WWTP_PWS.PDF

PERFORMANCE-BASED WORK

STATEMENT (PWS)

FOR

WASTEWATER TREATMENT PLANT ANALYSIS

56 CES/CEOIU

28 Jun 2018

PERFORMANCE-BASED WORK STATEMENT

TABLE OF CONTENTS

SECTION PAGE

1 DESCRIPTION OF SERVICES 3

2 SERVICES SUMMARY 8

3 GOVERNMENT FURNISHED PROPERTY AND SERVICES 9

4 GENERAL INFORMATION 9

5 APPENDICES 12

1. DESCRIPTION OF SERVICES. The contractor shall provide all management, tools, supplies, equipment, and labor necessary to perform analysis of wastewater, biosolids, groundwater, and distilled water samples as defined in this performance of work statement, to comply with all applicable provisions of the Luke AFB WWTP AZDPES Permit AZ0110221 (including reclaimed water provisions), APP Permit 100563 (including monitor well sample collection and analysis) and applicable biosolids monitoring requirements. The contractor shall perform to the standards in this contract.

1.1. ROUTINE ANALYSIS.

1.1.1 The contractor will provide LAFB WWTP with a Quality Assurance (QA) Manual as soon as contract is let. This guide must include specific instructions regarding how to request specific analysis, how to ensure samples are processed in the most efficient manner, and points of contact for sample tracking and technical inquiries. This guide will be supplied after the contract has been awarded, prior to initial service requests. Deliver this user’s guide to Luke Air Force Base (LAFB) Wastewater Treatment Plant (WWTP), AZ, building 1202, mailing address 56CES/CEOIU Attn: Wastewater Treatment Plant 13970 Gillespie Drive Luke AFB, AZ 85309.

1.1.1.2 QA Manual shall include project management to include roles and responsibilities of the participants, the purpose of sample collection, matrix(s) to be sampled, parameters or compounds being measured, and applicable regulatory or permit specific limits or Assessment levels.

Contractor shall also include personnel qualification requirements for collecting samples.

1.1.1.3 Contractor shall include sample collection procedures in QA manual. Contractor shall describe equipment used, the type and number of samples to be collected including QA/QC samples (i.e. background samples, duplicates, equipment/field blanks). Contractor shall also provide preservatives and holding times for the samples.

1.1.1.4 Approved Analytical Method(s) will be stated in QA manual. Contractor shall report Method Detection Limits (MDLs) and Minimum Levels (MLs), required QC results (i.e. matrix spike recoveries, duplicate relative percent differences, blank contamination, laboratory control sample recoveries, surrogate spike recoveries, etc.) and acceptance criteria. Corrective actions to be taken by the LAFB or the laboratory as a result of problems identified during QC checks.

1.1.1.4.1 Contractor shall describe how data review will be performed, results will be reported to ADEQ, data quality issues will be resolved and how limitations on the use of the data will be resolved.

1.1.1.4.2 State instructions regarding how to request specific analyses, and points of contact for sample tracking and technical inquiries.

1.1.1.5 Contractor shall use approved sample collection, preservation, handling methods/methodology and standard methods as outlined in 40 CFR Part 136. Where collection, preservation, handling procedures and standard methods are not described in 40 CFR 136, then either the procedures specified under Arizona Administrative Code (A.A.C) Title 9, Chapter 14, Article 6 or procedures specifically outlined in the LAFB WWTP permits that will be used.

1.1.1.6 LAFB WWTP personnel will be provided with pre-printed Chain of Custody (CoC’s) and all the necessary processing/shipping forms and documents (i.e. chain of custody, shipping labels, etc.). All forms must be pre-printed with the LAFB WWTP specific sampling requirements, customized to LAFB permits.

1.1.1.7 Contractor shall provide automated bottle ordering based on permit requirements, with no fee. All sampling containers/bottles must be at the facility at least one week prior to the sampling event required.

