014100 Quality Requirements R2.pdf

PPPL Quality Requirements August 2023

QUALITY REQUIREMENTS 014100 - 1

SECTION 014100 QUALITY REQUIREMENTS

PART 1 GENERAL

1.1 SECTION INCLUDES

A. This Section specifies the requirements for quality control, including those for tests, documentation of quality activities, and providing certificates of compliance. These requirements are in addition to the requirements specified elsewhere in the Subcontract.

B. The Subcontractor is responsible for quality control and shall establish, document, implement, and maintain an effective Subcontractor quality control system, hereafter referred to as the Quality Assurance Program (QAP). The QAP shall apply to all Subcontractor on-site and off-site activities.

C. The Subcontractor’s Project Manager in addition to requirements elsewhere in the Subcontract shall be the highest-level manager responsible for the overall activities on and off of the site, including quality, safety, and production, is subject to removal by PPPL for non-compliance with the quality requirements.

D. The Subcontractor’s Quality Control Coordinator (SQCC) will be held responsible for the implementation and management of the QAP and is subject to removal by PPPL for failure to perform the aforementioned. Inherent in the responsibility is the authority to stop work, and to accept or reject any or all work, materials, or equipment associated with the job including work-in- progress. The SQCC role can be filled by one of the Subcontractor’s key personnel or a separate dedicated individual to meet project quality requirements. The SQCC shall be responsible for the implementation of the QAP for all quality related construction activities on and off site. The SQCC is subject to removal by PPPL for non-compliance with the quality requirements.

E. No separate payment will be made for work covered under this specification. The work associated with this specification is considered incidental to the completion of work in which it pertains. The cost of this work shall be accounted for in accordance with the general Provisions.

F. Failure of the Subcontractor to comply with the requirements of this Section shall be grounds to stop work, for a credit assessed against the Subcontractor for quality control work not performed, and to withhold progress payments, in part or in total, until the Subcontractor is in compliance. In addition, no non-conforming work will be approved for payment.

G. Subcontractor’s Responsibility for Conformance: Neither review and/or approval of Subcontractor's documents nor inspection of Subcontractor's items or services shall relieve the Subcontractor of responsibility for full compliance with requirements of the subcontract. The Subcontractor is responsible for assuring that all requirements and restrictions are imposed on any lower-tier suppliers. The Subcontractor is responsible for assuring that all requirements and restrictions are imposed on any lower-tier suppliers.

1.2 DEFINITIONS

A. Construction Quality Management is the performance of tasks that ensure that construction is performed according to Subcontract Drawings and Specifications. Quality

QUALITY REQUIREMENTS 014100 - 2

is the attainment of a predetermined level of excellence established by the Subcontract Drawings and Specifications. The Subcontractor, in building to the quality standards in the Subcontract Drawings and Specifications, controls the quality of the Work.

B. Subcontractor Quality Control (SQC) is the successful execution of the Subcontractor Quality Program, providing certification that the required standards of quality construction are met and to preclude problems resulting from poor quality or lack of quality. The Subcontractor, for each definable feature of work, shall conduct at least three phases of control as described in Article 1.8.

C. Construction Quality Assurance (CQA) involves the means by which PPPL protects its interests. Through reviews, inspections, tests, Quality Assurance surveillance and audits, PPPL assures that QAP is being implemented and is working effectively, and that the end product complies with the level of quality established by the Subcontract.

D. A definable feature of work is a particular work task that is separate and distinct from other work tasks, has separate control requirements delineated in the Specifications, and may be performed by different trades or disciplines, or it may be work by the same trade in a different environment. Although each Section of these Specifications may generally be considered as a definable feature of work, there is frequently more than one definable feature under a particular Section. For example, Division 03 – Concrete Specifications may encompass multiple definable features of work such as cast-in-place structural concrete for walls, slabs, walkways, precast one-pass segmental liners and shotcrete.

E. Witness Points are points in the sequence of work where PPPL will review, witness, or test parts and processes of the Work. The SQCC is required to notify PPPL, who may attend, at least 3 Working Days in advance of the required Witness Point or as otherwise agreeable to PPPL.

F. Hold Points are mandatory verification or inspection points in the sequence of work beyond which work shall not proceed until the SQCC notifies the organization establishing or mandating the Hold Points and the organization performs the necessary verification or inspection to confirm that specified conditions have been met and gives authorization to the Subcontractor to then proceed to the next sequence of work. Typical hold points shall be established by the Subcontractor, PPPL, or approving authorities and documented in the QAP at the start of the project. The Subcontractor is required to notify PPPL and the Architect/Engineer at least 10 Working Days in advance of the required Hold Point or as otherwise agreeable to PPPL. The Subcontractor is responsible for notifying and coordinating with other approving authorities.

1.3 OBSERVATIONS BY PPPL

A. All work (which includes but is not restricted to materials, workmanship, testing, and manufacture and fabrication of components) shall be subject to inspection, including Hold Points, Witness Points, and tests by PPPL and by other authorized personnel designated by PPPL. Such inspection or test is for the sole benefit of PPPL and shall not relieve the Subcontractor of the responsibility or provide quality control measures to assure that the work strictly complies with the Subcontract requirements. No inspection, test, surveillance, or audit by PPPL shall be construed as constituting or implying acceptance. Inspections, tests, surveillance, or audits by PPPL shall not relieve the Subcontractor of responsibility for damage to or loss of the material prior to acceptance, or in any way affects the continuing rights of PPPL after acceptance of the completed work.

