Documentation

What Types of Documentation Are Required to Be Submitted?


The type of documentation submitted to the Water and Wastewater Treatment Program for review and approval of a project will vary depending on the characteristics of a particular project and the type of approval that is required. Typical documentation that may be required to be submitted for project approval includes:
  • Copies of Operator's ADEQ Certificates
  • Copies of other Agencies' Permits - For example:
    • Arizona Department of Environmental Quality - APP, AZPDES, Reuse Permits
    • Arizona Department of Water Resources - USF, WS, GSF, RW Permits
    • Maricopa County Air Quality Department - Air Permits
  • Design Drawings
  • Engineer's Certificate Of Completion
  • Engineering Calculations and Design Data
  • Engineering Design Report
  • Equipment Manufacturer's Literature
  • Installation Test Report(s)
  • MAG 208 Certification Documentation - For new wastewater treatment facilities or existing wastewater treatment facilities whose service area is being modified.
  • Monthly Operations and Maintenance Report(s)
  • Operations and Maintenance Manual
  • Planning Documentation - For example, a master plan or capacity study.
  • Regulatory Compliance Documentation
  • Startup, Testing and Validation Report(s)
  • Technical Specifications
  • Testing and Operational Plans - For example:
    • Blending Plan
    • Pilot Testing Plan
    • Start-up, Testing and Validation Plan
When a project is initially submitted to the Water and Wastewater Treatment Program for review and approval, only a subset of the above documentation is required. Additional documentation is usually required to be submitted as work progresses on the project.

The initial submittal package for a typical Approval to Construct/Approval of Construction project will include:
  • Design Drawings
  • Engineering Calculations and Design Data
  • Engineering Design Report
  • Technical Specifications
The initial submittal package for an Approval Of Proposed Plan project must include sufficient documentation to support the plan. For example, the documentation submitted for a blending plan approval would typically include water quality analysis reports, a narrative report describing the contaminant and dilution sources for the blending operation, a process summary detailing contaminant concentrations, flow rates and physical configuration of the blending system, and any additional documentation supporting the proposed blending plan. Whereas, the documentation submitted for a master plan approval might be a report containing data, modeling and an analysis supporting the proposed master plan.

The documentation submitted for an Approval To Transfer Ownership approval depends on the type and characteristics of the facility or system. Please contact a Water and Wastewater Treatment Program staff member to determine the documentation required to be submitted for a particular plan.

The initial submittal package for a typical Approval to Decommission/Approval of Decommissioning project may include:
  • Design (Demolition) Drawings
  • Engineering Calculations and Design Data
  • Engineering Design (Decommissioning) Report
  • Remediation Plan
  • Technical Specifications
Please contact a Water and Wastewater Treatment Program staff member to determine the documentation required to be submitted for a particular plan.

What is the Submission Sequence for Project Documentation?


The submission sequence of documentation for a typical project is as follows.

Planning/Regulatory Compliance Documentation Submittals


  • MAG 208 Certification Documentation - Submitted with an Approval To Construct or Approval Of Proposed Plan application
  • Planning Documentation (Master Plan Report, Capacity Study, etc.) - Submitted with an Approval To Construct or Approval Of Proposed Plan application
  • Regulatory Compliance Documentation - Submitted with an Approval To Construct or Approval Of Proposed Plan application as dictated by the terms stated within a Consent Decree or other agreement

Design Documentation Submittals


  • Engineering Design Report, Calculations and Design Data - Submitted with an Approval To Construct application
  • Design Drawings - A set of preliminary design drawings are submitted with an Approval To Construct application
    • The drawings may be submitted for review and approval as 90% or 95% complete drawings depending on the size and complexity of the project
    • A set of final as-built design drawings are submitted with an Approval Of Construction application
  • Technical Specifications - Submitted with an Approval To Construct application

Testing/Validation Plan Documentation Submittals


  • Pilot Testing Plan - Submitted with an Approval of Proposed Plan or Approval to Construct application
  • Start-up Plan - Submitted prior to the start-up of a facility or system as stipulated by the Approval to Construct certificate
  • Blending Plan - Submitted with an Approval of Proposed Plan or Approval to Construct application

