20120900 Ver 1_Approval Letter_20151023

North Carolina Department of Environrnental Quality
Pat McCrory [)onaki R van der Vaart
Governor Secretary
311#0=10#
I M TTWX M* M, FIT", TM-
Rowan and Stanly Counties
Mr. E. Ray Barham
Alcoa Power Generating, Inc. (APGI)
293 Highway 740
Badin, NC 28009
IADDITIOiIAL CONDITIONS
Attached hereto is a copy of Certification No. 4035 issued to Alcoa Power Generating, Inc.,
dated October 23, 2015. Please note that you should get any other required federal, state or
local permits before proceeding with your project.
This Certification can be contested as provided in Articles 3 and 4 of General Statute 150E by
filing a written petition for an administrative hearing to the office of Administrative Hearings
(hereby known as OAH) within sixty (60) calendar days.
A petition form maybe obtained from the OAH at h p� wwwmcoah.conl/ or by calling the
OAH Clerk's Office at [phone] for information. A petition is considered filed when the
,triginal and one (1) copy along with any applicable OAH filing fee is received in the OAH during
normal office hours (Monday through Friday between 8:00am and 5:00pm, excluding official
ctate holidays).
The petition may be faxed to the OAH at [phone], provided the original and one copy of
the petition along with any applicable OAH filing fee is received • the OAH within five (5)
business days following the faxed transmission.
DMs�an oat Wate ReSOUrCeS . 401 & Buffer Perrniffing Unit
1617 MaH Service Centeu, RaOeVgh, North Cawfina 27699 1617
Locatbm 512 N Sahsbmy St, Ralle gh, North Carohna 276x04
Phone: [phone] \ F`AX� 9-19 8()-T64q2
lnlerneV� www,n(,waterquafty.wg
An Equa I op p or hmqy \A •cOcrir Employer M a di, irr pw by ne(,yf I ed papei

M
IT e-dTff
6714 Mail Service Center
Raleigh, NC 27699-6714 1
DWR# 12-090t,
ln*ividual Certificatiot #4035
If sending via delivery service (UPS,
FedEx, etc):
Office of Administrative Hearings
1711 New Hope Church Road
Raleigh, NC 27609-6285
01110M
Sam M. Hayes, General Counsel
Department of Environmental Quality
1601 Mail Service Center
Raleigh, NC 27699-1601
Unless such a petition is filed, this Certification shall be final and binding.
This completes the review of the Division of Water Resources under section 401 of the Clean
Water Act and 15A NCAC 02H .0500. Contact Karen Higgins at 919-807-6360 or
if you have any questions or concerns.
Sincerely,
S. Jay Zimmerman, I.G.
Director, Division of Water Resources
SJZ1kah
cc: Secretary Kimberly D. Bose, Federal Energy Regulatory Commission, 888 First Street NE,
Washington, D.C. 20426
Todd Bowers, EPA, Sam Nunn Federal Center, 61 Forsyth Street SW, Atlanta, GA 30303
Mike Parker, DWR Mooresville Regional Office Supervisor
Corey Basinger, DWR Winston-Salem Regional Office Supervisor
Belinda Henson, DWR Fayetteville Regional Office Supervisor
Fred Tarver, Basin Planning Branch (via email)
Chris Goudreau, North Carolina Wildlife Resources Commission (via email)
Rob McDaniel, Division of Waste Management (via email)
Sandy Mort, DHHS (via email)
James D. Behmer, Salisbury-Rowan Utilities, PO Box 479, Salisbury, NC 28145
File Copy
File name: 12090OYad kin ProjectP E RC2 197(Dav id sonDav ie Montgo rneryRowa nSta nly)_401_1 C

Yadkin Hydro0ectric Project FERC P-2197
Illl
Page 3 of 33
CERTIFICATION #4035 is issued in conformity with the requirements of Section 401, Public Laws
92-500 and 95-217 of the United States and subject to North Carolina's Regulations in 15A NCAC
02H .0500, to Alcoa Power Generating, Inc. (APGI) to continue the operation of hydropower dams
at High Rock, Tuckertown, Narrows and Falls Reservoirs in the Yadkin Project on the Yadkin River
in Davidson, Davie, Montgomery, Rowan and Stanly Counties in North Carolina, as described
within the application received by the N.C. Division of Water Resources (Division) on September
28, 2012, the Relicensing Settlement Agreement (RSA) dated February 2007, subsequent
information received on October 17, 2012, January 7, 2013, January 22, 2013, February 1, 2013,
February 7, 2013, March 18, 2013, April 1, 2013, June 11, 2013, June 20, 2013, July 2, 2013 and
July 3, 2013, and by Public Notice issued by the Division on November 28, 2012 and April 4, 2013.
On August 2, 2013, the Division denied the application citing 15A NCAC 02H .0502(f), The
Division's decision was reversed by Administrative Law Judge Selina Brooks in a Final Decision
entered on May 29, 2015. On September 25, 2015, Superior Court Judge G. Bryan Collins, Jr.
entered an Order and Judgment Affirming AU Brooks' Final Decision Granting Summary Judgment
to APGI, and directed DEQ to proceed to review the substance of APGI's application and issue a
decision on its merits within thirty days of the date of his Order.
The application and supporting documentation provides adequate assurance that the proposed
work will not result in a violation of Water Quality Standards. Therefore, the State of North
Carolina certifies that this activity will not violate the applicable portions of Sections 301, 302,
303, 306, 307 of the Public Laws 92-500 and PL 95-217 if conducted in accordance with the
application, the supporting documentation, and conditions hereinafter set forth.
In issuing this 401 Certification, the Division makes no determination as to title or ownership of
submerged lands or any property associated with the Yadkin Project, and does not attempt to
resolve any of the claims or issues raised in the case State of North Carolina, by and through its
agency, the North Carolina Department of Administration v. Alcoa Power Generating, Inc.,
E.D.N.C., Case No. 5:13-CV-633-BO.
The following definitions are used in this Certification:
A. "Daily Average Dissolved Oxygen Water Quality Standard" or "Daily Average Standard" or
"Daily Average DO" means the standard set forth in 15A NCAC 02B .0211(6). The
continuous dissolved oxygen (DO) monitoring data collected for this Certification at 15
minute intervals shall be averaged every 24 hours in order to calculate the daily average.
The Daily Average Standard must be met as measured at the DO monitors placed in the
tailraces below the dams regardless of whether or not the generators are operating and
whether or not the DO enhancement equipment is operating.
B. "Dams" mean and include the four dams at the Yadkin Project, specifically High Rock dam,

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
C. "Date that APGI receives the Final FERC License" is the date on which the New License
I ^ It .6 ^
E. "DO" or "Dissolved Oxygen" means the concentration of oxygen that has been dissolved or
otherwise introduced into water.
"Final and non-appealable" means either (1) the thirty-first day after the date FERC issues
an order setting forth the New License for the Yadkin Project if no Party seeks rehearing of
such order; or (2) if any Party seeks rehearing of such an order, the earliest date upon which
no further court appeal of a FERC order issuing a New License for the Yadkin Project,
including a Petition for Writ of Certiorari to the Supreme Court of the United States, or
action by a court or by FERC with respect to such appeal, is possible.
G. "Final FERC License" or "New License" means a new long-term license granted by FERC for
the Yadkin Project that is final and non-appealable.
H. "Full DO Season" means May 1 of each year through November 30 of each year.
I. "Minimum Instantaneous Dissolved Oxygen Water Quality Standard" or "Instantaneous
Standard" or "Instantaneous DO" means the standard set forth in 15A NCAC 0213.0211 (6).
The Instantaneous Standard must be met 24 hours a day, seven days a week, as measured
at the DO monitors placed in the tailraces below the dams regardless of whether or not the
generators are operating and whether or not the DO enhancement equipment is operating.
J. "Project" or "Yadkin Project" or "APGI Project" means the hydroelectric project on the
Yadkin River in North Carolina operated by APGI pursuant to FERC license 2197.
K. "Tailrace" means the free-flowing section of the Yadkin River downstream from each dam.
The length of this section of the river is no less than the length of the river from the dam to
the dissolved oxygen monitor located below each dam.
This approval requires APGI to follow the conditions listed in the Certification below.
Conditions of Certification:
1. Sediment and Erosion Control for any project- related construction
During any project-related construction, erosion and sediment control practices must be in
full compliance with all specifications governing the proper design, installation and
operation and maintenance of such Best Management Practices and if applicable, comply
with the specific conditions and requirements of the NPDES Construction Stormwater
Permit issued to the site:
A. Design, installation, operation, and maintenance of the sediment and erosion control
measures must be such that they equal or exceed the requirements specified in the

