SOW.pdf

STATEMENT OF WORK

MANUFACTURE OF TREATMENT SYSTEM COMPONENTS

FOR VOC REMOVAL BY GAC

POWHATTAN, KANSAS, 11/29/2022

1.0 INTRODUCTION

Argonne National Laboratory (Argonne) is assisting the U.S. Department of Agriculture (USDA) in the implementation of a Corrective Action Plan (CAP) to address groundwater contamination at a site in Powhattan, Kansas. The remedial action identified in the CAP will employ a pump and treat system, extracting groundwater from selected wells followed by volatile organic compound (VOC) removal by granulated activated carbon (GAC) treatment units, and effluent discharge.

This document serves as the statement of work (SOW) for manufacture of treatment system components (Product) for the remedial action.

Argonne requires lump sum pricing for the manufacture of the treatment system components.

The treatment system will include GAC treatment units; bag filters, a sequestrant addition system for scaling/fouling prevention; an air compressor for the operation of (2) pneumatic downhole pumps; and communications; process control; and electrical equipment for operating and monitoring the treatment system remotely,.

The treatment system and associated equipment will be housed in a pre-manufactured groundwater treatment plant (GTP) building. Piping will be installed by others from the individual extraction wells to the GTP and connected inside the building to a manifold header before flowing through the GAC treatment units and eventually being discharged. Flow meters will be installed on each individual well influent line and on the effluent discharge line. The Vendor will be responsible for preparing shop drawings and the fabrication of the treatment building and all required equipment and piping, including the manifold header piping with individual well lines fitted with all required flow meters, strainers, sample ports, etc. as specified in the Performance Requirements (Attachment 1) and the Final Design Drawings (Attachment 2).

Installation of piping from wellheads to the treatment building and connection of piping at the building will be performed by others.

1.1 VENDOR GENERAL SCOPE AND REQUIREMENTS

The Product consists of the following equipment:

• Pre-manufactured GTP building

• GAC treatment units

• Air compressor

• Condensate storage tank

• Water flow meters

• Bag filters

• Sequestrant addition chrome-extension://efaidnbmnnnibpcajpcglclefindmkaj/https:/www.kdhe.ks.gov/DocumentCenter/View/8553/Draft-Corrective-Action-Decision-October-2020-PDFchrome-extension:/efaidnbmnnnibpcajpcglclefindmkaj/https:/www.kdhe.ks.gov/DocumentCenter/View/8553/Draft-Corrective-Action-Decision-October-2020-PDF

Statement of Work, Manufacture of System Components for VOC Removal by GAC, Powhattan, KS, 11/29/2022

• NEMA 4 Control Panel and related components

• Instrumentation

The treatment system components shall be manufactured and pre-assembled in order to be delivered as a single unit to the jobsite and set in place on a previously constructed gravel pad and anchored as indicated in the project drawings and specifications. The Vendor shall be responsible for design, manufacture, programming, shipping, and any other items necessary to deliver the Product. The Product provided by the Vendor will be installed by others. Argonne reserves the right to visit the Vendor’s shop to observe system fabrication or to witness proof testing and certification of the system prior to shipment.

All work shall be completed in accordance with the Powhattan CAP project drawings and specifications for the treatment system (Section 2.0) and industry standard practice. Industry standards and guidance related to this project which shall be followed include, but are not limited to:

• American Water Works Association (AWWA)

• American National Standards Institute (ANSI)

• National Electrical Code (NEC)

• International Building Code (IBC)

• American Society of Mechanical Engineers (ASME)

• Any applicable state and local codes

The design, manufacture, and delivery of system components (the Work) to be provided by the Vendor consists of the following general tasks:

1. Task 001 – Draft and Final Shop Drawings of treatment system components

2. Task 002 – Manufacture of the treatment system and related components

3. Task 003 – Manufacture of the system control panel

4. Task 004 – Provision of all instrumentation associated with the treatment system components

5. Task 005 – Proof Testing of the system

6. Task 006 – Transportation/Delivery

7. Task 007 – Onsite Startup Assistance (optional)

8. Task 008 – Documentation and Final Acceptance

1.2 VENDOR RESPONSIBILITIES

The Vendor shall be responsible for the following:

1. Provide all labor, equipment, and materials necessary to design, manufacture, and deliver the Product described in the contract documents. All materials used in the Product must be procured in accordance with the Buy America Act (in the attached Federal Flowdowns).

