NCG030211_COMPLETE FILE - HISTORICAL_20171119

STORMWATER DIVISION CODING SHEET
NCG PERMITS
PERMIT NO.
/V C�O30a
DOC TYPE
HISTORICAL FILE
❑ MONITORING REPORTS
DOC DATE
0 ,C;L b 1 1 I I I "I
YYYYMMDD

Division of Energy, Mineral, and Land Resources
r`#
Land Quality Section 1 Stormwater Program
7'National Pollutant Discharge Elimination System (NPDES)
Energy. Mineral & PERMIT OWNER AFFILIATION DESIGNATION FORM
land Resources
(Individual Legally Responsible for Permit)
Use this form if there has been:
FOR AGENCY US ONLY
Date Received
Year
Month
Da
NO CHANGE in facility ownership or facility name, but the individual
who is legally responsible for the permit has changed.
If the name of the facility has changed, or if the ownership of the facility has changed,
do NOT use this form. Instead, you must fill out a Name -Ownership Change Form
and submit the completed form with all required documentation.
What does "legally responsible individual" mean?
The person is either:
• the responsible corporate officer (for a corporation);
• the principle executive officer or ranking elected official (for a municipality, state, federal or other public
agency);
• the general partner or proprietor (for a partnership or sole proprietorship);
• or, the duly authorized representative of one of the above.
1) Enter the permit number for which this change in Legally Responsible Individual ("Owner Affiliation")
applies:
Individual Permit
N GCS
2) Facility Information:
Facility name:
`-`''
Company/Owner Organiz ' R '
VV
Facility address:14
.
(or) Certificate of Coverage
N C'G1 0 13 1 to 2 I l
&4ee.P: I 1 oP_ C �fyl rJ
104 x � cr �1 c.
IPt G H LA/ 2- � �s
Address
') sa-�
Cfty State Zip
To find the current legally responsible person associated with your permit, go to this website:
htt ://de .nc. ov/about/divisions/ener -mineral-land-resources/ener -mineral-land- ermits/stormwater- ro ram
and run the Permit Contact Summary Report.
3) OLD OWNER AFFILIATION that should be removed:
Previous legally responsible individual:
Firs MI Last
4) NEW OWNER AFFILIATION (legally responsible for the permit):
Person legally responsible for this permit:
Vr C, 8e _0011.6S _
First MI Last
S W U-OWNERAFF11,23 March2017
Page I of 2

NPDES Stormwater Permit OWNER AFFILATION DESIGNATION Form
(if no Facility Name/Ownership Change)
FA -C � i r Y Arrl e (-
Title
a s y N 6 //W Y �z o-s t
Mailing Address
C14 4 A) NG
City State Zip
( cl) 5 -'0- l?15- (3AItt;s_..y,',_4r.....
Telephone E-mail Address
c Cfrq ) ss-o --(I o
Fax Number
5) Reason for this change:
A result of: Employee or management change
Inappropriate or incorrect designation before
❑ Other
If other please explain;
The certification below must be completed and signed by the permit holder.
PERMITTEE CERTIFICATION:
1, �'.rvp_ .�I�t-l�l�____, attest that this application for this change in Owner Affiliation,
(person legally responsible for the permit) has been reviewed and is accurate and complete to the best of my
knowledge. I understand that if all required parts of this form are not completed, this change may not be
processe .
Signature Date
PLEASE SEND THE COMPLETED FORM TO:
Division of Energy, Mineral, and Land Resources
Stormwater Program
1612 Mail Service Center
Raleigh, North Carolina 27699-1612
For more information or staff contacts, please call [phone] or visit the website at:
http://deg.nc.Uv/about/divi sions/energy-mineral-land-resources/stormwat_er
Page 2 of 2
S W U-OWNFRAFFIIr23Mar2fl l7

Energy, Mineral &
Land Resources
ENVIRONMENTAL QUALITY
September 5, 2017.
Caterpillar Inc.
Attn: Van Ellis
954 NC 42 East
Clayton, NC 27520
Subject: COMPLIANCE EVALUATION INSPECTION
Caterpillar Inc.
Clayton Facility, Certificate of Coverage-NCG030211
NPDES Stormwater General Permit-NCG030000
Johnston County
Mr. Ellis:
ROY COOPER
Governor
MICHAEL S. REGAN
Secretary
TRACY DAVIS
Director
On August 31, 2017 a site inspection was conducted for the Caterpillar facility located at 954 NC 42 East
Facility, Johnston County, North Carolina. A copy of the Compliance Inspection Report is enclosed for
your review. The site visit and file review revealed that the subject facility is covered by NPDES
Stormwater General Permit-NCG030000, Certificate of Coverage-NCG030211. Permit coverage
authorizes the discharge of stormwater from the facility to receiving waters designated as the Neuse
River, a Class WS-IV NSW waterbody in the Neuse River Basin.
As a result of the inspection, the facility was found to be in compliance with the conditions of the
NCG030000 permit. Please refer to the enclosed Compliance Inspection Report for additional comments
and observations made during the inspection.
Please be advised that violations of the NPDES Stormwater General Permit are subject to a civil
penalty assessment of up to $25,000 per day for each violation. If you or your staff has any.
questions, comments, or needs assistance with understanding any aspect of your permit, please contact
me at [phone] or by e-mail at Thad. valentine ncdenr. ov.
Sincerely,
A
Thad Valentine
Senior Environmental Specialist
Enclosure
cc: RRO - Land Quality Section, Stormwater Files-NCG030211
-57"Not:hing Compares__
Statr of North Carolina I Environnaenral Qi afky I Energy. Mineral ,and Land Rcsources
all N.Salisbury' Srrt;et ; io12 �1ail Servicrfcnrer I Etalcigh, Nnrrh Carglin.7?7pR9 IG12
919707 9200

Compliance Inspection Report
Permit: NCG030211 Effective; 12/04/12 Expiration: 10/31/17 Owner: Caterpillar Inc
SOC: Effective: Expiration: Facility: Caterpillar Incorporated
County: Johnston 954 NC 42 E
Region: Raleigh
Clayton NC 27520
Contact Person: Don C Buckman Title: Phone: [phone]
Directions to Facility:
System Classifications:
Primary ORC:
Secondary ORC(s):
On -Site Representative(s):
Related Permits:
Inspection Date: 08/31/2017 Entry Time: 10:OOAM
Primary Inspector: Thaddeus W Valentine
Secondary Inspector(s);
Certification:
Phone:
Exit Time: 01:30PM
Phone:
Reason for Inspection: Routine Inspection Type: Compliance Evaluation
Permit Inspection Type: Metal Fabrication Stormwater Discharge COC
Facility Status: Compliant Not Compliant
Question Areas:
Storm Water
(See attachment summary)
Page: 1

Permit: NCG030211 Owner - Facility: Caterpillar Inc
Inspection Date: D813112017 Inspection Type : Compliance Evaluation Reason for Visit: Routine
Inspection Summary:
While inspecting the outfall areas the follow comments/recommendations
1. The outlet area for SDO-3 should be concentrated through a smaller rip rap and filter stone area with the metal absorbing
material utilized.
2. The curb and drop inlets that are affected by possible pollutants and that divert runoff to the outlets areas should have the
metal absorbing materials used and monitored for maintenance on a regular basis
3. Move the hot test activities that occur in the area located at the South end of the building down to the test pads on the
test track field or build a test pad in the area on the South end of the building to contain the grease drippings. Also, clean up
the grease that is there now.
4. Sample the dunnage dock outfall that drain s that area and the entire North end of the building for pollutants. If the sample
results come back with high levels of pollutants then add that outfall as an SDO
Secondary Containment comments/recommendations
The vessels in the haz mat tote area should be within secondary containment. Additionally the concrete joints should be
sealed.
Any areas with steel exposed to the weather with exccessive rust should be repainted or otherwise reconditioned to prevent
oxidized runoff to the storm system
Page: 2

J , f r
Permit: NCG030211 Owner - Facitity: Caterpillar Inc
Inspection Date: 08I3V2017 Inspection Type : Compliance Evaluation Reason for Visit:
Routine
Stormwater Pollution Prevention Plan
Yes No NA NE
Does the site have a Stormwater Pollution Prevention Plan?
0
❑ ❑ ❑
# Does the Plan include a General Location (USGS) map?
0
❑ ❑ ❑
# Does the Plan include a "Narrative Description of Practices"?
0
❑ ❑ ❑
# Does the Plan include a detailed site map including outfall locations and drainage areas?
0
❑ ❑ ❑
# Does the Plan include a list of significant spills occurring during the past 3 years?
0
❑ ❑ ❑
# Has the facility evaluated feasible alternatives to current practices?
0
❑ ❑ ❑
# Does the facility provide all necessary secondary containment?
N
❑ ❑ ❑
# Does the Plan include a BMP summary?
0
❑ ❑ ❑
# Does the Plan include a Spill Prevention and Response Plan (SPRP)?
0
❑ ❑ ❑
# Does the Plan include a Preventative Maintenance and Good Housekeeping Plan?
❑ ❑ ❑
# Does the facility provide and document Employee Training?
❑ ❑ ❑
# Does the Plan include a list of Responsible Party(s)?
0
❑ ❑ ❑
# Is the Plan reviewed and updated annually?
0
❑ ❑ ❑
# Does the Plan include a Stormwater Facility Inspection Program?
❑ ❑ ❑
Has the Stormwater Pollution Prevention Plan been implemented?
0
❑ ❑ ❑
Comment: A spill of approximately 1000 gallons from a oil water seperato_r_was recorded for 2015 and
Cleanup records were provided.
Qualitative Monitorina Yes No NA NE
Has the facility conducted its Qualitative Monitoring semi-annually? 0 ❑ ❑ ❑
Comment: provided
Analytical Monitoring Yes No NA NE
Has the facility conducted its Analytical monitoring? 0 ❑ ❑ ❑
# Has the facility conducted its Analytical monitoring from Vehicle Maintenance areas? 0 ❑ ❑ ❑
Comment: The facility is in Tier 3 due „to high levels of Copper, Zinc.
Permit and Outfalls Yes No NA NE
# Is a copy of the Permit and the Certificate of Coverage available at the site? 0 ❑ ❑ ❑
# Were all outfails observed during the inspection? ■ ❑ ❑ ❑
# If the facility has representative outfall status, is it properly documented by the Division? ❑ ❑ 0 ❑
# Has the facility evaluated all illicit (non stormwater) discharges? ❑ ❑ ❑
Comment: Provided and inspected
Page: 3