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
individual Certification #4035
Page 5 of 33
most recent version of the North Carolina Sediment and Erosion Control Manual. The
devices shall be maintained on all con
projects, including contra cto r-owned or leased borrow pits associated with the project.
B. For borrow pit sites, the erosion and sediment control measures must be designed,
installed, operated, and maintained in accordance with the most recent version of the
North Carolina Surface Mining Manual.
C. Reclamation measures and implementation must comply with the reclamation in
accordance with the requirements of the Sedimentation Pollution Control Act and the
Mining Act of 1971.
D. Sufficient materials required for stabilization and/or repair of erosion control measures
and stormwater routing and treatment shall be on site at all times.
2. No waste, spoil, solids, or fill of any kind shall occur in wetlands, waters, or riparian areas.
All construction activities, including the design, installation, operation, and maintenance of
sediment and erosion control Best Management Practices shall be performed so that no
violations of state water quality standards, statutes, or rules occur,
3. Sediment and erosion control measures shall not be placed in wetlands or waters,
Exceptions to this condition require application submittal to and written approval by the
Division. If placement of sediment and erosion control devices in wetlands and waters is
unavoidable, then design and placement of temporary erosion control measures shall not
be conducted in a manner that may result in dis-equilibrium of wetlands, stream beds, or
banks, adjacent to or upstream and downstream of the above structures, All sediment and
erosion control devices shall be removed and the natural grade restored within two (2)
months of the date that the Division of Energy, Mineral and Land Resources (DEMLR) or
locally delegated program has released the specific area within the project,
4. This approval is for the purpose and design described in your application and as described in
the Public Notice. The plans and specifications for this project are incorporated by reference
and are an enforceable part of the Certification. If you change your project, you must notify
the Division and you may be required to submit a new application package with the
appropriate fee, If the property, project or license is sold, the new owner must be given a
copy of this Certification and is responsible for complying with all conditions. Any new
owner must notify the Division and request the Certification be issued in their name.
5. This Certification grants permission to the Director, an authorized representative of the
Director, or Department of Environmental Quality (DEQ) staff, upon the presentation of
proper credentials, to enter the property during normal business hours,
6. This Certification does not grant or affirm any property right, license, or privilege in any
waters or any right of use in any waters. This Certification does not authorize any person to

Yadkin Hydro0ectric Project FERC P-2197
DWR# 12-0900
lndividuaV Certification #4035
Page 6 of 33
interfere with the riparian rights, littoral rights, or water use rights of any other person and
this Certification does not create any prescriptive right or any right of priority regarding any
usage of water. No person shall interpose this Certification as a defense in any action
respecting the determination of riparian or littoral rights or other water use rights. No
consumptive user is deemed by virtue of this Certification to possess any prescriptive or
other right of priority with respect to any other consumptive user regardless of the quantity
of the withdrawal or the date on which the withdrawal was initiated or expanded. This
Certification is issued with the express understanding of DEQ that pursuant to the Federal
Power Act Section 27, 16 U.S.C. § 821, the License does not establish or determine a
proprietary right to any use of water. It establishes the nature of the use to which a
proprietary right may be put under the Federal Power Act. This Certification shall not be
construed as addressing or making a determination with respect to title or ownership of
submerged lands or any property associated with the Yadkin Project.
7. Continuing Compliance
Alcoa Power Generating, Inc. (APGI) shall conduct project operations and any construction
activities in a manner consistent with State water quality standards (including any
requirements resulting from compliance with Section 303(d) of the Clean Water Act) and
any other appropriate requirements of State and Federal law. If the Division determines
that such standards or laws are not being met (including the failure to sustain a designated
or achieved use) or that State or federal law is being violated, or that further conditions are
necessary to assure compliance, the Division may reevaluate and modify this Certification in
accordance with 15A NCAC 02H .0507(d). Before modifying the Certification, the Division
shall notify Alcoa Power Generating, Inc. (APGI) and the Federal Energy Regulatory
Commission (FERC), provide public notice in accordance with 15A NCAC 02H .0503 and
provide the opportunity for a public hearing in accordance with 15A NCAC 02H .0504. Any
new or revised conditions shall be provided to Alcoa Power Generating, Inc. (APGI) in
writing, shall be provided to the FERC for reference in any permit or license issued by that
agency, and shall also become conditions of the FERC License for the project. In addition, if
the DO enhancement upgrades as outlined in Condition #12 of this Certification do not
result in compliance with the water quality standards for DO or temperature, then this
condition shall be triggered to result in requirements for additional measures to meet these
standards.
8, Sediment Removal at Citv of Salisbury Water Supply Intake
APGI shall allow access to and provide for dredging operations to remove sand and other
debris that may accumulate at the City of Salisbury's water supply intake in order to
manage the accumulation of sand and other debris to maintain the intake in operable
condition. If this condition conflicts with any existing arrangements between APGI and
other parties, then additional written approval is required from the Division to resolve the
conflict,

DWR# 12-09
Individual Certification #4035
Page 7 of 33
9. Sedimentation and Flood Plan
APGI shall develop a sedimentation and flood protection plan that includes:
A. Specific measures to ensure dredging of sufficient volume and frequency such that the
City of Salisbury's water intake remains clear of sediments,
B. Physical modifications to the facilities such as a protective dike for the pump station,
improved access to the pump station with the road consistent with the City of
Salisbury's design or other feasible option(s) for achieving the same benefits,
C. Planning level capital and operation and maintenance cost estimates for each
alternative,
D. A recommendation as to which alternative to implement, and
E. An implementation schedule.
This plan shall be developed in consultation with the City of Salisbury, Rowan County, NC
Division of Water Resources — 401 & Buffer Permitting Unit and the NC Division of Water
Resources — Public Water Supply Section — Mooresville Regional Office.
10, Additional Monitoring
A. The Fish Sampling Work Plan for Narrows Reservoir dated December 14, 2007 as
prepared by URS Corporation shall be conducted by APGI. The Division shall approve
the timing of this sampling.
B. APGI shall provide yearly monitoring of the discharges from the four lakes for pollutants
to include heavy metals and organic pollutants, including volatile organic compounds,
acid-extractable compounds, base-neutral compounds, and PCBs using a priority
pollutant scan analyzed in accordance with 40 CFR Part 136. Test results shall be
reported to Division within 90 calendar days of sampling using a form approved by the
Division. This monitoring shall be done annually for a minimum of five years. At the end
of five years, APGI may submit a request to the Division for approval to modify the
monitoring requirements. If monitoring shows levels of contaminants that violate water
quality standards, then APGI shall develop a plan that proposes measures for ensuring
compliance with water quality standards. APGI shall submit a plan for the Division's
approval within six (6) months of notification by the Division that monitoring showed
levels of contaminants that violate water quality standards. Sensitivity levels for these
analyses must be at least those used by the Division's Central Laboratory.
C. APGI shall provide yearly monitoring for lake sediment in a series of transacts from the
Alcoa Badin Works Plant site to the Narrows dam for those heavy metals and
compounds including PCBs and PAHs that are present in the sediment in the swimming
area as reported in the Badin Lake Swim/Picnic Area and Badin Boat Access Sediment
Assessment, Stanly County. The Division must provide written approval for this study
plan. This monitoring shall be done annually for at least five years. At the end of the
five years, APGI may submit a request to the Division for approval to modify the

