HTP-APP_RFP_Attach 2_General Requirements_Rev. 1.pdf

S814057-SPEC-01 Rev 1

Microbial Molecular Phenotyping Capability

(M2PC)

High-Throughput Automated Phenotyping Platform General Requirements December 2024

Sam Paulsen

Samantha Ernst Dan Edwards Tom Morton Theva Thevuthasan

Lanson Oukrop

Microbial Molecular Phenotyping Capability (M2PC)

High-Throughput Automated Phenotyping Platform General Requirements

December 2024

Sam Paulsen

Samantha Ernst Dan Edwards Tom Morton Theva Thevuthasan

Lanson Oukrop

Pacific Northwest National Laboratory Richland, Washington 99354

Change Log

Revision History

Rev. Date Reason 0 July 2024 Initial Release

1 December 2024 Address PNSO, IRB, and HCA comments

Change LogContents iv

Contents

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1.0 Summary of Work

1.1 GENERAL

1.2 ATTACHMENTS

1.3 MILESTONES

1.4 USE OF PREMISES

1.5 WORK UNDER OTHER CONTRACTS

1.6 SPECIFICATION FORMATS AND CONVENTIONS

1.7 WORK CONTROL PROCESS

1.8 TRAINING FOR CONTRACT PERSONNEL

2.0 Payment Procedure

2.1 SUBMITTALS

2.2 MILESTONE LIST PREPARATION

2.3 APPLICATIONS FOR PAYMENT

2.4 DIRECT PAYMENTS TO SUB-TIER CONTRACTORS

2.5 BACKCHARGES

3.0 Administrative Requirements

3.1 SUMMARY

3.2 DEFINITIONS

3.3 SUBMITTAL PROCESS

3.4 PRODUCT DELIVERY, STORAGE, AND HANDLING

3.5 PRODUCT OPTIONS

3.6 PRODUCT SUBSTITUTIONS

3.7 SUBMITTALS

3.8 REQUESTS FOR INFORMATION (RFIs)

3.9 ENGINEERING CHANGE NOTICE (ECN)

3.10 MASTER SUBMITTAL LOG (DRAFT)

4.0 Progress (Scheduling) Documentation

4.1 DEFINITIONS

4.2 SUBMITTALS

4.3 SCHEDULE PREPARATION

4.4 SCHEDULE MAINTENANCE

4.5 REPORTS

4.6 PROGRESS PHOTOGRAPHS

5.0 Quality Requirements

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5.1 DEFINITIONS

5.2 SUBMITTALS

5.3 QUALITY MANAGEMENT SYSTEM

5.4 QUALITY CONTROL

5.5 BATTELLE VERIFICATION

6.0 Environmental, Safety, and Health

6.1 CONTRACTOR RESPONSIBILITY

6.2 COMPLIANCE WITH REGULATIONS

6.3 SUBMITTALS

6.4 KEY SUPERVISOR(s)

6.5 SAFE WORK COMMUNICATION

6.6 GENERAL TRAINING (BY CONTRACTOR)

6.7 EMERGENCY NOTIFICATIONS

6.8 EMERGENCY SUSPENSION OF WORK

6.9 PROTECTION OF PERSONNEL AND EQUIPMENT

6.10 EMERGENCY RESPONSE

6.11 INTEGRATED SAFETY MANAGEMENT SYSTEM

6.12 DAILY WORK PLANNING

6.13 SAFETY INSPECTIONS

6.14 WORKER SAFETY – WEATHER CONDITIONS

6.15 MECHANICAL MATERIAL HANDLING

6.16 HAZARDOUS SUBSTANCES

7.0 Environmental Protection and Waste Management

7.1 DEFINITIONS

7.2 REFERENCES

7.3 SUBMITTALS

7.4 SPILL KIT

7.5 HAZARDOUS MATERIAL STORAGE

7.6 BIOLOGICAL RESOURCE PROTECTION

7.7 NON-HAZARDOUS WASTE ACCUMULATION

7.8 HAZARDOUS WASTE ACCUMULATION AND INSPECTION

7.9 WASTE DISPOSAL

7.10 SPILL CONTROL AND MANAGEMENT

7.11 WASTE MINIMIZATION AND POLLUTION PREVENTION PROGRAM

8.0 Completion, Acceptance, and Closeout

8.1 SUBSTANTIAL COMPLETION

8.2 INSPECTION AND ACCEPTANCE (SECTION 1 OF ACW FORM)

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8.3 TRANSFER OF EQUIPMENT FOR BENEFICIAL USE (SECTION 2 OF ACW FORM)