NEWEN
North Carolina Department of Environment and Natural Resources
Pat McCrory
Governor
April 24, 2014
w,
Mr. Van Ellis
Caterpillar Incorporated
P. 0. Box 999
Clayton, NC 27520
Subject: Caterpillar Incorporated
NPDES STORMWATER PERMIT NCG030211
Johnston County
Dear Mr Ellis:
John E. Skvada, III
Secretary
On April 16, 2014, Dave Parnell, of the Raleigh Regional Office of the North Carolina Division
of Energy, Mineral and Land Resources (DEMLR), conducted a compliance evaluation
inspection (CEI) at the above referenced facility. The site lies in the watershed of an unnamed
tributary (UT) to the Neuse River, Class IV, NSW waters, in Clayton, North Carolina.
The following observations were noted during the NCGO3O211 DEMLR inspection:
This facility is a construction equipment manufacturing facility, which receives parts and
produces
Caterpillar equipment. Testing of the products takes place on this site and on an adjacent site,
resulting in land disturbance. Thank you for your assistance and the assistance of Mr. Ryan
Smith of Atlantic Environmental, during the inspection, it was appreciated. The inspection .
began in your office, where a thorough review of the Stormwater Pollution Prevention Plan;
and, the qualitative and analytical monitoring results were conducted. The Stormwater
Division of Energy, Mineral, and Land Resources
Energy Section - Geological Survey Section - Land Quality Section
1612 Mail Service Center, Raleigh, North Carolina 27699-1612.919-707-92001 FAX: [phone]
512 North Salisbury Street, Raleigh, North Carolina 27604 - Internet: http:Ilgortal,ncdenr.orplweb/Ir/
An Equal Opportunity 1 Affirmative Action' Employer — 50% Recycled 110% Post Consumer Paper

Pollution Prevention Plan is being followed and updated as required. During the review, it
was discovered that analytical monitoring had not included sampling for copper, lead and
zinc, as required by your current stormwater permit. Mr. Smith pointed out that the current
2014 sample period, had included the metals, although the results not been received.
Following the monitoring review, the Stormwater Discharge Outfalls (SDO) were visited.
There are two SDO currently being sampled and monitored. As discussed, the current SDO are
being sampled within the banks of a flowing stream. As Mr. Parnell pointed out, the
stormwater from the facility's production area is being greatly diluted by the stream flow. In
addition, you are sampling waters affected by upstream discharges beyond your control. Mr.
Smith, Mr. Parnell and you, then, discussed alternatives to the in -stream sampling, which
would better represent the production area runoff of your facility. Mr. Parnell suggested that
you bring in your consultant to determine these 3-4 stormwater discharge outfalls. These
locations may better represent the runoff from all production, testing and equipment storage
areas. As discussed during the inspection, you and Mr. Smith were carrying out the NPDES
stormwater program, but the above adjustments are needed. As the sample results, which
now include the required metals; as well as, the determination of revised SDO are received;
please inform Mr. Parnell of this information as soon as possible.
Should you have questions regarding these matters, please contact Dave Parnell at (919) 791-
4200 or [e-mail].
Sincerely,
Joh L. Holley, Jr., P , CPESC
Tonal Engineer
Raleigh Regional Office
cc: Stormwater Permitting Program Files - with attachment
, DEMLR Raleigh Regional Office Files - with attachment

Compliance Inspection Report
Permit: NCG030211 Effective: 12/04/12 Expiration: 10/31/17 Owner: Caterpillar Inc
SOC: Effective: Expiration: Facility: Caterpillar Incorporated
County: Johnston 954 NC 42 E
Region: Raleigh
Clayton NC 27520
Contact Person: Don C Buckman Title: Phone: [phone]
Directions to Facility:
System Classifications:
Primary ORC: Certification: Phone:
Secondary ORC(s):
On -Site Representative(s):
Related Permits:
Inspection Date: 04/16/2014 Entry Time: 01:30 PM Exit Time: 03:30 PM
Primary Inspector: David R Parnell Phone: [phone]
Secondary Inspector(s):
Reason for Inspection: Routine Inspection Type: Compliance Evaluation
Permit Inspection Type: Metal Fabrication Stormwater Discharge COC
Facility Status: ■ Compliant ❑ Not Compliant
Question Areas:
■ Storm Water
(See attachment summary)
Page: 1

Permit: NCG030211 Owner - Facility: Caterpillar Inc
Inspection pate: 04/16/2014 Inspection Type: Compliance Evaluation Reason for Visit: Routine
Inspection Summary:
Page: 2

'r '
Permit: NCG030211 Owner - Facility: Caterpillar Inc
Inspection Date: 04/16/2014 Inspection Type: Compliance Evaluation Reason for Visit:
Routine
Stormwater Pollution Prevention Plan
Yes No
NA NE
Does the site have a Stormwater Pollution Prevention Plan?
■ ❑
❑ ❑
# Does the Plan include a General Location (USGS) map?
❑ ■
❑ ❑
# Does the Plan include a "Narrative Description of Practices"?
■ ❑
❑ ❑
# Does the Plan include a detailed site map Including outfall locations and drainage areas?
■ ❑
❑ ❑
# Does the Plan include a list of significant spills occurring during the past 3 years?
■ ❑
❑ ❑
# Has the facility evaluated feasible alternatives to current practices?
■ ❑
❑ ❑
# Does the facility provide all necessary secondary containment?
■ ❑
❑ ❑
# Does the Plan include a BMP summary?
■ ❑
❑ ❑
# Does the Plan include a Split Prevention and Response Plan (SPRP)?
■ ❑
❑ ❑
# Does the Plan include a Preventative Maintenance and Good Housekeeping Plan?
E. ❑
❑ ❑
# Does the facility provide and document Employee Training?
■ ❑
❑ Cl
# Does the Plan include a list of Responsible Party(s)?
■ ❑
❑ ❑
# Is the Plan reviewed and updated annually?
■ ❑
❑ ❑
# Does the Plan include a Stormwater Facility Inspection Program?
■ ❑
❑ ❑
Has the Stormwater Pollution Prevention Plan been implemented?
0.0
❑ ❑
Comment: Van Ellis will obtain and place within the SPP a USGS Topo Map showing
the site location and it's environs.
Qualitative Monitoring
Yes No
NA NE
Has the facility conducted its Qualitative Monitoring semi-annually?
■ ❑
❑ ❑
Comment:
Analytical Monitoring
Yes No
NA NE
Has the facility conducted its Analytical monitoring?
■ � ❑
❑ ❑
# Has the facility conducted its Analytical monitoring from Vehicle Maintenance areas?
❑ ❑
■ ❑
Comment: The most recent analytical monitoring was conducted on 4-15-14. Up until
that date Lead, Copper and Zinc were not being test for as required by the permit.
Ryan Smith had seen it in permit and had done the required sampling on 4-15. They
will forward the results to me when they receive them.
Permit and Outfalls Yes No NA NE
# Is a copy of the Permit and the Certificate of Coverage available at the site? 0.000
# Were all outfalis observed during the inspection? ■ ❑ ❑ ❑
# If the facility has representative outfall status, is it properly documented by the Division? 0,000
Page: 3

Permit: NCG030211 Owner - Facility: Caterpillar Inc
Inspection Date: 04/1612014 Inspection Type: Compliance Evaluation
# Has the facility evaluated all illicit (non stormwater) discharges?
Reason for Visit: Routine
Comment: Sampling is being conducted in the course of the stream at two locations.
Parnell discussed with Mr. Ellis and Mr. Smith that this was not appropriate as SDO.
We evaluated other locations for sampling. There were possibly 2-3 sample points in
the production area and another in the front of the site where equipment is being
parked. Parnell left this determination to the facility and suggested a consultant be
retained to help with determinations.
Page; 4

STATE OF NORTH CAROLINA
Department of Environment and Natural Resources
Raleigh Regional Office
FILE ACCESS RECORD
SECTION / L� DATE/TIME
NAME 1„ G Ups REPRESENTING
Guidelines for Access: The staff of the _Raleigh Regional Office is dedicated to making public
records in our custody readily available to the public for review and copying. We also have the
responsibility to the public to safeguard these records and to carry out our day-to-day program
obligations. Please read carefully the following before signing the form.
1. Due to the large public demand for file access, we request that you call at least a day in
advance to schedule an appointment for file review so you can be accommodated.
Appointments are scheduled between 9:00 a.m. and 3:00 p.m. Monday —Thursday. Viewing
time ends at 4:00 p.m. Anyone arriving without an appointment may view the files to the
extent that time and staff supervision are available.
2. You must specify files you want to review by facility name or incident numbers as appropriate.
The number of files that you may review at one appointment will be limited to five.
3. You may make copies of a file when the copier is not in use by the staff and if time permits.
Cost per copy is 2.5_cents for ALL copies if making more than 25 copies - there is no charge if
less than 25 copies are made. Payment is to be made by check, money order, or cash in the
administrative offices.
4. FILES MUST BE KEPT IN THE ORDER YOU RECEIVED THEM. Files may not be taken
from the office. No briefcases, large totes, etc. are permitted in the file review area. To
remove, alter, deface, mutilate, or destroy material in one of these files is a misdemeanor for
which you can be fined up to $500.00.
5. In accordance with General Statute 25-3-512, a $25.00 processing fee will be charged and
collected for checks on which payment has been refused.
6. The customer must present a photo ID, sign -in, and receive a visitor sticker prior to reviewing
files.
FACILITY NAME
COUNTY
1. fexo _-Q� C' &X6-; '-) / 0 _S q 4
1
2. OLD OD rJC4 ,!�b q"
c er
3. mq r i n rn-P_j e4 f,�-d aK
4. Z'jOD 0"..' LC Ci 160 O S Cb
5. ' l 1 �,- . '1 C 63t> c� 4
c. S+CV-,
zz 6'L
9;,0 /,30
$ gnature and Name of Firm/Business Date
Time In Time Out
Please attach a business card to this form if available