2. Complete and deliver the Product described in this SOW in accordance with the Subcontract Documents including, without limitation, this SOW and all documents incorporated by reference into it. Vendor shall comply with all local, municipal, county, Statement of Work, Manufacture of System Components for VOC Removal by GAC, Powhattan, KS, 11/29/2022 state, and Federal laws and regulations. All components of the treatment building shall be labeled in accordance with industry standards provided in Section 1.1.

3. Proof testing and certification of the system before delivery.

4. Provide draft shop drawings to Argonne within 10 days of the notice to proceed. Based on Argonne comments, provide final shop drawings to Argonne within 5 days of receiving Argonne comments on the draft shop drawings.

5. Communicate with Argonne (and/or a technical representative designated by Argonne) on a weekly basis to discuss progress of the equipment manufacture to ensure adherence to project schedule.

1.3 SITE CONTROL MEASURES

The Vendor is responsible for maintaining control of personnel, vehicles, equipment, and materials while on site for delivery of the Product. All wrapping materials, boxes, bags, and trash shall be containerized and disposed of after delivery to avoid unsightly appearances.

2.0 WORK

This section provides a description of the Work associated with the Product and is intended to supplement the Performance Requirements, Attachment 1, and the Final Design Drawings, Attachment 2. Bid Item designations are in parentheses and reference where the Vendor will include costs on the bid form.

2.1 DRAFT AND FINAL SHOP DRAWINGS OF TREATMENT SYSTEM

COMPONENTS (TASK 001)

The Vendor shall prepare and submit draft and final shop drawings, certifications, submittals, licenses, schedules, and product data, required for completion of the Product as referenced in the SOW and Attachments 1 and 2. The draft shop drawings and product data will be submitted to Argonne within 10 days of the notice to proceed. Argonne comments will be incorporated into the final shop drawings, which will be submitted to Argonne within 5 days of receiving Argonne comments on the draft shop drawings.

2.2 TREATMENT SYSTEM (TASK 002)

The Vendor shall provide all labor, technical services, supervision, materials, tools, equipment, supplies, transportation, and articles necessary for manufacture of the treatment system related components. The treatment system shall include the pre-manufactured treatment building and all related components shown in the drawings and specifications. The supplied equipment includes, but is not limited to, the GAC treatment units, air compressor, bag filters, sequestrant addition pump and piping, control panel and related components, valves, and all mounting hardware.

Electrical, instrumentation, and control terminations shall be landed in disconnect switches, junction boxes, etc. where appropriate.

2.3 CONTROL PANEL (TASK 003)

Statement of Work, Manufacture of System Components for VOC Removal by GAC, Powhattan, KS, 11/29/2022

The Vendor shall provide all labor, technical services, supervision, materials, tools, equipment, supplies, transportation, and articles necessary for manufacture of the treatment system control panel. The Vendor shall provide the treatment system control panel and all equipment inside the panel including, but not limited to, the Programmable Logic Controller (PLC), operator interface terminal (OIT), uninterruptable power supply (UPS), remote access telemetry equipment, control loop circuit protection and surge protection devices, and all related mounting hardware as detailed in the project drawings and specifications. The treatment system control panel will be mounted within the GTP Enclosure with an exterior disconnect on the power supply side. All connections to the system motors and instrumentation within the GTP Enclosure will have been installed and tested prior to shipment. Accommodations will be included for installation of the pumping well level transmitters.

The Vendor shall provide any and all systems integration (programming) required to make system operational. As part of systems integration, the manufacturer shall factory test the control panel and all related components as a complete assembly prior to delivery to the Site. Vendor shall include costs for providing copies of the control system hardware and software and any connection cabling associated with the PLC and programming devices to Argonne .

2.4 INSTRUMENTATION (TASK 004)

The Vendor shall provide all labor, technical services, supervision, materials, tools, equipment, supplies, transportation, and articles necessary for provision of the treatment system instrumentation and control components described in the Performance Requirements, Attachment 1 and Final Design Drawings, Attachment 2. The supplied equipment includes, but is not limited to, all flow meters, pressure/level transmitters, pressure indicators (gauges), and level switches.

All equipment will be installed by the Vendor prior to shipment with the exception of the pumping well level transmitters, which will be provided by Vendor for installation by others.