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
monitoring requirements. If movement of contaminated sediment is detected, then
APGI shall develop a plan that proposes measures for stopping contaminated sediment
transport. APGI shall submit a plan for the Division's approval within six (6) months of
notification by the Division that movement of contaminated sediment was detected.
Sensitivity levels for these analyses must be at least those used by the Division's Central
Laboratory.
11. Financial Assurance
A. Within thirty (30) calendar days of the issuance of this Certification, APGI shall provide
draft language for two surety bonds; one to cover the construction of the planned
improvements and upgrades that are required by this Certification (Surety Bond) and
one to cover the ongoing monitoring of the Project as required by this Certification
N���
B. The "Surety Bond" and "Monitoring Bond" shall be from a surety company that is rated
no less than "A-" as rated by A.M. Best and shall be issued in favor of the state of North
Carolina. The financial assurance provided must be continuous in nature and must bind
APGI as well as its successors -in- interest.
C. The amount of initial coverage provided by a "Surety Bond" shall be at least 100% of the
estimated cost of completing the planned Project upgrades required by this
Certification, but not less than $44,570,000.00.
D. The amount of initial coverage provided by a "Monitoring Bond" shall be at least 100%
of the estimated cost to provide monitoring of the Project as required by this
Certification, but not less than $3,000,000.00.
E. Within sixty (60) calendar days of the final non-appealable FERC License, APGI shall
secure the "Surety Bond" and "Monitoring Bond" and shall provide documentation to
the Division.
F. A "Surety Bond" shall be maintained until all of the improvements and upgrades
required by this Certification have been completed. The amount of the "Surety Bond"
may be decreased upon written approval from the Division as upgrades required by this
Certification are completed. The amount of the "Surety Bond" may be increased if
additional work is required in order to bring the Project into compliance with North
Carolina water quality standards.
G. A "Monitoring Bond" shall be issued in the form of an annual bond renewable each year
for a minimum of ten (10) years. The "Monitoring Bond" shall be extended annually by
the surety via a Continuation Certificate. The amount of the "Monitoring Bond" may be
decreased upon written approval from the Division as each year of monitoring as
required by this Certification is completed. If the Project is not in compliance with the
water quality standards at the end of the initial 10-year period, then the Division may
require APGI to continue to provide a "Monitoring Bond." If the Division determines
that the "Monitoring Bond" is no longer required, then the Division will provide written

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 9 of 33
notification to APGI.
H. The financial assurance must contain a provision requiring the surety company to notify
the Division and APGI at least ninety (90) calendar days before canceling the "Surety
Bond" or "Monitoring Bond." APGI must provide a substitute or replacement bond that
meets the requirements of this Condition (111) within ninety (90) calendar days of the
surety company's notice of intent to cancel the bond. The substitute or replacement
bond must be in place before the original "Surety Bond" or "Monitoring Bond" is
cancelled. If APGI does not provide a substitute or replacement bond before the original
"Surety Bond" or "Monitoring Bond" is cancelled, then the Division shall take
appropriate action to require APGI to substitute or replace the bond, including filing a
civil action for injunctive relief, assessing civil penalties, or both, for the failure to
comply with this condition of this Certification.
12. Dissolved OxvRen Enhancements and Monitoring
A. FERC Approval. FERC approval is required before APGI may begin installation or
construction of any of the DO enhancements at the Project requiring capital
expenditures, and FERC also retains authority regarding operational changes that may
affect DO. APGI will file appropriate documentation with FERC requesting FERC's
approval of such capital enhancements, when appropriate, including a request for FERC
approval for the upgrades to the three generating units at High Rock, Unless and until all
necessary FERC and other governmental approvals are received, work on capital DO
enhancement technologies cannot proceed. All deadline dates are contingent upon
receipt of FERC approval, which APGI will seek on a timely basis.
B. Installation of Upgrades to Generators at High Rock and Narrows
i. High Rock. Install the through- the-turbine DO enhancement technology for all three
generating units at the High Rock powerhouse on the following expedited basis,
a. Within thirty (30) calendar days after APGI receives the Final FERC License for the
Project, APGI will commence the design engineering process for the upgrade and
request FERC approval of the design engineering and casting for the upgrade.
b. Within sixty (60) calendar days after APGI receives the Final FERC License, APGI
will request FERC approval for the High Rock Unit upgrades, provided such
request is determined to be necessary.
c. Within one hundred eighty (180) calendar days after APGI receives the Final
FERC License, APGI will sign all necessary contracts for engineering work.
d. Within eighteen (18) months after APGI receives an order from FERC approving
this work, APGI will begin the upgrade process on the first of the three units at
High Rock.

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 10 of 33
e. Within twenty-four (24) months after APGI receives an order from FERC
approving this work, APGI will complete the upgrade for DO enhancement to the
first of the three units at High Rock.
f. Within twenty-four (24) months after APGI receives an order from FERC
approving this work, APGI will begin the upgrade process on the second unit at
High Rock.
g. Within thirty (30) months after APGI receives an order from FERC approving this
work, APGI will complete the upgrade for DO enhancement to the second of the
three units at High Rock.
h. Within thirty (30) months after APGI receives an order from FERC approving this
work, APGI will begin the upgrade process on the third unit at High Rock.
i. Within thirty-six (36) months after APGI receives an order from FERC approving
this work, APGl will complete the upgrade for DO enhancement to the third of
the three units at High Rock.
Narrows Unit 3. Install the draft tube DO enhancement technology specified in this
Certification for Narrows Unit 3 on the following expedited basis.
a. Within thirty (30) calendar days after APGI receives the Final FERC License, APGI
will commence the engineering process for the upgrade.
b. Within sixty (60) calendar days after APGI receives the Final FERC License, APGI
will request FERC approval for the Narrows Unit 3 upgrades, provided such
request is determined to be necessary.
c. Within ninety (90) calendar days after APGI receives the Final FERC License, APGI
will sign all necessary contracts for engineering work.
d. Within sixty (60) calendar days of receiving an order from FERC approving this
work, APGI will begin installation of the DO enhancement equipment.
e. Within one (1) year of receiving an order from FERC approving this work, APGI
will complete the installation of the Unit 3 DO enhancement upgrade.
iii. Operation of High Rock and Narrows Generator DO Enhancement Technologies. As
DO enhancement equipment or measures are installed or implemented on the
schedule described in this Certification, APGI shall operate the generating units with
DO enhancement equipment added on a "first-on-last-off' basis, subject to unit
availability, from May I of each year through November 30 of each year. If DO
enhancement equipment or measures are not associated with generating
equipment, once completed, that equipment or those measures shall be operated or
implemented as designed from May 1 of each year through November 30 of each
year.

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 11 of 33
C. Installation of Fixed Cone Valves at High Rock, Tuckertown, and Narrows Dams
i. High Rock. Fixed cone (Howell-Bunger) valve DO enhancement technology will be
used to improve DO in the tail waters at High Rock.
a. Install two (2) fixed cone valves. APGI will install two (2) fixed cone valves on
two (2) of the three (3) drain valves at High Rock dam on the following expedited
schedule.
1. Within thirty (30) calendar days after APGI receives the Final FERC License,
APGI will initiate the additional engineering process for the installation of the
fixed cone valves.
2. Within sixty (60) calendar days after APGI receives the Final FERC License,
APGI will sign all necessary contracts for additional engineering work.
3. Within one hundred fifty (150) calendar days after APGI receives the Final
FERC License, APGI will provide proposed engineering plans and
specifications for the fixed cone valves to the Division. At the same time,
APGI will submit plans and any other required documents to FERC for
approval of the installation of the fixed cone valves.
4. Within ninety (90) calendar days of receiving FERC approval of the
installation of the fixed cone valves, APGI will commence installation of the
cone valves at High Rock.
5. Within one hundred eighty (180) calendar days of receiving FERC approval of
the installation of the fixed cone valves, APGI will complete installation of the
fixed cone valves.
b. Operation. As soon as practicable after the "real-time" DO data monitoring
system (see "12-G" below) for the High Rock tailwaters is fully operational, APGI
will use those data to adjust operation of the fixed cone valve(s) to improve DO
in the High Rock tailwaters in advance of completion of the High Rock turbine
upgrades.
c. Evaluation. APGI will provide DO data to the Division on a quarterly basis. The
data will be screened and reviewed in accordance with APGl's QA/QC procedures
approved by the Division. Each quarter's DO data will be submitted within thirty
(30) calendar days after the last day of the quarter in which it was collected.
cl. Potential installation of a third fixed cone valve. if after one full DO season of
operation with the first two fixed cone valves and the other DO Technology at
High Rock, integrated and coordinated through the use of "real-time" monitoring
data (see "12-G" below), the instantaneous and/or daily average levels of DO fail
to meet water quality standards, then the Division may require installation of a
third fixed cone valve at High Rock.