Michael F. Easley, Governor
William G. Ross Jr., Secretary
North Carolina Department of Environment and Natural Resources
Alan W. Klimek, P.E., Director
Division of Water Quality
August 23, 2002
DAVID J LATHEY
CATERPILLAR INCORPORATED
PO BOX 999
CLAYTON, NC 27520
Subject: NPDES Stormwater Permit Renewal
CATERPILLAR INCORPORATED
COC Number NCG03021 1
Johnston County
Dear Permittee:
In response to your renewal application for continued coverage under general permit NCG030000, the Division of
Water Quality (DWQ) is forwarding herewith the reissued stormwater general permit. This permit is reissued
pursuant to the requirements of North Carolina General Statute 143-215.1 and the Memorandum of Agreement
between the state of North Carolina and the U.S. Environmental Protection Agency, dated December 6, 1983.
The following information is included with your permit package:
* A new Certificate of Coverage
* A copy of General Stormwater Permit NCG030000
* A copy of the Analytical Monitoring Form (DMR)
* A copy of a Technical Bulletin for the general permit
Your coverage under this general permit is not transferable except after notice to DWQ. The Division may require
modification or revocation and reissuance of the Certificate of Coverage. This permit does not affect the legal
requirements to obtain other permits which may be required by DENR or relieve the permittee from responsibility
for compliance with any other applicable federal, state, or local law, rule, standard, ordinance, order, judgment, or
decree.
If you have any questions regarding this permit package please contact Mack Wiggins of the Central Office
Stormwater and General Permits Unit at [phone], ext. 542
Sincerely,
Bradley Bennett, Supervisor
Stormwater and General Permits Unit
cc: Central Files
Stormwater & General Permits Unit Files
Raleigh Regional Office
LTZIWA
NCDENR
N. C. Division of Water Quality 1617 Mail Service Center Raleigh, NC 27699.1617 [phone] Customer Service
1- 800.623-7748

State of North Carolina
Department of Environment
and Natural Resources
Division of Water Quality
Michael F. Easley, Governor
William G. Ross Jr., Secretary
Alan W. Klimek, P.E. Director
06/06/2002
CERTIFIED MAIL
RETURN RECEIPT REQUESTED
ATTN: DONALD R TOLLEY
"CATERPILLAR, INC."
PO BOX 999
CLAYTON, NC 27520
1W 1XA
400
NCDENR
NORTH CAROLINA DEPARTMENT OF
ENVIRONMENT AND NATURAL RESOURCES
Subject: NOTICE OF VIOLATION
FAILURE TO SUBMIT RENEWAL APPLICATION
"CATERPILLAR, INC."
NCG030000
COC NUMBER NCG030211
JOHNSTON COUNTY
Dear Permittee:
This letter is to inform you that, as of the date of this letter, the Division of Water Quality has not received a
renewal request for the subject permit certificate of coverage. This is a violation of NCGS § 143.215.1 (c)(1) which
states "All applications shall be filed with the commission at least 180 days in advance of the date on which it is
desired to commence the discharge of wastes or the date on which an existing permit expires, as the case may be".
Any permittee that has not requested renewal at least 180 days prior to expiration or permittee that does not have a
permit after the expiration and has not requested renewal at least 180 days prior to expiration, will be subjected to
enforcement procedures as provided in NCGS § 143-215.6 and 33 USC 1251 et. seq.
In order to prevent continued, escalated action, including the assessment of civil penalties you must submit a
completed permit coverage renewal application to the attention of the "Stormwater and General Permits Unit" at
the letterhead address within ten (10) days of your receipt of this letter (renewal application enclosed). If the
subject discharge has been terminated, please complete the enclosed rescission request form. Mailing instructions
are listed on the bottom of the form. You will be notified when the rescission process has been completed.
Thank you for your prompt attention to this situation. If you have any questions regarding this matter, please
contact Mack Wiggins of the central office Stormwater and General Permits Unit at 919-733-5083, ext. 542.
Sincerely,
for Alan W. Klimek, P.E.
Director, Division of Water Quality
cc: Stormwater and General Permits Unit Files
Central Files
Raleigh Regional Office
1617 Mail Service Center, Raleigh, North Carolina 27699-1617 Telephone [phone] FAX [phone]
An Equal Opportunity Affirmative Action Employer 50% recycled/ 10% post -consumer paper

Michael F. Easley, Governor
William G. Ross Jr., Secretary
North Carolina Department of Environment and Natural Resources
Gregory J. Thorpe, Ph.D.
Acting Director
Division of Water Quality
December 27, 2001
DONALD R TOLLEY
CATERPILLAR INCORPORATED
PO BOX 999
CLAYTON, NC 27520
Subject: NPDES Stormwater Permit Renewal
CATERPILLAR INCORPORATED
COC Number NCG03021 1
Johnston County
Dear Permitlee:
Your facility is currently covered for stormwater discharge under General Permit NCG030000. This permit expires
on August 31, 2002. The Division staff is currently in the process of rewriting this permit and is scheduled to have
the permit reissued by late summer of 2(X)2. Once the permit is reissued, your facility would be eligible for
continued coverage under the reissued permit.
In order to assure your continued coverage under the general permit, you must apply to the Division of Water
Quality (DWQ) for renewal of your permit coverage. To make this renewal process easier, we are informing you in
advance that your permit will be expiring. Enclosed you will find a General Permit Coverage Renewal
Application Form. The application must he completed and returned by March 4, 2002 in order to assure continued
coverage under the general permit.
Failure to request renewal within this time period may result in a civil assessment of at least $250.00. Larger
penalties may be assessed depending on the delinquency of the request. Discharge ol' stormwater from your facility
without coverage under a valid stormwater NPDES permit would constitute a violation of NCGS 143-215.1 and
could result in assessments of civil penalties of up to $10,000 per day.
Please note that recent federal legislation has extended the "no exposure exclusion" to all operators of industrial
facilities in any of the 1 I categories of "storm water discharges associated with industrial activity," (except
construction activities). If you feel your facility can certify a condition of "no exposure", i.e. the facilty industrial
materials and operations are not exposed to stormwater, you can apply for the no exposure exclusion. For additional
information contact the Central Office Stormwater Staff member listed below or check the Stormwater & General
Permits Unit Web Site at bttp:Hh2o.enr.statc.nc.us/su/stormwater.html
If the subject stormwater discharge to waters of the slate has been terminated, please complete the enclosed
Rescission Request Form. Mailing instructions arc listed on the bottom of the form. You will he notified when the
rescission process has been completed.
117 you have any questions regarding the permit renewal procedures please contact Joe Albiston of the Raleigh
Regional Office at 919-571-4700 or Bill Mills of the Central Office Stormwater Unit at [phone], exL 548
Sincerely,
Bradley Bennett, Supervisor
Stormwater and General Permits Unit
cc: Central Files
Raleigh Regional Office
���
NCDENR
N. C. Division of Water Quality 1617 Mail Service Center Raleigh, NC 27699-1617 [phone] Customer Service
1- 800.623.7748

.e
State of North Carolina
Department of Environment,
Health and Natural Resources
Division of Environmental Management
James B. Hunt, Jr., Governor
Jonathan B. Howes, Secretary
A. Preston Howard, Jr., P.E., Director
Donald R. Tolley
Caterpillar, Inc.
1000 Adams Street
Peoria, IL 61603
Dear Mr. Tolley:
Q�R
EDOEHNR
July 9, 1993 RECEIVED
I I I I 14 1995
DEHNR-RAL R4
Subject: General Permit No. NCG030000
Caterpillar, Inc.
COC NCG030211
Johnston County
In accordance with your application for discharge permit received on March 5, 1993, we are forwarding
herewith the subject certificate of coverage to discharge under the subject state - NPDES general permit. This
permit is issued pursuant to the requirements of North Carolina General Statute 143-215 .1 and the
Memorandum of Agreement between North Carolina and the US Environmental Protection agency dated
December 6, 1983.
If any parts, measurement frequencies or sampling requirements contained in this permit are
unacceptable to you, you have the right to request an individual permit by submitting an individual permit
application. Unless such demand is made, this certificate of coverage shall be final and binding.
Please take notice that this certificate of coverage is not transferable except after notice to the Division
of Environmental Management. The Division of Environmental Management may require modification or
revocation and reissuance of the certificate of coverage.
This permit does not affect the legal requirements to obtain other permits which may be required by the
Division of Environmental Management or permits required by the Division of Land Resources, Coastal Area
Management Act or any other Federal or Local governmental permit that may be required.
If you have any questions concerning this permit, please contact Mr. Steve Ulmer at telephone number 9191733-
5083.
cc:
Sincerely,
Original Signed By
Coleen H. Sullins
A. Preston Howard, Jr., P. E.
Raleigh Regional Office
P.O. Box 29535, Raleigh, North Carolina 27626-0535 Telephone [phone] FAX [phone]
An Equal Opportunity Affirmative Action Employer 50% recycled/ 10% post -consumer paper

STATE OF NORTH CAROLINA
DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES
DIVISION OF ENVIRONMENTAL MANAGEMENT
STORMWATER DISCHARGES
In compliance with the provision of North Carolina General Statute 143-215.1, other lawful standards and
regulations promulgated and adopted by the North Carolina Environmental Management Commission, and the
Federal Water Pollution Control Act, as amended,
Caterpillar, Inc.
is hereby authorized to discharge stormwater from a facility located at
Caterpillar, Inc.
2500 NC Hwy 42 East
Clayton
Johnston County
to receiving waters designated as an unnamed tributary to Neuse River in the Neuse River Basin
in accordance with the effluent limitations, monitoring requirements, and other conditions set forth in Parts I. II, III
and IV of General Permit No. NCG030000 as attached
This Certificate of Coverage shall become effective July 9, 1993.
This Certificate of Coverage shall remain in effect for the duration of the General Permit
Signed this day July 9 1993.
Original Signed By
Coleen H. Sullins
A. Preston Howard, Jr., P.E., Director
Division of Environmental Management
By Authority of the Environmental Management Commission