2.5 PROOF TESTING AND CERTIFICATION (TASK 005)

The Vendor shall provide all labor, technical services, supervision, materials, tools, equipment, supplies, transportation, and articles necessary for proof testing and certification of the system.

Argonne and/or its technical representative reserves the right to visit the Vendor’s shop to witness proof testing and certification of the system prior to shipment.

2.6 TRANSPORTATION/DELIVERY (TASK 006)

The Vendor shall provide all labor, technical services, supervision, materials, tools, equipment, supplies, transportation, and articles necessary for transportation of all process equipment and instrumentation discussed in this SOW and detailed in the Performance Requirements, Attachment 1 and Final Design Drawings, Attachment 2. The process equipment shall be delivered to the site in good working order and in undamaged condition. The Vendor is responsible for any damage that occurs to the equipment during transportation and damaged equipment shall be replaced or repaired by the Vendor within three (3) working days.

2.7 VIRTUAL AND/OR ONSITE STARTUP ASSISTANCE (TASK 007)

The vendor will provide assistance during start-up by phone and email interactions. As an

Statement of Work, Manufacture of System Components for VOC Removal by GAC, Powhattan, KS, 11/29/2022 optional bid item, if requested, the Vendor shall travel to the Site to assist with commissioning and startup of the treatment system once installed.

2.8 DOCUMENTATION AND FINAL ACCEPTANCE (TASK 008)

The Vendor shall prepare and submit a final operation and maintenance (O&M) manual specific to the operation of the treatment system as constructed. In addition to instructions on the operation of the system, the O&M manual will include all component O&M manuals, vendor contact information for all equipment and consumable supplies, and as-built drawings of the Powhattan system.

Final acceptance of the Product will be contingent on inspections of the equipment at the end of the startup/shakedown period and review of the required final documents. The inspections and document reviews will be conducted by Argonne and/or an Argonne Representative.

3.0 APPLICABLE DOCUMENTS

The attached documents are provided for reference purposes only. The Vendor is responsible for review of all pertinent construction documents related to the Work and including all related aspects of the Work in their bid:

• Attachment 1 – Performance Requirements

• Attachment 2 – Final Design Drawings

4.0 ACCESS

Coordination of delivery of the Product must be coordinated with Argonne before delivery to the Site.

5.0 STATUS CALLS

An Argonne and/or its representative will make weekly status calls during manufacture of the Product to discuss progress of the equipment manufacture to ensure adherence to project schedule.

6.0 WARRANTY

The Vendor shall warrant the Product for a period of 12 months beginning from the date of Argonne acceptance of the system operation.

7.0 PAYMENT

If there is any discrepancy between the provisions of this Article and the Purchase Order Terms and Conditions payment provisions, the provisions of the Purchase Order Terms and Conditions will take precedence. Work under this project will be billed upon delivery of the Product.

Statement of Work, Manufacture of System Components for VOC Removal by GAC, Powhattan, KS, 11/29/2022

8.0 PERIOD OF PERFORMANCE

The period of performance is from contract start to September 2023 mailto:bzvibleman@oecprocess.com mailto:matthew.shattuck@fliteway.com mailto:judvari@h2ktech.com http://www.h2ktech.com/ https://www.newterra.com/menu-groundwater-treatment-remediation/

ATTACHMENT 1

PERFORMANCE REQUIREMENTS

FINAL REMEDIAL SYSTEM ENGINEERING DESIGN POWHATTAN, KANSAS

TABLE OF CONTENTS REV 0

TECHNICAL SPECIFICATIONS

May 5, 2022

Division Section Title Pages

DIVISION 01 GENERAL REQUIREMENTS

01 11 00 SUMMARY OF WORK 5

01 33 00 SUBMITTAL PROCEDURES 16

01 35 29.13 HEALTH, SAFETY, AND EMERGENCY RESPONSE

PROCEDURES FOR CONTAMINATED SITES 8

01 50 00 TEMPORARY CONSTRUCTION FACILITIES AND CONTROLS 4

01 78 00 CLOSEOUT SUBMITTALS 4

DIVISION 13 SPECIAL CONSTRUCTION

13 34 19 PREFABRICATED EQUIPMENT BUILDING –

GROUNDWATER TREATMENT SYSTEM 9

DIVISION 31 EARTHWORK

31 00 00 EARTHWORK 6

DIVISION 32 EXTERIOR IMPROVEMENTS

32 92 19 SEEDING 9

DIVISION 40 PROCESS INTERCONNECTIONS

40 05 13 PIPELINES, LIQUID PROCESS PIPING 20

END OF TABLE OF CONTENTS

Issued for Construction on Thursday, May 5, 2022 by Royce Face, P.E.