1.1.1.8 A meeting shall be arranged between LAFB personnel and any laboratory performing LAFB sample analysis upon receiving a request from LAFB. The contractor shall set up the meeting during duty hours (Monday-Friday, 8am-5pm) within 2 weeks of being notified by LAFB. LAFB personnel will be allowed to tour the laboratory during the meeting time.

Laboratory must be within the local area.

1.2. SAMPLE COLLECTION REQUIREMENTS.

1.2.1 Contractor shall provide prepared sample containers and any necessary sample collection equipment. Contractor must ensure sample collection, preservation and handling methods meet current Arizona state and/or Environmental Protection Agency (EPA) requirements.

1.2.2. Contractor shall ensure all wastewater, biosolids, groundwater and distilled water samples are collected according to the following time schedules:

1.2.2.1 Parameters sampled monthly or more frequently will be collected within the first 14 days of the month.

1.2.2.2 Parameters sampled quarterly will be collected during the first month of the quarter (January, April, July, and October).

1.2.2.3 Parameters sampled semi-annually will be collected during the first 2 months of the semi-annual period (January/February, July/August).

1.2.2.4 Parameters sampled annually will be collected during the third month of the year (March); biosolids sample collection will be taken upon notification of LAFB WWTP personnel.

1.2.3. Both the Contractor and the Government are responsible to ensure samples are collected at the locations identified in the WWTP permits.

1.2.4. Effluent samples will be taken at Sampling Point #1 located at the end of the treatment process which is approximately at 3332’12.5” N latitude and 11219’17.2” W longitude (exact sampling point identified by permit). The Government is responsible to collect these samples using sample containers provided by the contractor. The contractor is responsible to transport collected samples to the laboratory.

1.2.5. Groundwater samples will be taken at Sampling Point #2 located at Monitor Well (MW) 101 which is approximately at 3332’3.6” N latitude and 11219’9.9” W longitude (exact sampling point identified by permit).

1.2.6. Influent samples will be taken after the last addition to the collection system and prior to the first treatment process. The Government is responsible to collect these samples using sample containers provided by Contractor. The Contractor shall be responsible to transport collected samples to the laboratory.

1.2.7. The Government is responsible to collect Biosolids and Distilled water samples using sample containers provided by Contractor. The Contractor is responsible to transport collected samples to the laboratory.

1.2.8. Contractor shall be responsible to measure and record static water levels in MW 101 prior to collecting groundwater samples; the well will either be purged of at least 3 borehole volumes (as calculated using the static water level) or until field parameters (pH, temperature, conductivity) are stable, whichever represents the greater volume. If evacuation results in the well going dry then the well will be allowed to recover to 80% of the original borehole volume or for 24 hours, whichever is shorter; if after 24 hours there is not sufficient water for sampling then the well will be recorded as dry for that monitoring event.

1.2.9. Contractor may be required to conduct sampling in addition to the permit required sampling for LAFB WWTP which includes but is not limited to: additional sampling required after a parameter has exceeded the permit limit or state requirement; sampling required by permit or state regulation changes; additional sampling required to maintain WWTP compliance.

1.3 SAMPLE TRANSPORTATION REQUIREMENTS.

1.3.1 Contractor shall arrange for local sample shipment from the LAFB WWTP at NO COST, located on the northeast corner of El Mirage Road and Glendale Avenue (7105 N. El Mirage Road, Glendale, AZ 85307) to a laboratory licensed/certified by ADHS. CONTRACTOR must arrange for transport of collected samples within 1 day of telephone notification by LAFB personnel.

1.3.2. Contractor will ensure sample integrity is preserved throughout the transportation process.

All field documentation relating to sample collection, preservation and handling that proves proper methods were used, will be provided immediately upon request by LAFB personnel.

1.4 SAMPLE ANALYSIS REQUIREMENTS.

1.4.1. Contractor will have all samples analyzed using Arizona state approved methods; if no state approved method exists than an appropriate EPA approved method will be used. Contractor will analyze all samples within the legal holding time as specified by the approved method.

