2DB00-CJF-20-001

March 5, 2020 Dear Interested Parties:

Expression of Interest (EOI): To Provide Radial Flow Nuclear Grade HEPA Filters

Introduction/Scope

Washington River Protection Solutions, LLC (WRPS) as a prime contractor to the U.S. Department of Energy is issuing this request for Expression of Interest (EOI) as a means of conducting market research. This will enable WRPS to identify firms having an interest in and the resources to fabricate, test, package and ship 100-250 radial flow HEPA filters qualified to meet ASME AG-1 standards in accordance with the attached draft specification (Exhibit A). The filters and housings are generally depicted in Exhibits B, C, D and E below. The filters are intended for use in selected ventilation systems at the Waste Treatment and Immobilization Plant (WTP) currently under construction and commissioning at the Hanford site. Any future subcontract is anticipated to be Firm Fixed Priced (FFP). Interested parties (potential offerors) are requested to provide a non-binding rough order of magnitude (ROM) lump sum (LS) estimate and non-binding forecasted delivery schedule.

Expression of Interest Submittals

Interested firms are invited to submit an expression of interest letter to include a response to the following:

1. Potential offeror shall provide discussion which demonstrates experience in fabrication, testing, packaging and shipping radial flow HEPA filters for use in the nuclear industry. The potential offeror shall provide up to three (3) written examples of past experience of similar scope.

2. Potential offeror must agree to sign a Non‐Disclosure Agreement in order to receive copies of design drawings and other design documentation which will be provided upon release of any future Request for Proposal.

3. Potential offeror chosen to participate in the bidding process will be evaluated to the quality assurance requirements identified in Section 8 of the attached draft specification and therefore must provide an uncontrolled copy of the QA manual used to control fabrication when submitting the EOI response letter.

4. Potential offeror shall provide a discussion which describes the technical approach and process quality controls used to fabricate and qualify the filters.

5. Potential offeror shall provide a non-binding rough order of magnitude (ROM) lump sum (LS) estimate for budgetary planning purposes to include fabrication, testing, packaging and shipping of 100-250 filters per the attached draft specification.

6. Potential offeror shall provide a non-binding estimated production and delivery schedule for planning purposes. Capability to accelerate the schedule should be discussed.

 WRPS reserves the right to use information submitted by, or obtained from, a potential offeror in a manner WRPS determines is appropriate, including, but not limited to, the creation of a competitive solicitation based on submitted responses.

Technical questions must be received via email to christopher_j_franz@rl.gov no later than March 20, 2020. WRPS may choose to open discussions with any potential offeror submitting an EOI response.

Expression of interest letters must be received via email to christopher_j_franz@rl.gov no later than April 10, 2020. Expression of interest responses should be limited to less than twenty pages of information.

Exhibit A  

EXHIBIT A

DRAFT ENGINEERING SPECIFICATION FOR WTP RADIAL FLOW 2000 CFM NUCLEAR GRADE SAFE CHANGE HIGH EFFICEINCY PARTICULATE AIR (HEPA) FILTERS FOR SELECTED NON-SAFETY WTP APPLICATIONS (C2V, C3V, EMF ACV, LAB C5V and LAW C5V BSA)

Exhibit A  

Table of Contents 1  Scope .................................................................................................................................... 1 

1.1  Project Description and Location ....................................................................................................... 1 

1.2   Equipment, Material, and Services Required ................................................................................... 1 

1.3  Work by Others ................................................................................................................................... 1 

1.4  Definitions ............................................................................................................................................. 2 

1.5  Abbreviations ....................................................................................................................................... 3 

1.6  Safety/Quality Classifications ............................................................................................................. 5 

2  Applicable Documents ........................................................................................................ 5 

2.1  Codes ..................................................................................................................................................... 5 

2.2  Reference Documents/Drawings (to be provided upon release of Request for Proposal, if any, and receipt of signed NDA – See Exhibits A, B, C & D in lieu of drawings) .................................. 5 

3  Design Requirements .......................................................................................................... 6 

3.1  General ................................................................................................................................................. 6 

3.2  ASME AG-1 Code Tailoring for WTP ............................................................................................... 7 

3.3  Design Conditions ................................................................................................................................ 7 

3.4  Instrumentation and Control Requirements ..................................................................................... 7 

4  Materials .............................................................................................................................. 7 

4.1  Construction ......................................................................................................................................... 7 

4.2  Prohibited Materials ............................................................................................................................ 8 

4.3  Special Requirements .......................................................................................................................... 8 

5  Fabrication .......................................................................................................................... 8 

5.1  Filter Manufacture .............................................................................................................................. 8 

6  Tests and Inspections ......................................................................................................... 8 

6.1  Filter Design Qualification Testing .................................................................................................... 8 

6.2  Filter Fabrication ................................................................................................................................. 9 

6.3  Shop Tests ............................................................................................................................................. 9 

6.4  DOE Filter Test Facility Testing ........................................................................................................ 9 

6.5  Site Tests ............................................................................................................................................. 10 

7  Preparation for Shipment ................................................................................................ 11 

7.1  General ............................................................................................................................................... 11 

7.2  Tagging ............................................................................................................................................... 11 

7.3  Documentation ................................................................................................................................... 11 

7.4  Shipping Instructions ........................................................................................................................ 11 