8.4 FINAL ACCEPTANCE; CLOSEOUT OF EXCEPTIONS (SECTION 3 OF ACW FORM)

8.5 EXCEPTIONS LIST/PUNCH LIST

8.6 PROJECT RECORD DOCUMENTS

8.7 WARRANTIES

8.8 RECORD DRAWINGS

8.9 MISCELLANEOUS RECORD SUBMITTALS

8.10 DEMONSTRATION AND TRAINING

8.11 FINAL CLEANING

9.0 O&M Manual

9.1 SUBMITTALS

9.2 MANUAL CONTENTS

9.3 PRODUCT DATA

9.4 CALCULATIONS

9.5 EQUIPMENT OPERATION MANUAL

9.6 EQUIPMENT MAINTENANCE INFORMATION

9.7 WARRANTIES

9.8 INSPECTION AND TEST REPORTS

9.9 PROJECT RECORD DOCUMENTS

9.10 MANUAL PREPARATION

10.0 System Commissioning

10.1 COMMISSIONING

10.2 COMMISSIONING PROCESS

10.3 COMMISSIONING TEAM

10.4 RESPONSIBILITIES

10.5 TEST EQUIPMENT

10.6 MEETINGS

10.7 SYSEMS TO BE COMMISSIONED

10.8 REPORTING

Summary of Work 1

1.0 Summary of Work

1.1 GENERAL

A. Battelle Memorial Institute (Battelle) is responsible for operation and maintenance of the U.S.

Department of Energy's (DOE’s) Pacific Northwest National Laboratory (PNNL) in Richland, Washington, under Contract No. DE-AC05-76RL01830. One of the strategic objectives for the Environmental Molecular Sciences Laboratory (EMSL) at PNNL is to increase the throughput and data content, quality, and reproducibility of its analyses. To create this capability, Battelle seeks to acquire an automated microbial molecular phenotyping platform that enables researchers to investigate a wide breadth of dynamic parameters to elucidate the relationship between genotype and phenotype using a variety of analytical methods with minimal need for operator intervention.

B. The terms contractor, HTP-APP contractor, and vendor are used interchangeably throughout this General Requirements Document, and all refer to the HTP-APP contractor. HTP-APP contractor shall provide a High-Throughput Automated Phenotyping Platform (hereinafter referred to as the HTP-APP) to achieve the Microbial Molecular Phenotyping Capability (M2PC) mission needs. The technical requirements, as well as coordination requirements with the yet to be determined facility contractor, are captured in S814057-SPEC-02, M2PC High-Throughput Automated Phenotyping Platform Performance Specification. Herein after referred to as the HTP-APP P-Spec. The facility contractor will provide utilities to within approximately 4 feet of the HTP-APP equipment utility connection locations. The HTP- APP contractor is responsible for the supervision, labor, materials, equipment, incidentals, and appurtenances necessary to connect its equipment to the facility-provided utilities. Note: The Battelle M2PC project team includes an oversight role for coordination between the HTP-APP contractor and the facility contractor. The person fulfilling this role will provide oversight related to partnering and information sharing between the HTP-APP contractor and the facility contractor. Battelle will name this individual to the HTP-APP contractor subsequent to Contract Award, and HTP-APP contractor shall include this person on distribution of all correspondence, meeting minutes, and other communications with facility contractor.

C. The requirements in the HTP-APP P-Spec, including its attachments, appendices, and references, are the minimum required of the HTP-APP contractor, and all work shall be performed as specified therein.

HTP-APP contractor shall collaborate with Battelle, the facility contractor, and the 3rd party commissioning agent throughout the design, acquisition, fabrication, factory acceptance testing, installation, functional testing, and training processes to successfully deliver a fully operational HTP-APP that meets the HTP-APP P-Spec requirements. ‘Facility Contractor’, as used herein, shall mean the construction contractor Battelle will engage to construct the M2PC facility.

1.2 ATTACHMENTS

A. Drawings - None

B. Specifications

1. M2PC HTP-APP Performance Specification: S814057-SPEC-02 (current revision included in the contract)

2. M2PC HTP-APP General Requirements: S814057-SPEC-01, Rev. 1 (this specification)

Summary of Work 2

1.3 MILESTONES

A. The work shall be conducted in accordance with the following minimum suggested Interim Milestones (IM). Major work-steps preceding and succeeding each IM shall be developed by the contractor in a detailed master schedule in accordance with Subsection 4.0 below. This list of IMs is a high-level summary of the work to be performed, and the HTP-APP contractor shall define a detailed list of milestones, based on the IMs outlined below, as part of the contract proposal. The HTP-APP schedule shall be coordinated with the M2PC facility contractor and its approved schedule and is subject to Battelle approval.

1. IM1: 30% Design Package Delivered to Battelle

2. IM2: 60% Design Package Delivered to Battelle

3. IM3: 90% Design Package Delivered to Battelle

4. IM4: Final Design Package Delivered to Battelle

5. IM5: Equipment and Component Acquisition

a. IM5a: Media

b. IM5b: Cultivation

c. IM5c: Sample Prep

d. IM5d: Strain Engineering

e. IM5e: Analytical

6. IM6: System Assembly (off site, it is expected that sub-assemblies will be defined after contract award) Complete

7. IM7: Factory Acceptance Testing (off site) Complete

8. IM8: Installation at the M2PC Facility Complete

9. IM9: Software Installation at the M2PC Facility Complete

10. IM10: Connection to the Lab Information Management System (LIMS) at PNNL Complete

11. IM11: Functional Testing, On Site, Complete

12. IM12: Training of Battelle Staff Complete

13. IM13: Key Performance Parameter (KPP) Verification

B. During the initial planning of this project, Battelle envisions the design deliverables outlined in IM1-IM3, above, that will result in one final document package (IM4) to be submitted for review by Battelle for compliance with requirements. Similarly, IM5-IM13, are the high-level envisioned deliverables. The

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HTP-APP contractor shall update the milestone list to accommodate the actual work steps that will be performed per the schedule developed as required by Subsection 4.0 below.

C. Submittal: Submit a detailed IM schedule that supports the entire scope of the HTP-APP portion of the M2PC project. In addition, the HTP-APP contractor may submit an alternative design IM schedule, if deemed necessary to support the HTP-APP team’s schedule to reflect the work execution plan more accurately. There is no guarantee that an alternative design schedule will be accepted.