1.4.2. Contractor must ensure that analytical methods used have an MDL lower than the AZPDES permit, APP and ADHS requirements’ limits. If all method-specific MDLs are higher than said requirements then the approved analytical method with the lowest method-specific MDL will be used.

1.4.3. Contractor must ensure that the laboratory performing a parameter analysis is licensed/certified by ADHS to conduct said parameter analysis and that the laboratory has demonstrated proficiency within the last 12 months for each parameter to be analyzed.

1.4.4. Contractor will ensure all analytical work meets quality control standards specified in Arizona State and/or EPA approved methods. The Contractor is responsible to collect and analyze the required number of quality control samples as outlined in the QA Manual which is to be provided to LAFB as per section 3.1 of this PWS.

1.4.5. Contractor is responsible to have all collected samples analyzed for all parameters listed in Tables 1 thru 7 of this PWS. In accordance with 40 CFR 122.45(c), effluent analyses for all metals with the exception of chromium VI will be measured as “total recoverable metals”.

1.4.6. Contractor will ensure all laboratory equipment used to analyze samples is properly calibrated and is used solely for the specific media (groundwater, wastewater, biosolids, distilled water) being analyzed.

1.4.7 Contractor will immediately (within 1 business day) notify WWTP personnel at 623-856- 6109, 623-856-2760 or 623-856-6394 if laboratory actions have compromised the validity of a sample or have caused sample destruction. The Contractor will provide immediate (within 1 business day of notification) repeat sample collection and analysis at no cost to the Government.

1.4.8. Contractor is responsible for conducting Whole Effluent Toxicity (WET) testing on 8-hour or 24-hour composite samples of the final wastewater effluent. The Contractor will ensure laboratory is licensed/certified by ADHS to conduct chronic toxicity testing.

1.4.9 Contractor will ensure that chemical testing for ammonia (NH3-N) and all parameters listed in Table 1 of this PWS are performed on a split of at least one of the 3 composite samples taken for each chronic WET test performed.

1.4.10. Contractor will ensure short-term Chronic Toxicity tests are conducted on 3 species: the water flea – Ceriodaphnia dubia (survival and reproduction test), the fathead minnow – Pimephales promelas (larval survival and growth test), the green alga – Selenastrum capricornutum (growth test).

1.4.11. Contractor will ensure the USEPA 4th edition manual, “Short-term Methods for Estimating the Chronic Toxicity of Effluents and Receiving Waters to Freshwater Organisms” (EPA/821-R- 02-013) is used for all chronic toxicity testing.

1.4.12. Contractor will ensure all chronic toxicity tests conducted have 5 dilutions and a control;

the dilution series to be used is: 12.5%, 25%, 50%, 75%, and 100% wastewater effluent. The following conversion shall be used: 1 chronic toxicity unit (TUc) equals 100/NOEC.

1.4.13. Both Contractor and Government must ensure chronic toxicity samples are maintained between 0 and 6 Celsius from the time the samples are collected until start of analysis; unless a grab sample is delivered to the performing laboratory for test initiation no later than 4 hours after the time of collection. Contractor will ensure reference toxicity tests are conducted at least once per calendar month for each toxicity test method performed in the laboratory during that month;

additionally a reference toxicity test must be conducted any time the laboratory changes the source of its test organisms. If a reference toxicity test does not meet all test acceptability criteria as specified in 40 CFR 136.3 and a Government sample is compromised then Contractor is responsible to collect, transport and reanalyze a sample from the LAFB WWTP at no cost to the Government. Contractor will provide Government reference toxicity test results upon request.

1.4.14 Contractor must ensure reference toxicant tests and effluent tests are tested for sensitivity as determined by calculating the percent minimum significant difference (PMSD) for each test result; the EPA established upper and lower sensitivity bounds for each test method must be used.