Kansas Professional Engineer License #PE13303

Face, Royce Digitally signed by Face, Royce Date: 2022.05.05 16:51:06 -05'00' rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Text Box Specifications that are struck-through do not pertain to the requirements of this RFP and have been deleted in this Attachment.

Remedial System Engineering Design Powhattan, KS

Section 01 11 00 Page 1

SECTION 01 11 00

SUMMARY OF WORK

5/22

PART 1 GENERAL

1.1 SUBMITTALS

Argonne National Lab (ANL) approval is required for submittals with an "A" designation; submittals not having an "A" designation are for information only. Submit the following in accordance with Section 01 33 00 SUBMITTAL

PROCEDURES:

SD-01 Preconstruction Submittals

Construction Management Plan; A

Site Safety and Health Plan; A

SD-11 Closeout Submittals

RA Construction Completion Report; A

1.2 WORK COVERED BY CONTRACT DOCUMENTS

1.2.1 Project Background

A. The Commodity Credit Corporation of the U.S. Department of Agriculture (CCC/USDA) (Site) is located in Powhattan, Brown County, Kansas. The Site is located at 121 Main Street in Powhattan, KS and is a 7.2-acre parcel of land that begins at the northwest corner of the Main Street and West Front Street intersection.

B. The Site has been under investigation since the Kansas Department of Health and Environment (KDHE) began testing for nitrate in the groundwater in 1970. Nitrate concentrations have consistently exceeded the Maximum Contaminant Level (MCL), and in 1986 Carbon tetrachloride was detected for the first time. KDHE installed multiple monitoring wells between 1988 and 1995 to further study the carbon tetrachloride contamination of the groundwater. CCC/USDA continued the study in 2007 with direct push techniques to perform an extensive investigation of carbon tetrachloride in groundwater and soils.

1.2.2 Location

The work is located at 121 Main Street in Powhattan, KS and is a 7.2-acre parcel of land that begins at the northwest corner of the Main Street and West Front Street intersection, as indicated on the Contract Drawings. The area where work will be conducted is in the northwest corner of the parcel.

1.2.3 Applicable or Relevant and Appropriate Requirements (ARARs)

Argonne National Lab on behalf of CCC/USDA completed the Corrective Action Study (CAS) in 2018 which recommended cleanup levels based on chemical-specific ARARs as stated in Section 4.2.2 of the Powhattan CAS. The cleanup levels were officially established in Section 6.1 of the Powhattan rsedivy Cross-Out rsedivy Cross-Out

Section 01 11 00 Page 2

Corrective Action Decision (CAD) issued by KDHE in 2020. The Powhattan CAD takes precedence over the recommendations presented in the Powhattan CAS.

1.2.3.1 Clean Up Goals

The 2020 CAD clean up goals for groundwater contaminants of concern to meet RAOs are listed in Table 1.

Table 1 Contaminants of Concern Groundwater Cleanup Levels (μg/L)

VOCs

Carbon tetrachloride 5

Chloroform 80

1.2.4 Selected Remedy

A. The 2020 CAD indicated that the treatment process would include installation of a groundwater extraction well(s) to extract the contaminated groundwater and convey it to a constructed groundwater treatment system for treatment. It was anticipated that the extracted groundwater would be treated by an aeration system installed within the treatment building and sized to accommodate the long-term flow rate(s) determined from the extraction well test pumping. However, in the Final Basis of Design in 2021 it was recommended that liquid granular activated carbon (GAC) vessels be used instead of an aeration system to reduce costs.

B. The selected remedy for treatment of carbon tetrachloride and chloroform in the groundwater at the Site consists of: (1) constructing an extraction/treatment system to extract groundwater from the area of highest groundwater contamination to prevent further migration, (2) treating contaminated groundwater, (3) discharging treated water to an above ground storage tank for beneficial use with tank overflow discharging to the city of Powhattan stormwater system, and (4) performing long-term monitoring. A remedial design was prepared for implementing a groundwater extraction and treatment system for the Site.

Design Drawings are provided with the Contract Documents.