8  Quality Assurance ............................................................................................................ 12 

Exhibit A  

8.1  Additional Quality Assurance Requirements .................................................................................. 12 

9  Configuration Management ............................................................................................ 16 

10  Documentation and Submittals ....................................................................................... 16 

10.1  General ............................................................................................................................................... 16 

10.2  Submittals ........................................................................................................................................... 16 

Appendix A - WTP Environmental and Service Conditions ............................................... A-i 

Exhibit A  

1 

1 Scope

1.1 Project Description and Location The Office of River Protection (ORP) and its contractors manage 177 underground radioactive waste storage tanks at the Hanford Site in Washington. These tanks contain approximately 56 million US gallons of radioactive waste. The Hanford Tank Waste Treatment and Immobilization Plant (WTP) is being designed, constructed and commissioned to process and vitrify this waste into a stable form that is suitable for permanent storage. The WTP will be constructed in the 200 East Area of the Hanford Site, near Richland, Washington. The main facilities within the WTP complex associated with this specification are the Low-Activity Waste facility (LAW), Analytical Laboratory (Lab), and the Effluent Management Facility (EMF).

1.2 Equipment, Material, and Services Required

The SUPPLIER shall fabricate, and supply High Efficiency Particulate Air (HEPA) filters in accordance with:

This specification The requirements of ASME AG-1 Section FK and WTP-specific tailoring of Section FK (provided

in Section 3.2) This specification applies to safe change configuration, 2000 actual cubic feet per minute (ACFM) rated radial flow HEPA filters intended for use in selected WTP systems (C2V, C3V, EMF ACV, LAB C5V and LAW C5V BSA). These filters are also known as “Type 1” based on the definition given by Section FK-4100 of ASME AG-1 code.

If the SUPPLIER finds a conflict between this specification and other requirements, the SUPPLIER shall obtain written clarification from the BUYER prior to proceeding with any work. Any deviation from stated requirements will require the submission of a Request for Information (RFI) to the BUYER for BUYER review and resolution before proceeding. The RFI form is provided by the BUYER at the time of notification to proceed.

1.3 Work by Others 1.3.1 Material unloading and storage at the WTP job site

1.3.2 Installation Labor

Exhibit A  

2 

1.4 Definitions

Certificate of Conformance A written statement, signed by a qualified party, certifying that items or services comply with specific requirements.

Filter Medium The fiber matrix in a filter which captures suspended particles from an air or gas stream. The plural form of “filter medium” is “filter media.”

HEPA filter A disposable, extended medium dry type filter with a rigid casing. The filter shall exhibit a particle removal efficiency of 99.97% when tested with 0.3 micrometer diameter test aerosols. Test aerosols shall be DOP (dioctyl phthalate), DOS (dioctyl sebacate), or PAO (poly-alpha olefin).

Production Testing Non-destructive testing performed on an individual production item to verify performance in accordance with specified requirements.

Qualification Testing A series of tests (both destructive and non-destructive) used to verify the performance of HEPA filters in accordance with the requirements of ASME AG-1, Article FK-5000 and WTP environmental and service conditions. This testing is to be performed by an independent testing laboratory.

Rated Flow The flow rate (2000 ACFM) to which WTP radial flow HEPA filters shall be qualified.

Report of Conformance A written report, signed by a qualified party, certifying that items or services comply with specific requirements.

Safe Change A filter configuration that can be manually installed and removed by an operator without remote equipment and without compromising confinement.

Type 1 Type 1 is the special HEPA filter type assigned to a radial flow HEPA filter. Radial flow HEPA filters are made from a medial pack formed to produce an annulus with internal and external supporting grilles. The media pack and grilles are sealed into the flange and end cap with adhesive. The normal direction of flow is from the inside face to the outside face. Type 1 filters may use an internal gasket seal, external gasket seal, or gelatinous seal. In some applications, a mechanical or metal grab ring may be employed.

Exhibit A  

3 

1.5 Abbreviations

ACFM Actual Cubic Feet per Minute

ASHRAE American Society of Heating, Refrigerating, and Air-Conditioning Engineers

ASME American Society of Mechanical Engineers

ASME AG-1 ASME Code on Nuclear Air and Gas Treatment 2015

BNI Bechtel National, Inc.

BSA Buffer Storage Area

C2V C2 Ventilation

C3V C3 Ventilation

C5V C5 Ventilation

CFM Cubic Feet per Minute

DOE Department of Energy

DOE FTF Department of Energy Filter Test Facility

DOP Di-octyl-phthalate

DP Differential Pressure

°F Degrees Fahrenheit

FPM Feet per Minute

HEPA High Efficiency Particulate Air

HVAC Heating Ventilation and Air Conditioning

LAB Analytical Laboratory

LAW Low Activity Waste

LVP LAW Secondary Offgas/Vessel Vent Process System

N/A Not Applicable

NIST National Institute of Standards and Technology

NQA-1 Nuclear Quality Assurance

NRC Nuclear Regulatory Commission

PSIG Pounds per Square Inch Gauge

Q Quality (Quality Level "Q")

QL Quality Level

RH Relative Humidity

Exhibit A  

4 

RPP River Protection Project

SC Safe Change

SCFM Standard Cubic Feet per Minute

US United States

V&ID Ventilation & Instrumentation Diagram

WC Water Column

WTP Hanford Tank Waste Treatment and Immobilization Plant

Exhibit A  

5 

1.6 Safety/Quality Classifications

The filters applicable to this specification are Non-Safety, Commercial Material (CM). The HEPA filters subject to this specification are seismic category III (SC-III) and do not have a (safety or non-safety) seismic function.