1.4.15 Contractor will be provided a contingency amount in order to perform a retest if an anomaly or if a permit conditions requires retest. The amount of retest shall is normally no more than 3% of the contract value.

1.4.16 Contractor will not charge an “environmental management fee” or “sample disposal” fee.

1.5 ANALYSIS REPORTING REQUIREMENTS.

1.5.1 Contractor will screen all sample results for noncompliance with LAFB requirements. If a sample result exceeds a permit or other requirement, Contractor will notify LAFB WWTP points of contact immediately (within one business day).

1.5.2 Contractor will provide as a minimum the following information in all sample analysis reports: sample collection date, location, time and number; any measurements taken/performed during sample collection; any preservatives used; the name(s) of the individual(s) performing the sample collection and/or measurements; the date(s) the samples are analyzed; the laboratory sample number; the laboratory name and Arizona license/ certification number; the name(s) of the individual(s) performing the sample analysis; the analytical technique and/or approved method used; any chain of custody forms; the sample analysis results; the MCL for each specific parameter analyzed.

1.5.3 Contractor will ensure that all laboratory reports are signed by the chemist performing the analysis and by the laboratory director reviewing the analysis results.

1.5.4 Contractor must submit a copy of all monitor well field notes (as outlined in section 1.2 of this PWS) along with the groundwater analysis report.

1.5.5 Contractor will provide LAFB with two copies of the full chronic toxicity laboratory report.

The report must show TUc as both 100/NOEC and 100/IC25. The following must either be a part of the full chronic toxicity report or be added as an attachment: sample collection dates, test initiation dates, and the results of the effluent analyses for all parameters required to be tested concurrently with the chronic toxicity tests as outlined in Section 1.4.9 of this PWS.

1.5.6 Contractor will ensure each licensed/certified laboratory that is used, participates in the annual NPDES Discharge Monitoring Report (DMR)/QA study. Contractor will provide LAFB WWTP personnel copies of each laboratory’s DMR/QA study results.

1.5.7 Contractor will and provide email all signed analysis reports to the addresses and/or points of contact listed in section 1 of this SOW; laboratory results must be delivered to the listed points of contact within the following schedule:

1.5.7.1 Microbiology reports: 3-5 business days.

1.5.7.2 Inorganics and VOCs: 5-7 business days.

1.5.7.3 Final reports for SOCs is 7-10 Business days.

1.5.7.4 An exception to this requirement is the chronic WET testing report which will be delivered to the listed points of contact within 45 calendar days of laboratory receipt of sample for analysis.

1.5.8 Contractor will provide LAFB personnel with Electronic Data Deliverable (EDD), an online service/database to be able to track sample analysis progress, retrieve analysis reports, and create customized reports based on parameters analyzed. Contractor will maintain historical laboratory results for no less than 1 year in said online database.

1.6 WWTP OPERATION SUPPLIES. Contractor will procure and provide, on an as needed basis, necessary operational equipment and laboratory supplies, including, but not limited to: sand, pump parts, equipment testing mechanisms, laboratory and office supplies, filter mechanisms, chemicals/fish for algae treatment, repair parts and equipment. A discretionary budget will be included based on general requirements. Delivery must be with in 15 days of ordering, unless otherwise agreed upon terms.

2. SERVICES SUMMARY.

Work Task Quantity Develop and deliver QA Manual (update as necessary) Once (As needed)

Review all permit and ADHS requirements particular to LAFB Ongoing

Provide all necessary processing and shipping forms (preprinted) Ongoing

Provide all necessary prepared sampling/shipping containers and bottles Ongoing Perform all necessary duties involved with collecting and analyzing required groundwater samples

Once/quarter (As needed)

Provide transportation of samples to be tested from WWTP to laboratory Ongoing

Conduct laboratory analysis’ for all collected samples

Provide Project Manager review of sample analysis results Ongoing

Provide Laboratory Director certification on all sample analysis results Ongoing Notify LAFB WWTP personnel within one business day if laboratory action or sample result exceeds permit limits