M Fr7o
77M
DWR# 12-0900
Individual Certification #4035
Page 12 of 33
Prior to any determination by the Division to require installation of a third
fixed cone valve at High Rock, APGI will consult with the Division to
determine if adding a fixed cone valve is required to improve DO in the
tailwaters.
2. if after consultation as described above, the Division requires installation of
an additional fixed cone valve, APGI shall submit a request for approval for
this work to FERC within thirty (30) calendar days of receiving a formal notice
from the Division and will complete installation of the additional cone valve
ninety (90) calendar days after receiving FERC approval.
Tuckertown. Fixed cone (Howell-Bunger) valve DO enhancement technology will be
used to improve DO in the tail waters at Tuckertown.
a. install one (1) fixed cone valve. APGI will install one (1) fixed cone (Howell-
Bunger) valve at Tuckertown within eighteen (18) months of receipt of the final
FERC license.
b, Operation. As soon as practicable after the "real-time" DO data monitoring
system (see "12-G" below) for the Tuckertown tailwaters is fully operational,
APGI will use those data to adjust operation of the fixed cone valve to improve
DO in the Tuckertown tailwaters in advance of completion of the High Rock
turbine upgrades.
c. Evaluation and Action.
Quarterly data. A• Gl will provide DO data to the Division • a quarterly
basis. The data will be screened and reviewed in accordance with APGI's
quality assurance and quality control procedures (QA/QC) approved by the
Division. Each quarter's DO data will be submitted within thirty (30) calendar
days after the last day of the quarter in which it was collected.
2. Report after upgrade to third unit at High Rock. Within ninety (90) calendar
days after the end of the first full DO season after the third unit at High Rock
is upgraded, APGI will provide a report (90-day Report) to the Division
assessing the performance of (1) the fixed cone valve at Tuckertown and (2)
the upgrades and fixed cone valves at High Rock on the DO levels below the
Tuckertown dam. APGI will also provide an assessment of the need for
additional DO enhancement technologies at Tuckertown in this report. Upon
receipt of the report, the Division may request additional information.
3. Submit Tuckertown Action Plan. If the Tuckertown 90-day report shows that
the DO instantaneous and/or daily average levels at Tuckertown do not meet
the applicable water quality standards, then at the same time APGI submits
the Tuckertown 90-day report, APGI will provide an Action Plan for additional
DO enhancement at Tuckertown including its recommendation for additional
measures or technology and a proposed schedule for installation on an

DWR# 12-0901
Individual Certification #4035
Page 13 of 33
expedited basis (Tuckertown Action Plan).
4. Installation of Additional Tuckertown DO Enhancements. If required, the
Tuckertown Action Plan shall propose the installation of oxygen diffuser
technology, aeration valves, or other appropriate aeration technology at
Tuckertown, on an expedited basis. Installation of the additional appropriate
technology after approval of the Tuckertown Action Plan by both the Division
and FERC shall begin within ninety (90) calendar days of the later of those
approvals and any required FERC order, and shall be completed according to
the schedule in the approved Tuckertown Action Plan.
Narrows. The Division may require that APGI install a fixed cone valve at Narrows
under the following conditions:
a. Evaluation.
After installation of the draft tube air valve at Narrows Unit 3, APGI will
provide DO data to the Division on a quarterly basis. The data will be
screened and reviewed in accordance with APGI's quality assurance and
quality control procedures (QA/QC) approved by the Division. Each quarter's
DO data will be submitted within thirty (30) calendar days after the last day
of the quarter in which it was collected.
2. if after one full DO season after the upgrade of Unit 3 at Narrows dam,
integrated and coordinated through the use of "real-time" monitoring data
(see "12-G" below), the instantaneous and/or daily average DO fail to meet
water quality standards, then the Division may require installation of a fixed
cone valve at Narrows,
1 If the Division requires the installation of a fixed cone valve at Narrows in
accordance with the previous paragraph, APGI shall continue to provide DO
data after the beginning of operation of the fixed cone valve for the
Division's evaluation. The Division may require that APGI install a second
fixed cone valve at Narrows.
4. If APGI and the Division agree, another appropriate aeration technology may
be substituted for the fixed cone valve(s), irrespective of whether the
upgrade to the DO data monitor has been completed.
b. Installation. If the Division determines that a fixed cone valve or valves should be
installed at Narrows, installation will be performed on the following expedited
schedule.
1. Within thirty (30) calendar days of receiving formal notification from the
Division that a fixed cone valve or valves should be installed, APGI will initiate
the additional engineering process for the installation of fixed cone valve(s),
2. Within sixty (60) calendar days of receiving formal notification from the

DWR# 12-09
It4ivii0tial Certificatiot, #40J
Page 14 of 33
M. Mi-
3. Within one hundred fifty (150) calendar days of receiving notification from
the Division that a fixed cone valve or valves should be installed, APGI will
provide proposed engineering plans and specifications for the fixed cone
valve(s) to the Division. At the same time, APGI will submit plans and any
other required documents to FERC for approval of the installation of the
fixed cone valve(s).
4. Within ninety (90) calendar days of receiving FERC approval of the
installation of the fixed cone valve(s), APGI will commence installation of the
cone valve(s) at Narrows,
5. Within one hundred eighty (180) calendar days of receiving FERC approval of
the installation of the fixed cone valve(s), APGI will complete installation of
the fixed cone valve(s).
D. Assess Need for Installation of DO Enhancement Technology at Falls
7,77,77 •
a. Quarterly data. Within ninety (90) calendar days after APGI receives the Final
FERC License, APGI will provide the Division with DO Data from the Falls DO
monitor (following QA/QC review) on a quarterly basis.
b. Report after upgrade to Unit 3 at Narrows. Within ninety (90) calendar days
after the end of the first full DO season after the upgrade of Unit 3 at Narrows,
APGI will provide a report (Falls 90-day report) to the Division assessing the
performance of the upgrades at Narrows on the DO levels below Falls Dam. APGI
will also provide an assessment of the need for DO enhancement technologies at
Falls in this report. Upon receipt of the report, the Division may request
additional information.
ii. Evaluation and Action.
a. Submit Falls Action Plan. If the Falls 90-day report shows that the instantaneous
and/or daily average DO levels at Falls do not meet the applicable water quality
standards, then at the same time APGI submits the Falls 90-day report, APGI will
provide an Action Plan for DO enhancement at Falls including its
recommendation for additional measures or technology and a proposed
schedule for installation on an expedited basis (Falls Action Plan).
b. Installation of Falls DO Enhancements. If required, the Falls Action Plan shall
propose the installation of aeration valves, or other appropriate aeration
technology at Falls Units 1, 2 and/or 3 on an expedited basis. Installation of the
appropriate technology after approval of the Falls Action Plan by both the
Division and FERC shall begin within ninety (90) calendar days of the later of

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
those approvals and any required FERC order, and shall be completed according
to the schedule in the approved Falls Action Plan.
E. Upgrade DO Monitoring Equipment in Tailwaters Below Dams in Yadkin Project
APGI will upgrade the DO monitoring equipment below each of the dams in the Yadkin
Project to allow for the transmittal of data in 15-minute increments from the DO
monitors to the Dispatch Center ("real time" DO data - see "12-G" below).
i. Schedule for Upgrades.
APGI will complete the implementation of real time data transmission from
the upgraded DO monitor below Narrows within 6 months after APGI
receives the Final FERC License.
The DO monitoring stations below High Rock, Tuckertown, and Falls dams will be
modified in the order listed.
1. APGI will request the necessary approvals, if any, to relocate the DO
monitoring stations below High Rock, Tuckertown, and/or Falls within thirty
(30) calendar days after APGI receives the Final FERC License,
2. APGI will complete installation of the upgraded DO monitor below High Rock
by the date the installation of the first fixed cone valve at High Rock is
completed, provided all required approvals, orders and permits have been
obtained.
3. The remaining upgraded DO monitors at Tuckertown and Falls will be
completed within twenty-four (24) months after APGI receives the Final FERC
License, provided all required approvals, orders and permits have been
obtained.
ii. Design and Engineering. FERC and the North American Electrical Reliability
Corporation ("NERC ") may impose certain requirements regarding location,
connection, or operation of the DO monitors,
b. Prior to relocating any of the DO monitors, APGI will provide the Division with a
summary report and data on which the report is based establishing that the new
location for the DO monitor will be representative of the water quality in the
tailwaters below the dam.
Within one (1) year of this Certification, APGI will submit to the Division for written
approval an updated draft of the DO Monitoring Plan and Quality Assurance
Project Plan ("QAPP"), as updates and revisions to the document "Draft Dissolved
Oxygen Monitoring Plan (May 2007)." This updated document will include, at a

