20230175 Ver 1_ePCN Application_20230130

DWR
Division of Water Resources
Initial Review
Pre -Construction Notification (PCN) Form
For Nationwide Permits and Regional General Permits
(along with corresponding Water Quality Certifications)
April 13, 2022 Ver 4.3
Has this project met the requirements for acceptance in to the review process?*
Yes
No
Is this project a public transportation project?*
Yes No
Change only if needed.
Pre -Filing Meeting Date Request was submitted on:
12/20/2022
BIMS # Assigned* Version#*
20230175 1
Is a payment required for this project?*
No payment required
Fee received
Fee needed - send electronic notification
Reviewing Office*
Raleigh Regional Office - [phone]
Information for Initial Review
la. Name of project:
Finch Darn (JOHNS-009) Breach Evaluation
la. Who is the Primary Contact?*
Jon Swaim
What amout is owed?*
$240.00
$570.00
Select Project Reviewer*
Zachary Thomas:eads\ztthomas
1 b. Primary Contact Email:* lc. Primary Contact Phone:*
[e-mail] [phone]
Date Submitted
1/30/2023
Nearest Body of Water
Neuse
Basin
Neuse
Water Classification
WS-IV;NSW
Site Coordinates
Latitude: Longitude:
35.635906 -78.423038
A. Processing Information
County (or Counties) where the project is located:
Johnston
Is this a NCDMS Project
Yes No
Is this project a public transportation project? *
Yes No

la. Type(s) of approval sought from the Corps:
Section 404 Permit (wetlands, streams and waters, Clean Water Act)
Section 10 Permit (navigable waters, tidal waters, Rivers and Harbors Act)
Has this PCN previously been submitted?*
Yes
No
1 b. What type(s) of permit(s) do you wish to seek authorization?
Nationwide Permit (NWP)
Regional General Permit (RGP)
Standard (IP)
lc. Has the NWP or GP number been verified by the Corps?
Yes No
Nationwide Permit (NWP) Number: 27 - Restoration
NWP Numbers (for multiple NWPS):
ld. Type(s) of approval sought from the DWR:
401 Water Quality Certification - Regular
Non-404 Jurisdictional General Permit
Individual 401 Water Quality Certification
le. Is this notification solely for the record because written approval is not required?
For the record only for DWR 401 Certification:
For the record only for Corps Permit:
lf. Is this an after -the -fact permit application?*
Yes No
lg. Is payment into a mitigation bank or in -lieu fee program proposed for mitigation of impacts?
Yes No
lg. Is payment into a mitigation bank or in -lieu fee program proposed for mitigation of impacts?
Yes No
1 h. Is the project located in any of NC's twenty coastal counties?
Yes No
1j. Is the project located in a designated trout watershed?
Yes No
B. Applicant Information
ld. Who is applying for the permit?
Owner Applicant (other than owner)
le. Is there an Agent/Consultant for this project?*
Yes No
2. Owner Information
2a. Name(s) on recorded deed:
Grifols Therapeutics, LLC; Caterpillar, Inc.
2b. Deed book and page no.:
DB: 06281, PG:0960; DB:0126, PG:0051
2c. Contact Person:
David Auge, Grifols; Nathan Strickler, Caterpillar
401 Water Quality Certification - Express
Riparian Buffer Authorization
2d. Address
Street Address
Grifols - 8368 US 70 Business West; Caterpillar - 954 NC Hwy 42 East
Address Line 2
City State / Province / Region
Clayton NC
Postal / Zip Code Country
27520, 27527
Yes No
Yes No

2e. Telephone Number:
[phone]
2f. Fax Number:
[phone]
2g. Email Address:*
[e-mail]
4. Agent/Consultant (if applicable)
4a. Name:
Jon Swaim
4b. Business Name:
McGill Associates, PA
4c. Address
Street Address
1240 19th Street Lane NW
Address Line 2
City
Hickory
Postal / Zip Code
28601
4d. Telephone Number:
[phone]
4f. Email Address: *
[e-mail]
C. Project Information and Prior Project History
State / Province / Region
NC
Country
USA
4e. Fax Number:
1. Project Information
1b. Subdivision name:
(if appropriate)
N/A
lc. Nearest municipality / town:
Clayton
2. Project Identification
2a. Property Identification Number:
05105001C, 05104002A
2b. Property size:
260.12, 139.44
2c. Project Address
Street Address
954 NC Hwy 42
Address Line 2
City State / Province / Region
Clayton NC
Postal / Zip Code Country
27527 USA
3. Surface Waters
3a. Name of the nearest body of water to proposed project: *
Neuse
3b. Water Resources Classification of nearest receiving water: *
WS-IV;NSW
3c. What river basin(s) is your project located in?*
Neuse
3d. Please provide the 12-digit HUC in which the project is located.
030202011104
4. Project Description and History

