, for all known species/habitat, and basis for
determination(s):
On April 16, 2018, the North Carolina Natural Heritage Program database dated
October 2017 was consulted for the presence/absence of federally listed
threatened or endangered species. There are no federally threatened or
endangered species listed in the Natural Heritage database within the action
and/or project area.
The USACE reviewed this project in accordance with (IAW) the NLEB Standard
Local Operating Procedures for Endangered Species (SLOPES) between the
USACE, Wilmington District, and the Asheville and Raleigh U.S. Fish and Wildlife
Service (Service) Offices, and determined that the action area for this project is
located outside of the highlighted areas/red 12-digit HUCs and activities in the
action area do not require prohibited incidental take; as such, this project meets
the criteria for the 4(d) rule and any associated take is exempted/excepted. IAW
the NLEB SLOPES, the USACE sent a Situation 1 email to the Service on April 16,
2018, informing them about this project.
Service Concurrence: as established in the NLEB SLOPES, this project does not
require prohibited intentional take of the NLEB and it meets the criteria for the
4(d) rule; therefore any associated take is exempt and it is not necessary for the
USACE to wait 30 days for the Service to object or concur.
Based upon the Natural Heritage Program database and the U.S. Fish and Wildlife
Service's Information for Planning and Consultation, the Corps believes the
project would have no effect on listed species.
3.1.4 Consultation with either the National Marine Fisheries Service and/or the U.S. Fish and
Wildlife Service was initiated and completed as required, for any determinations other
than "no effect" (see the attached "Summary" sheet for begin date, end date and closure
method of the consultation). Based on a review of the information above, the Corps
has determined that it has fulfilled its responsibilities under Section 7(a)(2) of the ESA.
3.2 Magnuson -Stevens Fishery Conservation and Management Act, Essential Fish
Habitat (EFH) N/A, there is no essential fish habitat in this district's area of
responsibility.

3.2.1 Has another federal agency taken steps to comply with EFH provisions of Magnuson -
Stevens Act? No.
3.2.2 Did the proposed project require review under the Magnuson -Stevens Act? No.
3.3 Section 106 of the National Historic Preservation Act (Section 106)
3.3.1 Section 106 permit area: The permit area includes only those areas comprising waters
of the United States that will be directly affected by the proposed work or structures.
Activities outside of waters of the U.S. are not included because all three tests identified
in 33 CFR 325, Appendix C(g)(1) have not been met.
Final description of the permit area: The permit area for this project includes the
waters of the United States directly impacted and the uplands that would be
impacted to accomplish the work within waters of the United States
3.3.2 Has another federal agency taken steps to comply with Section 106 of the National
Historic Preservation Act and completed consultation(s) as required? No.
3.3.3 Known cultural resource sites present and/or survey or other additional information
needed? No. On April 16, 2018, the most recent version (SHPO ArcGIS
Mapservice) of the North Carolina State Historic Preservation Office database was
consulted for the presence or absence of historic properties within the permit
area. No properties are listed within the boundaries of the Corps permit area as
described in Section 3.3.1.
Basis for effect determination(s) for all known site(s) and/or site(s) identified by a
survey: The Corps has determined the proposed action has no potential or little
likelihood to cause effect to any historic property listed, or eligible for listing, in
the National Register of Historic Places because there are no known historic
properties within or in close proximity to the Corps permit area.
3.3.4 Consultation was initiated and completed as required with the appropriate agencies,
tribes and/or other parties for any determinations other than "no potential to cause
effects" (see the attached "Summary" sheet for consultation type, begin date, end date
and closure method of the consultation). The Corps has determined that it has fulfilled
its responsibilities under Section 106 of the NHPA.
3.4 Tribal Trust Responsibilities
3.4.1 Was government -to -government consultation conducted with Federally -recognized
Tribe(s)? No. There are no known tribal interests in the project area.
Provide a description of any consultation(s) conducted including results and how
concerns about significant effects to protected tribal resources, tribal rights and/or
Indian lands were addressed. The Corps has determined that it has fulfilled its tribal
trust responsibilities.
3.5 Section 401 of the Clean Water Act — Water Quality Certification (WQC)