B. The Subcontractor shall make available all offsite fabrication facilities for inspection, QUALITY REQUIREMENTS 014100 - 3 surveillance, and/or audit of fabricated items by PPPL.

C. If the Subcontractor does not promptly replace rejected material or correct rejected workmanship, PPPL may, by Subcontract or otherwise, replace such material or correct such workmanship and deduct the cost thereof from subsequent progress payments.

D. The Subcontractor shall be held responsible for delay of inspection or test due to material or work not being acceptable or ready at the time specified by the Subcontractor for such inspection or test, and due to re-inspection or retest necessitated by prior rejection.

E. The Subcontractor shall not cover, or allow to be covered, any of the Work installed under this Subcontract without PPPL’s approval. Should any of the work be covered prior to such approval, PPPL shall have the authority to require the work to be uncovered for PPPL’s inspection and approval, re-covered, and all resultant damage repaired, all at the Subcontractor’s expense. Work that is found to be unacceptable shall be documented and dispositioned as required by the QAP

F. Should it be necessary or advisable by PPPL, at any time before Acceptance, to make an examination of work already completed, the Subcontractor shall, if requested, promptly furnish all necessary facilities, equipment, labor, and material required. If such work is found to be defective or nonconforming, the Subcontractor shall be responsible for all the expenses of such examination and for satisfactory reconstruction. If, however, PPPL was notified at least 10 Working Days in advance and 3 Working Days to inspect said work and work is found to meet the requirements of the Subcontract, the Subcontractor will be compensated for the additional services involved in such examination and reconstruction under Force Account, and, if completion of the Work has been delayed thereby, the Subcontractor shall, in addition, be granted a suitable extension of time.

G. Neither inspections nor approvals by PPPL or by others shall relieve the Subcontractor from the obligation to perform the Work in accordance with the Subcontract.

1.4 SUBMITTALS

A. The Subcontractor shall submit the Quality Assurance Program, in written form and in one manual, for review and acceptance by PPPL, not later than ten (10) Working Days after subcontract award as part of the Notice to Proceed (NTP) documents.

B. PPPL will consider an interim QAP to be utilized as part of the Notice to Proceed (NTP) documents for submission of Submittals and RFIs, and for Mobilization activities as described in the Item descriptions of the Payment Section of the Subcontract Specifications.

C. Construction will be permitted to begin only after approval of the final QAP or as otherwise approved by PPPL.

1.5 QUALITY ASSURANCE PROGRAM

A. The Subcontractor shall establish, implement, and maintain an effective Quality Assurance Program that describes how the Subcontractor is to manage, control and document the Work to assure that it complies with the requirements of the Subcontract. All lower-tier subcontractors, fabricators, Suppliers, and Inspection and Testing Laboratories shall comply with the QAP.

B. The QAP shall identify personnel, procedures, hold point, controls, instructions, tests, certifications, records, and forms to be used, and shall include, as a minimum, the following

QUALITY REQUIREMENTS 014100 - 4

to cover all construction operations, both onsite and offsite, including Work by lower-tier subcontractors, fabricators, Suppliers, Inspection and Testing Laboratories:

1. A description of the Subcontractor’s organization for the Subcontract (including Subcontractor’s senior management, lower-tier subcontractors, and Suppliers) and an organizational chart showing names, titles, responsibilities, lines of authority, and interrelationships among those responsible for managing the Subcontractor Quality Program and the rest of the Subcontractor’s staff.

2. The Subcontractor shall also acknowledge that the Subcontractor (and lower-tier subcontractors) shall implement the three-phased control system defined in Article 1.8 herein for all aspects of the Work specified. The staff shall include a Subcontractor Quality Control Coordinator (SQCC) that can be filled by one of the Subcontractor’s key personnel or a separate dedicated individual to meet project quality requirements. The SQCC shall report to the Subcontractor’s Management at an organization level superior to the Subcontractor’s Project Manager. This reporting structure shall provide the SQCC with direct access to the Subcontractor’s Principal Officers.

3. In resume format, the names, qualifications, certifications, duties, responsibilities, and authorities of the SQCC, and other Subcontractor lead staff such as foremen, project and office engineers, and other staff involved in coordinating and monitoring testing.

4. Document Control Procedures and Records

a. For submitting, processing, and managing documents such as

Submittals, RFIs, and other communications including tracking and verifying that appropriate personnel are reviewing documents and working with correct information.

b. To ensure the use of the most current approved documents, including but not limited to Submittals, RFIs, drawings, specifications, procedures, and directives.

c. To provide for control of documents and changes to preclude use of inappropriate documents.

d. To establish records control logs and a systematic filing system for ease of retrieval.

e. To establish format for forms and documents, including logs, Quality Control and inspection reports, test reports, procedures, Quality Control Inspection Checklists and Subcontractor Non-Conformance Reports.