4a. Describe the existing conditions on the site and the general land use in the vicinity of the project at the time of this application:*
The project area consists of Finch Dam and pond and immediate surrounding area. Finch Dam impounds an approximately 4-acre pond straddling the properties of Caterpillar
Incorporated (Caterpillar) and Grifols Therapeutics (Grifols) properties in Clayton, NC, in Johnston County. Available records from NC Dam Safety inventory indicate the dam is 21-foot
high (hydraulic height is 20 feet) and impounds 34 acre-feet of water. There is no bottom drain for the impoundment and the water level is controlled by a 6-inch diameter standpipe with an
outlet at the downstream channel. An emergency overflow spillway is located near the right abutment
(looking downstream) of the dam (southwest corner). The dam has become unstable and is showing signs of piping. The surrounding area consists of undeveloped forested land, and
commercial, residential, and industrial properties.
4b. Have Corps permits or DWR certifications been obtained for this project (including all prior phases) in the past? *
Yes No Unknown
4f. List the total estimated acreage of all existing wetlands on the property:
1.08
4g. List the total estimated linear feet of all existing streams on the property:
1,116
4h. Explain the purpose of the proposed project: *
The purpose of this project is to perform an emergency breach of the dam due to concerns with piping. The scope of work consists of (1) preparing emergency breach design plans, (2)
coordinating with regulatory agencies for permitting requirements, and (3) submitting a permit application to NC Dam Safety.
41. Describe the overall project in detail, including indirect impacts and the type of equipment to be used: *
For a detailed project description, sediment analysis, and NC Dam Safety approval please find attached:
Finch Dam Emergency Breach Design Report - V1
Finch Dam (JOHNS-035) Emergency Breach Submittal
NC Dam Safety Approval - JOHNS-035_20220621_COAB_Finch Dam_Caterpillar
NC Dam Safety Approval - JOHNS-035_20220621_COAB_Finch Dam_Grifols
Prior to any land disturbance the pond level was pumped down as much as practical to prevent downstream sedemintation and erosion. Once the dam was breached and check dam
installed, it was determined by the contractor and McGill Associates that sediment migration was not an issue for the project. The underlaying pond sediment was course and compacted
showing limited signs of migration potential. The small top layer of loose sediment (muck) was captured by the check dam and resulted in minimal sediment release downstream and was
allowed to move through the system. The existing streams flowing through the pond bottom were allowed to naturalize back to assumed original flow patterns. No signs of head cutting or
sediment loading were observed during site inspections. The remaining pond bottom began to revegetate a week after the pond was drained. Native wetland species such as soft rush
(Juncus effusus) and yellow nut sedge (Cyperus esculentus) were well established within three weeks. It was determined by McGill Associates that mechanical restoration of the stream
channels and wetland (pond bottom) areas would result in unnecessary disturbance and destruction of densely established vegetation and root system. Remaining unvegetated areas
were seeded with a riparian seed mix and allowed to naturalize. See attached photo sheets.
Permanent impacts to the UT-Neuse River as a result of the permanent check dam totaled 841f (0.009-acres). See attached Impact Map.
5. Jurisdictional Determinations
5a. Have the wetlands or streams been delineated on the property or proposed impact areas?*
Yes
Comments:
See attached PJD & PCN Request Package
No Unknown
5b. If the Corps made a jurisdictional determination, what type of determination was made?*
Preliminary Approved Not Verified Unknown N/A
Corps AID Number:
5c. If 5a is yes, who delineated the jurisdictional areas?
Name (if known):
Agency/Consultant Company:
Other:
6. Future Project Plans
6a. Is this a phased project?*
Jon Swaim
McGill Associates, PA
Yes • No
Are any other NWP(s), regional general permit(s), or individual permits(s) used, or intended to be used, to authorize any part of the proposed project or related activity?
D. Proposed Impacts Inventory
1. Impacts Summary
la. Where are the impacts associated with your project? (check all that apply):
Wetlands Streams -tributaries
Open Waters Pond Construction
Buffers
3. Stream Impacts