2 Applicable Documents Work shall be performed in accordance with the referenced codes, standards, and documents listed below as well as any exhibits integral to this specification.

For the codes and standards listed below, the specific edition year identified shall be followed. For the codes and standards that are incorporated by reference (daughter codes and standards) the referenced daughter edition or current edition shall be followed. If an edition year is not identified, the latest issue, including addenda, at the time of award shall apply.

In the event of a conflict between a referenced document and the contents of this specification, the contents of the specification are to take priority, and the BUYER shall be notified of the conflict.

2.1 Codes

ASME AG-1-2015 (ASME AG-1) Section FK. ASME AG-1 is tailored for the WTP Safe Change HEPA filter design as per Section 3.2 of this specification.

2.2 Reference Documents/Drawings (to be provided upon release of Request for Proposal, if any, and receipt of signed NDA – See Exhibits B, C, D & E in lieu of design documents) 2.2.1 24590-WTP-3PS-G000-T0003, Rev. 3, Engineering Specification for Packaging, Handling, and Storage Requirements, Sections 4.1, 4.4, 5.1 – 5.8, 6.1, 6.3 6.5, 8.2 – 8.4, 8.6 – 8.9, 9.8, 10.1, 10.3, 10.4, and 11.1.1

2.2.2 24590-WTP-LIST-ESH-16-0001, Rev.7, Restricted Materials List

2.2.3 24590-QL-POA-MKH0-00001-04-00035, Rev. 00F, RPF-2H2W-K-304L-TITO Housing Assembly (LAW/LAB Safe C2V and C3V Safe Change HEPA Filter Housing Assembly Details 4 Filter Unit)

2.2.4 24590-QL-POA-MKH0-00001-04-00036, Rev. 00E, RPF-2H2W-K-304L-TITO Parts Detail

2.2.4 24590-QL-POA-MKH0-00001-04-00041, Rev. 00D, RPF Filter Retainer Detail (LAW/LAB C2V and C3V Safe Change HEPA Filter Retainer Detail)

2.2.5 24590-QL-POA-MKH0-00001-04-00052, Rev. 00A, RPF Spring Loaded Filter Retainer Detail (LAB C5V Safe Change HEPA Filter Retainer Detail)

2.2.6 24590-QL-POA-MKH0-00001-04-00053, Rev. 00A, RPF-2H2W-K-304L-TITO Housing Assembly (Safe Change HEPA Filter Housing Assembly Details 4 Filter Unit)

2.2.7 24590-QL-POA-MKH0-00001-04-03 Rev. G, DRAWINGS - RPF-2H2W-304L-TITO C5V BUFFER STORAGE HOUSING ASSEMBLY

Exhibit A  

6 

2.2.8 24590-QL-POA-MKH0-00001-04-04 Rev. G, DRAWINGS - RPF-2H2W-304L-TITO C5V BUFFER STORAGE PARTS DETAIL

2.2.9 24590-QL-POA-MKH0-00001-04-00062, Rev. 00B, DRAWING - MKD C2V EXHAUST RPF-2H2W-K-304L-TITO

3 Design Requirements

Filters associated with this specification are Type 1 Safe Change HEPA filters with a rated airflow of 2000 ACFM. Unless explicitly stated otherwise, all ASME AG-1 Section FK requirements apply. WTP specific tailoring of ASME AG-1 code is discussed in Section 3.2.

3.1 General

3.1.1 The filter pack used in the filter design shall be Type A, as defined by ASME AG-1 FK-1121.2.

3.1.2 Type 1 Safe Change HEPA filters are intended for service in a WTP Safe Change HEPA Filter Housing, and therefore are to be compatible with drawings identified in Section 2.2 (see sketches provided in exhibits B, C, D & E in lieu of drawings at this time)

3.1.3 Type 1 filters subject to this specification are to be radial flow filters with gelatinous seals as defined by ASME AG-1 FK-4111, part (b).

3.1.4 Filters shall be fabricated in strict accordance with the drawings provided in the Request for Proposal and subsequent procurement documents.

3.1.5 Filters shall meet the following general technical specifications:

Service Application Air

Rated Flow 2000 ACFM air

Differential Pressure 1.6 inch W.C. max at rated flow

Overall Length 23.750 – 23.875″ (603.3-606.4 mm)

Diameter 20.312 – 20.375″ (515.9 – 517.55 mm)

Minimum Filtration Efficiency 99.97% at 0.3 micrometer particle size at 100% and 20% of rated flow

Integrity (Rupture) rating Minimum differential pressure of 10″ W.C. after aerosol loading at concurrent temperature, flow and humidity conditions (defined in Appendix A) without rupture or pleat collapse.