D. The M2PC Facility is physically attached to the operational EMSL facility, and the contractor shall coordinate its work with Battelle’s work in that facility.

1.4 USE OF PREMISES

A. Normal Work Hours on the PNNL Campus shall be between 8:00 a.m. and 4:30 p.m. Monday through Friday, for a standard 40-hour work week. Authorization to perform work on site at times other than normal work hours shall require prior written authorization from Battelle.

B. HTP-APP contractor, and sub-tier contractor personnel required to periodically work or meet with Battelle employees at or within existing Battelle facilities, shall complete required PNNL training and possess a picture badge issued by Battelle.

C. All personnel performing work within existing Battelle facilities shall complete required PNNL training and possess a picture badge issued by Battelle. Doors shall not be left unlocked, unattended, or blocked open at any time. Doors that are alarmed or are not customarily used require specific authorization for use and may require full-time supervision by Battelle Security personnel while in use.

Provide five (5) days’ working notice to arrange for Security personnel. Provide five (5) working days’ notice for key and proximity badge access requests.

D. During Facility Construction, if the HTP-APP contractor requires entry to the construction site, the requirements and approval of entry shall be coordinated with Battelle. The M2PC facility contractor shall have possession and control of the construction site, and its requirements for site entry shall be followed. Minimum requirements will include personal protective equipment (PPE) (e.g., hardhat, safety glasses, high-visibility/reflective vest or shirt/coat, long pants, and over-the-ankle substantial footwear).

The HTP-APP contractor shall also attend a short (15-minute) daily pre-job briefing prior to being granted site access and shall be signatory to its own Job Safety Analysis (JSA) form or to the facility contractor’s JSA form.

E. Use of Battelle Facilities. EMSL is an operating laboratory facility and requires security badges for individuals requiring entry. As such, Battelle will provide office space for 2 contractor staff in the EMSL facility. Access to EMSL washroom and toilet facilities will be available. Guest Wi-Fi will also be available.

See Section 1.8 for training required to obtain a PNNL security badge. Battelle will not charge the HTP- APP contractor for use of its utilities or services at such a time as those become available as described in this section. Placement of temporary utilities and facilities by the HTP-APP contractor shall be subject to Battelle approval as to means, methods, timing, location, and maintenance. The HTP-APP contractor shall remove or cause to be removed all temporary utilities and facilities, and shall remediate areas disturbed by the installation, use, and removal of said utilities and facilities, prior to Final Completion of the contract and prior to final payment.

Summary of Work 4

F. Badging of Personnel:

1. Request Battelle security badges for personnel using Battelle’s Badge Request Form. This form will be provided to the HTP-APP contractor. Allow five (5) working days for processing of Request Forms for U.S. citizens. Requests for security badges for non-U.S. citizens or foreign nationals shall be made ninety (90) days prior to needing such badged personnel on the PNNL Campus or within Battelle secured facilities. Upon Battelle’s processing and approval of a badge request, training requirements will be emailed to the individual to be badged, and training shall be completed by that individual prior to the badge issuance. Badges may be picked up by the badge holder upon presentation of suitable identification credentials at Battelle’s on-campus Access Control Office.

2. Upon Battelle taking Beneficial Occupancy of the M2PC facility from the facility contractor, the building will be designated a Property Protection Area by Battelle, and access thereto will be restricted to personnel who have been issued PNNL security badges.

G. Prohibited Articles:

1. Prohibited Articles Anywhere: The following are prohibited articles anywhere on the Site and offsite locations under the cognizance of Battelle or the DOE.

i. Dangerous weapons

ii. Explosives, ammunition, and incendiary devices

iii. Controlled substances and drug paraphernalia

iv. Contraband (includes other items prohibited by law)

1.5 WORK UNDER OTHER CONTRACTS

A. The HTP-APP contractor shall cooperate fully with other, ongoing Battelle work occurring on, around, and within the EMSL facility so that work at those facilities may be conducted smoothly, without interfering with or delaying work under this contract. Contractor’s failure to coordinate its work with Battelle, or that of other contractors’ work on, in, or around the M2PC site or the EMSL Facility, shall not form the basis for an excusable delay nor form the basis for a Request for Equitable Adjustment.

1.6 SPECIFICATION FORMATS AND CONVENTIONS

A. Specification Format: Specifications developed by the HTP-APP contractor shall be organized and referenceable in a format that is consistent with industry standards.

B. Specification Content: The specifications use certain conventions for the style of language and the intended meaning of certain terms, words, and phrases when used in particular situations. These conventions are as follows:

1. Abbreviated Language: Language used in the specifications and other contract documents is abbreviated. Words and meanings shall be interpreted as appropriate. Words implied, but not stated, shall be inferred, as the context requires. Singular words shall be interpreted as plural, and plural words shall be interpreted as singular where applicable as the context of the contract documents indicates.

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2. Imperative mood and streamlined language: Are generally used in the specifications.

Requirements expressed in the imperative mood are to be performed by contractor.

Occasionally, the indicative or subjunctive mood may be used in the section text for clarity to describe responsibilities that must be fulfilled indirectly by contractor or by others when so noted.

a. The words "shall," "shall be," or "shall comply with," depending on the context, are implied where a colon (:) is used within a sentence or phrase.