IF
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104/06/2010 13:29 19197330059 PERCS
.4 • INnrtn (_'rirolma Emergency .M.PnnpreMent - EM43 Rgoiling
PAGE 01/03
Page 1 of 3
North Carolina Emergency Management - EM43 Reporting
Print Retum To List
EM Level;
4
Taken by:
R Dail
Reported by:
Jerniey Riggle
County:
Johnston
Street Address:
954 NC Rwy 42 E
Type: Fla�Nat
Animal Disease Event Type:
Complaint Event Type:
FNF Event Type:
HazMat Event Type:
Oil. Petroleum Spill
Homeland Security Event:
Other Event Type:
Transportation Event Type:
Weather Event Type;
State Resource Request
NCEM Edited:
Yes
DateMme Reported:
04/06/201.0 13:03:45
Agency:
Caterpillar
City:
Clayton
Bomb Threat Event Type:
Fire Event Type:
FNF Class:
HazMat Class:
Petroleum
Non-FNF Event:
SAR Type;
Wastewater Event Type:
Weather Event Name:
Include in Report:
Yes
DateMme Occurred:
04/04/2010 07:00:45
Phone:
919-550-3003
Area:
7
Zip Code:
HazMat Mode:
Fixed. Facility
Non-FNF Event Type:
WMD Event Type:
�
Event Description;
Caterpillar reported approximately 300 gallons of combined motor and Hydraulic oil released from
an oil/water separator to the asphalt parking lot and a storm water drain due to equipment Failure.
The release was contained and didnot make it to any surface water. The company cleaned out the
storm drain and parking lot and dug up the contaminated soil, A consultant will dispose of
contaminated soil properly. No local agencies responded.
V
Filename:
Deaths: Injuries:
0 0
Responsible Party:
Caterpillar, 954 NC Hwy 42 .E, Clayton, NC
Point of Contact:
Jerrney Rigglc
Latitude;
Evacuation: Radius:
0 0
Responsible Party Phone:
919-550-3003
Point of Contact Phone:
919-550-3003
Longitude:
littps://www.acsparta.net/eoc7/board-zli�-,lrd.aspx7tableid=2.75,y-,TiFwid=1011&lal)el—r.M-4.., 4/6/2010

i
104/06/2010 13:29 19197330059 PERCS
'North Carolina Emergency Manapment - EM43 Reporting
PAGE 02/03
Page 2 of 3
00.000000 00.000000
RRT Request: RRT Approved: RRT Team RRT Mission
Number: Number:
l4 �_- L4
https://www.nesnarta.net/eoc7/boarri,!h,,:,,-ci.asnx7tableid=275,c,,,;ewid=t011&labcI=1'F M-4... 4/612010

h•404/0G/2010
13:29
19197330059 PERCS
North Carolina Emergency Maxinge yient - EM43 Repoa-ting
h
NOTIFICATIONS
LEMC:
SO:
PD:
LFD:
CHealth:
Sewer:
PWRK:
i
Other Local Agencies:
AG:
SHPISWP:
Advised
i
ENV MGMT:
WATER:
DRP:
Advised
CAP:
DOT;
Other State Agencies:
Notes:
I3I2 - A Byrd notified and he will contact local EM - rld
1316 - NC DENR 5 Lewis notified - rid
ATTACHMENTS
Filename:
Filename:
Filename:
Filename:
Filename:
Fllename:
Filename:
Filename:
Filename:
PAGE 03/63
Pap 3 of 3
htti)s://www.ncsi>arta,netleoc7lboardGllloard.asDx?tailei d=275&vi.ewid=1011 &Zabel=FM-4... 4/0/2010

Parnell, David
From: Jeremy Riggle [Riggle [e-mail]]
Sent: Thursday, April 08, 2010 5:45 PM
To: Parnell, David
Subject: Incident #: 201001349
Attachments: 2010-4-4_Releaselnformation_Final.pdf
Importance: High
Mr. Parnell,
1
Thank you for coming to review the release site. It was nice meeting you. I wish we could have met under different
circumstances. At your request. I have prepared the attached report for your review. The cleanup was completed
yesterday, April 7, 2010. Please let us know as soon as possible if enforcement will be involved in our case. If you
should have further questions, please do not hesitate to contact me at this email address or at the phone number below. I
appreciate your time.
Thank you,
Jeremy Riggle
919/550-3003
Clayton EHS
Building Construction Products

Parnell, David N CG-,03 O z i I
From:
Parnell, David
Sent:
Thursday, April 15, 2010 10:53 AM
To:
'Jeremy Riggle'
Subject:
RE: Incident* 201001349
Jeremy,
I received your report and have entered the context of your report into the Basinwide Information Management System
(BIMS). Please monitor the situation closely after the next rainfall event to make sure no oil is able to make it to the
waters. We would at that time reopen the case, but at this time the case is considered closed.
Thanks,
Dave Yarnell
Environmental Specialist
NCDENR- Raleigh Regional Office
Surface Water Protection
1628 Mail Service Center
Raleigh, NC 27699-1628
Office (919) 791-4,260
Fax [phone]
Please note my email address has changed to david. arnell a ncdenr. ov
E-mail correspondence to and from this address may be subject to the
North Carolina Public Records Law and may be disclosed to third parties.
From: Jeremy Riggle [mailto:[e-mail]]
Sent: Thursday, April 08, 2010 5:45 PM
To: Parnell, David
Subject: Incident #: 201001349
Importance: High
Mr. Parnell,
Thank you for coming to review the release site. It was nice meeting you. I wish we could have met under different
circumstances. At your request, I have prepared the attached report for your review. The cleanup was completed
yesterday, April 7, 2010. Please let us know as soon as possible if enforcement will be involved in our case. If you
should have further questions, please do not hesitate to contact me at this email address or at the phone number below. I
appreciate your time.
Thank you,
Jeremy Riggle
919/550-3003
Clayton EHS
Building Construction Products

Michael F. Easley, Governor
William G. Ross, Jr., Secretary
North Carolina Department of Environment and Natural Resources
Alan W. Klimek, P.E., Director
Division of WaterQuality
February 19, 2007
Barbara A. Gregoire
Environmental Health & Safety Manager
Caterpillar Inc.
P.O. Box 999
Clayton, North Carolina 27528
Subject: Compliance Evaluation Inspection
Caterpillar Incorporated, Clayton Facility
Stormwater Permit NCG030211
Johnston County
Dear Ms. Gregoire:
Mitch Hayes and Stephanie Brixey of this office performed the subject inspection January 11, 2007, The
assistance and cooperation of you, Mike Outlaw, and Ryan McCombs with this inspection was greatly
appreciated. Attached is a Basinwide Information Management System (BIMS) inspection checklist
summarizing the inspection. Below is a fist of and findings and recommendations developed from the
inspection:
The General Permit NCG030000 will expire August 31, 2007. You are required to submit a Notice of
Intent to be covered under the General Permit 180 days before permit expiration date. Forms and
documents can be found at the website http://h2o.enr.state.nc.us./su/Forms Documents.htm Please
ensure to submit results from analytical monitoring from stormwater discharges with the renewal
application. Analytical sampling is required during the first and last year of the permit term regardless
of the cut-off concentration conditions.
A Stormwater Pollution Prevention Plan was developed in 2002 and contains all permit requirements.
According to the site plan, there are two distinct outfalls. Outfall 001 receives drainage from the runoff
staging area, wheel loader staging area, parking lots, backhoe loader test track, visitor's center,
demonstration area, and the west portion of assembled vehicle staging area. Outfall 002 receives
drainage from the roof drainage, runoff from the North and East yards, the east portion of assembled
vehicle staging area, wheel loader test track, and discharge from the tank farm containment area.
Flow from Outfall 001 discharges into a small -unnamed tributary (UT) that flows into a small lake.
The UT appeared clear with no negative impact from the discharge. Flow from Outfall 002 flows into
a UT to the UT that discharge from the pond upstream at Outfall 001. The UT at the discharge point
appeared clear with no indication of negative impact from the discharge.
4, A Stormwater Management Plan is implemented and contains all minimum required parameters. This
includes a secondary containment schedule. A concrete secondary containment wall surround 6 above
ground storage tanks with an oil/water separator used as a Best Management Practice. Stormwater
North Carolina Division of Water Quality Raleigh Ru&nal Office Surface Water Protection Phone [phone] Customer Service
Internet �kww.ncwa1yrqualily.4rU 1628 Mail Service Center Raleigh, NC 27699-1628 FAX [phone].623,6748
An Equal OpporiunitylAiSrmative Action Employer — 50% Recycled170%a Post Consumer Paper On wrt InCarolina
Natura!!y

Caterpillar Inc. CEl
Page 2
contained in the secondary containment is visually observed prior to release.
5. There has been one significant spill of hazardous material during the past four years. This is
documented in DWQ BIMS database as Incident number 200603480. Approximately 100 gallons of
hydraulic oil was released while under pressure. Initial cleanup occurred immediately after the spill
due to well -trained staff of Caterpillar versed in cleanup procedures. Documentation of the spill is kept
on file.
6. The Caterpillar Clayton facility is not classified by the Water Pollution Control System Operator
Certification Commission (WPCSOCC) and therefore does not require an Operator in Responsible
Charge (ORC). Your facility contains an oil/water separator that discharges to a stormwater outfall.
This may require your facility to be classified as a Physical Chemical 1 (PC-1) that will require a
certified PC-1 ORC. In the event your facility is reclassified, please contact James Pugh in the
Technical Assistance and Certification Unit (TACU) at 919.733.0026, extension 341 for information
regarding requirements for a PC-1 ORC. For more further information on ORC requirements please
visit the TACU website at htip://h2o.enr.state.ne.us./tacu/index.htmi
7. Inspection of stormwater conveyances, hazardous waste stations, oil totes, kitchen grease trap occur
once a week. All records of visual field inspections are kept. Qualitative monitoring of Outfalls 001
and 002 are kept back to 2003. The 2006 monitoring was completed 05/18/2006 and 11/29/2006.
Employee training on proper spill response and cleanup procedures and preventative maintenance
activities occur once a month. Record of attendance and the type of training are documented.
Stephanie Brixey and I would like to thank you, Mike Outlaw, and Ryan McCombs with this inspection. If
you have any questions about the inspection or this letter, please contact me at 919.791.4261.
Sincerely,
.�4� l� I 6�
Mitch Hayes
7
Environmental Specialist
Cc: Permit Files
Central Files

Compliance Inspection Report
Permit: NCG030211 Effective: 09/01/02 Expiration: 08/31/07 Owner: Caterpillar Inc
SOC: Effective: Expiration: Facility: Caterpillar Incorporated
County: Johnston 954 NC 42 E
Region: Raleigh
Clayton NC 27520
Contact Person: David J Lathey Phone: [phone]
Directions to Facility:
Primary ORC:
Secondary ORC(s):
On -Site Representative(s):
On -site representative
24 hour contact name
Related Permits:
Barbara A Gregoire
Barbara A Gregoire
Certification:
Phone:
Phone: [phone]
Phone: [phone]
Inspection Date: 01111/2007 Entry Time: 01:00 PM Exit Time: 04:00 PM
Primary Inspector: Mitchell S Hayes Phone: [phone]
ry
Secondary Inspector(s): 1
Stephanie Brixey �}-R Phone:
Reason for Inspection: Routine Inspection Type: Compliance Evaluation
Permit Inspection Type: Metal Fabrication Stormwater Discharge COC
Facility Status: ■ Compliant ❑ Not Compliant
Question Areas:
E Storm Water
{See attachment summary}
Page: 1