individual Certification #4035
minimum: updated contact information, background information, a description of
proposed technologies, a discussion of monitoring and reporting procedures for
the proposed upgraded "real-time" DO monitoring equipment, and a discussion of
how DO meters will be repaired • replaced quickly in the event of malfunction.
The DO Monitoring Plan and QAPP will be updated in consultation with the Division
and other appropriate state and federal resource agencies.
The primary component of the DO Monitoring Plan will be the operation of four (4)
continuous DO/temperature monitors, one in each tailwater below High Rock,
Tuckertown, Narrows and Falls, for the period of May 1 through November 30 of
each year. The DO Monitoring Plan shall include a schedule for preparing an annual
DO and temperature data report. The annual report shall be filed by March 1 of the
following year with the Division and with the downstream Licensee of the Yadkin-
Pee Dee River Project (FERC No. 2206).
iii. APGI shall file the DO Monitoring Plan with FERC within thirty (30) calendar days of
receiving the Division's written approval of the draft Plan. APGI shall include with
the DO Monitoring Plan an implementation schedule, documentation of
consultation, copies of the Division's comments and recommendations on the plan,
and specific descriptions of the manner in which the Division's comments have
Go =#
G. Optimization of Electrical Generation for DO Enhancement Using Information from the
0 • . 0 - • of
Approval. APGI will request FERC approval (if needed) within thirty (30) calendar
days after APGI receives the Final FERC License, to use "real-time" DO data to
optimize operation of the DO enhancement equipment.
"Real-Time" Monitoring Data. For the purposes of this Certification, "real-time"
monitoring data mean data collected and recorded every fifteen (15) minutes, for
instantaneous reading, with the instantaneous readings being averaged over a 24-
hour period to obtain the daily average reading.
iii. Use of "Real-Time" Monitoring Data. APGI will use the "real-time" DO monitoring
data to coordinate and optimize the operation of the Project's DO enhancement
technology, including turbines, fixed cone valves and any other controllable DO
enhancement technology, to meet water quality standards. Such optimization may
also include "pulsing" one or more hydroelectric generating units, and/or opening
spill (flood) gates to maintain DO levels in the tailwaters at or above the water
quality standards.
H. Additional Reporting Requirements
In addition to other requirements for reporting set forth in this Certification, APGI will
provide the following:

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 17 of 33
Annual Report, The annual report filed by March I of the following year to the
Division will summarize the DO data and assess the compliance with North Carolina
water quality standards. In addition, the annual report will include a narrative
description of the operation of DO enhancement technologies and APGI's use of
the "real-time" DO data in operating those DO enhancement technologies. APGI
shall include information regarding the QA/QC procedure in its annual report.
However, once the QA/QC procedures are approved and provided that APGI does
not change its QA/QC procedures, the annual report may simply refer to and
incorporate the QA/QC procedures previously approved by the Division.
ii. Data provided on a quarterly basis. In addition to the annual report, APGI will
provide the Division with the "real-time" DO data for each dam on a quarterly
basis. Each quarter's data will be submitted to the Division, after being screened
and reviewed in accordance with QA/QC procedures, within thirty (30) calendar
days after the last day of the quarter in which it was collected. This quarterly
reporting requirement will become effective ninety (90) calendar days after APGI
receives the Final FERC License.
iii. QA/QC. Within one (1) year of this Certification, APGI shall submit to the Division
for approval a written copy of the QA/QC procedures it uses on raw DO data.
Within ninety (90) calendar days, the Division will provide a written response to
APGI approving or requesting changes to the QA/QC procedures. APGI shall include
information regarding the QA/QC procedure in its Annual Report.
iv. Placement of DO monitors. Every five years, beginning at the end of the calendar
year following the year in which APGI receives the Final FERC License, APGI will
include in the Annual Report an assessment of the placement of the DO monitors
verifying that the chosen location below each of the dams is a representative site
at which to measure DO levels in the water under the following conditions: when
generators are operating at optimal levels, during periods of low flow, and when
the generators are not operating.
Notice Provided to the Division
APGI agrees to provide Notices of Initiation and Notices of Completion to the Division
for each of the events that APGI agrees to undertake, pursuant to the terms set forth in
this Certification. This information will include at minimum the following information: 1)
a description of the work being initiated or completed, 2) a reference to the condition in
this Certification requiring the work, 3) the effective date of the notice, and 4) the name
and contact information for the person providing notice. This information shall be sent,
until further notice, to either of the following addresses:

Mailing Address
(by US Postal Service)
NC DWR, 401 & Buffer Permitting Unit
1617 Mail Service Center
Raleigh, NC 27699-1617
J. Assurance of Compliance
Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 18 of 33
Physical Address
(by delivery service, UPS, FedEx, etc.)
NC DWR, 401 & Buffer Permitting Unit
512 N Salisbury Street, Suite 942-E
Raleigh, NC 27604
RSA Consistency. This Certification shall not require APGI to violate or operate
inconsistently with any provisions of the New License or any provisions of the RSA
(including the Low Flow Inflow Protocol). To the extent the terms of this Certification
provide an expedited schedule and additional conditions appropriate to meet state
and/or federal requirements, they are not inconsistent with the RSA.
ii. Additional Improvements to Ensure Standards are Met:
if at any time during the term of the New License, after all the DO Enhancement
equipment and measures outlined in the RSA and this Certification have been
installed and implemented, all of the upgraded units are operational, and at least
two full DO seasons of monitoring have been completed, APGI is notified by the
Division that based on the monitoring data collected under the DO Monitoring
Plan, water quality standards are not being met as a result of APGI's
hydroelectric operations, APGI shall develop a plan to implement corrective
actions. APGI shall file a Dissolved Oxygen Corrective Action Plan (DOCAP) for the
Division's approval within six (6) months of notification by the Division that
water quality standards are not being met as a result of APGI's hydroelectric
operations. APGI shall include with the DOCAP an implementation schedule,
documentation of consultation, copies of the Division's comments and
recommendations and specific descriptions of the manner in which such
comments and recommendations have been accommodated by the DOCAP.
Within thirty (30) calendar days of receipt of the Division's written approval of
the DOCAP, APGI shall file the DOCAP with FERC.
b. If, after implementation of the DOCAP in accordance with "a" above, DO levels
do not meet water quality standards after completion of all the improvements
required by the RSA (including the Low Inflow Protocol) and this Certification,
APGI shall propose to the Division additional measures including an
implementation schedule to meet water quality standards for DO. Following its
review of APGI's proposal, the Division may, in writing, require that APGI
implement those additional measures to meet water quality standards for DO.
iii. Tailwater Dissolved Oxygen Enhancement Operations.
If at any time during the term of the New License, after all the DO Enhancement
equipment and measures outlined in the RSA and this Certification have been
installed and implemented, all of the upgraded units are operational, and at least

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 19 of 33
two full DO seasons of monitoring have been completed, APG1 can demonstrate
through studies and/or monitoring that water quality standards are met twenty-four
hours a day, seven days a week, then APG1 may consult with the Division regarding
the possibility of reducing the period of DO Enhancement operations (May 1--
November 30). Should any such consultation result in an agreement between APG1
and the Division to modify the operation of the Project for purposes of DO
enhancement, APGI shall consult with the Division to develop a plan to revise DO
enhancement operations. APG1 shall include with the plan an implementation
schedule, documentation of consultation, copies of the Division comments and
recommendations and specific descriptions of the manner in which such comments
and recommendations have been accommodated by the plan, Within thirty (30)
calendar days of receipt of the Division written approval of the plan, APG1 shall file
the plan with FERC for any necessary regulatory approval.
M
The following conditions, which were included in the February 2007 Relicensing Settlement
Agreement (RSA), are set forth separately and independently as requirements of this
Certification.
A. Project Operations
Unless in accordance with the Hydro Project Maintenance and Emergency Protocol and
Low Inflow Protocol, Project minimum flows take priority over reservoir water
elevations, as specifically described in Articles PO-1 and PO-2 below.
This space left blank intentionally