1.2.4.1 Design Rationale

A. The design includes rationale for two (2) extraction wells (one [1] existing extraction well and one [1] monitoring well to be converted to an extraction well). Based on aquifer pump tests, the existing extraction wells are anticipated to be able to maintain maximum pumping rates of approximately 1 gallon per minute (gpm) each. The treatment system will have the capacity to treat up to 5 gpm.

B. Groundwater will be treated and discharged to the above ground beneficial use storage tank before overflowing into the city of Powhattan stormwater system and will meet the discharge limits as part of the substantive requirements of a National Pollutant Discharge Elimination System (NPDES) permit. A discharge line bypassing the beneficial use tank will also be

Section 01 11 00 Page 3 provided to allow direct discharge into the stormwater system during winter or other times when the system needs to operate but the tank must be empty. The discharge goals provided in a memorandum from the State of Kansas dated August 6, 2018, for the groundwater treatment system are listed in Table 2.

Table 2 Analyte Proposed Discharge Goal

VOCs (μg/L)

Benzene 5

Carbon tetrachloride 5

Chloroform 70

Ethylene dibromide 0.05

Methylene chloride 5

Anions/Other/Iron (mg/L)

Nitrate as N 1,570.4

Total Phosphorus --

C. The frequency of influent and effluent sampling will be conducted in accordance with the substantive requirements of the NPDES permit and the Final O&M Plan submitted by the RA Contractor. Additional sampling will be conducted to monitor effectiveness and estimate breakthrough curves for treatment media in the treatment train.

1.2.5 Work Covered by Contract Documents

A. The work covered by the Contract Documents shall include, but is not limited to, providing, performing, and installing the following:

submitting all required plans; performing site preparation activities;

retrofitting and redeveloping existing wells (extraction well GWEX and monitoring well PTMP-1); installing associated conveyance piping, piping appurtenances, and well vaults; installing new primary electrical service and secondary electrical to treatment building; installing a pre-engineered, prefabricated metal building, associated process pumps, bag filters for suspended solids removal, liquid GAC vessels, and system controls; constructing a discharge outfall structure; performing restoration activities; and performing startup and prove-out of the treatment system, including testing, sampling, and reporting.

B. Effluent shall be discharged to the city of Powhattan stormwater system and shall meet the substantive discharge requirements of the NPDES.

C. The RA Contractor shall be responsible for the following activities to complete the RA:

a. Procurement - subcontractor contracts as needed to perform the following anticipated work activities: surveying; retrofitting and re-developing extraction wells; construction (e.g., grading, paving, trenching and piping, foundation construction, and building installation); pre-engineered building and treatment system;

rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out

Section 01 11 00 Page 4 electrical work; mechanical work; instrumentation and control systems;

analytical laboratory; and data validation.

b. Preconstruction - including, but not limited to: utility locates, preconstruction survey of existing conditions, coordinating with the City of Powhattan for haul routes, conducting a preconstruction meeting with appropriate stakeholders, submitting Site-specific plans, "Issued For Construction" drawings (also referred to as Shop Drawings in these documents), and documentation of any changes made to the design, if necessary.

c. Mobilization - including, but not limited to: moving equipment and personnel to the Site and constructing temporary work areas and facilities and erosion and sediment control features.

d. Site Preparation - including, but not limited to: documenting existing conditions by performing preconstruction surveying and taking photos, stake locations of construction activities, locate and de-energize utilities, clear and grub areas to be affected by construction activities, and install protective measures around permanent structures in the construction area.

e. Treatment System Construction - including, but not limited to:

procurement of a pre-engineered treatment system from an off-site vendor and coordinating delivery in accordance with project schedule and applicable transportation laws and regulation.

f. Extraction Wells and Conveyance Piping - including, but not limited to: redeveloping extraction wells, placing extraction well pumps, excavating trenches, and installing all related conveyance appurtenances in accordance with Contract Documents.

g. Treatment Building Installation - including, but not limited to:

anchoring the delivered treatment building to the ground, installing and connecting electricity, connecting process piping, and verifying all processes are functioning properly.

h. Beneficial Use Tank Installation - including, but not limited to:

loading, transporting, and unloading the storage tank, anchoring the delivered tank to the ground, installing and connecting process piping, and verifying everything is functioning properly.

i. Startup of the Treatment System - verifying that the treatment unit is functioning within the electrical, mechanical, and chemical guidelines described in the equipment manufacturer's specifications and the RD.

j. Site Restoration - including, but not limited to: repairing any impacted properties as closely as possible to their original state.

k. Final Inspection - including, but not limited to: reviewing all construction items, determining acceptability of the completed work, and developing a punch list of action items to be completed.

l. Demobilization - including, but not limited to: removing all temporary facilities and erosion and sediment control features.

rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out

Section 01 11 00 Page 5

m. Construction Closeout - submitting the As-Built drawings, equipment-specific O&M Manual, and startup data in a Remedial Action Completion Report.

n. Operation and Maintenance of the Treatment System (to be performed by others) - including, but not limited to: continual operation of the treatment system in accordance with Contract Documents. This task will be performed by others under a separate contract.