5. Procurement/Purchasing/Receipt Procedures

a. To ensure the Supplier/manufacturer has an established quality program that verifies and documents the quality process.

b. For receipt inspection and approval of procured product to ensure products comply with the Subcontract requirements, and to assure materials, equipment, and parts are clearly identified (plates, tags, and markings) for intended use and have proper supporting documentation.

c. To establish measures for handling, storing, and shipping, including cleaning, packaging, and preserving the product in accordance with Supplier/manufacturer’s instructions, and assuring non-compliant materials, equipment, and parts are not used and are segregated.

6. Process Control Procedures

QUALITY REQUIREMENTS 014100 - 5

a. To ensure all work processes and activities affecting quality include documented instructions, procedures, planning sheets, job tickets, or drawings appropriate for the work operations.

b. To ensure special processes such as welding, heat treating, soldering, cleaning, non-destructive testing, and prestressed and post stressed concrete activities are accomplished using qualified personnel and procedures, and in accordance with applicable codes and Subcontract requirements.

c. Provide current Certificates of welders’ qualifications in accordance to ANSI/AWS D1.1. Certificates shall include the date of certification, qualification, grade and rating, and signature of the AWS Certified Welding Inspector. Welders shall be retested and recertified, at no expense to PPPL, when their work creates a reasonable doubt as to proficiency.

d. To establish methods for assuring and documenting that activities have been completed in accordance with Subcontract requirements.

7. Quality Control Inspection and Testing Procedures (including those for the Independent Testing Laboratories)

a. For the performance, control, verification, certification, and acceptance of each specific test.

b. To verify the Work processes, products and systems comply with documented instructions, codes, and Subcontract Documents.

c. For documenting inspection activities, testing activities, and test results.

d. To assure testing and measuring equipment are properly calibrated and maintained in accordance to nationally recognized standards, and that the equipment utilized for inspection, measuring, or testing is of the proper range and type.

e. For evaluating the validity of previous inspection and test results and acceptability of materials and equipment so checked if the test equipment is found to be out of calibration.

f. For maintaining records and suitable markings of test equipment to indicate calibration status, including the entity that performed the last calibration, date that the calibration was performed, and date on which re-calibration is due.

g. Refer to Article 1.9 herein for additional requirements.

8. Inspection and Test Status Procedures

a. For ensuring the use of only material, parts, systems, and equipment that have acceptable documented receipt inspection.

b. For indicating the quality status as a result of required inspection or testing performed upon furnished and installed materials, parts, systems, or equipment. Subsequent work shall not progress until the non-acceptable status as a result of inspection of furnished and installed material, parts, systems, or equipment has been removed by the SQCC.

9. Procedures for tracking and documenting preparatory, initial, and follow- up control phases.

10. Non-Conformance Procedure

a. For controlling, tracking, and reporting of construction deficiencies, QUALITY REQUIREMENTS 014100 - 6 non-conforming items, QAP failures, or shortcomings, and/or inadequate administration of the QAP from identification through acceptable corrective action. These procedures shall establish measures to identify, segregate, and remove from work operation the non-conforming items to prevent inadvertent use/incorporation into the Subcontract, identify root cause, and provide documented verification that identified deficiencies have been corrected and approved by PPPL. Refer to Article 1.10 herein for additional requirements of Non- Conformances.

b. The Subcontractor shall have Subcontractor Non-Conformance Report (SNCR) forms and a SNCR log for identifying, correcting, documenting, and controlling non-conformances. The format and content of the SNCR form and SNCR log shall be approved by PPPL.

11. Corrective Action Procedure:

a. For ensuring that QAP failures or shortcomings, inadequate administration, or implementation of the QAP, or series of related or repeating Non-Conformances are identified and documented through the use of separate Corrective Action Requests or may be included in the Non-Conformance Report and that rigorous steps are implemented by the SQCC and Subcontractor’s Principal Officers to prevent recurrence.

b. Additionally, subsequent work may not progress on work that is the subject of a Corrective Action Request, until conditions adverse to quality are corrected as documented by the SQCC via the Corrective Action Request. Refer to Article 1.10 herein for additional requirements of corrective actions.

12. Audit and Surveillance Procedure:

a. For ensuring that the Quality Control Program is being effectively implemented through scheduled or spontaneous Audits or Surveillances performed by qualified SQC Staff.

13. A training program to assure that suitable proficiency is achieved and sustained by personnel performing activities that affect and ensure quality.

Additionally, the Subcontractor shall provide awareness training in the general requirements of the QAP for the Subcontractor and lower-tier subcontractor’s Quality Control staff and management teams prior to work being performed and upon changes to the QAP. All training shall be documented with an agenda, related information, minutes of the training, attendance sheet, date, and time. PPPL shall be notified a minimum of 2 Working Days in advance of training which it may attend.

14. Provisions for identification of all types of quality records as evidence that all activities comply with the requirements of the Subcontract Documents and

QAP.

15. A list of definable features of the work and the Subcontract quality requirements for each feature, and how the Subcontractor intends to furnish that quality, including control testing, certifications, and records.

16. An organized list of tests that includes the test name, frequency of test, specifications Section and Article requiring test, feature of work to be tested, person and organization responsible for each test, and test type, including Factory Tests, Construction Inspection Tests, Installation Tests, Acceptance Tests, and other tests.