Exhibit A  

7 

3.2 ASME AG-1 Code Tailoring for WTP

The design of WTP Radial Flow 2000 ACFM Safe Change HEPA filters shall be compliant with ASME AG-1 Section FK, with the following exceptions:

Subarticle FK-4100 of ASME AG-1 allows a maximum media velocity of 5 feet per minute (fpm). The WTP tailoring of the code allows for a maximum media velocity of 6.5 fpm.

Table FK-4000-1 of ASME AG-1 allows a maximum clean resistance of 1.3” water column for filters with a maximum rated flow of 2000 ACFM. The current WTP approved tailoring of AG-1 code allows for an initial clean differential pressure of 1.6” water column at 2000 cfm for safe change filter applications.

Section 8.1 of this specification replaces ASME AG-1 Section FK-8000. When ASME AG-1 cites ASME NQA-1, replace ASME NQA-1 with the applicable quality assurance

requirements specified in section 8.1 of this specification.

3.3 Design Conditions

Filters are to meet the following minimum essential performance criteria:

Clean safe change filter efficiency > 99.97% at 100% and 20% of rated flow o This requirement is rooted in filters meeting the definition of “high efficiency particulate air

filter” as given by ASME AG-1 code. o Tested in accordance with ASME AG-1 Section FK-5120

Clean filter differential pressure (dP) < 1.6 inches water column (WC) at rated flow Operating at WTP conditions (as documented in Appendix A) concurrently with aerosol loading to a

minimum of 10″ water column differential pressure without rupture or pleat collapse. Filter efficiency > 99.97% at 100% rated flow after aerosol loading under WTP conditions (as

documented in Appendix A) to a minimum of 10″ differential pressure.

3.4 Instrumentation and Control Requirements

There are no instrumentation or control requirements associated with this specification.

4 Materials

4.1 Construction

Filters and any associated subcomponents are to be manufactured using materials as allowed by ASME AG-1 Article FK-3000. Filter media is to conform to the requirements of ASME AG-1 Appendix FC-I- 3000, as demonstrated by inspection and testing in accordance with Article FC-I-4000.

Exhibit A  

8 

4.2 Prohibited Materials

4.2.1 For materials in contact with stainless steel, the following shall apply: low melting point metals (i.e. lead, zinc, tin, antimony, cadmium, mercury) shall not exceed 1% by weight, with mercury not exceeding 50 parts per million. Halides shall not exceed 200 parts per million. This prohibition applies to use of tools, fixtures, paints, coatings, and sealing compounds, and any other equipment or materials used by the SUPPLIER during handling, assembly, and storage of stainless steel parts or components.

4.2.2 Asbestos shall not be included in any component of the filters.

4.2.3 The materials listed in 24590-WTP-LIST-ESH-16-0001, Restricted Materials List, shall not be used in any supplied equipment and shall not be brought onto the WTP site.

4.3 Special Requirements

4.3.1 Material certificates for filter materials of construction shall be provided by SUPPLIER.

4.3.2 SUPPLIER shall provide objective evidence via test report that the media used in filter packs and listed on filter drawings meets the requirements of ASME AG-1 Article FK-3000.

4.3.3 SUPPLIER shall provide objective evidence via material certificate that the media lots used in the fabrication of filters provided match the media type listed on drawings.

5 Fabrication

5.1 Filter Manufacture

Refer to Section 6.2 for filter fabrication requirements.

6 Tests and Inspections

6.1 Filter Design Qualification Testing

6.1.1 Prior qualification of Type 1 filter in accordance with ASME AG-1, Sections FK-4200 and FK-5100 is acceptable. SUPPLIER shall provide BUYER evidence that the filters meet the requirements of prior qualification testing.

6.1.2 ASME AG-1 Testing

The WTP Radial Flow 2000 ACFM Safe Change HEPA filter design shall be tested in accordance with Article FK-5000 of ASME AG-1. Table FK-5000-1 of ASME AG-1 enumerates the test

Exhibit A  

9 

sections (and quantity of filters that apply to each test section) required to qualify the filter design to ASME AG-1 standards. The filter design shall meet the requirements of ASME AG-1 testing and any associated criteria, with the exception of deviations noted in Section 3.2 of this specification.

6.1.3 WTP-Specific Environmental and Service Testing

WTP-specific environmental and service tests are required by Subarticle FK-4200 and Table FK-4000-3 of ASME AG-1, which require confirmation of filter suitability for BUYER service conditions.

For WTP applications, it is required that the filter design be able to perform under the service conditions identified in Appendix A concurrently. These represent bounding temperature, humidity, and flow conditions for WTP ventilation systems to which this specification applies.

When exposed to the concurrent bounding service condition sets and associated aerosol loading, the filter shall meet the performance criteria of ASME AG-1 Subarticle FK-5120.

6.2 Filter Fabrication

All filters manufactured for production purposes shall be fabricated in accordance with ASME AG-1 Article FK-6000, with the exception of those deviations noted in Section 3.2 of this specification.

6.3 Shop Tests

All filters manufactured by the vendor for production purposes shall be tested, inspected, and meet the test requirements of ASME AG-1 Articles FK-5500 and FK-5600 (as well as any referenced Subarticles). These tests are to be performed by the SUPPLIER.

6.4 DOE Filter Test Facility Testing

6.4.1 HEPA filters are to be routed for testing at the DOE Filter Test Facility (FTF)/ ATI Test Laboratory prior to final shipment to BUYER. SELLER shall ship filters to the address below, freight prepaid.