1.3 EXISTING WORK

A. In addition to FAR 52.236-9 Protection of Existing Vegetation, Structures, Equipment, Utilities, and Improvements:

a. Remove or alter existing work in such a manner as to prevent injury or damage to any portions of the existing work which remain.

b. Repair or replace portions of existing work which have been altered during construction operations to match existing or adjoining work, as approved by the Contracting Officer. At the completion of operations, existing work must be in a condition equal to or better than that which existed before new work started.

1.4 LOCATION OF UTILITIES

A. The RA Contractor will be required to initiate utility locates by contacting the Kansas One Call (1-800-344-7233) prior to intrusive activities. Obtain digging permits prior to start of excavation and comply with installation requirements for locating and marking underground utilities. Verify existing utility locations indicated on Contract Drawings within area of work.

B. Existing underground and overhead utilities on the Site property include but are not limited to electrical, telephone, and storm sewer. The RA Contractor will be responsible for locating, protecting, relocating, and/or decommissioning utilities, as applicable, prior to implementing the RA. The RA Contractor will be required to maintain a safe distance from overhead utilities to avoid contact. If there are access issues due to utilities surrounding work areas, they may need to be temporarily relocated.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

-- End of Section --

Cross-Out rsedivy Cross-Out rsedivy Cross-Out rsedivy Cross-Out

Section 01 33 00 Page 1

SECTION 01 33 00

SUBMITTAL PROCEDURES

5/22

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

A. Submittal requirements are specified in the technical sections. Examples and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

B. SD-01 Preconstruction Submittals

a. Submittals that are required prior to or commencing with the start of work on site. Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

b. Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

C. SD-02 Shop Drawings

a. Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.

b. Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating the product or system into the project.

c. Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.

D. SD-03 Product Data

a. Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

b. Samples of warranty language when the contract requires extended product warranties.

E. SD-05 Design Data

a. Design calculations, mix designs, analyses or other data pertaining to a part of work.

b. Design submittals, design substantiation submittals and extensions of design submittals.

Section 01 33 00 Page 2

F. SD-06 Test Reports

a. Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. Unless specified in another section, testing must have been within three years of date of contract award for the project.

b. Report that includes findings of a test required to be performed on an actual portion of the work or prototype prepared for the project before shipment to job site.

c. Report that includes finding of a test made at the job site or on sample taken from the job site, on portion of work during or after installation.

G. SD-07 Certificates

a. Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the product, system, or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

b. Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor. The document purpose is to further promote the orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel qualifications.

H. SD-08 Manufacturer's Instructions

a. Preprinted material describing installation of a product, system or material, including special notices and (SDS)concerning impedances, hazards and safety precautions.

I. SD-10 Operation and Maintenance Data

a. Data provided by the manufacturer, or the system provider, including manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

b. Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

c. Data incorporated in an operations and maintenance manual or control system.

J. SD-11 Closeout Submittals

a. Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings, as well as a Construction Completion Report. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

Section 01 33 00 Page 3

1.1.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.1.3 Work

As used in this section, on-site and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction. In exception, excludes work to produce SD-01 submittals.

1.2 SUBMITTALS

ANL approval is required for submittals with an "A" designation; submittals not having an "A" designation are for information only “FIO”. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Construction Management Plan (see Section 01 11 00); A

Site Safety and Health Plan; A

Submittal Register

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Argonne National Lab (ANL) Approved (A)

A. ANL approval is required for extensions of design, critical materials, variations, equipment whose compatibility with the entire system must be checked, and other items as designated by the ANL.

B. ANL approval is required for any variations from the Solicitation or the

Accepted Proposal and for other items as designated by the ANL.

1.3.2 For Information Only

Submittals not requiring ANL approval will be for information only.