1.7 WORK CONTROL PROCESS

A. Work Control Policy: All hands-on work activities performed on the PNNL Campus require a Job Safety Analysis (JSA). The JSA shall be completed by the HTP-APP contractor for their anticipated Work tasks and submitted to Battelle for review and approval. The work control process identifies known hazards, outlines controls to mitigate the hazards, and outlines expectations for hazard controls as well as other activity-specific work performance requirements. Battelle will assist in the identification and mitigation of hazards through the design documents, the General Requirements, and participation in the pre-work meeting, but the HTP-APP contractor has final responsibility of hazard identification and mitigation.

B. JSA: Contractor shall develop and submit for Battelle approval a JSA encompassing all work scope to be performed on site. The JSA shall be developed in accordance with requirements identified in Section 6.5 of these General Requirements.

C. Pre-work Meeting: Prior to commencing on site work, representatives from the contractor’s management, including the Jobsite Supervisor and sub-tier contractors, shall meet with Battelle to evaluate hazards associated with the work and establish the mitigation strategies for the identified hazards and for incorporation into the contractor’s JSA.

D. Pre-work Meeting Coordination: When work is ongoing in the M2PC Facility by either the facility or the HTP-APP contractor, the HTP-APP contractor shall have a representative at the daily facility pre-work meeting (a.k.a. daily pre-job briefing). Similarly, the HTP-APP contractor shall include a facility contractor representative in their daily pre-work meeting.

E. Facility Coordination Meetings: The HTP-APP contractor shall attend facility coordination meetings during facility design, construction, and commissioning.

F. Managing Change: The original, approved JSA shall be reviewed, revised, and re-approved by Battelle if the work scope, site conditions, methods of prosecuting the work, or hazards change. The contractor shall routinely verify that the JSA is current, addresses known hazards, has been approved by Battelle, and has been reviewed and signed by every individual intending to access the construction site.

1.8 TRAINING FOR CONTRACT PERSONNEL

A. General: The HTP-APP contractor and sub-tier contractors shall include costs for course attendees’ time in its proposal. Battelle is responsible for initial and refresher training course fees. HTP-APP contractor shall be required to pay course fees for no-shows and any retraining required resulting from course failure by an attendee. Classroom training will be conducted on Battelle premises unless otherwise noted. Contact the Battelle Project Coordinator to schedule training.

Summary of Work 6

B. PNNL Laboratory Orientation is required prior to obtaining a Battelle badge.

1. PNNL Non-Staff Orientation (2400 or 2856)

Required recipients: All workers requiring a badge

Duration: 1 hour

Scheduling: 3 working days

Method: External or Battelle – web-based

Retrain cycle: 1 year

C. The HTP-APP contractor, sub-tier contractor, and vendor personnel performing work on site are required to have training as defined below. Submit documentation of previously completed courses to Battelle. All personnel requiring access to existing Battelle facilities shall also be required to possess:

1. Lock & Tag for Authorized Workers (692) Required recipients: Workers (including vendors and suppliers) potentially exposed to the release of hazardous energy that do not have current documented PNNL Authorized Worker training.

Duration: 8 hours Scheduling: 10 working days Method: Classroom

2. EMSL Orientation (1011)

Required recipients: All workers entering the EMSL building

Duration: 0.3 hours

Scheduling: 3-5 working days

Method: External or Battelle - web-based

Retrain cycle: None

3. Battelle Approved Third-Party NFPA 70E Training Provider

Required recipients: Electrical workers needing Qualified Electrical Worker Designation Duration: Varies by provider Scheduling: Varies by provider

Method: Third-party provider https://www.pnnl.gov/sites/default/files/acquisitions/PNNL_3rd_Party_NFPA_70E_Providers.pdf Method: Classroom Retrain cycle: Every 3 years https://www.pnnl.gov/sites/default/files/acquisitions/PNNL_3rd_Party_NFPA_70E_Providers.pdf

Payment Procedure 7

2.0 Payment Procedure

Reference Contract General Provisions for additional instructions.

2.1 SUBMITTALS

A. Milestone List (ML): Submit for approval thirty (30) calendar days after Contract Award an updated and detailed milestone list/schedule covering the development, submission, and Battelle review and approval of the work in the Performance Specification, and as listed under Milestones in Section 1.3 of this document. The updated ML shall be consistent with the ML submitted with the contract proposal but may include additional detailed milestones. The ML shall allocate portions of work to the discrete Milestone activities developed in accordance with Section 2.2. Upon approval by Battelle, the ML shall be used as the basis for reviewing HTP-APP contractor applications for milestone payments. No invoice will be accepted prior to Battelle approval of the ML.

B. Revised Milestone List: Update and resubmit one (1) copy of the approved ML when change orders or Change Directives result in a change in the Contract Sum. Revise and resubmit the ML when, at the discretion of Battelle, it is determined that the ML does not approximate the actual value of work or is not consistent with the approved schedule.

2.2 MILESTONE LIST PREPARATION

A. Each item in the ML shall be clearly identifiable as to a discrete element of work that can be objectively tracked and quantitatively evaluated as completed.

B. Coordinate preparation of the ML with preparation of HTP-APP schedule(s), correlating line items in the ML with activities listed on the schedules.

C. The ML shall provide a breakdown of the Contract Sum in enough detail to facilitate continued evaluation of Applications for Payment and progress reports. Each milestone within the ML shall be assigned a value according to the cost associated with the performance of work represented by that milestone. Sum total of all milestone values shall equal the Contract Sum. Format and content for the ML shall follow the Work Breakdown Structure provided, or structure established in the approved schedules. If no breakdown was provided, the ML shall follow general industry standard formats.