Post Construction/Pre-Startup Documentation Submittals


  • Engineer's Certificate of Completion - Submitted after construction is complete with an Approval of Construction application
  • Installation Test Report(s) - Submitted after construction is complete with an Approval of Construction application
  • Copies of Other Agencies' Permits - Submitted prior to start-up of a facility or system as stipulated by the Approval to Construct certificate (Required copies of permits are specified for the particular project)
  • Copies of Operator's ADEQ Certificates - Submitted prior to start-up of a facility or system
  • Operations and Maintenance (O&M) Manual - A draft version of the O&M Manual is submitted after construction is complete with an Approval of Construction application
    • The draft O&M Manual must contain startup, emergency and shutdown procedures as a minimum
    • A final version of the O&M Manual is submitted after start-up has been completed and prior to a final Approval of Construction certificate being issued

Post Commissioning/Operations Documentation Submittals


  • Pilot Testing Report - Submitted after pilot testing has been completed and prior to submission of a new project based on the pilot test data
  • Initial Testing, Validation and Commissioning Report - Submitted after all start-up activities have been completed and prior to a final Approval of Construction certificate being issued
  • Operations and Maintenance / Process Monitoring Report - Submitted after start-up has been completed and prior to a final Approval of Construction certificate being issued
Although the review and approval of each project is unique, the review and approval process for typical water, wastewater or reclaimed water project is detailed in the Review and Approval Process Flow Diagrams. The flow diagrams can be used as a roadmap for the submission sequence of documentation for these types of projects.

What Are the Criteria Used for the Review of Submittals?


The following criteria are used for the review of submittals.

Planning/Regulatory Compliance Documentation Submittals


  • MAG 208 Certification Documentation - Reviewed to verify compliance with all MAG planning and certification process requirements
    • This submittal is only required for wastewater treatment plant projects, where a MAG 208 certification process is required (i.e. for new wastewater treatment plants or existing wastewater treatment plants whose service area is being modified)
  • Planning Documentation (Master Plan Report, Capacity Study, etc.) - Reviewed as required to assure that all relevant planning issues are addressed
  • Regulatory Compliance Documentation - Reviewed as specified by the regulations or as stipulated by a compliance order, settlement agreement or other legal instrument

Design Documentation Submittals


  • Engineering Design Report, Calculations and Design Data - Reviewed to validate the design basis, verify regulatory compliance, assess system and operational impacts and establish the scope of the project
  • Engineering Calculations and Design Data - Reviewed to verify equipment sizes and process design parameters
  • Design Drawings - Reviewed for issues related to public health or safety, compliance with the rules and regulations, proper operations and maintenance, code requirements and good engineering practice
  • Technical Specifications - Reviewed in conjunction with the Engineering Design Report and the Design Drawings to verify design adequacy
  • Equipment Manufacturer's Literature - Used as reference information to validate equipment sizing and performance

Testing/Validation Plan Documentation Submittals


  • Pilot Testing Plan - Reviewed to assure that the treatment process or equipment is properly tested and validated by the proposed plan
  • Blending Plan - Reviewed to validate the method and the procedures used for blending
  • Start-up Testing and Validation Plan - Reviewed to ensure that the start-up procedures are comprehensive and that the validation plan will adequately test the performance of the treatment process or system

Post Construction/Pre-Startup Documentation Submittals


  • Engineer's Certificate of Completion - Reviewed to validate that the project has been properly supervised by a Professional Engineer registered in the State of Arizona and is certified as complete
  • Installation Test Report(s) - Reviewed to validate that an installation has been properly constructed and tested and is ready for start-up
    • Typical installation test reports are piping pressure tests, electrical wiring and motor tests, instrument calibration and loop tests, piping and equipment pre-commissioning disinfection test reports
    • These tests are usually performed by the contractor during construction
  • Copies of other Agencies' Permits - Reviewed to validate that all permitting requirements have been satisfied
  • Copies of Operator's ADEQ Certificates - The Arizona Department of Environmental Quality Operator Certificates for all operations personnel assigned to or in responsible charge of a treatment plant and/or distribution or collection system are validated and verified to be in compliance with the rules and regulations
  • Operations and Maintenance Manual - Reviewed to validate operations and maintenance procedures for the treatment facility or system for all normal and emergency operational states

Post Commissioning/Operations Documentation Submittals


  • Pilot Testing Report - Reviewed to validate the proposed process or operational methodology
  • Initial Testing, Validation and Commissioning Report - Reviewed to validate the performance of a treatment process or system (Operational logs and laboratory analyses may be required)
  • Operations and Maintenance / Process Monitoring Report - Reviewed to validate compliance with the regulations to ensure that the plant is being operated and maintained efficiently