3a. Reason for impact (?)
3b.Impact type*
3c. Type of impact*
3d. S. name*
3e. Stream Type*
(?)
3f. Type of
Jurisdiction*
3g. S. width
3h. Impact
length*
S1
Excavation
Permanent
Rip Rap Fill
UT Neuse River
Perennial
Both
5
Average (feet)
84
(linear feet)
3i. Total jurisdictional ditch impact in square feet:
0
3i. Total permanent stream impacts:
84
3i. Total stream and ditch impacts:
84
3i. Total temporary stream impacts:
0
3j. Comments:
Stream impacts associated with dam excavation and rip rap fill per NC Dam Safety requirement. Approx. 84 linear feet (0.009-acres) permanent
impacts.
6. Buffer Impacts (for DWR)
6a. Project is in which protect basin(s)?
Check all that apply.
Neuse
Catawba
Goose Creek
Other
Tar -Pamlico
Randleman
Jordan Lake
6b. Impact Type
6c. Per or Temp
6d. Stream name
6e. Buffer mitigation required?
6f. Zone 1 impact
6g. Zone 2 impact
Dam removal
P
UT Neuse River
No
5,092
3,244
6h. Total buffer impacts:
Total Temporary impacts:
Total Permanent impacts:
Total combined buffer impacts:
6i. Comments:
Zone 1
0.00
Zone 1
5,092.00
Zone 2
0.00
Zone 2
3,244.00
Zone 1 Zone 2
5,092.00 3,244.00
Buffer impacts consist of dam breach and draining of existing pond. Dam breach activities did not cause additional riparian buffer disturbance beyond
the footprint of the existing dam - Deemed Allowable.
Streams and wetlands were allowed to naturalize back to original condition post dam breach.
E. Impact Justification and Mitigation
1. Avoidance and Minimization
la. Specifically describe measures taken to avoid or minimize the proposed impacts in designing the project:
Project was designed to perform emergency dam breach while limiting impacts to downstream system. A rip rap check dam with underlying filter fabric
was installed within the dam breach to limit high flow events and restrict downstream sediment release. Per NC Dam Safety recommendations the check
dam has been left in place to ensure long term protection.
lb. Specifically describe measures taken to avoid or minimize the proposed impacts through construction techniques:
The pond level was pumped down as much as practical to allow for the dam breach work to occur in the dry. Silt fencing and rip rap check dams were
installed downstream of the dam breach to limit sediment release and control surface flow. Disturbed areas were stabilized as soon as practical to
prevent surface run off and sediment release.
2. Compensatory Mitigation for Impacts to Waters of the U.S. or Waters of the State
2a. Does the project require Compensatory Mitigation for impacts to Waters of the U.S. or Waters of the State?
Yes No
2b. If this project DOES NOT require Compensatory Mitigation, explain why:
Stream impacts do not exceed mitigation threshold.
F. Stormwater Management and Diffuse Flow Plan (required by DWR)

1. Diffuse Flow Plan
la. Does the project include or is it adjacent to protected riparian buffers identified within one of the NC Riparian Buffer Protection Rules?
Yes No
What type of SCM are you providing?
Level Spreader
Vegetated Conveyance (lower SHWT)
Wetland Swale (higher SHWT)
Other SCM that removes minimum 30% nitrogen
Proposed project will not create concentrated stormwater flow through the buffer
2. Stormwater Management Plan
2a. Is this a NCDOT project subject to compliance with NCDOT's Individual NPDES permit NCS000250? *
Yes No
2b. Does this project meet the requirements for low density projects as defined in 15A NCAC 02H .1003(2)?
Yes No
Comments:
G. Supplementary Information
1. Environmental Documentation
la. Does the project involve an expenditure of public (federal/state/local) funds or the use of public (federal/state) land?*
Yes No
2. Violations (DWR Requirement)
2a. Is the site in violation of DWR Water Quality Certification Rules (15A NCAC 2H .0500), Isolated Wetland Rules (15A NCAC 2H .1300), or DWR Surface Water or Wetland Standards or
Riparian Buffer Rules (15A NCAC 2B .0200)?*
Yes No
2b Provide an explanation of the violation(s):
3. Cumulative Impacts (DWR Requirement)
3a. Will this project result in additional development, which could impact nearby downstream water quality?*
Yes No
3b. If you answered "no," provide a short narrative description.
Single and complete project. Dam breach was a required condition of NC Dam Safety regulations.
4. Sewage Disposal (DWR Requirement)
4a. Is sewage disposal required by DWR for this project?*
Yes No N/A
5. Endangered Species and Designated Critical Habitat (Corps Requirement)
5a. Will this project occur in or near an area with federally protected species or habitat?*
Yes No
5b. Have you checked with the USFWS concerning Endangered Species Act impacts?*
Yes No
5c. If yes, indicate the USFWS Field Office you have contacted.
Raleigh
5d. Is another Federal agency involved?*
Yes
5e. Is this a DOT project located within Division's 1-8?
Yes No
No Unknown
5f. Will you cut any trees in order to conduct the work in waters of the U.S.?
Yes No
5g. Does this project involve bridge maintenance or removal?
Yes No