Permit: NCG030211 Owner - Facility: Caterpillar Inc
Inspection date: 01/1112007 Inspection Type: Compliance Evaluation Reason for Visit: Routine
Inspection Summary:
The Stormwater Pollution Prevention Plan (SWPPP) was available during the inspection and is kept up to date. Training
of employees occurs once a month. The plan includes all required parameters, Qualitative Monitoring reports are kept
back to 2003. Analytical monitoring was performed during the first year of the permit. Metals and lead were below
quantitative levels. There is no on -site vehicle maintenance and therefore analytical monitoring requirement is not
required.
Outfall 001 discharges into a pond. There was no indication of negative impact from the discharge on the small Unnamed
Tributary (UT) to the pond, Water appeared clear with no sheen. Flow from Outfall drains into UT that flows into the LIT
from the pond at Outfall 001 discharge paint. Water in the small UT appeared clear with no indication of negative impact
from the discharge.
A concrete wall provides secondary containment for the Above Ground Storage Tanks. An oilfwater separator is installed
in the event of a spillage. Water in the secondary containment is analyzed before being discharged by the locked control
valve.
Page: 2

s
Permit: NCGO30211 Owner -Facility: Caterpillar Inc
Inspection Date: 01/1112007 Inspection Type: Compliance Evaluation Reason for Visit: Routine
Stormwater Pollution Prevention Plan
Yes No NA_NE
Does the site have a Stormwater Pollution Prevention Plan?
■ ❑ ❑ ❑
# Does the Plan include a General Location (USGS) map?
■ ❑ Cl ❑
# Does the Plan include a "Narrative Description of Practices"?
■ ❑ ❑ ❑
# Does the Plan include a detailed site map including outfall locations and drainage areas?
■ ❑ ❑ ❑
# Does the Plan include a list of significant spills occurring during the past 3 years?
■ ❑ ❑ ❑
# Has the facility evaluated feasible alternatives to current practices?
■ ❑ ❑ ❑
# Does the facility provide all necessary secondary containment?
■ ❑ ❑ ❑
# Does the Plan include a BMP summary?
■ ❑ ❑ ❑
# Does the Plan include a Spill Prevention and Response Plan (SPRP)?
■ ❑ ❑ ❑
# Does the Plan include a Preventative Maintenance and Good Housekeeping Plan?
■ ❑ ❑ ❑
# Does the facility provide and document Employee Training?
■ ❑ ❑ ❑
# Does the Plan include a list of Responsible Party(s)?
■ ❑ ❑ ❑
# Is the Plan reviewed and updated annually?
■ ❑ ❑ Cl
# Does the Plan include a Stormwater Facility Inspection Program?
■ ❑ ❑ ❑
Has the Stormwater Pollution Prevention Plan been implemented?
■ ❑ ❑ 11
Comment: Stormwater pollution prevention plan is up to date. Records of all permit
requirements are kept. Visual field inspection is performed once a week. Q
Qualitative Monitoring
Yes No NA NE
Has the facility conducted its Qualitative Monitoring semi-annually?
❑ Cl ❑ ❑
Comment: Qualitative monitoring records for Outfail 001 and Outfall 002 for
05118/2006, 11/29/2006, 06/28/2005 and 10/19/2005 were hand delivered to this office.
Records for 2003 were on file.
Analytical Monitoring Yes No NA NE
Has the facility conducted its Analytical monitoring? ■ ❑ ❑ ❑
# Has the facility conducted its Analytical monitoring from Vehicle Maintenance areas? ❑ ❑ ■ ❑
Comment: There is no vehicle maintenance performed on site. Analytical monitoring
was completed 07/05/2002. Metals and lead were below quantative levels.
Permit and Outfalls Yes No NA NE
# is a copy of the Permit and the Certificate of Coverage available at the site? ■ ❑ ❑ ❑
# Were all outfalls observed during the inspection? ■ Cl Cl ❑
# If the facility has representative outfall status, is it properly documented by the Division? Cl ❑ ■ ❑
Page: 3

Permit: NCG030211 Owner - Facility: Caterpillar tnc
Inspection Oats: 01/11/2007 Inspection Type: Compliance Evaluation Reason for Visit: Routine
# Has the facility evaluated all illicit (non stormwater) discharges?
Comment: There are two outfalis listed. Outfail 001 receives runoff from the waste
staging area, wheel loader staging area, parking lots, backhoe loader test track, visitors
center, demonstration area, and the west portion of assembled vehicle staging area.
Outfall 002 receives runoff from foot drainage, runoff from the North and East yards,
east portion of the assembled vehicle staging area, wheel loader test track, and
discharge from the secondary containment area of the tank farm.
Page: 4

rl
t,
WRERPILLAR 0
"� r cJ
Building Construction
Products Division
Caterpillar Inc.
i 11XV
(A,./
October 20, 2006 954 N.C. 42 East
P.O. Box 999
Chaytun, North Carolina 27520
NCDENR [phone]
Division of Water Quality
1601 Mail Service Center
Raleigh, NC � �
27699-1601
Incident number: 200603480
To Whom It May Concern:
r
On 10/17/06 at about 10:45 AM, a truck driver from Venezia Trucking Company arrived N� r
to deliver hydraulic oil to our tank farm. He mistakenly removed the safety latch from the
connection at the hose and pipe while it was under pressure, resulting in a spill.fi�
The hydraulic oil spill was estimated to be approximately 100 gallons and a portion of
that had run into our storm drain and ditch. Technicians on the scene placed the dike in
the drains and began placing asphalt oil dry. By 10:50AM, environmental technicians
arrived. Oil absorbent mats and multiple booms were quickly placed in the storm drain.
The spill was contained and no further oil was detected beyond the booms. There was
some pooling on the ground by the storm drain in an approximately 10 x 10 foot area. Oil
absorbent mats were used here also. The next morning, we used a backhoe to dig up the
earth in that area (about 1 inch deep). There were no signs of contamination or
discoloration in this soil.
Shamrock was notified at approximately 11:30AM and upon their arrival around 1:15PM,
they agreed that the oil had been contained and they placed larger booms in the storm
drain then assisted with clean-up. They will also haul away the wastes. The asphalt was
pressure washed and that was drained into our containment ring at the tank farm.
Shamrock evacuated that fluid and hauled it away as well.
I hope that this is the kind of information that you are seeking, but if you have any further
questions please feel free to contact me.
Regards,
Barbara Gregoire
EHS Associate
Caterpillar Inc.
P.O. Box 999
Clayton, NC, 27527
Phone: [phone]
II��(• � r ale 1; 1`5
1 nr� 2 2

CATERPILLAR'
Building Construction Products Division
Caterpillar Inc.
DO-089419-02
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4
Incident Detailsl Incident Details2 Agencies Material Categories
* Incident Type: Spill (Oil, Chem�cai;:non sewa
*Started Date/Time : 10/17/200fi 10:45 am .
* County : Johnston
Decimal DD:MM:SS
Delete
Events Related Incidents Action History
Incident Number : 200603496"'� _
Latitude: �— Position Accuracy: ---Select Value---
Longitude: Position Method: ---Select Value- —� �
Position Datum: ---Select Value--- FTC
Reporting Person: r Anonymous
First Name : 113arbara
Middle Name
Last Name: lGregoire
Address :
City
State/Zip :
Phone: �— Cell/Pager: (919520-5173
* Location of the Incident :Caterpillar on Route 42, Clayton
Address
City/State/Zip: —
Cause/Observation of the incident :
ruck disconnected hydraulic hose while still under
ressure, spilled about 100 gallons of hydraulic oil.
Action Taken :
Directions :
Comments/Findings :

Surface Water Impacted : r Yes C' No rUnknown
Waterbody : NEUSE RIVER - 27-(38.5)
Waterbody (Other)
Report Received By : F Herzberg, Barry.
Phone : (919)79 [-4200
Date/Time
Referred Via : Phone
Water Supply Wells within 1500ft : r- Yes (7No C:, Unknown
Groundwater Impacted: C. Yes r,- No 67�Unknown
�)=finishCancel
Conveyance : Storm Drain.
RO Contact : Hayes, Mitchell S.
Phone : [phone] µ
Date/Time
Referred Via : ---Select Value---

0
} , JAN 292007
L
DENR RALUGH REGIONAL OFFIGEj
Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
1923%
3zrPermit No.: N/Cor Certificate of Coverage No.: N/GG/ D I�IQi+�ff� I
Facility Name:
County: dQhr ►67br 1 Phone No.
Inspector.
Date of Inspection: me
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfall Description
Outfall No. _� Structure ipe, ditch etc.}
Receiving Stream:
Describe the industrial activities that occur within a utfall drainage area: L
Vk
W�f O�gdcxln 1� iCle 3 �� a"CA� �
2. Color
Describe the color of the discharge us' g basic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors: hah Clear -.--
3. Odor
Describe any distinct odors that the discharge h(i.e., smells strongly of oil, weak chlorine odor,
etc.) _ A&AE arge may --
4. CIarity
Choose the number which best describes the clarity of the discharge where 1 is clear and 10 is very
cloudy:
6) 2 3 4 5 6 7 8 9 10
Page t
SWU-242-020705

r 4
5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
lD 2 3 4 5 6 7 S 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy:
O2 3 4 5 6 7 S 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes No
S. OR Sheen
Is there an oil sheen in the stormwater discharge? Yes No
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes No
10. Erosion at Outrall
Ts there erosion at or immediately below the outfall? Yes
11. Other Obvious Indicators of
Stormwater Pollu{t}ioon� , ,,�f
List and describe a k4�M� C�65cj UCCJ _--_ - -- —
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
SWU-242-020705
Page 2

Stormwater Discharge Outfail (SD®)
Qualitative Monitoring Report
z/ /
Permit No.: NII�I Fr/0/3 IJ�IQ/ or Certificate of Coverage No.:
Facility Nave:
County: a5j6n I Phone No. _ 9/-
Date of Inspection: 5 • / 8 • Zotoe',
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfatl Description
Outfall No. Z Strut (p
Receiving Shun- — 7
Describe the industrial activities that 4
0
2. Color
Describe the color of the
dark) as descriptors: ____
3. Odor
Describe any i
etc.)
4. CIarity
e, ditch,Letc.)
within thi
chi]*.
ds ids.
ing basic colors (red, brown, blue, etc.) and tint (light, medium,
the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
Choose the number which best describes the clarity of the discharge where 1 is clear and 10 is very
cloudy:
0 2 3 4 5 6 7 S 9 10
Page 1
5WU-242-020705
Apt

S. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
0 2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy:
6) 2 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes No
8. OR Sheen
Is there an oil sheen in the stormwater discharge? Yes
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes No
10. Erosion at Outfall
Is there erosion at or immediately below the outfall? Yes
M Other Obvious Indicators of Stormwater Pollution
List and describe / O Indl S
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action -
Page 2
Swu-242-020705

Stormwater Discharge Outfall (SD®)
Qualitative Monitoring Report
z/j
Permit No.: NVG1Q c31D 10I01 J or Certificate of Coverage Na.: N/C/C�IOIJgI�i11P1/1Tll
Facility N
County: Phone No. /
Inspector. __
Date of Inspection: %�9r-27&
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfall Description
Outfail No. Stracture ipe, ditc etc.)
Receiving Stream:
Describe the industrial activities that occur within dde putfall drainage area:
Z. Color
Describe the color of the discharge usm' basic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors:
3. Odor
Describe any disti70AIr
ors that the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
etc.)
4. Charity
Choose the number which best describes the clarity of the discharge where 1 is clear and 10 is very
cloudy:a
2 3 4 5 6 7 8 9 10
Page
S WU-242-020705

5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
I is no solids and 10 is the surface covered with floating solids:
G2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best descnl= the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy-
0 2 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes T�o
8. OR Sheen
Is there an oil sheen in the stormwater discharge? Yes
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes f No J
10. Erosion at Outfall �J
Is there erosion at or immediately below the outfall? Yes
11. Other Obvious Indicators of Stormw_atte,er�Pollution�]�/�,c�
List and describe _Ak
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion maybe
indicative of conditions that warrant further investigation and corrective action.
Page 2
SWU-242-020705

�r SfJAT �O
� rt
Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
Permit No.: �1/Gl_rl/0I,3 �10/Ql0 or Certificate of Coverage No.:IC1IG/Ql1
FacilityNa e• .
County: Phone No. % -
Inspector.
Date of Inspection:
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Out[all Description
Outlhll No. Struciu (p
Receiving Stream: IlfWm
Describe the industrial activities that i
fm TE07z Ibrm Ammdw
2. Color
Describe the color of the discharge
dark) as descriptors:
drainage am.,
basic colors (red, brown, blue, etc.) and tint (light, medium,
°nj-- -- -
3. Odor
Describe any distinct o ,rsstthgtsbe discharge may have (i.e., smells strongly of oil, weak chlorine odor,
etc-) -- �f115L
4. Clarity
Choose the number which best describes the clarity of the discharge where 1 is clear and 10 is very
cloudy:
1 0 3 4 5 6 7 8 9 10
Page I
SWU-242-020705
ANI

I ,.
5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
0 2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy:
1 0 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes o
S. On Sheen
Is there an oil sheen in the stormwater discharge? Yes No
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes Na
10. Erosion at Outfall
Is there erosion at or immediately below the outfali? Yes /No J
11. Other Obvious Indicators of Stormwater Pollution
List and describe dO- I d Mi= 0.�$pzwal
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
SWU-242-020705
Page 2

Of % l
Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
1 1
Permit No.: NIC1610131010DI CY or Certificate of Coverage No.: NIC/Gl-01�l Q f�l l
Facility Name: 'LAC.
County: Cj Phone No. f
Inspector. t
Date of Inspection:
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfall Description
Outfall No. y Structure (pi e, ditch, etc.)
Receiving Stream
Describe the industrial activities that occur within the tfall drainage area: ; -
Lj / fr�o�lr'_Y,_ q- ,sx�q.1 ea, nt ki, ( >rt, t - Pr--h-nck a r-,Lei, 14
2. Color
Describe the color of the discharge using basic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors: _ _ j h •�f'?�TyY? ! �9�'T — - - ---
3. Odor
Describe any distinctod rs,that the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
etc.)
4. Clarity
Choose the number which best describes the clarity of the discharge where l is clear and 10 is very
cloudy:
1 (�D 3 4 5 b 7 8 9 10
SWU-242-02070S
Page 1
JI

A.
5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
e2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy-
1 �2 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes (co
8. Oil Sheen
Is there an oil sheen in the stormwater discharge? Yes 0
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes
10. Erosion at Outfall
Is there erosion at or immediately below the outfall? Yes 6
11. Other Obvious Indicators offS��to��r//mwater Pollution
List and describe /JID �C.! i C'a)6-n `] e'd
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
SWU-242-020705
Page 2

17
_ -i
Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
ZI/
Permit No.: I(}I—/Q/Q' or Certificate of Coverage No.: N& GIOI,�,UI /�l l
FacilityName: i � I
County: Phone No.
Inspector:
Date of Inspection:
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfall Description
Outfall No. Structure (pipe, ditch, etc.)
Receiving Stream:
Describe the industrial activities that occur within the o all drains a area: r
of 1 ; 1
C>< ot& 7 [Li"M Vim-lo F'lo-,av- Cli _
2. Color
Describe the color of the discharge using basic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors: -A
3. Odor
Describe any disti
etc.) t�
4. Clarity
rs that the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
Choose the number which best describes the clarity of the discharge where i is clear and 10 is very
cloudy:
l 3 4 5 6 7 8 9 10
Page i
SWU-242-020705
�66ck I

5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where 1 is no solids and 10 is extremely muddy:
1 Q 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes
8. Oil Sheen
Is there an oil sheen in the stormwater discharge? Yes
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes
10. Erosion at Outfall
Is there erosion at or immediately below the outfall? Yes Ta
t 1. Other Obvious Indicators of Stormwater Pollution
List and describe
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
Page 2
5WU-242-020705

A TAR
r
Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
Z//
Permit No.: N/,C/ 6/6/3/d /O/or Certificate of Coverage No.: Lei
Facility Nam
. County: Phone No. /
Inspector: Lior3el
Date of Inspection: / O • 19. 2=5
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
i. Outfall Description
Outfall No. -- 1-- Structure (pipe, ditch etc.)
Receiving Stream:
Describe the industrial activities that occur within Ae outfall drainage area: �•
,.
tll? QIYCZ, MiC'b'% OF48tx/n i �' i ck s{cu�i"a
2. Color ./
Describe the color of the discharge using b sic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors: Ply
3. Odor
Describe any distinct odors that the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
etc.) 11lOC1L:.._ _
4. Clarity
Choose the number which best describes the clarity of the discharge where 1 is clear and 10 is very
cloudy:
(9 2 3 4 5 6 7 8 9 10
Page l
SwU-242-020705

5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
I is no solids and 10 is the surface covered with floating solids-
0 2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where I is no solids and 10 is extremely muddy:
(D 2 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes
S. Oil Sheen
Is there an oil sheen in the stormwater discharge? Yes �T
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes ] i
10. Erosion at Outfall
Is there erosion at or immediately below the outfall? Yes 0
1.1. Other Obvious Indicators of Stormwater Pollution
List and describe Z4404.'
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
Page 2
SWU-242-020705

Stormwater Discharge Outfall (SDO)
Qualitative Monitoring Report
Permit
Facility
County:
lnspectc
Date of Inspection: In • / 9. 2006
ZI t
No.: N/Cl (5IQ1.3/0/D/QQ/ or Certificate of Coverage No.: NIC/GIQI �1 i
By this signature, I certify that this report is accurate and complete to the best of my knowledge:
(Signature of Permittee or Designee)
1. Outfall Description
Outfall No. 2 _ _ Structure (pipe, ditch, etc.)
Receiving Stream: abanxd --A
Aa� A'e AI&W
Describe the industrial activities that occur within th outfall drainage area: f kE
IIWM (andi2i( wnF'dr io5.
2. Color
Describe the color of the discharge using basic colors (red, brown, blue, etc.) and tint (light, medium,
dark) as descriptors: !V4fflA1--
3. Odor
Describe any distinct odors that the discharge may have (i.e., smells strongly of oil, weak chlorine odor,
etc.) h�0
4. Clarity
Choose the number which best describes the clarity of the discharge where l is clear and 10 is very
cloudy:
6 2 3 4 5 6 7 8 4 to
Page I
SW-242-020705

5. Floating Solids
Choose the number which best describes the amount of floating solids in the stormwater discharge where
1 is no solids and 10 is the surface covered with floating solids:
01 2 3 4 5 6 7 8 9 10
6. Suspended Solids
Choose the number which best describes the amount of suspended solids in the stormwater discharge
where I is no solids and 10 is extremely muddy:
1� 2 3 4 5 6 7 8 9 10
7. Foam
Is there any foam in the stormwater discharge? Yes io
S. Oil Sheen
Is there an oil sheen in the stormwater discharge? Yes ltTo )
9. Deposition at Outfall
Is there deposition of material (sediment, etc.) at or immediately below the outfall? Yes No
10. Erosion at Outfall
Is there erosion at or immediately below the outfall? Yes [No)
11. Other Obvious Indicators of Stormwaterr PPo__llu--tion
List and describe -Ak Ak2knh-exryn/ _
Note: Low clarity, high solids, and/or the presence of foam, oil sheen, deposition or erosion may be
indicative of conditions that warrant further investigation and corrective action.
Page 2
SWU-242-020705