QUALITY REQUIREMENTS 014100 - 7

17. An inventory of the materials, equipment, in-process work, and systems subject to testing and certification.

18. The current qualifications and certifications of all the proposed Independent Inspections and Testing Laboratories/Agencies and their personnel to be used in the work by the SQCC and as required by Article 1.8 herein.

19. Other elements required of the QAP include lower-tier Subcontractor/Supplier/ Vendor Controls; Start-Up Testing Control; and Facility Turnover.

C. Acceptance of the Subcontractor Quality Program (QAP) by PPPL is required prior to the start of construction. Acceptance is conditional and will be predicated on satisfactory performance during construction. PPPL reserves the right to require the Subcontractor to make changes in its QAP and operations including removal of personnel, as necessary, to obtain the quality specified at no cost to PPPL.

1. After acceptance of the QAP, the Subcontractor shall notify PPPL in writing of proposed changes, including changes to SQCC. Proposed changes are subject to approval by PPPL.

1.6 SQC COORDINATION CONFERENCE

A. After the Pre-construction Meeting and prior to acceptance by PPPL of the Subcontractor

Quality Program (QAP), the Subcontractor shall convene a SQC Coordination Conference with PPPL or authorized representative and discuss the QAP. The QAP shall be submitted for review a minimum of 7 Working Days prior to the Coordination Conference. PPPL will return comments on the QAP submittal within 15 Working Days unless otherwise noted after the Conference. During the Conference, a mutual understanding of the system details shall be developed, including the forms for recording the Subcontractor’s Quality Control operations, control activities, testing, administration of the system for both onsite and offsite work, and the interrelationship of Subcontractor's Management and control with PPPL's Quality Assurance. Minutes of the meeting shall be prepared by the SQCC and signed by the Superintendent, the SQCC, and PPPL. The minutes shall become a part of the Subcontract file. Subsequent conferences can be called by either party to reconfirm mutual understandings and address deficiencies in the QAP.

1.7 SUBCONTRACTOR QUALITY CONTROL ORGANIZATION

A. Personnel Requirements: The SQC organization shall include the SQCC (and alternate) to ensure compliance with the Subcontract Documents. Personnel identified in the technical provisions as requiring specialized skills to assure the required work is being performed properly will also be included as part of the SQC organization. The Subcontractor SQCC (or alternate) shall maintain a presence at the site for preparatory, initial, and follow-up control phases. The Subcontractor shall provide adequate office space, filing systems, and other resources as necessary to maintain an effective and fully functional SQC organization. Complete records of all letters, material submittals, shop drawing submittals, schedules, and all other Subcontract documentation shall be available at all times for Subcontractor, lower-tier subcontractor, Architect-Engineer, and PPPL use.

These documents may be electronic but physical samples, mock-ups, etc. should be available on-site at all times.

B. Subcontractor’s Quality Control Coordinator (SQCC) qualifications:

1. The Subcontractor shall identify as SQCC an individual within the onsite work organization who shall be responsible for overall management of QAP and have the authority to act in all quality matters for the Subcontractor.

QUALITY REQUIREMENTS 014100 - 8

2. The SQCC shall have a minimum of 5 years of construction quality control experience on construction similar to that of this Subcontract, or as otherwise approved by PPPL.

3. The SQCC shall be on the site as deemed necessary by the Subcontractor to manage, supervise, implement, and perform the Work in accordance with the Subcontract and its incorporated documents.

4. An alternate SQCC shall be identified to serve in the in the event of the SQCC’s absence. The requirements for the alternate SQCC are the same as for the SQCC.

1.8 CONTROL

A. Subcontractor Quality Control is the means by which the Subcontractor ensures that the construction, including that of lower-tier subcontractors and Suppliers, complies with the requirements of the Subcontract. The SQCC and Superintendent, for each definable feature of work, shall conduct at least three phases of control as described in the following:

1. Preparatory Phase: This phase shall be performed prior to beginning work on each definable feature of work, and after all required plans/documents/materials are approved/accepted by PPPL. PPPL shall be notified at least 3 Working Days in advance of beginning the preparatory control phase. This phase shall include a preinstallation conference, jointly conducted by the Superintendent and SQCC, attended by PPPL, lower-tier subcontractors, and the Architect-Engineer. The results of the preparatory phase actions shall be documented by separate minutes prepared by the SQCC and attached to the daily SQC report. The Superintendent shall instruct applicable workers as to the acceptable level of workmanship required in order to meet Subcontract Specifications. The preinstallation conference shall be held at least 10 Working Days prior to the start of the work to review the execution items below and shall include:

a. A review of the relevant Subcontract Documents, Submittals, RFIs, and other instructions, including verification that PPPL’s approval has been obtained for all Submittals or RFIs, subsequent to the start of work for each definable feature of work.

b. A review of manufacturers’ instructions, including that for handling, storing, and installing.

c. Review of all relevant inspection and tests requirements, including start-up testing, and procedures including:

1) Stating the reason for conducting the individual tests.

2) Identifying pre-requisite tests and providing documentation of the results.