5h. Does this project involve the construction/installation of a wind turbine(s)?*
Yes No
5i. Does this project involve (1) blasting, and/or (2) other percussive activities that will be conducted by machines, such as jackhammers, mechanized pile drivers, etc.?
Yes No
5j. What data sources did you use to determine whether your site would impact Endangered Species or Designated Critical Habitat?
https://ipac.ecosphere.fws.gov/, https://ncnhde.natureserve.org/home
Section 7 coordination was completed with the USFWS. Please find attached Finch Dam Emergency Breach Design Report - V1 which includes USFWS
coordination documents.
6. Essential Fish Habitat (Corps Requirement)
6a. Will this project occur in or near an area designated as an Essential Fish Habitat?*
Yes No
6b. What data sources did you use to determine whether your site would impact an Essential Fish Habitat?*
https://www.fisheries. noaa.gov/national/habitat-conservation/essential-fish-habitat
7. Historic or Prehistoric Cultural Resources (Corps Requirement)
7a. Will this project occur in or near an area that the state, federal or tribal governments have designated as having historic or cultural preservation status?*
Yes No
7b. What data sources did you use to determine whether your site would impact historic or archeological resources?*
https://nc.maps.arcgis.com/home/group.html?
id=d56ec9c8aa77423b931 f4d359f103ae6 % 2Fhpoweb % 2Fdefault. htm&view=list&categories= % 5B % 22 % 2FCategories % 2FHPO W EB % 22 % 5D#content/
hpoweb/
8. Flood Zone Designation (Corps Requirement)
8a. Will this project occur in a FEMA-designated 100-year floodplain?*
Yes No
8c. What source(s) did you use to make the floodplain determination?*
https://fris. nc.gov/fris/Index.aspx?FI PS=101 &ST=NC&user=General % 20Public
Miscellaneous
Please use the space below to attach all required documentation or any additional information you feel is helpful for application review. Documents should be combined into one file when
possible, with a Cover Letter, Table of Contents, and a Cover Sheet for each Section preferred.
Click the upload button or drag and drop files here to attach document
Finch Dam Emergency Breach Design Report- V1.pdf 11.58MB
Finch Dam (JOHNS-035) Emergency Breach Submittal.pdf 8.65MB
JOHNS-035_20220621_COAB_Finch Dam_Caterpillar.pdf 802.11KB
JOHNS-035_20220621_COAB_Finch Dam_Grifols.pdf 810.52KB
Clayton_Pond_Project_Signed_Authorization_Signed_Form_Jan_2023.pdf 223.35KB
File must be PDF or KMZ
Comments
Signature
By checking the box and signing below, I certify that:
• The project proponent hereby certifies that all information contained herein is true, accurate, and complete to the best of my knowledge and belief'; and
• The project proponent hereby requests that the certifying authority review and take action on this CWA 401 certification request within the applicable reasonable period of time.
• I have given true, accurate, and complete information on this form;
I agree that submission of this PCN form is a "transaction" subject to Chapter 66, Article 40 of the NC General Statutes (the "Uniform Electronic Transactions Act");
I agree to conduct this transaction by electronic means pursuant to Chapter 66, Article 40 of the NC General Statutes (the "Uniform Electronic Transactions Act");
I understand that an electronic signature has the same legal effect and can be enforced in the same way as a written signature; AND
I intend to electronically sign and submit the PCN form.
Full Name:
Jon Swaim
Signature
Date
1/30/2023