As needed

Provide additional sampling recommendations/consultation to LAFB WWTP personnel in the event a sample result exceeds a permit limit

As needed

Work Task Quantity Provide laboratory report for each chain of custody submitted summarizing sample analysis results for all parameters tested (including all QA/QC sample results)

Ongoing

Provide LAFB WWTP personnel the ability to track sample analysis progress and to be able to download results via an online program/database

Ongoing

Maintain electronic copies of all LAFB WWTP analysis results for at least one year

Ongoing

Performance Objective PWS Para Performance Threshold Consistently picking up samples per subscribed testing frequencies

1.3 100% on-time pick-up for all samples.

Microbiology reports: 3-5 business days; accurate

1.5.7 100% accuracy and on-time delivery of reports

Inorganics and VOCs reports:

5-7 business days; accurate

1.5.7 100% accuracy and on-time delivery of reports

Final reports for SOCs is 7-10 Business days; accurate

1.5.7 100% accuracy on-time delivery of reports

WWTP Supplies and equipment are procured and delivered within 15 days of request (unless otherwise agreed)

1.6 100% on-time delivery of supplies and equipment.

3. GOVERNMENT FURNISHED PROPERTY AND SERVICES. None

4. GENERAL INFORMATION.

4.1 Security Requirements. Contractor personnel will need a pass to get on and off Luke AFB.

The contractor must provide the contracting officer with a list of employees who will provide courier services to transport samples from Luke AFB to the laboratory. Courier services should be performed by personnel employed by the contractor. See Clause H-0002 for contractor access to Air Force installation.

4.2 QUALITY CONTROL.

4.2.1. In compliance with the contract clause entitled “Inspection of Services,” the contractor shall provide a Quality Control Plan that contains, as a minimum, the items listed in 4.2.2. to the contracting officer for acceptance not later than the pre-performance conference. The contracting officer will notify the contractor of acceptance or required modifications to the plan before the contract start date. The contractor shall make appropriate modifications and obtain acceptance of the plan by the contracting officer before the contract start date.

4.2.2. The plan shall include:

4.2.2.1. A description of the inspection systems to cover all services listed on the performance requirements summary (PRS). Description shall include specifics as to the areas to be inspected on both a scheduled and unscheduled basis, frequency of inspections, and the title and organizational placement of the inspectors.

4.2.2.2. A description of the methods to be used for identifying and preventing defects in the quality of service performed.

4.2.2.3. A description of the records to be kept to document inspections and corrective or preventive actions taken.

4.2.2.4. The records of inspections shall be kept and made available to the government throughout the contract performance period and for the period after the contract completion until final settlement of any claims under this contract.

4.2.3. Should WWTP personnel request additional copies of any analytical reports generated by the contractor, the contractor must provide those copies within five working days of the request.

4.2.4. Contractor’s Facilities. Upon receiving a telephone request from LAFB, the contractor shall arrange a meeting between LAFB and laboratory personnel at the contractor’s facility. LAFB personnel will be allowed to tour the facility at this time. The facility must be located within one day’s travel of LAFB in order to facilitate this requirement. In addition, the laboratory must be made available for an external audit by the Air Force or its representative upon request by LAFB

4.3 QUALITY ASSURANCE – NA.

4.4. GOVERNMENT REMEDIES.

4.4.1 The contracting officer shall follow FAR 52.212-4, Contract Terms and Conditions- Commercial Items, for contractor’s failure to perform satisfactory services or failure to correct non-conforming services.

4.4.2 The contracting officer may require the contract manager to meet with the contracting officer, contact administrator, and other government personnel as deemed necessary. The contractor may request a meeting with the contracting officer when he or she believes such a meeting is necessary. Written minutes of any such meetings shall be recorded in the contract and signed by the contracting officer or contract administrator. If any attendee does not concur with any portion of the minutes, such nonoccurrence shall be provided in writing to the contracting officer within 10 calendar days following receipt of the minutes

4.5. HOURS OF OPERATION.

4.5.1. The contractor shall perform the services required under this contract during the following hours: Mondays through Fridays, 7:00 AM to 4:00 PM. The contractor shall pick up the routine samples required under this contract as directed by WWTP personnel. The contractor shall pick up all other samples required under this contract within 24 hours of notification by the government, including nights or weekends for emergency situations.

