TS

INCH-POUND

DOE-STD-3020-97
January 1997
Supersedes DOE NE F3-45
January 1987

DOE STANDARD

SPECIFICATION FOR HEPA FILTERS USED

BY DOE CONTRACTORS

U.S. Department of Energy FSC 6910

Washington, D.C. 20585

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.

This document has been reproduced directly from the best available copy.

Available to DOE and DOE contractors from the Office of Scientific and Technical
Information, P.O. Box 62, Oak Ridge, TN 37831; (423) 576-8401.

Available to the public from the U.S. Department of Commerce, Technology

Administration, National Technical Information Service, Springfield, VA 22161;
(703) 487-4650.

DE97000782
 DOE-STD-3020-97

FOREWORD

This Department of Energy standard supersedes DOE NE F3-45 and is approved for use by
all DOE components and their contractors.

This standard was developed primarily for application in U.S. Department of Energy
programs. It provides guidance to DOE contractor sites for procurement and testing of High
Efficiency Particulate Air (HEPA) filters used in DOE nuclear facilities. This standard was
designed to achieve a technical coordination among individuals of recognized authority from
affected DOE programs, including manufacturers, purchasers, users, and technical experts.
This procedure utilized a writing group to prepare the standard and a technical review
committee to provide formal review and comment.

Beneficial comments (recommendations, additions, deletions) and any pertinent data that
may improve this document should be sent to the Office of Nuclear Safety Policy and
Standards (EH-31), U.S. Department of Energy, Washington, D.C. 20585, by letter or by
using the self-addressed Document Improvement Proposal form (DOE F 1300.3) appearing
at the end of this document.

DOE technical standards, such as this standard, do not establish requirements. However,
all or part of the provisions in a DOE standard can become requirements under the following
circumstances:

(1) they are explicitly stated to be requirements in a DOE requirements document; or

(2) the organization makes a commitment to meet a standard in a contract or in an

implementation plan or program plan required by a DOE requirements document.

Throughout this standard, the word “shall” is used to denote actions that must be performed
if the objectives of this standard are to be met. If the provisions in this standard are made
requirements through one of the two ways discussed above, then the “shall” statements
would become requirements. It is not appropriate to consider that “should” statements
would automatically be converted to “shall” statements as this action would violate the
consensus process used to approve this standard.

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TABLE OF CONTENTS

PARAGRAPH PAGE

FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

1. 0 SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2. 0 APPLICABLE DOCUMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2.1 Department of Energy (DOE) Standards . . . . . . . . . . . . . . . . . . . . . . . . 1

2.2 Department of Defense Military Standards (MIL) . . . . . . . . . . . . . . . . . . . 2
2.3 National Consensus Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

3.0 DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

4.0 GENERAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

5.0 HEPA FILTER PROCUREMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
5.2 Performance Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
5.3 Materials Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
5.4 Filter Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

6.0 QUALITY ASSURANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

6.1 Manufacturers’ Quality Assurance Program, Procedures,

and Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
6.2 DOE Production Testing and Marking . . . . . . . . . . . . . . . . . . . . . . . . . . 18

7.0 PACKAGING, SHIPPING, AND STORAGE . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.1 Packing and Shipping for Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

7.2 Shipping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
7.3 Reshipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
7.4 Rejected Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

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 DOE-STD-3020-97

1.0 SCOPE

1.1 Scope

This standard establishes specification and testing requirements for High

Efficiency Particulate Air (HEPA) filters procured to provide personnel and
environmental protection when installed in DOE nuclear facilities. The
standard specifies minimum requirements to be included in contractor
specifications.

1.2 Applicability

This Standard applies to procurement of HEPA filters to be installed in DOE

nuclear facilities.

2.0 APPLICABLE DOCUMENTS

The following documents are either a part of this standard to the extent specified
herein, or specify materials of HEPA filter construction. Unless otherwise stated, the
current issue date and revision number of a referenced document shall apply,
including addenda and/or amendments. In the event of a conflict between
provisions of this standard and provisions of the referenced documents, the text of
this standard shall take precedence. Appeals in this matter may be addressed to
the DOE "Preparing Activity" (DP-45), which is designated as the DOE entity
responsible for issue and interpretation of this standard.