North Carolina
Beverly Eaves Perdue
Governor
Judy Crandell
Caterpillar Inc
PO Box 999
Clayton, NC 27520
Dear Permittee:
NCDEE R
Department of Environment and Natural Resources
Division of Water Quality
Charles Wakild, P. E.
Director
December 4, 2012
Dee Freeman
Secretary
Subject: NPDES Stormwater Permit Coverage Renewal
Caterpillar Incorporated
COC Number NCG030211
Johnston County
In response to your renewal application for continued coverage under stormwater General Permit NCG030000
the Division of Water Quality (DWQ) is forwarding herewith the reissued General Permit. This permit is
reissued pursuant to the requirements of North Carolina General Statute 143-215.1 and the Memorandum of
Agreement between the state of North Carolina and the U.S. Environmental Protection Agency, dated October
15, 2007 (or as subsequently amended).
The following information is included with your permit package:
• A new Certificate of Coverage (COC)
• A copy of General Permit NCG030000
• A copy of the Technical Bulletin for the General Permit
• Two copies of the Discharge Monitoring Report (DMR) Form
• Two copies of the Qualitative Monitoring Report Form
The General Permit authorizes discharges of stormwater, and it specifies your obligations for discharge
controls, management, monitoring, and record keeping. Please review the new permit to familiarize yourself
with all the changes in the reissued permit. Your facility has six (6) months from the time of receipt of the
permit to update your current SPPP to reflect all new permit requirements.
The first sample period of your permit begins January i, 2013. Your facility must sample a "measureable
storm event" beginning during the periods beginning January 1 and July 1 of every year (or, if applicable,
report "No Flow," as outlined in Part III, Section E). Also, please note that Tier 3 Actions in Part II of your
permit are triggered by benchmark exceedances on four occasions beginning on the effective date of this
permit and do not count prior exceedances.
The more significant changes in the General Permit since your last COC was issued are noted either in the
Draft Permit Fact Sheet that accompanied the public notice (http://portal.ncdenr.org/weblwq/ws/su/current-
notices), or in the Response to Comments / Summary of Changes and Technical Bulletin documents that are
posted on the Stormwater Permitting Unit's website with the new General Permit. Please visit
hitp..ILportal.ncdenr.org/web/wq/ws/su/­­npdess (click on 'General Permits' tab) to review that information
for your specific General Permit carefully.
1617 Mail Service Center, Raiei h, North Carolina 27699-1617
Location: 512 N. Salisbury St. Raiegh, North Carolina 27604
Phone: [phone] I AX: 919-807-6492
Intemet: www.ncwateMq;k fi .o
r n Egi•J Opporlunily 1 Ah .,Btii a Ack a Employer
No thCai-olina
Aatura!!tl

Judy Crandell
December 4, 2012 t
Page 2 of 2
Some of the changes include:
Part It:
• Section A: The Stormwater Pollution Prevention Plan (SPPP) section, if applicable, has been updated
to the most current language of our permits. Additional conditions for specific industry sectors have
been added to the SPPP requirements in some cases.
• Sections B, C: Failure to perform analytical stormwater monitoring may result in the Division requiring
that the permittee begin a monthly sampling scheme.
• Sections B, C: A lower TSS benchmark of 50 mg/I for HQW, ORW, PNA and Tr Waters applies to these
more sensitive waters.
• Sections 8, C: The monitoring parameter Oil & Grease (O&G) has been replaced by the parameter
Total Petroleum Hydrocarbons (TPH) for vehicle maintenance areas, and in some cases, other
analytical monitoring requirements.
• Sections 8, C, D: Inability to sample due to adverse weather must be recorded in the SPPP, or in
separate on -site records if your General Permit does not require an SPPP. Adverse weather is defined
in the "Definitions" section of the permit.
• Sections B, C: The term "Representative Storm Event" has been replaced by "Measurable Storm
Event." A measurable storm event is defined in the permit.
• Section D: If the permittee fails to respond effectively to problems identified by qualitative
monitoring, DWQ may require the permittee to perform corrective action.
Please review Parts III and IV to understand the Standard Conditions of your new NPDES General Permit,
including Compliance and Liability, Reporting, Monitoring and Records requirements; Operation and
Maintenance obligations; and Definitions. Please note that all samples analyzed in accordance with the terms
of this permit must be submitted to the Division on Discharge Monitoring Report (DMR) forms available on
the Stormwater Permitting Unit's website above. DMR forms must be delivered to the Division no later than
30 days from the date the facility receives the sampling results from the laboratory. Also note that existing
permittees do not need to submit a renewal request prior to expiration unless directed by the Division.
Your coverage under the General Permit is transferable only through the specific action of DWQ. This permit
does not affect the legal requirements to obtain other permits which may be required by DENR, nor does it
relieve the permittee from responsibility for compliance with any other applicable federal, state, or local law,
rule, standard, ordinance, order, judgment, or decree, if you have any questions regarding this permit
package, please contact the Division's Stormwater Permitting Unit at [phone].
Sincerely,
for Charles Wakild, P.E.
cc: DWQ Central Files
Stormwater Permitting Unit Files
Raleigh Regional Office

STATE OF NORTH CAROLINA
DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES
DIVISION OF WATER QUALITY
GENERAL PERMIT NO. NCG030000
CERTIFICATE OF COVERAGE No. NCG030211
STORMWATER
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
In compliance with the provision of North Carolina General Statute 143-215.1, other lawful
standards and regulations promulgated and adopted by the North Carolina Environmental
Management Commission, and the Federal Water Pollution Control Act, as amended,
Caterpillar Inc
is hereby authorized to discharge stormwater from a facility located at:
Caterpillar Incorporated
954 NC 42 E
Clayton
Johnston County
to receiving waters designated as NEUSE RIVER, a class WS-1V;NSW waterbody in the Neuse
River Basin in accordance with the effluent limitations, monitoring requirements, and other
conditions set forth in Parts I, 11, III, and IV of General Permit No. NCG030000 as attached.
This certificate of coverage shall become effective December 4, 2012.
This Certificate of Coverage shall remain in effect for the duration of the General Permit.
Signed this 41h day of December, 2012.
for Charles Wakild, P.E., Director
Division of Water Quality
By Authority of the Environmental Management Commission

Stormwater Permits
Subject: Stormwater Permits
From: "Candice Brewington"<[e-mail]>
Date: Wed, 16 Jan 2008 11:55:54 -0500
To: <sarah. young@ncmail. net>
CC: "Mike I Outlaw" <[e-mail]>, "Janze Taylor" <[e-mail]>,
"Jeremy Riggle" <Riggle [e-mail]>
Hi Sarah,
This email is in reference to our phone conversation on yesterday. Please
see that these changes are made and the stormwater information is sent to
the appropriate address.
Certificate of Coverage No. NCG030447
CATERPILLAR, INC. - SANFORD FACILITY
Jeremy Riggle
5000 Womack Rd.
Sanford, NC 27330
Certificate of Coverage No. NCG030211
CATERPILLAR, INC. - CLAYTON FACILITY
Janze Taylor
PO Box 999
Clayton, NC 27520
Please send/email me a copy of the certificate of coverage and I will
download the general permit from the NCDWQ webpage as we discussed.
Thank you,
Candice Brewington
office Manager
Atlantic Environmental Associates, Inc.
919-387-1269: Phone
919-387-1271: Fax
1 of 1 1/22/2008 1:10 PM

Michael F. Easley, Governor
William G. Ross Jr., Secretary
North Carolina Department of Environment and Natural Resources
Alan W. Klimek, P.E., Director
Division of Water Quality
August 23, 2002
DAVID J LATHEY
CATERPILLAR INCORPORATED
PO BOX 999
CLAYTON, NC 27520
Subject: NPDES Stormwater Permit Renewal
CATERPILLAR INCORPORATED
COC Number NCG030211
Johnston County
Dear Permittee:
In response to your renewal application for continued coverage under general permit NCG030000, the Division of
Water Quality (DWQ) is forwarding herewith the reissued stormwater general permit. This permit is reissued
pursuant to the requirements of North Carolina General Statute 143-215.1 and the Memorandum of Agreement
between the state of North Carolina and the U.S. Environmental Protection Agency, dated December 6, 1983.
The following information is included with your permit package:
* A new Certificate of Coverage
* A copy of General Stormwater Permit NCG030000
* A copy of the Analytical Monitoring Form (DMR)
* A copy of a Technical Bulletin for the general permit
Your coverage under this general permit is not transferable except after notice to DWQ. The Division may require
modification or revocation and reissuance of the Certificate of Coverage. This permit does not affect the legal
requirements to obtain other permits which may be required by DENR or relieve the permittee from responsibility
for compliance with any other applicable federal, state, or local law, rule, standard, ordinance, order, judgment, or
decree.
If you have any questions regarding this permit package please contact Mack Wiggins of the Central Office
Stormwater and General Permits Unit at [phone], ext. 542
Sincerely,
Bradley Bennett, Supervisor
Stormwater and General Permits Unit
cc: Central Files
Stormwater & General Permits Unit Files
Raleigh Regional Office
M`
NCDENR
N. C. Division of Water Quality 1617 Mail Service Center Raleigh, NC 27699-1617 [phone] Customer Service
1-800-623-7748

STATE OF NORTH CAROLINA
DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES
DIVISION OF WATER QUALITY
GENERAL PERMIT NO. NCG030000
CERTIFICATE OF COVERAGE No. NCG030211
STORMWATER DISCHARGES
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
In compliance with the provision of North Carolina General Statute 143-215.1, other lawful standards and
regulations promulgated and adopted by the North Carolina Environmental Management Commission, and the
Federal Water Pollution Control Act, as amended,
CATERPILLAR INC
is hereby authorized to discharge stormwater from a facility located at
CATERPILLAR INCORPORATED
954 NC 42 EAST
CLAYTON
JOHNSTON COUNTY
to receiving waters designated as a UI' to the Neuse River, a class C NSW stream, in the Neuse River Basin in
accordance with the effluent limitations, monitoring requirements, and other conditions set forth in Parts I, 1I, 111,
IV, V, and VI of General Permit No. NCG030000 as attached.
This certificate of coverage shall become effective September 1, 2002.
This Certificate of Coverage shall remain in effect for the duration of the General Permit.
Signed this day August 23, 2002.
fnr Alan W. Klimek, P.E., Director
Division of Water Quality
By Authority of the: Environmental Management Commission

State of North Carolina
Department of Environment
and Natural Resources
Division of Water Quality
Michael F. Easley, Governor
William G. Ross Jr., Secretary
Alan W. Klimek, P.E. Director
06/06/2002
CERTIFIED MAIL
RETURN RECEIPT REQUESTED
ATTN: DONALD R TOLLEY
"CATERPILLAR, INC."
PO BOX 999
CLAYTON, NC 27520
LIKI
••
Ed NCDENR
NORTH CAROLINA DEPARTMENT OF
ENVIRONMENT AND NATURAL RESOURCES
Subject: NOTICE OF VIOLATION
FAILURE TO SUBMIT RENEWAL APPLICATION
"CATERPILLAR, INC."
NCO030000
COC NUMBER NCG030211
JOHNSTON COUNTY
Dear Permittee:
This letter is to inform you that, as of the date of this letter, the Division of Water Quality has not received a
renewal request for the subject permit certificate of coverage. This is a violation of NCGS §143.215.1 (c)(1) which
states "All applications shall be filed with the commission at least 180 days in advance of the date on which it is
desired to commence the discharge of wastes or the date on which an existing permit expires, as the case may be".
Any permittee that has not requested renewal at least 180 days prior to expiration or permittee that does not have a
permit after the expiration and has not requested renewal at least 180 days prior to expiration, will be subjected to
enforcement procedures as provided in NCGS § 143-215.6 and 33 USC 1251 et. seq.
In order to prevent continued, escalated action, including the assessment of civil penalties you must submit a
completed permit coverage renewal application to the attention of the "Stormwater and General Permits Unit" at
the letterhead address within ten (10) days of your receipt of this letter (renewal application enclosed). If the
subject discharge has been terminated, please complete the enclosed rescission request form. Mailing instructions
are listed on the bottom of the form. You will be notified when the rescission process has been completed.
Thank you for your prompt attention to this situation. If you have any questions regarding this matter, please
contact Mack Wiggins of the central office Stormwater and General Permits Unit at 919-733-5083, ext. 542.
Sincerely,
for Alan W. Klimek, P.E.
Director, Division of Water Quality
cc: Stormwater and General Permits Unit Files
Central Files
Raleigh Regional Office
1617 Mail Service Center, Raleigh, North Carolina 27699-1617 Telephone [phone] FAX [phone]
An Equal Opportunity Affirmative Action Employer 50% recycled/ 10% post -consumer paper