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
a. High Rock Reservoir Operations
APG1 shall operate High Rock Reservoir at or above the normal minimum
elevation (NME) as depicted on the High Rock Operating Curve (Figure PO-1),
except as needed in order to maintain minimum flows or as provided under the
Low Inflow Protocol (LIP) or the Hydro Project Maintenance and Emergency
Protocol (HPMEP). High Rock Reservoir may be drawn down below its NME in
order to meet the Required Minimum Instrearn Flow at Falls, as specified in
Article PO-2, only after Narrows Reservoir has reached its NME. If High Rock
Reservoir water elevation is below the NME at 12:01 AM on any operating day,
where the operating day is defined as 12:01 AM through 12:00 midnight, APGl
shall reduce releases from High Rock Reservoir for that operating day up to a
maximum of the daily average flow equivalent of the minimum flow requirement
at Falls, as specified in Article PO-2. Under this condition, releases from Falls will
be limited to those defined in Article PO-2.
Figure 130-1.
Jan Feb Mar Apr
624 ,9
Ft 11 Pond Eh ivation (62: .9 ft)
6239
622.9
621,9
0 0) 620.9
oa
0
9 617,9
t
LU 6169
0
t 6159
614.9
6139
612,9
611,9
610,9
High Rock Reservoir Operating Curve
May Jun Jui Aug Sep Oct Nov Dec
Note: During periods for fill and drawdown during March and November High Rock
Reservoir would transition between the 4 foot and 10 Operating Curve, with water
elevations oncreasing or decreasing, as apptocable, genera0y along a straight line.
L_ Normal Minimum Elevation...... — —Full Pond

Yacllkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 21 of 33
b. Tuckertown Reservoir Operations
APGl shall operate Tuckertown Reservoir at or above the NME as depicted on
the Tuckertown Operating Curve (Figure `+M as provided in the
HP MEP.
I. —Normal Minimum Elevation — —Full Pond �
This space left blank intentionally

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 22 of 33
c. Narrows Reservoir Operations
APG1 shall operate Narrows Reservoir at or above the NME as depicted on th
Narrows Operating Curve (Figure PO-3), except as needed in order to mainta
minimum flows, or as provided under the LIP or HPMEP. I
—Normal Minimum Elevafion ^^^ ^Full Pond
d. Falls Reservoir Operations
APGI shall operate Falls Reservoir at or above the NIVIE as depicted on the Falls
Operating Curve (Figure PO-4), except as provided in the HPMEP.
_Normal Minknum Elevafion —FuR Pond

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
individual Certification #4035
Page 23 of 33
e. Reservoir Stabilization to Enhance Fish Spawning
From April 15 through May 15 of each year, APGI will endeavor to maintain
reservoir water elevations at all four Project reservoirs no lower than -1.0 feet
below the elevation of each reservoir on April 15 to enhance conditions for fish
spawning in the reservoirs. No later than August 31 of each year, APGI will
report the resulting reservoir water elevations at each reservoir during the April
15 through May 15 period in a letter report to the North Carolina Wildlife
Resources Commission (NCWRC). The letter report will provide an explanation
of any circumstances that prevented APGI from maintaining the target water
elevations. Within 60 days of filing the letter report with the NCWRC, a copy of
the letter report will be filed with the Division and FERC. Satisfaction of these
reporting commitments shall constitute compliance with this Article,
ii. Article PO-2— Project Instream Flows (RSA Section 3.1.2)
a. Required Minimum Instrearn Flows
Commencing no later than six months from the effective date of the New License
and except when operating under the Low Inflow Protocol (LIP) or Hydro Project
Maintenance and Emergency Protocol (HPMEP), APGI shall operate the Project
to provide a daily average minimum flow from the Falls Development according
to the following schedule:
June 1— January 31 1,000 cfs
February 1— May 15 2,000 cfs
May 16 — May 31 1,500 cfs
iii. Flow Adjustment for Enhancement of Downstream Spawning (RSA Section 2.1.1)
APGI will work with the licensee of the Yadkin-Pee Dee River Project, FERC No. 2206,
(Downstream Licensee), the North Carolina Division of Water Resources (NCDWR),
the North Carolina Wildlife Resources Commission (NCWRC), the South Carolina
Department of Natural Resources (SCDNR), the U.S. Fish and Wildlife Service
(USFWS), the National Marine Fisheries Service (NMFS), The Nature Conservancy
(TNQ and American Rivers (collectively, Group) to develop a process to allow the
Downstream Licensee to provide adjusted flow between February 1 and May 15 to
enhance spawning conditions in the lower river downstream of the Blewett Falls
development, part of the Yadkin-Pee Dee River Project.
APGI's role in enhancing downstream spawning below Blewett Falls will be limited
to:
a. Attending an annual meeting with the Group, if held, to consider expected flow
and hydrologic conditions and to schedule adjusted flow period(s) for the
upcoming spawning season, and

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 24 of 33
b. Once the schedule for adjusted spawning flow period(s) has/have been
established by the Group, APGI will communicate its daily generation/flow
release schedule during the adjusted spawning flow period(s) to the
Downstream Licensee at least one week in advance of the start of the adjusted
spawning flow period(s). If unexpected hydrologic conditions, or other
conditions, such as those covered in the Low Inflow Protocol (LIP, Appendix A) or
the Hydro Project Maintenance and Emergency Protocol (HPMEP, Appendix B),
occur during any adjusted spawning flow period, APGI shall communicate to the
Downstream Licensee any resulting changes in its daily generation/flow release
schedule for the remainder of that adjusted spawning flow period.
APGI will not be required to attempt to match Yadkin Project outflow to inflow
during any adjusted spawning flow period(s), nor will APGI be required to provide an
instantaneous minimum flow release from the Yadkin Project during any adjusted
spawning flow period(s).
APGI's participation in enhancement of downstream spawning will take place within
the confines of the other requirements of the New License and this Certification
relating to management of flows and reservoir water elevations, and would not
result in any modification of those flow and reservoir management requirements.
Specifically, nothing in this section will require or cause APGI to fall below the
Project Minimum Flows as described in Article PO-2 or to have to modify its
reservoir operations as prescribed in Article PO-1.
If state and federal agencies and the Downstream Licensee are unable to come to an
agreement on what measures are to be undertaken by the Downstream Licensee to
achieve Flow Adjustment for Enhancement of Downstream Spawning, APGI will be
under no obligation to meet the commitments outlined in this Condition [13(A)(iii)].
iv. Article PO-3 - Flow and Reservoir Elevation Monitoring (RSA Section 3.1.3)
Within six months of the effective date of the New License, APGI shall file with the
Division a final Flow and Reservoir Elevation Monitoring and Compliance Plan for the
Yadkin Project. The Flow and Reservoir Elevation Monitoring and Compliance Plan
shall be developed in consultation with the North Carolina Division of Water
Resources (NCDWR), the South Carolina Department of Natural Resources (SCDNR),
the U.S. Geological Survey (USES) and the Downstream Licensee (the Licensee of the
Yadkin-Pee Dee River Project, FERC No. 2206), and shall include detailed provisions
for monitoring reservoir water elevations and for monitoring flows from both the
Narrows and High Rock developments.
APGI shall include with the final plan documentation of consultation, copies of
comments and recommendations on the draft plan after it has been prepared and
provided to the agencies and Downstream Licensee, and specific descriptions of how
comments are accommodated by the final plan. APGI shall allow a minimum of 30
days for the agencies and Downstream Licensee to comment prior to filing the plan