3) Identifying test facilities and equipment (and model numbers) and their valid current certifications and calibrations.

4) Describing the setup of the test equipment with aid of drawings and sketches and the test sequence that must be taken to safely conduct the test.

5) Identify the test Pass/Fail criteria, as required by the Subcontract, for each test.

6) Identifying personnel involved and needed in the tests, including PPPL Staff, their responsibilities, and their certifications and qualifications as appropriate.

QUALITY REQUIREMENTS 014100 - 9

d. Review of relevant permits and their requirements including governing jurisdiction inspection requirements.

e. Examination of the work area and documentation to assure that all required preliminary work and previous definable features of work have been completed and are in compliance with the Subcontract, and all relevant Subcontractor Non-Conformance Reports, and Non- Compliance Notices have been properly dispositioned and closed, including acceptance by PPPL. Subcontractor shall provide organized and compiled documents and records of the previous definable feature of work, including but not limited to QC reports, test results, and Special Inspection reports to PPPL as evidence of compliance.

f. A review of the safety activity hazard analysis to assure safety requirements are met.

g. Review of quality control procedures and activities including inspections and tests for controlling quality of the work including the prevention of repetitive deficiencies.

h. Review of Subcontractor’s Quality Control inspection checklists. The checklists, based on the above requirements, shall be developed for the definable work feature to control, and document the work quality.

Each checklist shall be in a format that field personnel and Subcontractor Quality Control staff, can monitor, implement and document results, and include but is not limited to work sequence, work location, inspection and test requirements, acceptance criteria (including allowable tolerances, Pass/Fail criteria and level of workmanship), test equipment identification number and calibration date, date of test and inspection, inspection and test Hold Points and Witness Points, and as agreed upon or established by PPPL and as required by approving agencies, to ensure the work complies with Subcontract requirements. Multiple checklists may be required for each definable feature of work because work occurs at multiple locations and on different days.

i. A physical examination of required materials, equipment, and sample work to assure that they have been tested, submitted, and approved are on hand, conform to approved shop drawings or submitted data, and are properly stored. First Delivery Inspections shall be performed with photo documentation confirming materials arriving on-site meet the approved submittals, shop drawings, samples, etc.

2. Initial Phase: The purpose of this Initial Phase, which is separate from the Preparatory Phase, is to prepare for work, refine the controls and close out open items from the Preparatory Phase. This phase shall include a meeting, jointly conducted by the Superintendent and SQCC, attended by PPPL, lower-tier subcontractors, and the Architect-Engineer. The Initial Phase meeting shall occur after the Preparatory Phase and immediately prior (or in conjunction) to initiating the field activity for the particular definable feature of work. The following shall be accomplished:

a. Review minutes of the preparatory meeting and ensure open items are properly closed out.

b. SQCC shall update and finalize the Quality Control inspection checklists as required.

c. A First Installation Inspection shall be performed to confirm the

QUALITY REQUIREMENTS 014100 - 10

product or system is installed per subcontract drawings, specifications, and approved submittals. Photo documentation shall be included documenting progress, workmanship, discrepancies, concerns, etc.

d. Subcontractor’s Safety Engineer shall verify that safety considerations are adequate or if it is determined that upgrading of the safety plan and activity hazard analysis, is required. The Safety Engineer shall review the activity analysis with each worker.

e. Separate minutes of this phase shall be prepared by the SQCC and attached to the daily SQC report.

f. Exact location of items reconciled during the initial phase, such as acceptable architectural finishes or quality of craftsmanship, shall be indicated/documented for future reference and comparison with follow-up phases.

g. The initial phase shall be repeated for each new crew to work onsite, or any time acceptable specified quality standards are not being met as determined by the SQCC, Superintendent, or PPPL.

3. Follow-up Phase: Daily quality control activities, including control inspection and testing, shall be performed to assure work complies with Subcontract requirements, until completion of the particular feature of work. All testing and inspections shall be made a matter of record in the SQC documentation. Final follow-up inspection and testing shall be conducted, and all non-conforming work is to be corrected as required by the QAP. The Subcontractor shall correct all non-conforming work prior to the start of additional features of work that may be affected by the non-conforming work. The Subcontractor shall not build upon or conceal non-conforming work.

4. The Subcontractor shall refer to Article 1.9 herein for additional requirements.

5. All Subcontractor quality control documentation, including minutes of the

Preparatory and Initial Phases, checklists, and inspection and test report shall be organized, compiled, and archived by the relevant definable feature of work.

1.9 ADDITIONAL PREPARATORY AND INITIAL PHASES

A. Additional preparatory and initial phases shall be conducted on the same definable features of work if: the quality of on-going work is unacceptable; if there are changes in the applicable SQC staff, onsite production supervision or work crew; if work on a definable feature is resumed after a substantial period of inactivity; or if problems develop.

B. Preparatory and initial phases shall be logged and included in the quality section of the project weekly progress meeting.

1.10 INSPECTIONS AND TESTINGS

A. The Subcontractor shall perform specified or required quality control activities including inspections and tests by qualified personnel to verify that control measures are adequate to provide a product, which conforms to Subcontract requirements. Upon request, the Subcontractor shall furnish to PPPL duplicate samples of test specimens for possible testing by PPPL. The Subcontractor shall perform the following activities and record and provide supporting documentation:

1. Verify that personnel qualifications, work processes, products, systems, and quality control activities comply with documented instructions, codes, standards, Subcontract requirements, and the QAP.