Michael F. Easley, Governor
William G. Ross Jr„ Secretary
North Carolina Department of Environment and Natural Resources
Gregory J. Thorpe, Ph.D.
Acting Director
Division of Water Quality
December 27, 2001
DONALD R TOLLEY
CATERPILLAR INCORPORATED
PO BOX 999
CLAYTON, NC 27520
Subject: NPDES Stormwater Permit Renewal
CATERPILLAR INCORPORATED
COC Number NCG03021 1
Johnston County
Dear Permittee:
Your facility is currently covered for stormwater discharge under General Permit NCG030000. This permit expires
on August 31, 2002. The Division staff is currently in the process of rewriting this permit and is scheduled to have
the permit reissued by late summer of 2002. Once the permit is reissued, your facility would be eligible for
continued coverage under the reissued permit.
In order to assure your continued coverage under the general permit, you must apply to the Division of Water
Quality (DWQ) for renewal of your permit coverage. To make this renewal process easier, we are informing you in
advance that your permit will be expiring. Enclosed you will find a General Permit Coverage Renewal
Application norm, The application must be completed and returned by March 4, 2002 in order to assure continued
coverage under the general permit.
Failure to request renewal within this time period may result in a civil assessment of at least $250.00. Larger
penalties may be assessed depending on the delinquency of the request. Discharge of stormwater from your facility
without coverage under a valid stormwater NPDES permit would constitute a violation of NCGS 143-215.1 and
could result in assessments of civil penalties of up to $10,000 per day.
Please note that recent federal legislation has extended the "no exposure exclusion" to all operators of industrial
facilities in any of the I I categories of "storm water discharges associated with industrial activity," (except
construction activities). If you feel your facility can certify a condition of "no exposure", i.e. the facilty industrial
materials and operations are not exposed to stormwater, you can apply for the no exposure exclusion. For additional
information contact the Central Office Stormwater Staff mernber listed below or check the Stormwater & General
Permits Unit Web Site at htip://h2o.enr.state.nc.us/su/stormwater.htni]
If the subject stormwater discharge to waters of the state has been terminated, please complete the enclosed
Rescission Request Form. Mailing instructions are listed on the bottom of the form. You will be notified when the
rescission process has been completed.
If you have any questions regarding the permit renewal procedures please contact Joe Albiston of the Raleigh
Regional Office at 919-571-4700 or Bill Mills of the Central Office Stormwater Unit at [phone], ext. 548
Sincerely,
Bradley Bennett, Supervisor
Stormwater and General Permits Unit
cc: Central Files
Raleigh Regional Office
N. C. Division of Water Quality 1617 Mail Service Center Raleigh, NC 27699-1617 [phone]
T
NCDENR
Customer Service
1-800.623-7748

State of North Carolina
Department of Environment,
Health and Natural Resources
Division of Water Quality
James B. Hunt, Jr., Governor
Wayne McDevitt, Secretary
A. Preston Howard, Jr., P.E., Director
DONALD R TOLLEY
CATERPILLAR INC
PO BOX 999
CLAYTON, NC 27520
ALT
IDEHNR
September 24, 1997
Subject: Reissued Stormwater General Permit for Certificate of Coverage No. NCG030211
Johnston County
Dear Permittee:
In response to your renewal application for continued coverage under the subject permit, the Division
of Water Quality (DWQ) is forwarding herewith the reissued stormwater general permit. This permit
is reissued pursuant to the requirements of North Carolina General Statute 143-215 .1 and the
Memorandum of Agreement between North Carolina and the US Environmental Protection agency
dated December 6, 1983.
The following information is included with your permit package:
■ A copy of the stormwater general permit.
■ A Stormwater Pollution Prevention Plan Certification Form. This form certifies that you have
developed and implemented the Stormwater Pollution Prevention Plan (SPPP) required in your
permit. This form must be completed and returned to the Division within 30 days of receipt of
this letter. DO NOT send the SPPP with the signed form.
■ Five copies of Analytical Monitoring forms.
■ Five copies of Qualitative Monitoring forms.
■ A copy of a Technical Bulletin on the stormwater program with outlines program components
and addresses frequently asked questions.
■ A corrected Certificate of Coverage if you indicated a name or address change on the Renewal
Form returned to the Division.
Your certificate of coverage is not transferable except after notice to DWQ. The Division of Water
Quality may require modification or revocation and reissuance of the certificate of coverage.
This permit does not affect the legal requirements to obtain other permits which may be required by
DWQ or permits required by the Division of Land Resources, Division of Air Quality, Coastal Area
Management Act or any other Federal or Local governmental permits that may be required.
If you have any questions concerning this permit or other attached documents, please contact the
Stormwater Group at telephone number [phone]
Sincerely,
for
A. Preston Howard, Jr., P. E.
P.O. Box 29535, Raleigh, North Carolina 27626-0535 Telephone [phone] FAX [phone]
An Equal Opportunity Affirmative Action Employer 50% recycled) 10% post -consumer paper

State of North Carolina
Department of Environment,
Health and Natural Resources
Division of Environmental Management
James B. Hunt, Jr., Governor
Jonathan B. Howes, Secretary
A. Preston Howard, Jr., P.E., Director
July 9, 1993
Donald R. Tolley
Caterpillar, Inc.
1000 Adams Street
Peoria, IL 61603
AF1.9MA
14.
C)EHNR
Subject: General Permit No. NCG030000
Caterpillar, Inc.
COC NCG030211
Johnston County
Dear Mr. Tolley:
In accordance with your application for discharge permit received on March 5, 1993, we are forwarding
herewith the subject certificate of coverage to discharge under the subject state - NPDES general permit. This
permit is issued pursuant to the requirements of North Carolina General Statute 143-215 .1 and the
Memorandum of Agreement between North Carolina and the US Environmental Protection agency dated
December 6, 1983.
If any parts, measurement frequencies or sampling requirements contained in this permit are
unacceptable to you, you have the right to request an individual permit by submitting an individual permit
application. Unless such demand is made, this certificate of coverage shall be final and binding.
Please take notice that this certificate of coverage is not transferable except after notice to the Division
of Environmental Management. The Division of Environmental Management may require modification or
revocation and reissuance of the certificate of coverage.
This permit does not affect the legal requirements to obtain other permits which may be required by the
Division of Environmental Management or permits required by the Division of Land Resources, Coastal Area
Management Act or any other Federal or Local governmental permit that may be required.
If you have any questions concerning this permit, please contact Mr. Steve Ulmer at telephone number 919/733-
5083.
cc:
Sincerely,
Original Signed By
Coleen H. Sullins
A. Preston Howard, Jr., P. E.
Raleigh Regional Office
P.O. Box 29535, Raleigh, North Carolina 27626-0535 Telephone [phone] FAX [phone]
An Equal Opportunity Affirmative Action Employer 50% recycled/ 10% post -consumer paper

STATE OF NORTH CAROLINA
DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES
DIVISION OF ENVIRONMENTAL MANAGEMENT
STORMWATER DISCHARGES
In compliance with the provision of North Carolina General Statute 143-215.1, other lawful standards and
regulations promulgated and adopted by the North Carolina Environmental Management Commission, and the
Federal Water Pollution Control Act, as amended,
Caterpillar, Inc.
is hereby authorized to discharge stormwater from a facility located at
Caterpillar, Inc.
2500 NC Hwy 42 East
Clayton
Johnston County
to receiving waters designated as an unnamed tributary to Neuse River in the Neuse River Basin
in accordance with the effluent limitations, monitoring requirements, and other conditions set forth in Parts I, II, III
and IV of General Permit No. NCG030000 as attached
This Certificate of Coverage shall become effective July 9, 1993.
This Certificate of Coverage shall remain in effect for the duration of the General Permit.
Signed this day July 9 1993.
Original Signed By
Coleen H. Sullins
A. Preston Howard, Jr., P.E., Director
Division of Environmental Management
By Authority of the Environmental Management Commission

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Division of Energy, Mineral and Land Resources
Attn: DEMLR Central Files
1612 Mail Service Center
Raleigh, North Carolina 27699-1612
Attn: John Holley
Tier Three — Zinc
To Whom It may Concern,
In regards to our COC number NCG030211, it has become apparent that we are now in Tier III
due to sample results that show our zinc levels are above benchmark for the fourth time during
the term of this permit. On February 24`h of 2016 Caterpillar Sanford and Clayton Environmental
Health and Safety (EHS) staff contacted Ken Pickle to discuss previous actions, future plans and
to seek guidance for zinc exceedances.
Since the discovery of benchmark exceedances in zinc we have had many discussions with a
range of Caterpillar staff, including upper management, and Divisional EHS staff. Both internal
and external housekeeping efforts have been improved, products that contain both constituents
have been tracked, and storm drain filters and socks have been strategically deployed to slow the
exposure of metals. One staff member also attended the recent NCMA Annual Water Quality
Compliance Workshop.
We have been, and continue to, perform monthly sampling due to our previous Tier II status.
Guidance is requested from DEMLR on potential next steps. Is it possible to be released from
monthly sampling to possibly quarterly? Any advice would be much appreciated.
As we discussed with Ken, we will be diligent in preventing and controlling this exposure via
process and/or engineering improvements that arc within technical and financial means.
If you have any questions, please do not hesitate to call me at (919)-550-6924.
Best Regards,
Van Ellis
EHS Manager
Caterpillar, Inc.