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Submittal Format

1.4.2.1 Format of SD-01 Preconstruction Submittals

A. When the submittal includes a document that is to be used in the project, or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

B. Provide data in the unit of measure used in the contract documents.

Section 01 33 00 Page 4

1.4.2.2 Format for SD-02 Shop Drawings

A. Provide shop drawings not less than 8 1/2 by 11 inches nor more than 30 by 42 inches, except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required. Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also include applicable federal, military, industry, and technical society publication references.

b. Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

B. Present shop drawings sized 11 by 17 inches as part of the bound volume for submittals if hard copies are requested by ANL. Present larger drawings in sets. Submit an electronic copy of drawings in PDF format.

1.4.2.2.1 Drawing Identification

A. Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph

IDENTIFYING SUBMITTALS.

B. Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block.

Place the ANL contract number in the margin, immediately below the title block, for each drawing.

C. Reserve a sufficiently sized blank space on the right-hand side of each sheet for the ANL disposition stamp.

1.4.2.3 Format of SD-03 Product Data

A. Present product data submittals for each section as a complete, bound volume. Include a table of contents, listing the page and catalog item numbers for product data. Submit an electronic copy in PDF format.

B. Indicate, by prominent notation, each product that is being submitted;

indicate the specification section number and paragraph number to which it pertains.

1.4.2.3.1 Product Information

A. Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

B. Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

Section 01 33 00 Page 5

1.4.2.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the ANL's Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.4.2.3.3 Data Submission

A. Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will not be accepted for expedition of the construction effort.

B. Submit the manufacturer's instructions before installation.

1.4.2.4 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper. Submit an electronic copy in PDF format. If ANL requests a hard copy, provide a complete bound volume.

1.4.2.5 Format of SD-06 Test Reports

A. Provide reports on 8 1/2 by 11 inch paper. Submit an electronic copy in

PDF format. If ANL requests a hard copy, provide a complete bound volume.

B. By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.4.2.6 Format of SD-07 Certificates

Provide certificates on 8 1/2 by 11 inch paper. Submit an electronic copy in PDF format. If ANL requests a hard copy, provide a complete bound volume.

1.4.2.7 Format of SD-08 Manufacturer's Instructions

A. Present manufacturer's instructions submittals for each section electronic PDF format. If ANL requests a hard copy, provide as a complete, bound volume. Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry, and technical-society publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

B. Submit the manufacturer's instructions before installation.

Section 01 33 00 Page 6

1.4.2.7.1 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by ANL's Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.4.2.8 Format of SD-09 Manufacturer's Field Reports

A. Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

Provide submittals in electronic PDF format. Provide hard copies only if requested by ANL.

B. By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.4.2.9 Format of SD-10 Operation and Maintenance Data (O&M)

Comply with the ANL requirements for O&M Data format.

1.4.2.10 Format of SD-11 Closeout Submittals

A. When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

B. Provide data in the unit of measure used in the contract documents.

1.4.3 Source Drawings for Shop Drawings

1.4.3.1 Source Drawings

The entire set of source drawing files (DWG) will not be provided to the Contractor. Request the specific Drawing Number for the preparation of shop drawings. Only those drawings requested to prepare shop drawings will be provided. These drawings are provided only after award.

1.4.3.2 Terms and Conditions

A. Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse is at the sole risk of the Contractor and without liability or legal exposure to the ANL. The Contractor must make no claim, and waives to the fullest extent permitted by law any claim or cause of action of any nature against the ANL, its agents, or its subconsultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest

Section 01 33 00 Page 7 extent permitted by law, indemnify and hold the ANL harmless against all damages, liabilities, or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

B. These electronic source drawing files are not construction documents.

Differences may exist between the source drawing files and the corresponding construction documents. The ANL makes no representation regarding the accuracy or completeness of the electronic source drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. The Contractor is responsible for determining if any conflict exists. In the event that a conflict arises between the signed and sealed construction documents prepared by the ANL and the furnished source drawing files, the signed and sealed construction documents govern. Use of these source drawing files does not relieve the Contractor of the duty to fully comply with the contract documents, including and without limitation the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction data related to this contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

1.4.4 Electronic File Format

Provide submittals in electronic format. Compile the submittal file as a single, complete document, to include the Transmittal Form described within.

Name the electronic submittal file specifically according to its contents, and coordinate the file naming convention with ANL's Contracting Officer.

Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by ANL's Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. If documents are scanned, optical character resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature or a scan of a signature.