D. Provide a separate line item in the ML for each part of the work where Applications for Payment may include materials or equipment purchased or fabricated and stored, but not yet installed. (Differentiate between items stored on site and items stored off site.)

E. Arrange the ML in tabular form with separate columns (generally by calendar month) to indicate the scheduled date of work performance.

F. Include the following project / contract identification on the ML:

1. Project name and location Battelle contract number

Submittal number HTP-APP contractor's name and address Date of submittal

Payment Procedure 8

2.3 APPLICATIONS FOR PAYMENT

A. Payment Terms – Refer to the General Provisions.

B. Progress verification

1. Meet monthly with the Battelle Research and Development (R&D) Project Manager (or delegate) and, using the approved Progress Schedule and ML, verify and agree upon the Milestones in the list that have been completed. ML items for which contractor has attained completion during the billing month shall form the basis of milestone payments.

C. Invoices shall reflect the agreed upon Milestones completed.

D. Invoicing instructions – Refer to the General Provisions.

2.4 DIRECT PAYMENTS TO SUB-TIER CONTRACTORS

A. Contract revenues representing payments to sub-tier contractors shall not be considered earned by the HTP-APP contractor unless and until the HTP-APP contractor has paid the current invoices of such sub-tier contractor. In the event Battelle determines, in its sole discretion, that the HTP-APP contractor has become insolvent or is in danger of becoming insolvent, then Battelle is authorized, but not required, to make direct payment to the HTP-APP contractor’s sub-tier contractors with respect to any current or past due invoices then outstanding. Title to any materials or equipment for which such direct payment is made shall pass directly from such sub-tier contractor to Battelle.

2.5 BACKCHARGES

A. A Back-charge is a cost sustained by Battelle and chargeable to the HTP-APP contractor for Battelle’s performance of work, for which the HTP-APP contractor is responsible. Without limitation and by way of example only, Back-charges may result from:

1. Services performed by Battelle, at the HTP-APP contractor’s request for work, which is within the contractor’s scope of work under this contract, or

2. Costs sustained by Battelle as a result of the HTP-APP contractor’s non-compliance with the provisions of this Contract or the HTP-APP contractor’s act of omission or negligence.

B. Upon identification by Battelle of an actual or anticipated Back-charge, Battelle will issue a Back-charge Notice to the HTP-APP contractor. This Notice shall describe the Back-charge Work to be performed, the scheduled period for performance, the cost to be charged by Battelle to the HTP-APP contractor, and other terms.

C. In the event the HTP-APP contractor refuses to agree to the Back-charge, Battelle shall at its option proceed with the Back-charge Work and charge the Back-charge Cost to the HTP-APP contractor’s accounts.

Administrative Requirements 9

3.0 Administrative Requirements

3.1 SUMMARY

A. This section includes administrative and procedural requirements for:

1. Submittals

2. Requests for Information (RFIs)

3. Engineering Change Notices (ECNs)

4. Product delivery, storage, and handling

5. Product substitutions and comparable products

B. Submittal/RFI/ECN workflow processes

1. The HTP-APP contractor and its team shall use Battelle’s electronic Project Management software (Procore) for electronic submission of all required submittals, RFIs, and ECNs, except for physical samples, which shall be hand-delivered to Battelle. Access to the Project Management software will be established by Battelle for use by the HTP-APP contractor and major sub-tier contractors. The HTP-APP contractor shall identify up to three (3) employees (per company) for access and training in use of the software system. Each major sub-tier contractor shall identify up to two (2) employees (per company) for access and training in use of the software system. Battelle will assist the HTP-APP contractor and sub-tier contractors with initial setup and training for use of the Project Management software system. Battelle will consider an alternative electronic Project Management software for implementation, if recommended by the HTP-APP contractor. There is no guarantee that Battelle will agree to the use of a different system.

2. Submittals and RFIs related to General Requirements and HTP-APP P-Spec requirements shall be routed to Battelle for review, disposition, and response. All ECNs issued to revise or modify the HTP-APP contractor’s approved design package documents shall be routed to Battelle for review, disposition, and response. The HTP-APP contractor shall submit one (1) electronic copy of each design package, and ECN to Battelle for review. The HTP-APP contractor shall submit one (1) electronic copy of all final Operations and Maintenance (O&M) Manuals as identified in Section 9.0. Provide one (1) electronic copy of all other submittals via the Project Management software system. Submittals shall be in the electronic project management application.

3. Submittals and RFIs related to approved design media requirements shall be routed to the system designer for review, disposition, and response. The Project Management software system shall automatically copy Battelle on all submittal, RFI, and ECN responses from the system designer (Designer of Record) back to the HTP-APP contractor. If system designer response is not consistent with contract requirements, Battelle shall identify the non-compliance, and the system designer shall modify disposition and/or response to be consistent with contract requirements.

Administrative Requirements 10

4. Changes to approved design media and test plans shall require Battelle review and approval.

ECNs (or HTP-APP team-approved change mechanism/process) developed to modify approved design media shall be submitted via Battelle’s electronic Project Management software for Battelle review and approval. Submittals, RFIs, shop drawings, and other documents shall not be used for the purposes of altering approved design media and test plans, nor shall they operate to alter approved design media and test plans. ECNs (or HTP-APP team-approved change mechanism/process) shall be the ONLY mechanism for proposing and making alterations to approved design media or test plans.