Air Techniques International Filter Test Facility 1708 Whitehead Road Baltimore, Maryland 21207

Following completion of inspections and testing at FTF, the FTF shall repack the tested filters in a manner comparable to the received packaging and forward them to the address specified by the BUYER, freight collect.

Filters sent to the FTF for testing shall include only HEPA filters. Any spare parts shall be shipped directly to the BUYER.

Exhibit A  

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6.4.2 Quality Assurance Testing, Inspection and Labeling

The DOE FTF will test the filters as follows:

Filter packaging and filters will be inspected for physical damage and for compliance with specification requirements that can be checked visually.

Each filter that passes visual inspection will be tested for penetration and resistance in accordance with the tailored version of ASME AG-1 Section FK-5110 & FK-5120 (See Section 3.2)

After the inspection and testing is completed, each filter will bear a FTF test label indicating acceptance or rejection.

6.4.3 Filters damaged before receipt at the FTF

SELLER shall notify the BUYER if filters were damaged during shipment and returned to SELLER.

SELLER will be responsible for making claims with SHIPPER.

6.4.4 Filters found to be damaged or rejected at/by the FTF

Filters will be returned to the SELLER, freight collect (SELLER’s expense). The SELLER is responsible for either replacing failed filter(s), or crediting the BUYER, unless

other accommodations are agreed upon between the BUYER and SELLER. SELLER shall return shipping authorization within 10 working days of being notified by the

BUYER that the filter(s) have been rejected by the FTF.

6.4.5 SELLER is not responsible for filters damaged by the FTF. Depending upon severity of damage: FTF shall ship filter to SELLER for repair; FTF shall ship filter to BUYER for final disposition; filter will be disposed of by the FTF; or another method as agreed upon by the SELLER and BUYER.

6.4.6 Site Receipt Inspection Filters

Rejected filters from site inspection shall be returned to SELLER. The SELLER is responsible for either replacing failed filter(s), or crediting the BUYER, unless other accommodations are agreed upon between the BUYER and SELLER. SELLER is responsible for return shipping costs.

6.4.7 FTF to Project Site

BUYER is responsible for shipping costs from FTF to BUYER’s Project Site. The BUYER is responsible for resolving filter shipping damage when the filters are shipped

from FTF to the project site.

6.5 Site Tests

Site testing falls outside the SUPPLIER’s scope.

Exhibit A  

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7 Preparation for Shipment

7.1 General

All packaging, shipping, and storing shall be performed in accordance with ASME AG-1 Article FK- 7000. The package shall be marked in accordance with ASME AG-1 Section FK-9200.

Additionally, packaging, handling, and storage shall be performed in accordance with the referenced/invoked sections of Reference 2.2.1.

Filter packaging shall be designed so that the packaging can be opened, and the filter removed, without damage to the container, carton, or the filter; and so that the container can be reused for shipment to alternate destinations.

7.2 Tagging

Filter shall be marked in accordance with ASME AG-1 Article FK-9000. Additionally, filter nameplates shall include the following information:

Overall penetration at 20% of rated flow Purchase Order (PO) Number Label from DOE Filter Test Facility indicating filters’ fulfillment of performance requirements (Not

affixed by SUPPLIER). UL Label indicating successful testing per UL 586 is not required. HEPA filters are required to have unique serial numbers which are traceable to the post-production

test results, certificates of conformance, and material certificates or reports of conformance.

7.3 Documentation

All filters shipped shall be accompanied by a Certificate of Conformance that complies with section 8.1.7.1, and explicitly states that the filters conform to all the requirements of the purchase order and ASME AG-1 Section FK.

7.4 Shipping Instructions

Filters are to be shipped to the DOE FTF prior to final shipment to BUYER. After independent testing and acceptance is performed by the DOE FTF, the filters are to be forwarded to BUYER. See section 6.4 for additional details.

Exhibit A  

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8 Quality Assurance

The SUPPLIER’s quality assurance program shall meet the requirements listed in the following subsections. As discussed in section 3.2 the supplier is not required to meet ASME AG-1 FK-8000 or have a fully compliant ASME NQA-1 quality assurance program but is required to implement the requirements in section 8.1 of this specification.

8.1 Additional Quality Assurance Requirements

As discussed in ASME AG-1 Section AA-8000, some (or all) of the responsibilities of lower tier organizations may be assumed by any higher tier organization. The requirement to implement a quality assurance program to ASME NQA-1 is met through a combination of WRPS and supplier quality assurance requirements. Utilizing our internal grading approach, the applicable quality assurance requirements are built into the purchase order documentation.

The following are graded ASME NQA-1 quality assurance requirements that are required to be implemented. Each subsection is directly related to one of the eighteen NQA-1 criteria. NQA-1 criteria that are graded out are shown with NA for clarity.

8.1.1 Organization

NA

8.1.2 Quality Assurance Program

The program shall provide for indoctrination, training, and qualification as necessary, of personnel performing or managing activities affecting quality to assure that suitable proficiency is achieved and maintained. The following are sub-requirements that can be implemented in the appropriate qualification procedure or instruction:

o For visual weld inspection, the initial capabilities of the candidate shall be determined by an evaluation of the candidate’s education, experience, training, and either test results or capability demonstration.