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
individual Certification #4035
Page 25 of 33
with the Division, If APGI does not adopt a recommendation, the filing shall include
APGI's reasons, based on Project-specific information.
The Division reserves the right to require changes to the plan. Upon Division
approval, APGI shall submit the plan to FERC for approval. Upon receiving FERC
approval, APGI shall implement the plan, including any changes required by the
Division and/or FERC. APGI shall file the final plan with Division within 30 days of
receiving FERC approval.
a. Releases from High Rock Development
Flow monitoring from the High Rock Development will serve as the measure for
the flow releases from the High Rock Development required under Article PO-1
or under the Low Inflow Protocol (LIP). Daily average flows within +25% of the
applicable maximum flow, measured from 12:01 AM to 12:00 midnight, shall be
considered compliant for each operating day.
b. Releases from Falls Development
Flow monitoring from the Narrows Development will serve as the compliance
measure for the flow release from the Falls Development required under Articles
PO-1, PO-2 or under the LIP. Daily average flows within -5% of the applicable
minimum flow, measured from 12:01 AM to 12:00 midnight, shall be considered
compliant for any operating day so long as:
1. Whenever High Rock Reservoir is at or above its normal minimum elevation
(NME), the applicable daily average minimum flow is achieved on a weekly
average basis, measured from 12:01 AM Saturday to 12:00 midnight Friday.
Whenever High Rock Reservoir is drawn down below its NME (when a
maximum release from Falls is also applicable), releases from Falls shall be
limited to +/- 5% of the cfs equivalent of the Required Instream Minimum
Flow at Falls, as measured on a weekly average basis from 12:01 AM
Saturday to 12:00 midnight Friday.
APGI shall endeavor to meet the Required Minimum Instream Flows required in
Article PO-2, and shall not routinely use the flow variances provided above. APGI
shall prepare an annual flow monitoring report documenting its compliance with
minimum flow releases, including a record of any days during the year when the
daily average required minimum instream flow fell within the -5% and was made
up as part of the weekly average, a record of flows during any period when High
Rock was below its NME, and a record of any LIP events. By no later than March
31 of the following year, APGI shall file the report with the Division summarizing
its evaluation. If, based on the results of the report, the state of North Carolina
has a concern about the frequency or pattern of use of the variance by APGI, the
state may request consultation with APGI to discuss APGI's reasons for that use
and any practicable alternatives to that use,

Yadkin Hydroelectric Project FERC P-2197
11r WW"-12-89W
23 R «�
v. Article PO4 — Low Inflow Protocol (LIP) (RSA Section 3.1.4)
This condition highlights the responsibilities of APGI from Appendix A, "Low Inflow
Protocol for the Yadkin and Yadkin-Pee Dee River Hydroelectric Projects." The
complete text of the LIP is included by reference in this Certification (see "D" below).
a. Definitions. The following definitions shall be applicable to this condition:
1. Stream Gage Three-Month Rolling Average Flow —The three-month rolling
average of strearnflow at the following U.S. Geological Survey (USGS) stream
gages:
- Yadkin River at Yadkin College (02116500)
- South Yadkin River near Mocksville (02118000)
- Abbotts Creek at Lexington (0 2121500)
- Rocky River near Norwood (02126000)
On the last day of each month, APGI shall calculate the arithmetic mean of
(a) the daily flows of the current month and (b) the arithmetic mean of the
daily flows of each of the two preceding months. The sum of the three-
month rolling average for these four gage stations shall be compared by APGI
to the Historic Stream Gage Three-Month Rolling Average Flow for the
corresponding period and a percentage of Historic Three-Month Rolling
Average shall be calculated.
This space left blank intentionally

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 27 of 33
2. Historic Stream Gage Three-Month Rolling Average Flow —The historical
three-month rolling average
flow for each
of the four designated USGS
stream gages for the period
1974 through
2003 (except for the Abbotts Creek
gage, for which the period is 1988 through
2003) are set forth in Table LIP-1
below:
Narrows
509.8
Table LIP-1. Historic Stream Gage Three-Month Rolling Average
332.8
Flow
For Evaluation of
Average of daily
Historic Three-Month
Flow Trigger on:
flows during:
Rolling Average Flow, cfs
January 1
Oct-Nov-Dec
4,000
February 1
Nov-Dec-Jan
5,200
March 1
Dec-Jan-Feb
6,250
April I
Jan-Feb-Mar
7,700
May I
Feb-Mar-Apr
7,550
June 1
Mar-Apr-May
6,850
July 1
Apr-May-Jun
5,350
August 1
May-Jun-Jul
4,200
September 1
Jun-Jul-Aug
3,600
October 1
Jul-Aug-Sep
3,200
November 1
Aug-Sep-Oct
3,300
December 1
Sep-Oct-Nov
3,550
3. Full Pond Elevation —The Full Pond Elevation for each development's
reservoir is listed in Table LIP-2.
Full Pond Elevation
Reservoir
(feet, USGS datum - NGVD
1929)'
High Rock
623.9
Tuckertown
564.7
Narrows
509.8
Falls
332.8

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 28 of 33
4. Normal Minimum Elevation (NME) - DIME for each Project reservoir is listed
in Table LIP-3.
Table LIP-3. Normal Minimum Elevations
(feet, USES datum - NGVD 1929)
Month High Rock Tucker-town Narrows Falls
Full Pond 623.9 564.7 509.8 332.8
January 1 613.9 561.7 504.8 328.8
February 1 613.9 561.7 504.8 328.8
March 1 transition 561.7 504.8 328.8
April 1 619.9 561.7 504.8 328.8
May 1 619.9 561.7 504.8 328.8
June 1 619.9 561.7 504x8 328.8
July 1 619.9 561.7 504.8 328.8
August 1 619.9 561.7 504.8 328.8
September 1 619.9 561.7 504.8 328.8
October 1 619.9 561.7 504,8 328.8
November 1 transition 561.7 504.8 328.8
December 1-15 613.9 561.7 504.8 328,8
December16- 504.8
31 613.9 561.7 328.8
5. U.S. Drought Monitor Three-Month Numeric Average -APGI shall calculate
a three-month rolling average of U.S, Drought Monitor
(http://www.drought.uni.edu/dm/monitor.htmi.) values by (a) assigning a
numeric value equal to the highest U.S. Drought Monitor designation (e.g.
DO=O, D1=1, D2=2, D3=3 and D4=4) for any part of the Yadkin-Pee Dee River
Basin draining to Blewett Falls development as of the last day of that month;
and (b) calculating an arithmetic mean of that numeric value and numeric
values correspondingly assigned for the previous two months. A normal
condition in the basin, defined as the absence of a drought designation, shall
be assigned a numeric value of negative one (4).
6. Yadkin-Pee Dee River Basin Drought Management Advisory Group (YPD-
DMAG) - The YPD-DMAG shall consist of one representative from each of the
following organizations (to the extent that they are willing to participate):
Alcoa Power Generating Inc. (APGI), Progress Energy (PE), North Carolina
Department of Environmental Quality (NCDEQ), North Carolina Division of
Water Resources (Division) Basin Planning Branch, North Carolina Division of
Water Resources (Division) 401 & Buffer Permitting Unit, North Carolina
Wildlife Resources Commission (NCWRC), South Carolina Department of
Natural Resources (SCDNR), South Carolina Department of Health and
Environmental Control (SCDHEC), the United States Fish and Wildlife Service

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
lncliviclua6 Certification #4035
Page 29 of 33
&
TrIers Tv"Tr a
than one million gallons • water per day from the impoundments of either
the Yadkin Project (FERC Project 2197) or the Yadkin-Pee Dee Project (FERC
Project 2206).
b. Implementation Procedure
1. Table LIP-4 sets forth the combinations of conditions under which the LIP
shall be implemented. The determination of the applicable LIP Stage shall be
made using the High Rock Reservoir water elevation as of midnight between
the last day of the previous month and the first day of the current month in
combination with the U,S. Drought Monitor Three-Month Numeric Average
and the Stream Gage Three-Month Rolling Average Flow to determine the
need to declare or change a Stage of the LIP. The LIP shall be implemented
beginning at Stage 0 and, if the combination of conditions becomes more
severe, the Stages shall increase in one Stage increments.
Table LIP-4. Summary of LIP Triggers
US Drought
Stream Gage
High Rock
Monitor
Three-Month
Stage
Reservoir
Three-Month
Rolling Average as
Elevation
Numeric
a percent of the
Average
Historical Average
< NME minus
and either
Any
or
Any
0.5 ft
0
or
< NME
and either
> 0
or
< 48 %
< NME minus 1
and either
1
or
< 41 %
I
ft
< NME minus 2
and either
> 2
or
<35 %
2
ft
< NME minus 3
and either
3
or
<30 %
3
ft
<% of ( NME
and either
4
or
<30 %
minus Critical
4
Reservoir Water
Elevation)