2.1 Department of Energy (DOE) Standards

DOE F 3-42 - Operating Policy of DOE Filter Test Program

DOE F 3-43 - Quality Assurance Testing of HEPA Filters
DOE F 3-44 - DOE Filter Test Facility Quality Program Plan
Note: The above standards are currently under revision. At their issuance,
their designator will be modified to conform with the latest DOE guidelines.
Subsequently, their designator in this standard will be updated through a
page change modification.

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 DOE-STD-3020-97

2.2 Department of Defense Military Standards (MIL)

MIL-STD-105E - Sampling Procedures and Tables for Inspection by

Attributes
MIL-STD-282- Filter Units, Protective Clothing, Gas Mask Components and
Related Products: Performance Test Method
MIL-F-51079 - Filter Medium, Fire Resistant, High Efficiency
MIL-S-8660C - Silicone Compound, NATO Code Number S-726

2.3 National Consensus Standards

2.3.1 American Society For Testing and Materials (ASTM)

ASTM A 176 - A Specification for Stainless and Heat-Resisting Chromium

Steel Plate, Sheet and Strip
ASTM A 240 - A Specification for Heat-Resisting Chromium and Chromium-
Nickel Stainless Steel Plate, Sheet, and Strip
ASTM A 366/A 366M - Standard Specification for Steel, Sheet, Carbon,
Cold-Rolled, Commercial Quality
ASTM A 570/570M - Specification for Steel, Sheet, and Strip, for Carbon, Hot
Rolled, Structural Quality
ASTM A 611 - Specification for Steel, Cold-Rolled Sheet, Carbon, Hot
Rolled, Structural Quality
ASTM A 740 - Specification for Hardware Cloth (Woven or Welded
Galvanized Steel Wire Fabric)
ASTM B 209 - Specification for Aluminum and Aluminum Alloy Sheet and
Plate
ASTM D 217 - Test Method for Cone Penetration of Lubricating Grease
ASTM D 1056 - Specification for Flexible Cellular Materials - Sponge or
Expanded Rubber
ASTM D 3359- Test Methods for Measuring Adhesion by Tape Test
ASTM E-84 - Test Method for Surface Burning Characteristics of Building
Materials

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 DOE-STD-3020-97

2.3.2 American Society of Mechanical Engineers (ASME)

ASME AG-1, Code, Section FC, HEPA Filters

ASME NQA -1 - Quality Assurance Program Requirements for Nuclear
Facilities

2.3.3 U.S. Product Standards

APA H850 U.S. Product Standard (PS) for Construction and Industrial
Plywood

2.3.4 Technical Association of the Pulp and Paper (TAPPI)

T411-OM - Thickness (Caliper) of Paper and Paperboard and Combined
Board
T413-OM - Ash in Paper and Paperboard
T494-OM- Tensile Breaking Properties of Paper and Paperboard (Using
Constant Rate of Elongation Apparatus)
UM-440 - pH of Paper (cold extract)

2.3.5 Federal Standards

FED-STD-141C- Paint, Varnish, Lacquer, and Related Materials; Method of
Inspection, Sampling and Testing

2.3.6 Institute of Environmental Sciences, Mt. Prospect, Illinois

IES-RP-CC-001.3 - Recommended Practice for HEPA Filters

2.3.7 Underwriter Laboratories

UL-586 - Standard for High Efficiency Particulate Air Filter Units

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 DOE-STD-3020-97

3.0 DEFINITIONS

Acceptance Test

Inspection and testing of a HEPA filter to verify certain characteristics or

properties which determine acceptance or rejection of that filter.

Airflow Resistance

An index of the energy required to maintain airflow through a filter. Airflow

resistance is measured in terms of the air pressure difference (pressure
drop) across a filter at a specified flowrate (e.g. see section 5.2.2, Table-1).
Note: The initial airflow resistance of a new filter serves as an index of the
filter s potential loading capacity.

Approved Test Aerosol

Particle-generating materials approved by DOE for performance testing.

Test aerosols approved by the DOE for tests conducted in the Filter Test
Facility are di-octyl phthalate (DOP), also known as DEHP and di-octyl
sebacate (DOS), also known as DEHS.