3.2 DEFINITIONS

A. Designer of Record (DOR): The Designer of Record is a term used in the General Requirements if a third party is procured by the HTP-APP contractor to perform design for the HTP-APP. This could be design for software, hardware, equipment selection, or other portions of the HTP-APP. If the HTP-APP prime contractor/vendor is the DOR, then the term DOR shall refer to the HTP-APP contractor/vendor.

B. Products: Items purchased for incorporating into the work, whether purchased for project or taken from previously purchased stock. The term "product" includes the terms "material," "equipment," "system," and terms of similar intent.

1. Named Products: Items identified by manufacturer's product name, including make or model number or other designation, shown or listed in manufacturer's published product literature, that is current as of date of the contract documents.

2. New Products: Items that have not previously been incorporated into another project or facility, except that products consisting of recycled-content materials are allowed, unless explicitly stated otherwise. Products salvaged or recycled from other projects are not considered new products.

3. Comparable Product: Product that is demonstrated and approved through submittal process, or where indicated as a product substitution, to have the indicated qualities related to type, function, dimension, in-service performance, physical properties, appearance, and other characteristics that equal or exceed those of specified product.

4. Or Equal: For products specified by name and accompanied by the term "or equal," or "or approved equal," or "or approved," comply with requirements in "Comparable Products" Article to obtain approval for use of an unnamed product.

C. Basis-of-Design Product Specification: A specification in which a specific manufacturer's product is named and accompanied by the words "basis-of-design product," including make or model number or other designation, to establish the significant qualities related to type, function, dimension, in-service performance, physical properties including size, appearance, and other characteristics for purposes of evaluating comparable products of additional manufacturers named in the specification.

D. Substitutions: Changes in products, materials, equipment, and methods from those specified as the basis of design and included in the Battelle-approved final design media and proposed in writing by HTP-APP contractor for the DOR approval and Battelle review.

Administrative Requirements 11

E. Approval Submittals: Written and graphic information that is submitted by the HTP-APP contractor and requires Battelle’s approval.

F. Informational Submittals: Written information that is submitted by the HTP-APP contractor and does not require Battelle’s approval. Informational Submittals may be rejected for not complying with requirements.

G. Request for Information (RFI): An RFI is a written documented administrative method by which the HTP- APP contractor and sub-tier contractors shall request clarification and/or direction from Battelle regarding contract and Performance Specification requirements. An RFI shall be submitted to the DOR to request clarification and/or direction regarding approved design media, e.g., technical specifications and/or drawings. An RFI is not a change document; therefore, the HTP-APP contractor is not authorized to make or infer changes to the Contract Work based on the DOR or Battelle’s response to an RFI. Any RFI that contemplates changes to the approved design media shall be memorialized on an ECN and approved by Battelle prior to the contractor initiating performance of associated work.

3.3 SUBMITTAL PROCESS

A. Work associated with materials, equipment, or products that are required to be submitted for approval shall not proceed until such materials, equipment, or product submittals have been reviewed by, and approved by, the DOR and/or Battelle as required.

B. Coordination: Coordinate preparation and processing of submittals with performance of work activities.

1. Coordinate each submittal with fabrication, purchasing, testing, delivery, other submittals, and related activities that require sequential activity.

2. Coordinate transmittal of different types of submittals for related parts of the work so processing will not be delayed because of need to review submittals concurrently for coordination.

a. Battelle reserves the right to withhold action on a submittal requiring coordination with other submittals until related submittals are received.

C. Master Submittal Log: A preliminary Master Submittal Log (MSL) identifying submittals required by the Performance Specification and the General Requirements is attached below. The MSL will be uploaded into Battelle’s electronic Project Management software to serve as a template for identification of required submittals within the system. The HTP-APP contractor shall be required to augment and modify the preliminary MSL to incorporate additional submittal requirements as the design and technical specifications are matured and approved by Battelle. The comprehensive MSL shall be uploaded into the electronic Project Management software by Battelle to update the template.

1. This preliminary MSL is provided as a convenience to the HTP-APP contractor.

2. The omission of an item from the MSL does not relieve the HTP-APP contractor from the responsibility of submitting an item listed in the individual specification sections, these General Requirements, or elsewhere in the contract documents.

3. An Excel spreadsheet version of the preliminary MSL is available for HTP-APP contractor use to append/amend the preliminary MSL as required.

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4. A list of submittals associated with instrument cut sheets (prior to purchase), instrument O&M Manuals (after installation), test documentation, and similar project items shall be developed by the HTP-APP contractor to add to the submittal log.

D. Battelle Processing Time: Allow enough time for submittal review, including time for re-submittals, as follows. Time for review shall commence upon the Battelle receipt of the submittal.

1. Performance Specification Design Package Submittal Review: Allow 15 working days for Battelle review of each submitted design package. Allow additional time if processing must be delayed to permit coordination with subsequent submittals. Battelle will advise the HTP-APP contractor when a submittal being processed must be delayed for coordination.

2. General Requirements Submittal Review: Allow 10 working days for Battelle’s review of each submittal specified in the General Requirements (this document). Allow additional time if processing must be delayed to permit coordination with subsequent submittals. Battelle will advise the HTP-APP contractor when a submittal being processed must be delayed for coordination.

3. Re-submittal Review: Allow 10 working days for processing each re-submittal of General Requirements submittals. Allow 15 working days for processing of each re-submitted Performance Specification Design Package.

4. Lack of Timely Submittal: No extension of the contract time will be authorized because of HTP- APP contractor’s or sub-tier contractor’s failure to transmit submittals in advance of the work to permit processing by Battelle.