QUALITY REQUIREMENTS 014100 - 11

2. Document quality control inspection activities, testing activities, and test results.

3. Verify testing and measuring equipment are properly calibrated and maintained in accordance with nationally recognized standards and are of proper range and type. The equipment shall have suitable markings to indicate calibration status including the entity that performed the last calibration, date that calibration was performed, and date on which calibration is due.

4. Verify that recording forms and test identification control number Systems, identified in the QAP, including all the test documentation requirements, have been prepared. Test reports shall include the type of test (e.g. factory tests, construction tests, acceptance tests, and/or Special Inspection tests), date and location of the test, reason for the test (e.g., reference permit number, applicable codes and Specifications Sections and Articles(s)), duration of test, the test results, name and signature of person(s) conducting the test, all data and results obtained during the tests, analysis of the data, conclusions relating to the test pass/fail criteria outlined in the test procedure, sign-offs and certification by authorized staff, and identify follow-up and corrective actions that are required if re-testing is required.

5. Copies of each completed and signed-off test report, including related quality reports, shall be provided to PPPL after approval by the SQCC for acceptance within 5 Working Days after completion of each test.

6. Results of all tests, both passing and failing, shall be recorded on the SQC report for the date the test was conducted. Specifications Section and Article reference, location where tests were performed, and the sequential control number identifying the test shall be provided. An information copy of tests performed by an offsite or commercial test facility shall be provided directly to PPPL within 2 Working Days of completion of each test. Failure to submit timely test reports as stated may result in nonpayment for related work performed and disapproval of the test facility for this Subcontract.

B. Testing and inspecting include but is not limited to the following:

1. Factory Tests: Factory Tests include Design Qualification Tests and

Production Verification Tests. Design Qualification Tests verify the performance of new engineering designs as specified. Examples include smoke and flammability tests of new material and switchgear design tests.

Production Verification Tests confirm that equipment and materials are manufactured in accordance with accepted workmanship standards and the specifications. Examples include composition tests of lubricants, equipment chassis wiring continuity and Megger tests, and relay rack factory acceptance tests.

2. Installation Verification Tests: Installation Verification Tests are the responsibility of the Subcontractor and include In-Process Acceptance Tests conducted at the subsystem or assembly level during the installation of each element as specified. Examples include shop electrical power distribution wiring continuity tests, local field acceptance tests of communications subsystems, and hydrostatic testing.

3. Acceptance Tests: Acceptance Tests are the responsibility of the Subcontractor and are conducted at the subsystem level to verify that the performance of each element and subsystem/assembly is in compliance with specification requirements. These tests are performed on-site and are prerequisites to the System Integration Tests where specified.

QUALITY REQUIREMENTS 014100 - 12

C. PPPL will engage a 3rd Party special inspection testing agency to cover all testing and inspection work as required by the Subcontract and the governing jurisdictions. This may include, but is not limited to the following:

1. Independent Certified Testing Laboratory to perform testing such as soil classification, soil compaction tests, continuity tests, in-situ testing, and concrete slump, entrained air, temperature, yield, and strength tests.

2. Independent Certified Testing Laboratory to perform chemical analysis for items such as hazardous/non-hazardous soil classification.

3. Independent AWS Certified Welding Inspectors (CWI) to perform welding inspections.

4. Special Inspections and testing services to be performed by a qualified Independent Certified Inspection and Testing Agency retained by PPPL.

These are Special Inspections as specified in the Subcontract Documents and as required by the governing jurisdiction, including the local building officials/codes, and are not to be confused with other types of inspections and testing. The following is a sample and an incomplete list of items requiring Special Inspections and testing services:

a. Excavation & Backfilling

1) Proof Rolling of existing and improved subgrades.

2) Density tests for all embankments, subgrades, aggregate bases, and subbases.

b. Asphalt

1) Density tests for all courses, core analysis and comparison in accordance with NJDOT.

2) Temperature monitoring

c. Structural

1) Epoxy installation of dowels, anchor bolts, or other inserts in drilled holes in existing concrete including such items as pull-out tests.

2) Concrete structures including sumps, pits, equipment utility vaults, structural underpinning, pole foundations and such, inspection the inspection of items such as form work and ties, and placement of concrete in accordance with applicable codes.

3) Masonry Concrete Walls construction including placement of reinforcing steel and grouting.

4) Inspection of reinforcing bar placement to verify compliance with Subcontract Drawings and Specifications.

5) Steel fabrication and erection inspection for compliance with codes.

6) Structural steel welding and non-destructive testing.

7) Metal deck installation and welding inspection.

8) High strength bolt installation, inspection, and testing.

9) Nelson stud shear connector installation, inspection, and testing.

10) Compressive strength testing for concrete and grout.

11) Coring and testing of concrete samples to determine compressive strengths of existing concrete.