3.5.1 Is a Section 401 WQC required, and if so, has the certification been issued or waived?
An individual water quality certification is required, and has not been issued or
waived to date. A provisional general permit will be verified for this activity.
3.6 Coastal Zone Management Act (CZMA)
3.6.1 Is a CZMA consistency concurrence required, and if so, has the concurrence been
issued, waived or presumed? N/A, a CZMA consistency concurrence is not
required.
3.7 Wild and Scenic Rivers Act
3.7.1 Is the project located in a component of the National Wild and Scenic River System, or
in a river officially designated by Congress as a "study river" for possible inclusion in the
system? No. According to http://www.rivers.gov, the proposed project area is not
within a designated or study river.
3.8 Effects on Corps Civil Works Projects (33 USC 408)
3.8.1 Does the applicant also require permission under Section 14 of the Rivers and Harbors
Act (33 USC 408) because the activity, in whole or in part, would alter, occupy, or use a
Corps Civil Works project? No, there are no Corps Civil Works project(s) in or near
the vicinity of the proposal.
4.0 Special Conditions
4.1 Are special conditions required to ensure minimal effects, protect the public interest
and/or ensure compliance of the activity with any of the laws above? Yes.
If no, provide rationale: N/A
4.2 Required special condition(s)
Special condition:
a. In order to compensate for impacts associated with this permit, mitigation shall be
provided in accordance with the provisions outlined on the most recent version of the
attached Compensatory Mitigation Responsibility Transfer Form. The requirements of
this form, including any special conditions listed on this form, are hereby incorporated
as special conditions of this permit authorization.
Rationale: See Section 2.4 (Mitigation)
5.0 Determination
5.1 Waiver request conclusion, if required or select N/A: N/A.

5.2 The activity, with the required mitigation, will result in no more than minimal individual
and cumulative adverse effects on the aquatic environment and will not be contrary to
the public interest, provided the permittee complies with the special conditions identified
above.
5.3 This activity, as described, complies with all terms and conditions of the permits
identified in Section 1.5.
PREPARED BY:
RO D E N Digitally signed by RODEN
REYNOLDS.BRYAN.KENNETH.1263385574
REYNOLDS.BRYAN.KENNET DN.=US,oSA,=RODEoGovernment, ou=DoD,ou=PKI,
ou=H.1263385574 REYNOLDS.BRYAN.KENNETH.1263385574
Date: 2018.05.14 07:51:29 -04'00'
Bryan Roden -Reynolds
Date: 04/16/2018

Compensatory Mitigation Responsibility Transfer Form
Permittee: Duke Energy Carolinas, LLC, Jon Wise Action ID: SAW-2014-00699
Project Name: Lookout Shoals ESSI County: Catawba
Instructions to Permittee: The Permittee must provide a copy of this form to the Mitigation Sponsor, either an approved
Mitigation Bank or the North Carolina Division of Mitigation Services (NCDMS), who will then sign the form to verify the
transfer of the mitigation responsibility. Once the Sponsor has signed this form, it is the Permittee's responsibility to ensure
that to the U.S. Army Corps of Engineers (USACE) Project Manager identified on page two is in receipt of a signed copy of this
form before conducting authorized impacts, unless otherwise specified below. If more than one mitigation Sponsor will be
used to provide the mitigation associated with the permit, or if the impacts and/or the mitigation will occur in more than one
8-digit Hydrologic Unit Code (HUC), multiple forms will be attached to the permit, and the separate forms for each Sponsor
and/or HUC must be provided to the appropriate mitigation Sponsors.
Instructions to Sponsor: The Sponsor must verify that the mitigation requirements (credits) shown below are available at the
identified site. By signing below, the Sponsor is accepting full responsibility for the identified mitigation, regardless of
whether or not they have received payment from the Permittee. Once the form is signed, the Sponsor must update the bank
ledger and provide a copy of the signed form and the updated bank ledger to the Permittee, the USACE Project Manager, and
the Wilmington District Mitigation Office (see contact information on page 2). The Sponsor must also comply with all
reporting requirements established in their authorizing instrument.
Permitted Impacts and Compensatory Mitigation Requirements:
Permitted Impacts Requiring Mitigation* 8-digit HUC and Basin: 03050101, Catawba River Basin
Stream Impacts (linear feet)
Wetland Impacts (acres)
Warm
Cool
Cold
Riparian Riverine
Riparian Non-Riverine
Non -Riparian
Coastal
0.6
*If more than one mitigation sponsor will be used for the permit, only include impacts to be mitigated by this sponsor.
Compensatory Mitigation Requirements:
8-digit HUC and Basin: 03050101, Catawba River Basin
Stream Mitigation (credits)
Wetland Mitigation (credits)
Warm
Cool
Cold
Riparian Riverine
Riparian Non-Riverine
Non -Riparian
Coastal
1.2
Mitigation Site Debited: NCDMS
(List the name of the bank to be debited. For umbrella banks, also list the specific site. For NCDMS, list NCDMS. If the NCDMS
acceptance letter identifies a specific site, also list the specific site to be debited).
Section to be completed by the Mitigation Sponsor
Statement of Mitigation Liability Acceptance: I, the undersigned, verify that I am authorized to approve mitigation
transactions for the Mitigation Sponsor shown below, and I certify that the Sponsor agrees to accept full responsibility for
providing the mitigation identified in this document (see the table above), associated with the USACE Permittee and Action
ID number shown. I also verify that released credits (and/or advance credits for NCDMS), as approved by the USACE, are
currently available at the mitigation site identified above. Further, I understand that if the Sponsor fails to provide the
required compensatory mitigation, the USACE Wilmington District Engineer may pursue measures against the Sponsor to
ensure compliance associated with the mitigation requirements.
Mitigation Sponsor Name:
Name of Sponsor's Authorized Representative:
Signature of Sponsor's Authorized Representative Date of Signature