4.5.2. Recognized Holidays.

New Year’s Day - 1 January Martin Luther King Day - 3rd Monday in January Washington’s Birthday - 3rd Monday in February Memorial Day - last Monday in May Independence Day - 4 July Labor Day - 1st Monday in September Columbus Day - 2nd Monday in October Veteran’s Day - 11 November Thanksgiving Day - 4th Thursday in November Christmas Day - 25 December

If these holidays fall on Saturday, the preceding Friday will be observed. If these holidays fall on Sunday, the following Monday will be observed. If a holiday falls on a scheduled service day, the Contractor will be responsible for rescheduling services for the first day post the holiday observance.

4.5.2. Emergency Services. On occasion, services may be required to support an activation or exercise of contingency plans outside the normal duty hours described above. The contractor’s responsibilities for emergency support are described in Section 1.

4.5.3. In the event of a positive bacteriological sample or exceeding a maximum contaminant level, additional services will be required. The Government will need to collect samples immediately following a notification of exceedance. This will require the contractor to provide courier services within 24 hours of notification by WWTP personnel.

4.5.5. Base Closures. Work scheduled but not accomplished because of base closure due to weather, exercises, or actual alert, will be accomplished as soon as possible after reopening the base.

4.6 RECORDS.

4.6.1 The contractor shall be responsible for creating, maintaining, and disposing of only those government required records that are specifically cited in this performance work statement. If requested by the Government, the contractor shall provide the original record or a reproducible copy of any such record within 5 working days of receipt of the request.

4.7 ENVIRONMENTAL CONTROLS.

4.7.1. Compliance with Laws and Regulations. The contractor shall be knowledgeable of and comply with all applicable Interstate, Federal, State, and Local laws, regulations, and requirements regarding environmental protection. In the event environmental laws/regulations change during the term of this contract, the contractor is required to comply as such laws come into effect. If there is an increase or decrease in cost as a result of the change, the contractor shall inform the Contracting Officer pursuant to notice requirements and negotiate a modification to the contract.

4.7.2. Notification of Environmental Spills. If the contractor spills or releases any substance contained in 40 CFR 302 into the environment, the contractor or its agent shall immediately report the incident to Hill AFB Fire Dept at 777-1911. The liability for the spill or release of such substances rests solely with the contractor and its agent.

4.7.3. Material Storage and Use. The contractor shall follow manufacturer’s guidelines and professional recommendations for control of humidity, temperature, cleanliness, and materials handling. This includes hazardous materials.

4.8 CONTINUATION OF ESSENTIAL DEPARTMENT OF DEFENSE (DOD)

CONTRACTOR SERVICES DURING CRISIS.

4.8.1 According to Department of Defense Instruction (DoDI) 3020.37, Continuation of Essential DoD Contractor Services During Crises, and the Air Force implementation thereof, unless otherwise directed by an authorized government representative, it is determined that Potable Water and Wastewater Analysis requirements under this PWS are essential to be performed during a crisis Monday – Friday during the times described above. Any other information will be relayed to contractor as necessary.

4.9 SPECIAL QUALIFICATIONS.

4.9.1 Laboratory must be certified by the Arizona Department of Health Services (ADHS) and the Arizona Department of Environmental Quality (ADEQ).

4.11 SAFETY REQUIREMENTS AND REPORTS.

4.11.1 The contractor shall perform work in a safe manner as required by OSHA Safety and Health Requirements. Provide a verbal report to the CO as soon as possible of each occurrence of damage to Government property or an accident resulting in death, injury, occupational disease, or adverse environmental impact. Provide a completed copy of required Accident Investigation Reports to the CO within five calendar days of each occurrence.