The program shall include monitoring activities against acceptance criteria in a manner sufficient to provide assurance that the activities affecting quality are performed satisfactorily

The program shall establish and implement processes to detect and correct quality problems.

8.1.3 Design Control

NA

8.1.4 Procurement Document Control

Measures shall be established to assure that applicable design bases, and other requirements which are necessary to assure adequate quality are suitably included or referenced in the documents for procurement of material, equipment, and services, whether purchased by the Supplier or by its contractors or subcontractors.

To the extent necessary, procurement documents shall require contractors or subcontractors to provide a quality assurance program consistent with the pertinent provisions of this specification.

Exhibit A  

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Purchased product and services provided by an approved supplier shall not be released for use until it has been determined to conform to all applicable drawings, purchase order, and other applicable requirements.

8.1.5 Instructions, Procedures, and Drawings

Activities affecting quality shall be prescribed by documented instructions, procedures, or drawings, of a type appropriate to the circumstances and shall be accomplished in accordance with these instructions, procedures, or drawings. Instructions, procedures, or drawings shall include appropriate quantitative or qualitative acceptance criteria for determining that important activities have been satisfactorily accomplished.

The activity shall be prescribed to a level of detail commensurate with the complexity of the activity and the need to assure consistent and acceptable results.

The need for and level of detail in written procedures or instructions shall be determined based on the complexity of the task, the significance of the item or activity, work environment and worker proficiency and capability (education, training, experience).

8.1.6 Document Control

NA

8.1.7 Control of Purchased Material, Equipment, and Services

The procurement of items and services shall be controlled to assure conformance with specified requirements. Such control shall provide for the following:

Evaluation of objective evidence of quality furnished by the supplier. Examination of items or services upon delivery or completion.

Prior to awarding a contract, the purchaser shall evaluate the supplier’s capability to provide items or services in accordance with the requirements of the procurement documents. Supplier evaluation and selection and the results shall be documented.

Methods used to accept an item or service from a supplier shall be a Supplier Certificate of Conformance, source verification, or receiving inspection.

8.1.7.1 Supplier Certificate of Conformance:

The certificate shall identify the purchased material or equipment, such as by the purchase order number.

The certificate shall identify the specific procurement requirements met by the purchased material or equipment, such as codes, standards, and other specifications.

The certificate shall identify any procurement requirements that have not been met, together with an explanation and the means for resolving the non-conformances.

The certificate shall be signed or otherwise authenticated by a person who is responsible for this quality assurance function and whose function and position are described in the purchaser’s or supplier’s quality assurance program.

Exhibit A  

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8.1.7.2 Receiving Inspection

When receiving inspection is used, purchased items shall be inspected as necessary to verify conformance to specified requirements, taking into account source verification and audit activities and the demonstrated quality performance of the supplier.

Purchased items shall be examined for potential suspect/counterfeit part characteristics. If identified as a potential suspect/counterfeit part, they shall be evaluated and, as appropriate,

dispositioned as nonconforming items. Receiving inspection shall verify by objective evidence (as applicable) such features as

configuration; identification; dimensional, physical, and other characteristics; freedom from shipping damage; and cleanliness.

8.1.7.3 Control of Supplier Nonconformances

Methods for control and disposition of supplier nonconformances for items and services that do not meet procurement documentation requirements shall include the following:

Identification of nonconforming items Evaluation of nonconforming items. Documentation of the disposition of nonconforming items.

8.1.8 Identification and Control of Items

Controls shall be established to assure that only correct and accepted items are used or installed. Identification shall be maintained on the items or in documents traceable to the items, or in a manner

that assures identification is established and maintained. Items of production (batch, lot, component, part) shall be identified from the initial receipt and

fabrication of items. These measures shall assure that identification of the item is maintained by heat number, part number, serial number, or other appropriate means, either on the item or on records traceable to the item, as required throughout fabrication, erection, installation, and use of the item.

Physical identification shall be used to the maximum extent possible.

8.1.9 Control of Special Processes

NA

8.1.10 Inspection

Characteristics subject to inspection and inspection methods shall be specified. Inspection results shall be documented. Inspection for acceptance shall be performed by qualified persons other than those who performed or

directly supervised the work begin inspected. o Inspection requirements and acceptance criteria shall include specified requirements

contained in the applicable design or other pertinent technical documents. o Completed items shall be inspected for completeness, markings, calibration, adjustments,

protection for damage, or other characteristics as required to verify the quality and conformance of the item to specified requirements.

Appropriate records of inspection shall be identified and maintained to include: o Item inspected o Date of inspection o Inspector, and

Exhibit A  

15 

o Results of inspection

8.1.11 Test Control

Test results shall be documented, and their conformance with test requirements and acceptance criteria shall be evaluated.

Test records shall be established and maintained to indicate the ability of the item to satisfactorily perform its intended function or to meet its documented requirements

8.1.12 Control of Measuring and Test Equipment

Tools, gages, instruments, and other measuring and test equipment used for activities affecting quality shall be controlled, calibrated at specified periods, adjusted, and maintained to required accuracy limits.

Selection of measuring and test equipment shall be based on the type, range, accuracy, and tolerance needed to accomplish the required measurements for determining conformance to specified requirements.