Conditions for Transfer of Compensatory Mitigation Credit:
• Once this document has been signed by the Mitigation Sponsor and the USACE is in receipt of the signed form, the
Permittee is no longer responsible for providing the mitigation identified in this form, though the Permittee remains
responsible for any other mitigation requirements stated in the permit conditions.
• Construction within jurisdictional areas authorized by the permit identified on page one of this form can begin only after
the USACE is in receipt of a copy of this document signed by the Sponsor, confirming that the Sponsor has accepted
responsibility for providing the mitigation requirements listed herein. For authorized impacts conducted by the North
Carolina Department of Transportation (NCDOT), construction within jurisdictional areas may proceed upon permit
issuance; however, a copy of this form signed by the Sponsor must be provided to the USACE within 30 days of permit
issuance. NCDOT remains fully responsible for the mitigation until the USACE has received this form, confirming that the
Sponsor has accepted responsibility for providing the mitigation requirements listed herein.
• Signed copies of this document must be retained by the Permittee, Mitigation Sponsor, and in the USACE administrative
records for both the permit and the Bank/ILF Instrument. It is the Permittee's responsibility to ensure that the USACE
Project Manager (address below) is provided with a signed copy of this form.
• If changes are proposed to the type, amount, or location of mitigation after this form has been signed and returned to
the USACE, the Sponsor must obtain case -by -case approval from the USACE Project Manager and/or North Carolina
Interagency Review Team (NCIRT). If approved, higher mitigation ratios may be applied, as per current District guidance
and a new version of this form must be completed and included in the USACE administrative records for both the permit
and the Bank/ILF Instrument.
Comments/Additional Conditions: A letter from NCDMS, confirming their willing and able to accept the applicants
compensatory mitigation responsibility, dated 3/12/2018 was included with the preconstruction notification.
This form is not valid unless signed below by the USACE Project Manager and by the Mitigation Sponsor on Page 1. Once
signed, the Sponsor should provide copies of this form along with an updated bank ledger to: 1) the Permittee, 2) the USACE
Project Manager at the address below, and 3) the Wilmington District Mitigation Office, Attn: Todd Tugwell, 11405 Falls
of Neuse Road, Wake Forest, NC27587 (email: [e-mail]). Questions regarding this form or any of the
permit conditions may be directed to the USACE Project Manager below.
USACE Project Manager: Bryan Roden -Reynolds
USACE Field Office: Charlotte Regulatory Office
US Army Corps of Engineers
8430 University Executive Park Drive, Suite 615
Charlotte, North Carolina 28262
Email: [e-mail]
RO D E N Digitally signed by RODEN
REYNOLDS.BRYAN.KEN N ETH.1263385574
REYNOLDS.BRYAN.KENN ETH.126338 DN:c=US, o=U.S.Government,ou=DoD,ou=PKI,ou=USA,
cn=RODEN REYNOLDS.BRYAN.KENNETH.1263385574
5574 Date: 2018.05.14 07:51:49 -04'00'
04/16/2018
USACE Project Manager Signature Date of Signature
Current Wilmington District mitigation guidance, including information on mitigation ratios, functional assessments, and
mitigation bank location and availability, and credit classifications (including stream temperature and wetland groupings) is
available at http://ribits.usace.army.mil

II I
cc
777
LJ
LE
LJ
CL
a
LOOKOUT SHOALS ESSI PROJECT
77,7
777
777
777
2
tgE