Filter Test Facility (FTF)

A facility established by the DOE specifically to conduct performance quality

assurance inspections and tests of HEPA filters.

High Efficiency Particulate Air (HEPA) Filter

A throwaway, extended-media, dry type filter with a rigid casing enclosing the
full depth of the pleats. The filter shall exhibit a minimum efficiency of
99.97% when tested at an aerosol of 0.3 micrometers diameter. The
maximum airflow resistance shall be as specified in Section 5.2, Table 1 of
this standard.

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Nominal Air Flow Rating

The flow rate at which HEPA filters are identified by the manufacturer and
confirmed at the FTF. Nominal air flow ratings for various size filters are
listed in section 5.2.2, Table 1 of this standard.

Nuclear Facility

A DOE-owned and operated reactor or non-reactor facility in which

radioactive materials are produced or handled to the degree that
environmental protection is required.

Penetration

The downstream test aerosol concentration, expressed as a percentage of

the upstream test aerosol concentration.

Preparing Activity

The DOE organization responsible for issue and interpretation of this

standard.

Qualification Test

A test, often destructive, of a prototype or randomly selected production filter

to establish its capability to meet certain functional and specification require-
ments. The results of the test are considered to typify individual items or
model numbers which are of the same design and are manufactured by the
same process.

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4.0 GENERAL REQUIREMENTS

All HEPA filters to be used for personal or environmental protection purposes in

DOE nuclear facilities shall be purchased and tested according to the general
requirements of this section (Section 4), and the specific requirements of Sections 5
and 6 of this standard.

4. 1 Prior to use in DOE facilities, filters shall be delivered to a DOE Filter Test
Facility (FTF) for acceptance testing.

4. 2 Each filter shall be tested by both the manufacturer and the FTF operator for
penetration at 100% of the nominal airflow rating. Size 3 filters (125 cfm)
and greater shall also be tested for penetration at 20% of the manufacturers
nominal airflow rating (See Section 5.2.2, Table 1 of this standard).

4. 3 All unencapsulated (open faced) HEPA filters shall be tested for airflow
resistance at nominal airflow rating. Maximum acceptable resistance for
selected filter sizes appear in Section 5.2.2, Table 1 of this standard.

4. 4 HEPA filters which appear on the most recent Military Qualified Products List
(QPL), issued 4-10-1995, associated with former Military Specifications MIL-
F-51068, or a corresponding DOE QPL, are considered to meet all the
Quality Assurance requirements of Section 6.1 of this standard until their
five-year terms expire. The filter medium shall comply with MIL-F-51079.

4.5 HEPA filter media listed on the QPL associated with Military Specification
MIL-F-51079 are considered to meet the Quality Assurance requirements of
Section 6.1 for filter media only. All other qualification tests specified in
Section 6 of this standard shall be performed.

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 DOE-STD-3020-97

5.0 HEPA FILTER PROCUREMENT

5.1 General

HEPA filters to be installed in facilities operated under contract to DOE shall

be purchased in compliance with the specifications of this standard. The
purchaser shall provide the FTF manager a copy of the purchase order,
including any non-standard requirements for the filter product, as a means to
assure that the purchase order includes proper specifications, and that the
vendor meets the stipulations of the purchase order. Disagreements on the
specification content, or changes thereto, shall be resolved in writing by the
purchaser and the FTF manager.

5.2 Performance Requirements

Mandatory performance requirements for HEPA filters are set out below.
These performance requirements must be demonstrated by test or
inspection by manufacturer and FTF.

5.2.1 Penetration. Aerosol penetration for any HEPA filter shall not exceed
0.03% (0.0003) at 0.3 micrometer diameter particles.

5.2.2 Resistance. Air flow resistance across the HEPA filter shall conform
to the limits listed in Table 1 below. Tests for resistance to airflow
shall be conducted at flow rates expressed in actual cubic feet per
minute (ACFM).

5.2.3 Media Velocity (Effective Media Area). The total effective media area
provided within the filter pack shall be such that face velocity shall not
exceed 5.0 ft/min (1.52 m/min) at the rated air flow.