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 30 of 33
2. The average daily flows set forth in Table LIP-5 shall be initiated no later than
seven days after the determination of the applicable LIP Stage and shall be in
effect for the balance of the month except as provided in the section titled
"Recovery from LIP Stages."
Table LIP-S. LIP Flows('), ds
High Rock Falls()
(daily average (daily average flow target)
Stage maximum flow target)
Feb I - May 16 - Jun 1- Jan Feb 1- May 16 - Jun 1- Jan
May 15 31 31 May 15 31 31
0 2000 1500 1000 2000 1500 1000
1 1450 1170 900 1450 1170 900
2 1080 950 830 1080 950 830
3 770 770 770 770 770 770
4 Additional measures may be determined by consensus of APGI and State
Agencies, subject to Division approval.
Developments shall be operated to achieve the target flows to the extent
practicable as a first priority and to supplement inflows equitably from the
storage reservoirs as a second priority. For LIP Stages 1, 2, 3 and 4, APGI
shall achieve the indicated average daily flows set forth in this table by
supplementing Project inflows by drawing proportionally from High Rock
and Narrows reservoirs such that the difference between the respective
drawdowns below NIVIE of High Rock and Narrows reservoirs shall be
approximately one foot.
c2 l For LIP Stages 0-3, the values shown in this table reflect flow targets. These
values cannot be met exactly as shown and shall likely vary slightly on a
real time basis from the values shown here, but it is expected that the
variances from the target flows shall be minimal.
3. APGI shall notify via email the NCDWR of LIP implementation or a change in
Stage as soon as practicable but no later than (i) three business days after a
Stage 0 determination; (ii) two business days after a Stage 1 or a Stage 2
determination; or (iii) 48 hours after a Stage 3 or Stage 4 determination.
4. APGI shall consult with the YPD-DMAG with respect to issues relating to or
arising out of implementation of the LIP, including, but not limited to, (i)
notification to the public of the possible effects of and/or continuance of
drought; (ii) issues relating to the effects of drought conditions on life,
health, property, wildlife, aquatic life; (iii) possible public health concerns;
and (iv) short and long term prospects for recovery from drought.
5. APGI shall develop and provide information on its website to inform the
public on reservoir water elevations, Project releases, usability of public
access areas, reservoir inflows, meteorological forecasts, Historic and Actual
Stream Gage Three-Month Rolling Average Flow calculations, U.S. Drought

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Page 31 of 33
Monitor Three-Month Numeric Average calculations, LIP status, YPD-DMAG
meeting summaries, and implementation of maintenance or emergency
operation plans.
c. Recovery from LIP Stage-,
1. Recovery from the LIP shall be triggered by the occurrence of any of the
three following conditions either separately or in combination:
Condition 1: All three triggering conditions associated with a lower
numbered LIP Stage, as described in Table LIP-4, are met.
OR
Condition 2: High Rock Reservoir water elevations return to at or
above the NME plus 2.5 ft.
OR
- Condition 3: High Rock Reservoir water elevations return to at or
above the NME for 2 consecutive weeks.
When any of these three conditions occurs, the APGI shall take the following
actions as indicated by the particular condition:
- Condition 1: The LIP recovery shall be a stage-by-stage reversal of the
staged approach described in Table LIP-4 above, beginning at the first
day of each month.
- Condition 2: Implementation of the LIP shall be immediately
discontinued,
- Condition 3: Implementation of the LIP shall be immediately
discontinued.
3. APGI shall notify the NCDWR via email within 3 business days following
attainment of any of the conditions necessary to return to a lower stage of
the LIP.
d. Updating the LIP
During the term of the New License, APGI shall consult with the YPD-DMAG at
least once every five (5) years to review and consider updating the LIP. The use
of the period of record 1974 through 2003 to calculate the Historic Stream Gage
Three-Month Rolling Average flows set forth in Table LIP-1 of this Article shall be
evaluated every five years during such review. On the basis of such consultation,
review and consideration, APGI may propose modifications to this Article for the
Division's review and approval,
vi. Low Inflow Protocol (RSA Section 2.1.2)
Assuming the U.S. Geological Survey (USGS) has necessary rights for the License
term, APGI shall continue to provide 100% funding support during the License term
for the maintenance of the following USGS standard flow gages that are used in the
LIP to determine the Three-Month Rolling Average Flow:

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Individual Certification #4035
Abbotts Creek at Lexington (02121500)
Any substantial increase in funding support due to changes in these flow gages are
subject to review by APGI with DEQ. APGI may review and propose changes in the
contractor, location, or equipment associated with these gages. Any changes
proposed by APGI will require agreement of the Division.
vii. Article PO -5 — Hydro Project Maintenance and Emergency Protocol (RSA Section
3.1.5)
If conditions so warrant, APGI shall operate the Project in accordance with the Hydro
Project Maintenance and Emergency Protocol (HPMEP) included as Appendix B,
"Yadkin Project Hydro Project Maintenance and Emergency Protocol." The complete
text of the HPMEP is included by reference in this Certification (see T" below).
B. Water Quality
Total Maximum Daily Load Process (RSA Section 2.2.5)
APGI agrees to participate in the High Rock Total Maximum Daily Load (TMDL)
process for High Rock Reservoir initiated by the State of North Carolina in 2005.
APGI will contribute up to $50,000 in in-kind services for planned water quality
sampling efforts, upon notification that the Yadkin-Pee Dee River Basin Association
has received federal or state grants of at least $50,000, for which APGI's
contribution will be used as the required "matching funds".
If, during the term of the New License, other TMDL processes are required for the
Yadkin River or its tributaries, within the Project Boundary of the Yadkin Project,
APGI will participate in these processes.
C. Shoreline Management
i. Article SMP-1 - Shoreline Management Plan (RSA Section 3.4.1)
APGI shall file a revised Shoreline Management Plan (SMP) for the Project with FERC
within two years of the effective date of the New License, APGI shall revise the SMP
in consultation with state and federal resource agencies and other interested
parties. APGI shall provide the consulted parties with a 30-day period to review and
comment on a draft revised SMP. APGI shall include with its filing copies of all
comments received on the draft revised SMP and a discussion of those comments,
including whether APGI adopted the comments or the APG1's rationale for not
incorporating the comments in the final revised SMP.
Upon FERC approval, APGI shall implement the approved SMP, including any
changes required by FERC.

Yadkin Hydroelectric Project FERC P-2197
DWR# 12-0900
Inclividuail Certification #4035
Page 33 of 33
M • • . 11 1111111 1 11 IlIpIIIIIII I"
�111 21iiii 111111 1 111 li 1111 � 11��IIIII
Il I • 1 11 111� •
1 �21_ 40
1,. Incorporation of Appendix A and B by reference
The following Appendices are hereby incorporated • reference as conditions to this
Certification and are drawn verbatim from the Relicensing Settlement Agreement. In
few instances, "the Division" should be substituted for "FERC" • "Commission" in the
appendices — specifically in the sections that describe approval of LIP or HPMEP updat
or revisions, and approval of additional stages (level 4 and beyond) to the LIP, I
Hydroelectric Projects
This approval to proceed with your proposed impacts or to conduct impacts to waters as
depicted in your application shall expire upon expiration of the new FERC license and any
Annual Licenses issued after the expiration of the new License.
Non-compliance with or violation of the conditions herein set forth may result in revocation of
this Certification and may also result in criminal and/or civil penalties.
This the 23rd day of October 2015
DIVISION OF WATER RESOURCES
S. Jay Zimmerman, P.G.
Director, Division of Water Resources

ro
.
rti
.,, .w. ...
R f
& 19
Cecil P o,d F'e
ED
. $ i...._
0 "r"a kuv'uuruo'k
IRr;uu ni �'�d��c6 Fes
(Euroa,6Nrr„wemwd IReq umrod) V G O
& Bmk ade
R4;Sasuicted DeNv ally Fee
EV dor eNgtl7nt Re Stl' uP d)
Cl
$
$
10/23/2015
i"...... aye

NO Complete items 1, 2, and 3. Also coninlete
or on the front if space permits.
----------
1,, Article Addressed to;
1.1 Agent
........ . ...
..
0 Addrpssee
Rfjqq�il�vwd by (FIfint, Z.me) D. e'livery
px
Li
D. Is del ery addr ss different from ftern V 1:1 Yee,
if yr ES, enter defiveiy addiress below0 No
ch, V4,"I a vy,-1
j
3. OrvicaType
i -Certified MalP L3 Priority Mail Express'"
El "Registered 0 Return Receipt for Merchandise
11 Msured Mail 0 Collect on Delivery
f. Restricted Delivery? (Extra Fec) 0 Yes
2. Article Number
(Tkansfer frena service labe 7008 1300 0000 1124 1787
PS Form 3811, July 2013 Domestic Return Racelpt