Calibration shall be against certified equipment having known valid relationships to nationally recognized standards. Where no such standards exist, the basis for calibration shall be defined.

Out of calibration devices shall be controlled to prevent use until re-calibrated. Records shall be established and maintained to indicate calibration status and the capability of

measuring and test equipment to satisfactorily perform their intended function.

8.1.13 Handling, Storage, and Shipping

Handling, storage, cleaning, packaging, shipping, and preservation of items shall be controlled to prevent damage or loss and to minimize deterioration (i.e. Level B storage and compliance with ASME AG 1 FK-7000).

8.1.14 Inspection, Test, and Operating Status

The status of inspection and test activities shall be identified either on the items or in documents traceable to the items where it is necessary to ensure that required inspections and tests are performed and to ensure that items which have not passed the required inspections and tests are not inadvertently installed or used.

Status shall be maintained through legible indicators, such as physical location and tags, markings, shop travelers, stamps, inspection records, or other suitable means.

8.1.15 Control of Nonconforming Items

Items that do not conform to specified requirements shall be controlled to prevent inadvertent installation or use.

Controls shall provide for identification, documentation, evaluation, segregation when practical, and disposition of nonconforming items, and for notification to affected organizations.

Nonconforming items shall be identified by legible and easily recognizable marking, tagging, or other methods not detrimental to the item, on either the item, the container, or the package containing the item.

Nonconforming items shall be segregated, when practical, by placing them in a clearly identified and designated hold area until properly dispositioned.

Exhibit A  

16 

When segregation is impractical or impossible due to physical conditions such as size, weight, or access limitations, other precautions shall be employed to preclude inadvertent use of the nonconforming item.

8.1.16 Corrective Action

NA

8.1.17 Quality Assurance Records

Records shall furnish documentary evidence that items or activities meet specified quality requirements.

Records shall be identified, generated, authenticated, and maintained until submitted to WTP as required by procurement documents.

Requirements and responsibilities for these activities shall be documented.

8.1.18 Audits

NA

9 Configuration Management

All filters are to be manufactured to the qualified design. Deviations from this design, as documented via drawings, manufacturing procedures, fabrication methods, and certificates, are not permissible.

10 Documentation and Submittals

10.1 General

SUPPLIER shall submit to BUYER the Engineering and Quality Verification documents outlined below. Detailed instructions will be provided in the Statement of Work associated with a Request for Proposal. Submittals specific to a single filter shall reference the full serial number of the filter.

10.2 Submittals

The SUPPLIER shall provide the following submittals to the BUYER for review and approval:

10.2.1 Deleted

10.2.2 Datasheet

10.2.2.1 Product catalog datasheet with product description, filter weight, filter dimensions, service application(s), filter medium total effective area, rated flow capacity, rated environmental and service conditions, loading capacity with test aerosols, and limitations

Exhibit A  

17 

10.2.2.2 Catalog performance curve indicating pressure drop (in inches W.C.) versus flowrate (ACFM)

10.2.3 Procedures

10.2.3.1 Testing procedures per ASME AG-1 Section FK-5600, including acceptance criteria

10.2.3.2 Manufacturing/fabrication procedures to demonstrate compliance with ASME AG-1 Article FK-6000, including acceptance criteria. Include welding procedure specification and associated welding procedure qualification per ASME AG-1 Article AA-6300.

10.2.3.3 Packaging, shipping, and storing procedures in accordance with ASME AG-1 Article FK- 7000 and Reference 2.2.1.

10.2.3.4 Filter visual, welding, and physical tolerance inspection procedures, including acceptance criteria

10.2.3.5 Governing qualification procedures for personnel responsible for the manufacture and inspection of filters.

10.2.3.6 Test plan and procedures used to conduct Environmental and Service Condition testing as outlined in Appendix A.

10.2.4 Reports

10.2.4.1 Code compliance matrix (with any applicable attachments, including certificates or reports of conformance or other supporting documentation) prepared to provide evidence of qualification of filter design(s) in accordance with ASME AG-1 Article FK-5100 (as tailored for WTP, as described in Section 3.2) and the WTP-specific environmental and service conditions described in Appendix A. The SUPPLIER is to provide evidence of filter design qualification testing in accordance with the WTP-specific tailoring of ASME AG-1, and compliance with the requirements of associated testing. SUPPLIER shall identify provide evidence of compliance for each requirement enumerated.

10.2.4.2 Copies of post-production test results for filter efficiency and filter clean differential pressure (ASME AG-1 Section FK-5600); and inspection results (ASME AG-1 Section FK- 5500) will be provided by SUPPLIER to BUYER covering each filter delivered, demonstrating compliance with fabrication in accordance with ASME AG-1 Sections FK- 5500 and FK-5600 for each filter provided to BUYER. Test results shall be traceable to each filter.

10.2.5 Certificates/Reports of Conformance

10.2.5.1 Certificates or reports of conformance covering the ASME, ASTM, or other material specification, grade and class (as applicable) for each material of construction used in the filter design(s). Include a certificate or report of material traceability for each batch of media used in filter production, and indicate which batch of media each filter uses. Required materials are specified by the filter drawings listed in the material requisition. Certificates of conformance shall meet the requirements of 8.1.7.1.