E. Designer-of-Record (DOR) Processing Time: The HTP-APP contractor and sub-tier contractors shall allow the DOR enough time in advance of the work to permit review and processing by the DOR. No extension of the contract period of performance will be authorized by Battelle because of HTP-APP contractor’s or sub-tier contractor’s failure to transmit submittals sufficiently in advance of the work to permit processing by the DOR.

F. Identification: Place a permanent label or title block on each submittal for identification.

1. Indicate name of firm or entity that prepared each submittal on label or title block.

2. Provide a space approximately 4 by 5 inches on label or beside title block to record HTP-APP contractor's review and approval markings.

3. Include the following information on label for processing and recording action taken:

a. Project name.

b. Date.

c. Name and address of HTP-APP contractor.

d. Name and address of sub-tier contractor.

e. Name and address of supplier.

f. Name of manufacturer.

g. Submittal number, including revision number, as identified on the MSL.

h. Number and title of appropriate Specification Section or drawing number.

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G. Transmittal: Transmit each submittal using the electronic Project Management software “Submittal” process, provided by Battelle. The HTP-APP contractor shall review all sub-tier contractor submittals for compliance with requirements before transmitting to Battelle or the DOR. The DOR or Battelle will return submittals, without review, received from sources other than the HTP-APP contractor.

1. An electronic copy or scan of each submittal shall be attached to the “Submittal Form” in the Project Management software system.

2. Include the HTP-APP contractor's certification stating that information submitted complies with requirements of the contract documents.

H. Transmittal of Non-electronic Submittals: For submittals that cannot be transmitted electronically due to size or material properties (e.g., physical samples), transmit each submittal using the Project Management software system’s “Submittal” process, and indicate items that will be transmitted under separate cover in the provided fields.

1. The HTP-APP contractor shall hand-deliver items that cannot be electronically transmitted to Battelle and the DOR after submission of the cover sheet in the Project Management software system identifying items which are transmitted under separate cover.

2. Include the HTP-APP contractor's certification stating that information submitted complies with requirements of the contract documents.

I. Deviations: Highlight, encircle, or otherwise identify deviations from the contract documents on submittals.

J. Product Data Submittals: Include approved drawing number to uniquely identify the product data submittal.

1. Product data submittals shall include performance, electrical, dimensional, accessories, make, and model number for the equipment at a minimum. Enough information must be provided to determine the appropriateness, fit, and function of the equipment within the system.

K. Manufacturer’s Data Sheets: Where product data contain manufacturers’ standard data, include only sheets pertinent to product or component installed. Mark each sheet to identify each product or component incorporated into the work. If data include more than one item in a tabular format, identify each item using appropriate reference from the contract documents. Identify data applicable to the work and delete references to information not applicable.

L. O&M Manuals: All required O&M manuals specified in the technical specifications or on the approved drawings shall be required to be submitted electronically using the Project Management software system. Each O&M manual shall include equipment ID numbers for each item of equipment or instrument that manual contains. Refer to Section 9.0, Vendor Information.

M. Substitution Requests: After Battelle approval of a final design package, the HTP-APP contractor shall submit all Substitution Requests for DOR approval and Battelle review using the Project Management software system’s “Submittal” process. The submittal shall clearly identify that a substitution of a basis of design, specified product, material, or installation method included in the approved final design

Administrative Requirements 14 media is being requested. Include Specification section number and title and drawing numbers and titles related to the substitution being requested.

1. The HTP-APP contractor shall identify via highlighting, and notation, within each submittal any deviations from the specified product with the submittal data provided in the Project Management software system. Identify product or fabrication or installation method to be replaced. Include Specification Section number and title and drawing numbers and titles.

2. Documentation: Show compliance with requirements for substitutions and the following, as applicable:

a. Statement indicating why specified material or product cannot be provided.

b. Coordination information, including a list of changes or modifications needed to other parts of the work and to construction performed by Battelle and separate contractors that will be necessary to accommodate proposed substitution.

c. Detailed comparison of significant qualities of proposed substitution with those of the work specified. Significant qualities may include attributes such as performance, weight, size, durability, visual effect, and specific features and requirements indicated.

d. Product data, including drawings and descriptions of products and fabrication and installation procedures.

e. Samples, where applicable or requested.

f. Detailed comparison of the HTP-APP contractor’s schedule using proposed substitution against products specified for the work, including effect on the overall contract time. If specified product or method cannot be provided within the contract time, include letter from manufacturer, on manufacturer's letterhead, stating lack of availability or delays in delivery.

g. Cost information, including a proposal of change, if any, in the Contract Sum.

h. The HTP-APP contractor’s certification that proposed substitution complies with requirements in the contract documents and is appropriate for applications indicated.

i. The HTP-APP contractor’s waiver of rights to additional payment or time that may subsequently become necessary because of failure of proposed substitution to produce indicated results.

3. Designer-of-Record Review: The DOR will make every attempt to expedite review of a substitution request; however, the HTP-APP contractor shall allow 10 workdays for disposition, unless noted otherwise. If necessary, the DOR will request additional information or documentation for evaluation within 1 week of receipt of a request for substitution.

a. If no decision on use of a proposed substitution is made within the time allocated, the HTP-APP contractor is obligated to use the product specified and shall hold Battelle harmless for any impact to the schedule and shall further be held responsible for completing all work within the approved period of performance.

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b. Any acceptance of an HTP-APP contractor request for substitution by the DOR shall be reviewed by Battelle for concurrence and approval and documented by the HTP-APP contractor and DOR on a formal written ECN or within the approved DOR change mechanism/process.