5. APPENDICES & ATTACHMENTS

A. Acronyms & Abbreviations List

B. AZPDES Permit Requirements

C. APP Requirements - Permit Number 100563

APPENDIX A

ACRONYMS AND ABBREVIATIONS LIST

Acronym/Abbreviation Definition

WWTP Wastewater Treatment Plant

LAFB Luke Air Force Base

AAC Arizona Administrative Code

AZPDES Arizona Pollutant Discharge Elimination System

ADEQ Arizona Department of Environmental Quality

ADHS Arizona Department of Health Services

APP Aquifer Protection Permit

COC Chain of Custody

DMR Discharge Montoring Report

EDD Electronic Data Deliverable

EPA Environmental Protection Agency

MCL Maximum Contaminant Level

MDL Method Detection Limits

ML Minimum Levels

MW Monitor Well

PMSD Percent Minimum Significant Difference

PWS Performance-Based Work Statement

QA Quality Assurance

QC Quality Check

VOC Volatile Organic Compound

WET Whole Effluent Toxicity

APPENDIX B

AZPDES Permit Requirements absence of a bypass. Severe property damage does not mean economic loss caused by Jdelays in production.

b. Bypass not exceeding limitations. The Permittee may allow any bypass to occur which does not cause effluent limitations to be exceeded, but only if it also is for essential maintenance to assure efficient operation. These bypasses are not subject to the provision of paragraphs (c) and (d) of this section.

c. Notice.

d.

1) Anticipated bypass. If the Permittee knows in advance of the need for a bypass, it shall submit prior notice, if possible at least ten days before the date of bypass.

2) Unanticipated bypass. The Permittee shall submit notice of an unanticipated bypass as required in paragraph (f)(2) of section 13 (24-hour notice).

Prohibition of bypass.

1) Bypass is prohibited, and the Director may take enforcement action against a-Permittee for bypass, unless:

a) Bypass was unavoidable to prevent loss of life, personal injury, or severe property damage;

b) There were no feasible alternatives to the bypass, such as the use of auxiliary treatment facilities, retention of untreated wastes, or maintenance during normal periods of equipment down time. This condition is not satisfied if adequate back-up equipment should have been installed in the exercise of reasonable engineering judgement to, prevent a bypass which occurred during normal periods of equipment downtime or preventive maintenance; and

c) The Permittee submitted notices as required under paragraph (c) of this section.

2) The Director may approve an anticipated bypass, after considering its adverse effects, if the Director determines that it will meet the three conditions listed above in paragraph (d)(1) of this section.

15. Upset [A.R.S.§§49-255(8) and 255.01 (E), R18-9-A905(A)(3)(a) which incorporates 40 CFR 122.41 (n)]

a. Definition. "Upset" means an exceptional incident in which there is unintentional and temporary noncompliance with technology-based permit effluent limitations because of factors beyond the reasonable control of the Permittee. An upset does not include noncompliance to the extent caused by operational error, improperly designed treatment facilities, inadequate treatment facilities, lack of preventative maintenance, or careless or improper operation.

b. Effect of an upset. An upset constitutes an affirmative defense to an action brought for noncompliance with such technology-based permit effluent limitations if the requirements of

, paragraph (c) of this section are met. No determination made during administrative review of claims that noncompliance was caused by upset, and before an action for noncompliance, is final administrative action subject to judicial review.

c. Conditions necessary for a demonstration of upset. A Permittee who wishes to establish the affirmative defenses of upset shall demonstrate, through properly signed, contemporaneous operating logs, or other relevant evidence that:

1) An upset occurred and that the Permittee can identify the cause(s) of the upset;

2) The permitted facility was at the time being properly operated; and

3) The Permittee submitted notice of the upset as required in paragraph (f)(2) of Section 13 (24-hour notice).

APPENDIX C

APP Requirements - Permit Number 100563