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 DOE-STD-3020-97

TABLE 1. Dimensions, Nominal Airflow Ratings, and Maximum

Resistance for typical HEPA Filtersa

Dimension Dimension Nominal Airflow Maximum

Size in inches in millimeters Rating Resistance
cfm m3/hr [Link] Pa
1 8x8x3-1/16 203x203x78 25 42 1.3 325
2 8x8x5-7/8 203x203x149 50 85 1.3 325
3 12x12x5-7/8 305x305x149 125 212 1.3 325
4 24x24x5-7/8 610x610x149 500 850 1.0 250
5 24x24x11-1/2 610x610x292 1000 1700 1.0 250
6 24x24x11-1/2 610x610x292 1250 2125 1.0 250
7b,c 24x24x11-1/2 610x610x292 1500 2550 1.3 325
d
8 24x24x11-1/2 610x610x292 2000 3400 1.3 325
9 12x12x11-1/2 305x305x292 250 425 1.0 250

a
Unencapsulated.
b
Constructed with separators.
c
Constructed without separators.
d
Mini-pleat design.

Note: HEPA filters not listed above (round, rectangular, radial, etc.) which conform to the
requirements listed in this standard (5.2 performance requirements, 5.3 materials
requirements, and 5.4 filter construction) are acceptable for use at DOE nuclear facilities.

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 DOE-STD-3020-97

5.3 Materials Requirements

5.3.1 Filter Media.

[Link] Fibrous Filter Media. Non-metallic fibrous filter media shall

be procured in compliance with the provisions of MIL-F-
51079. This shall be cited in the purchaser's specification.

[Link] Non-fibrous Filter Media. Non-fibrous or metallic filter media

are acceptable provided the media meets the applicable
specification and performance requirements of Section 6 of
this standard and ASME AG-1 Code, Section FC,
Mandatory Appendix FC-I. Asbestos is not acceptable as a
filter medium component.

5.3.2 HEPA Filter Case Materials.

[Link] Structural Material. Metal filter case material shall be

equivalent to USS 14 gage steel as a minimum, with a
minimum thickness of 0.0720 inches (1.8 mm). Wood or
wood substitutes are acceptable, provided it can be
demonstrated that the filter frame material selected is
physically equivalent to plywood specifications which appear
in APA H850. Particle board is not acceptable.

[Link] Fire Retardance. Filter case material shall have a flame

spread classification of 25 or less when tested in
compliance with ASTM E-84.

[Link] Hazardous/TSCA/Mixed Waste. Construction materials for

HEPA filters shall be selected to avoid generation of EPA
regulated wastes as specified in 40 CFR 261. For this
reason,

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 DOE-STD-3020-97

cadmium is no longer acceptable for treatment of filter

cases, nor is asbestos acceptable as a HEPA filter
component.

5.3.3 Separator Material.

[Link] Asbestos. Asbestos is not authorized as a separator

material. (See Section [Link], above.)

[Link] Aluminum. Authorized aluminum separator materials are

specified in ASTM B209 as Alloy 1145-H18, Alloy 3003-H19,
or Alloy 5052-H38. These separators must have a minimum
thickness of 0.00015 in. (0.038 mm). To protect the filter
medium, the separator shall be provided with a “turned edge”
prior to corrugation.

[Link] Acid Resistant Separators. Authorized coatings for acid

resistant separators are Teflon, epoxy resin or thermoset
vinyl. The coating shall be colored (to identify defects), shall
tightly adhere to preclude cracking or delaminating when the
material is corrugated, and shall be 0.0001 to 0.0002 in. (2.5
to 5 micrometers) thick (dry film). After corrugation and
subsequent flattening, the coating shall exhibit an adhesive
peel resistance of 3A or better when tested in accordance
with Method A of ASTM D 3359.

5.3.4 Adhesives. Adhesives and sealants, used to seal the filter pack within
the filter case and to adhere gaskets to the filter case, shall be non-
flammable or self-extinguishing, so that when the dried or cured
sealant is subjected to the Spot Flame test of UL-586, it either will not
burn, or will not continue to support combustion after the source of
combustion has been removed.