1.5 QUANTITY OF SUBMITTALS

Unless otherwise specified, submit three hard copy sets and electronic files of all submittals.

1.6 INFORMATION ONLY SUBMITTALS

Submittals without a "A" designation must be certified by the QC manager and submitted to ANL's Contracting Officer for information-only. Approval of the submittal by ANL's Contracting Officer is not required on information only submittals. ANL's Contracting Officer will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the RA Contractor. Normally, submittals specified as information-only will not be returned. However, the ANL reserves the right to return unsatisfactory submittals and require the RA Contractor to resubmit any item found not to comply with the contract. This does not relieve the RA Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent ANL's Contracting Officer from

Section 01 33 00 Page 8 requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the RA Contractor of the requirement to furnish samples for testing by the ANL laboratory or for check testing by the ANL in those instances where the technical specifications so prescribe.

1.7 PROJECT SUBMITTAL REGISTER

A sample Project Submittal Register showing items of equipment and materials for when submittals are required by the specifications is provided as "Attachment 1 - Submittal Register."

1.7.1 Submittal Management

A. Prepare and maintain a submittal register, as the work progresses. Do not change data that is output in columns (c), (d), (e), and (f) as delivered by ANL; retain data that is output in columns (a), (g), (h), and (i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional submittals may be required.

Column (c): Lists specification section in which submittal is required.

Column (d): Lists each submittal description (SD Number. and type, e.g., SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each specification section where a material or product is specified. This listing is only to facilitate locating submitted requirements. Do not consider entries in column (e) as limiting the project requirements.

B. Thereafter, the Contractor is to track all submittals by maintaining a complete list, including completion of all data columns and all dates on which submittals are received by and returned by the ANL.

1.7.2 Preconstruction Use of Submittal Register

Submit the submittal register. Include the QC plan and the project schedule. Verify that all submittals required for the project are listed and add missing submittals. Coordinate and complete the following fields on the register submitted with the QC plan and the project schedule:

Column (a) Activity Number: Activity number from the project schedule.

Column (g) Contractor Submit Date: Scheduled date for the approving authority to receive submittals.

Column (h) Contractor Approval Date: Date that Contractor needs approval of submittal.

Column (i) Contractor Material: Date that Contractor needs material delivered to Contractor control.

Section 01 33 00 Page 9

1.7.3 Contractor Use of Submittal Register

Update the following fields with each submittal throughout the contract.

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (j) Action Code (k): Date of action used to record Contractor's review when forwarding submittals to QC.

Column (l) Date submittal transmitted.

Column (q) Date approval was received.

1.7.4 Approving Authority Use of Submittal Register

Update the following fields:

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (l) Date submittal was received.

Column (m) through (p) Dates of review actions.

Column (q) Date of return to Contractor.

1.7.5 Action Codes – not used

1.7.6 Delivery of Copies

Submit an updated electronic copy of the submittal register to ANL's Contracting Officer with each invoice request. Provide an updated Submittal Register monthly regardless of whether an invoice is submitted.

1.8 VARIATIONS

Variations from contract requirements require Contracting Officer approval pursuant to contract Clause FAR 52.236-21 Specifications and Drawings for Construction, and will be considered where advantageous to the ANL.

1.8.1 Considering Variations

A. Discussion of variations with ANL's Contracting Officer before submission will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. When contemplating a variation that results in lower cost, consider submission of the variation as a Value Engineering Change Proposal (VECP).

B. Specifically point out variations from contract requirements in transmittal letters. Failure to point out variations may cause the ANL to require rejection and removal of such work at no additional cost to the ANL.

1.8.2 Proposing Variations

Section 01 33 00 Page 10

When proposing variation, deliver a written request to ANL's Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to ANL. Include the Designer of Record (DOR)'s written analysis and approval. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

1.8.3 Warranting that Variations are Compatible

When delivering a variation for approval, the Contractor warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.8.4 Review Schedule Extension

In addition to the normal submittal review period, a period of 14 days will be allowed for the ANL to consider submittals with variations.

1.9 SCHEDULING

A. Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing, and processing of submittals with performance of work so that work will not be delayed by submittal processing. The Contractor is responsible for additional time required for ANL reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b. Submittals required by the contract documents are listed on the submittal register. If a submittal is listed in the submittal register but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval by ANL's Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but that have been omitted from the register or marked "N/A."

c.