D. Where the required inspections and tests vary from the approved inspections and testing

QUALITY REQUIREMENTS 014100 - 13

schedule, the Independent Inspection and Testing Agencies/Laboratories, in conjunction with the Subcontractor, shall provide a minimum of 5 Working Days advance notice to PPPL prior to the date of the inspection and testing so that PPPL may witness the inspections and the tests.

E. Within 5 Working Days after the completion of the inspections or tests performed, the Independent Inspection and Testing Agencies/Laboratories shall submit to PPPL and the Subcontractor, the results of the inspections and tests, indicating observations and the results of tests and indicating compliance or non-compliance with the Subcontract. With respect to the Special/continuous inspections and tests of Article 1.8 herein, the Independent Inspection and Testing Agencies/Laboratories shall also submit directly to the Permitting Agency two copies, or as required, of inspection and test reports.

F. Re-testing or re-inspecting required (including re-inspecting by building officials) because of non-conformance to specified requirements shall be performed by the same independent agency/laboratory on instructions by PPPL. All expenses related to re-testing and re-inspecting shall be borne solely by the Subcontractor.

G. Subcontractor is responsible to coordinate all required inspections, tests, including re-tests, by all independent inspection and testing laboratories/agencies so as to avoid unnecessary delays to the construction schedule.

H. The SQCC is required to complete and issue a Subcontractor Non-Conformance Report (SNCR) for each occurrence of non-conforming work or material. PPPL shall be furnished a copy of all SNCRs within 3 Working Days upon initial generation and upon “closeout”.

Subcontractor Non-Conformance Reports (SNCR) with REPAIR or USE AS-IS dispositions require review and acceptance by PPPL prior to the performance of repairs or subsequent incorporation of the non-conforming work into the Subcontract. Additionally, subsequent work may not progress on work that is the subject of a SNCR until conditions adverse to quality are corrected as documented by the SQCC via the SNCR and accepted by PPPL. SNCRs dispositioned as REJECT or REWORK, do not require PPPL’s approval.

A copy of the updated SNCR Log shall be provided weekly to PPPL or as otherwise approved by PPPL.

1. The Subcontractor shall investigate the root cause of the non-conformance and take appropriate corrective actions to prevent recurrence. Failure to properly identify and prevent recurrence may be cause for removal of Key Personnel, as determined by PPPL, from the Subcontract. Responses with preventive measures from Suppliers, lower-tier subcontractors, and others shall be recorded on or attached to the SNCR.

2. Any member of the Subcontractor’s staff can initiate a SNCR. Each initiated SNCR shall be logged and validated by the SQCC. SNCRs determined to be invalid shall be marked “VOID”, with an explanation and VOID status clearly indicated on the SNCR Log.

1.11 COMPLETION INSPECTION

A. SQC Preliminary Punch-Out Inspection: Near the end of the Work, or any increment of the Work established by a time stated in the Subcontract for Time Allowance for Completion of Work, the SQCC shall conduct an inspection of the Work. A preliminary Punch Out of items that do not conform to the Subcontract shall be prepared and included with the quality records. The list of deficiencies or non-conforming items shall include the estimated date by which the items will be corrected. The SQCC shall make a second inspection to verify that these items have been corrected. Once this is accomplished, the SQCC shall

QUALITY REQUIREMENTS 014100 - 14

notify PPPL that the facility or final product is ready for PPPL A/E Punch List Inspection.

B. A/E Punch List Inspection: The A/E design team will perform a Punch List Inspection to verify that the facility or final product is complete and ready for use, and as result, will develop a PPPL Punch List that will be provided to the SQCC. The SQCC shall ensure that deficiencies or non-conforming items identified on this list have been corrected within the time slated for the completion the Subcontract or any increment of work if the Subcontract is divided into increments by separation completion dates. Once this is accomplished, the SQCC shall notify PPPL so that a Final Inspection with Operations and Maintenance and other Departments can be scheduled.

C. Final Acceptance Inspection: The SQCC, other Subcontractor management staff, A/E design representative, and PPPL shall be in attendance at the Final Acceptance Inspection. Additional PPPL personnel including, but not limited to, those from Operations and Maintenance or other Departments may also be in attendance. PPPL, based on the results of the A/E Punch List Inspection, will schedule the Final Acceptance Inspection.

The SQCC shall give PPPL an advance notice of 15 Working Days prior to the Final Acceptance Inspection and shall assure that all work is in compliance with the Subcontract by the date scheduled for the Final Acceptance Inspection. Failure of the Subcontractor to have all Subcontract work acceptably complete for this inspection will not allow PPPL to accept the project or products until all items are completed and verified.

D. The A/E Punch List and Final Acceptance inspection above can be combined at PPPL’s discretion.

1.12 DOCUMENTATION

A. The Subcontractor shall maintain current quality records to provide factual evidence that all activities, including quality control activities such as inspections and tests have been performed, accepted, and comply with the Subcontract Documents and the QAP. These quality records shall include the work of the Subcontractor, lower-tier subcontractors, Suppliers inspection services and testing laboratories, and shall be on an acceptable form.

B. Quality records shall include but not limited to Certificates of Compliance, checklists, QAP, lower-tier subcontractor and Supplier Quality Programs, inspection reports, receiving inspection reports, calibration test reports, material test reports, SNCRs, personnel information (qualifications, certifications, resumes and approvals), minutes of the Preparatory Phase, Initial Phase, and Follow up Phase meetings, procedures, Submittals and RFI logs, Punch Lists, and training records.