10.2.5.2 The SUPPLIER is to provide evidence of media acceptability.

Exhibit A  

18 

10.2.5.3 Certificates of conformance are to accompany all filters delivered from SUPPLIER to document the manufactured filters’ fulfillment of purchase order requirements. Certificates of conformance shall meet the requirements of 8.1.7.1.

10.2.5.4 Report from UL indicating filter compliance with ASME AG-1 Sections FK-5250 and FK- 5260.

10.2.5.5 Report from DOE Filter Test Facility indicating filters’ fulfillment of performance requirements (Not Part of Supplier’s Scope).

10.2.5.6 Report from independent testing laboratory (such as Mississippi State University) indicating compliance with environmental and service test conditions identified in Appendix A.

Exhibit A  

A‐i 

Appendix A - WTP Environmental and Service Conditions

Filters suitable for WTP applications must be capable of maintaining performance standards per ASME AG-1 (and the associated WTP tailoring thereof) after exposure to the following environmental and service conditions concurrently:

Flowrate (ACFM) Air Temperature (oF) Relative Humidity (%) Loading Aerosol (Type)

2000

120

40

Arizona Road Dust (5 micron aerodynamic mass median diameter)*

*Arizona road dust is the most widely used filter loading aerosol particle and represents the WTP desert natural environment. Arizona Road Dust, ISO 12103-1, A1 Ultra-Fine Test Dust from Powder Technology Inc. with the size distribution shown below shall be used.

Size Distribution (Weight Percent) of ISO 12103-1, A1 Ultra-Fine Test Dust from Powder Technology, Inc.

Arizona Road Dust may present a problem with the measurement of particles having sizes above 5 microns due to the loss of the larger particles in the test duct and sample lines due to gravitational settling and due to inertial losses in bends. Preliminary tests will be required to determine the sample line loss and ductwork loss. If significant losses become evident, then the measurements shall be corrected.

Environmental and Service Conditions Testing Outline

The following is a general outline of the expected Environmental and Service Conditions test sequence to be conducted by the Supplier at an independent testing laboratory (such as Mississippi State University). The Supplier shall provide a detailed test plan for Buyer review and approval prior to conducting the testing.

Note: At designated times during the particle loading testing identified below (i.e., between 2 and 4 inches WC, between 4 and 10 inches WC, and between 10 inches WC and maximum dP), determine and record the mass size distribution of the Arizona Road Dust test aerosol. If it is not possible with reasonable effort to measure test aerosols under designated test conditions, then additional increments of particle loading under ambient conditions are required to characterize the particle concentration and size distribution

Exhibit A  

A‐ii 

A clean filter shall be preconditioned at 100% of rated flow using ambient air for one hour. Record the temperature and relative humidity of the ambient test conditions.

After preconditioning, remove the filter and record the mass of the filter to determine the filter tare mass.

After recording the mass of the filter, set the air flow to 2000 ACFM at ambient conditions. Measure and record the DOP aerosol penetration at 100% and 20% of 2000 ACFM under

ambient conditions. The temperature and relative humidity of the ambient test conditions shall also be recorded for each test.

Adjust the air temperature to 120 oF and 40% relative humidity and load the filter with Arizona Road Dust while measuring and recording the filter differential pressure at increasing levels of computed particle loading.

Particle loading shall be continued until the filter differential pressure reaches 4 inches WC. At 4 inches WC stop loading with the Arizona Road Dust and record the differential pressure.

Adjust the temperature and relative humidity to ambient conditions and then measure and record the DOP filter efficiency at 2000 ACFM.

Adjust the air temperature back to 120 oF and the relative humidity back to 40% and continue loading the filter with the Arizona Road Dust while measuring and recording the filter differential pressure at increasing levels of computed particle loading.

Monitor downstream aerosols using a photometer or other particle counter for potential filter failure.

Particle loading shall be continued until the filter differential pressure reaches 10 inches WC. At 10 inches WC stop loading with the test aerosol and record the differential pressure. Adjust the temperature and relative humidity to ambient conditions and then measure and record

the DOP filter efficiency at 20% of rated flow (400 ACFM) , followed by the DOP filter efficiency at 2000 ACFM. The temperature and relative humidity of the ambient test conditions shall be recorded for each test.

Verify that the filter is at ambient conditions for at least 30 minutes, or until the downstream air temperature and relative humidity equals the room air temperature and relative humidity. Remove and determine and record the mass of the filter.

Reinstall the filter and continue particle loading at 120 oF and 40% RH. Measure the differential pressure until filter failure occurs (i.e., efficiency less than at 99.5%), or until the static pressure capacity of the blower is reached.

Stop the aerosol loading, then adjust the air temperature and relative humidity to ambient conditions. Measure and record the DOP aerosol penetration at 2000 ACFM under ambient conditions.

Determine the filter mass at the completion of the test.

Exhibit A  

Exhibit B

Photograph of example 2000 ACFM radial flow safe change HEPA filter for use at the WTP

Exhibit A  

Exhibit C

Photograph of typical 2000 ACFM safe change radial flow HEPA filter housings installed at the WTP

Exhibit A  

Exhibit D

Sketch of typical 2000 acfm radial flow safe change HEPA filter for use at the WTP (dimensions in inches)

Exhibit A  

Exhibit E

Sketch of Isometric Section View of Typical Safe Change Filter Housing