N. Distribution: The HTP-APP contractor shall be responsible for furnishing copies of final approved submittals to manufacturers, sub-tier contractors, suppliers, fabricators, vendors, and installers, and others as necessary for performance of work activities. Distribute as required in Procore.

3.4 PRODUCT DELIVERY, STORAGE, AND HANDLING

A. Deliver, store, and handle products using means and methods that will prevent damage, deterioration, and loss, including theft. Comply with the manufacturers’ written instructions.

1. Schedule delivery to minimize long-term storage at Project site and to prevent overcrowding of spaces.

2. Coordinate delivery with installation time to ensure minimum holding time for items that are flammable, hazardous, easily damaged, or sensitive to deterioration, theft, and other losses.

3. Deliver products to Project site in an undamaged condition in manufacturer's original sealed container or other packaging system, complete with labels and instructions for handling, storing, unpacking, protecting, and installing.

4. Inspect products on delivery to ensure compliance with the contract documents and to ensure that products are undamaged and properly protected.

5. Store products to allow for inspection and measurement of quantity or counting of units.

6. Store products that are subject to damage by the elements, under cover in a weather-tight enclosure above ground, with ventilation adequate to prevent condensation.

B. Storage:

1. On-site storage, outside of the M2PC facility, is not available at PNNL. Coordinate delivery of equipment to minimize on-site storage requirements and in a manner that allows all on-site materials to be stored within the M2PC facility after the facility is “ready for equipment.” All storage shall be the responsibility of the HTP-APP contractor unless otherwise agreed to in writing by Battelle.

2. The HTP-APP contractor is responsible for providing storage of equipment prior to delivery at the M2PC facility and as coordinated with the facility “ready for equipment” milestone.

3.5 PRODUCT OPTIONS

A. General Product Requirements: Provide products that comply with the contract documents, that are undamaged, and unless otherwise indicated are new products at time of installation.

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1. Provide products complete with accessories, trim, finish, fasteners, and other items needed for a complete installation and indicated use and effect.

2. Standard Products: If available, and unless custom products or nonstandard options are specified, provide standard products of types that have been produced and used successfully in similar situations on other projects.

3. Descriptive, performance, and reference standard requirements in the Specifications establish "salient characteristics" of products.

4. Or Equal: Where products are specified by name and accompanied by the term "or equal" or "or approved equal" or "or approved," the contractor shall comply with provisions in "Comparable Products" Article to obtain approval for use of an unnamed product.

3.6 PRODUCT SUBSTITUTIONS

A. Timing: Contractor shall time the submission of substitution requests so as not to impact the approved schedule or the contract period of performance.

B. Conditions: Battelle will only consider product substitutions under the following described conditions:

1. Requested substitution offers Battelle a substantial advantage in cost, time, energy conservation, or other considerations, after deducting additional responsibilities Battelle must assume.

Battelle's additional responsibilities may include cost of redesign and evaluation, increased cost of other work by Battelle, and similar considerations.

2. Requested substitution does not require extensive revisions to the contract documents.

3. Requested substitution is consistent with the contract documents and will produce indicated results.

4. Substitution request is fully documented and properly submitted.

5. Requested substitution will not adversely affect contractor's schedule.

6. Requested substitution has received necessary approvals of authorities having jurisdiction.

7. Requested substitution is compatible with other portions of the work and has been coordinated with other portions of the work.

8. Requested substitution provides specified warranty.

3.7 SUBMITTALS

A. Submittals: Only submit complete document sets incorporating all information required by the approved design.

1. Product (Product Data) Submittals: Include table of contents of all items submitted organized by specification section; assemble submittal by discipline into a single PDF document.

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2. Shop Drawings: Provide a minimum of 15 calendar days prior to starting fabrication or installation of work. Do not fabricate or install work until shop drawings are approved by Battelle.

Include complete location dimensions, equipment dimensions and arrangement, installation details, material callouts, and access and service orientation and clearance, and other information as called out in the applicable specification section.

3. Approval: Approval of submittals or shop drawings does not relieve the contractor of the responsibility for complying with the contract documents, all of which have precedence over the submittals. Changes to the contract documents as a result of the submittals shall be processed via ECN and/or contract modification prior to integration of the change.

4. Test Report and Certificate Submittals: Submit within 20 working days of field acceptance or receipt from the applicable agency.

5. Other Report Submittals: Comply with the requirements of the specification section.

6. O&M Submittals: Submit a complete O&M PDF document with product data, installation instructions, O&M information, startup instructions, and spare parts lists and other data listed in the specification sections. Include names, addresses, telephone numbers of manufacturers and vendors of materials and equipment, test reports, warranty data, and certificates.

B. HTP-APP Contractor Review

1. Prior to submittal to the DOR and/or Battelle, the HTP-APP contractor shall review each submittal and check for accuracy, completeness, and compliance with the contract documents.

2. HTP-APP contractor submission to the DOR or Battelle of required submittal data, product information, shop drawings, etc. shall certify that the HTP-APP contractor has reviewed, checked, and approved the data for compliance with the contract documents prior to submission. The Project Management software system shall route all sub-tier contractor submitted documents to the HTP-APP contractor for review prior to being routed to the DOR or Battelle.

C. Designer-of-Record (DOR)/Battelle Review

1. The HTP-APP contractor’s DOR shall review and disposition each submittal required by the approved design media.

2. Battelle shall review and…