1.13 NOTIFICATION OF NON-COMPLIANCE

A. In the event, for whatever reason, that the Subcontractor refuses to generate a Subcontractor Non-Conformance Report, PPPL may issue a Non- Compliance Notice to the Subcontractor for any detected non-compliance in the work or portion thereof that has not been performed in accordance with the Subcontract Documents.

B. The Subcontractor’s Project Manager and SQCC shall take immediate corrective action after receipt of such Notice. The Subcontractor shall provide a written Response to the Notice within 5 Working Days after receipt of the Notice. The Subcontractor’s response shall (a) explain why the Subcontractor believes that the work was performed in accordance with the Subcontract Documents or (b) the Subcontractor will generate a SNCR, provide the SNCR number to PPPL, and process the SNCR as required by the

QAP.

QUALITY REQUIREMENTS 014100 - 15

C. If the Subcontractor disputes issuance of the Notice, PPPL will respond within 5 Working Days after receipt of dispute by either (a) withdrawing the Non-Compliance Notice or (b) directing the Subcontractor to correct the work. Such determination from PPPL shall be final and conclusive of the matter. If PPPL directs the Subcontractor to correct the work, the Subcontractor shall do so within 5 Working Days after receipt of such direction from PPPL, or such other time as may be agreed to with PPPL.

D. If the Subcontractor fails or refuses to comply promptly, PPPL may issue an order stopping all or part of the work until satisfactory corrective action has been taken to prevent installation of non-conforming work. The Subcontractor shall make no part of the time lost due to such stop orders the subject of a claim for extension of time or for excess costs or damages.

PART 2 PRODUCTS

2.1 MATERIALS

A. Only new first quality materials will be supplied and used in this project.

B. Materials shall be delivered to the site in unopened, original containers, bearing the manufacturers printed label stating the quality, brand or trade name, batch number, date of manufacture and directions for use. Delivery of small day-to-day supplies will not be permitted.

C. PPPL & DOE have active programs to prevent use of Suspect & Counterfeit Items (SCI).

Material(s) and/or product(s), including those components, parts, and materials that are permanently installed into assemblies furnished under this purchase order/subcontract shall be new. The Subcontractor shall verify conformance of purchased items to drawing and specification requirements and inspect items to detect signs of use or indications that raise questions of authenticity. Subcontractor shall actively prevent introduction of SCI to PPPL by inspection of all items brought on site to detect:

a. Remanufactured, rebuilt, or used parts represented as new.

b. Counterfeit parts (fraudulently labeled or marked with another manufacturer’s name).

c. Misrepresented parts.

d. The Subcontractor shall assure that fasteners do not have head marks listed on the DOE Head mark List (See ATTACHMENT 1).

e. Regardless of application, high strength bolts (tensile strength equal to or greater than 100 ksi) in accordance with the Fastener Quality Act and must have the original manufacturer’s Certified Material Test Reports (CMTR) and must be traceable to the CMTR(s) using lot numbers or other unique identification.

Certified Material Test Reports (CMTR), showing actual material composition and physical properties and traceable to the actual fasteners, are required for each lot supplied. Results must be on the original letterhead of the entity performing the tests and not transferred to alternate letterhead. Fasteners shall exhibit grade marks and the manufacturer’s identification symbol (headstamp) as shown in Attachment 1. Fasteners having a headmark that is displayed on the suspect fastener list will not be accepted. Where high strength fasteners are not required, QUALITY REQUIREMENTS 014100 - 16 it is recommended that they not be used.

PART 3 EXECUTION – Not Used

END OF SECTION 014100

QUALITY REQUIREMENTS 014100 - 17

ATTACHMENT 1

Department of Energy 100 Stellarator Road Princeton, New Jersey 08540 P: (609) 243-2000

Project: 9101G254*NUL G254 D-Site HVAC Project 100 Stellerator Road

Plainsboro, New Jersey 08536 P: 609-243-2185

Inspection: First Delivery Inspection #1

2/2 2 0 0 0 Items Inspected Conforming Deficient N/A Neutral

Type Quality Status Closed by Brian Termine on 03/31/23

Trade General Contractor Location

Spec Section 23 70 10 - COMMERCIAL INDOOR AIR-

HANDLING UNITS

Linked Drawings

Description This Inspection is to ensure the submitted and approved products are arriving to the site for installation. Air Handling equipment (AC-101 Coils) received and stored inside a climate controlled area near MER prior to installation.

Attachments 1680109380859.750977_tempImage.jpeg, 1680109380704.472168_tempImage.jpeg

Inspection Details

Inspection Date Mar 29, 2023 Due Date

Point of Contact Responsible Contractor

PJ Dick

Assignee(s) Brian Termine

First Delivery Inspection 0 Neutral 2 Conforming 0 Deficient 0 N/A

1.1 Confirm submittal is approved and confirm materials delivered per approved submittal Activity: 1 Response Change, 0 Attachments, 0 Photos, 0 Comments, 0 Observations Pass Fail N/A

Brian…