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 DOE-STD-3020-97

5.3.5 Gaskets and Seals. Two methods are currently employed for sealing
the filter to its mounting frame, flat gaskets, and "fluid" seals. The
two methods shall not be used on the same mounting frame.

[Link] Flat Gasket. Gasket materials shall be oil and

ozone-resistant, made of synthetic rubber, closed cell
sponge Grade 2C3 or 2C4 in accordance with ASTM D
1056, and shall be 1/4 in. (6 mm) thick by 3/4 in. (19 mm)
wide with split or cut surfaces (i.e., no mold skin).

[Link] Fluid Seal. Fluid seals require a specially designed

mounting frame that is not compatible with flat-gasketed
sealed filters. The sealant shall be nonflammable as
defined in ASTM D092; e.g., no flash at 4500 F (2320 C) or
below; with a fire retardant rating of V-0, per UL-94;
hardness, as determined by Brookfield LTV Penetrometer #
3, of 0.14-0.24 in. (3.5-6.0 mm); and allowing no biological
growth. Fluid seals must be a non-evaporating, highly
viscous, self-healing non-Newtonian substance. The fluid
seal substance shall be corrosion resistant, shall not relax,
crack, separate, or stick or adhere to the knife-edge, and
shall be insoluble in water. The substance shall be
thermally stable with a serviceable range of from 400 F
(40 C) to 4500 (2320 C). If the fluid seal substance is a
grease, the substance shall have a National Lubricating
Grease Institute (NLGI) consistency number 2 or 3 as
determined by ASTM D 217. Evaporation shall be less than
2% when tested in accordance with MIL-S-8660C for 24
hours at 3900 F (1980 C).

5.3.6 Face Guards. Face guards, if required by the filter purchase order,
shall be corrosion resistant and nonflammable.

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 DOE-STD-3020-97

5.4 Filter Construction

5.4.1 Dimensions. The configuration and dimensions of open face

rectangular HEPA filters have been standardized and listed in Section
5.2.2, Table 1 of this standard. All other filter configurations are
considered "special" filters whose dimensions and tolerances must
be specified in the procurement documents. Dimensional tolerances
of "special" HEPA filters should conform to those specified in Section
5.4.3, Table 2 of this standard.

5.4.2 Filter Pack Construction. Filter packs shall be constructed of a

continuous sheet of filter medium which shall be pleated evenly to
form a pack or panel of equal depth throughout. The filter pack shall
be tight when tested according to the method described in Paragraph
8.1 of Institute of Environmental Sciences (IES) Document Number
IES-RP-CC-001.3. Repair of pin holes and other defects is not
acceptable.

[Link] Pleat and Separator Filters. Separators shall extend at

least 1/8 in. (3 mm) beyond the pleats of filter medium. The
plane formed by the edges of the separators shall be at
least 1/4 in. (6 mm) from the plane of the filter frame (less
gasket). The pleats shall be straight and shall not deviate
more than 1/2 in. (12 mm) from a line drawn from one end
of the pleat to the other end of the pleat and shall be
perpendicular to the filter case.

[Link] Mini-pleat filters. Filter medium panels shall be sealed in a

reservoir which is at least 1/16 in. (1.6 mm) deep. The
panels shall not vary more than 1/2 in. (12 mm) from a line
drawn from the top to the bottom of the panel and
perpendicular to the case. Filter medium support (ribbons,
strings, etc.) shall not vary more than 1/2 in (12 mm) from a
straight line drawn from top to bottom of the line formed by
the supports and shall be perpendicular to

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 DOE-STD-3020-97

the case. The filter medium support shall be nonflammable.

The panels on the left and right sides of the filter shall be
sealed to the case with adhesive.

[Link] Separatorless Filters. Dividers shall be provided as

appropriate for additional support. The vertical plane
formed by the ends of the convolutions shall not deviate
more 3/4 in. (19 mm) from the top to bottom of the pleat and
shall be recessed at least 1/16 in. (1.6 mm) from the plane
formed by the four sides of the filter frame. Where
convolutions do not have crest-to-crest contact, spacing
shall not be less than 1/16 in. (1.6 mm). Nesting of
convolutions is not permitted. Abrupt kinks or deviations in
the folds of the medium are not permitted. The trimmed
edges of the filter element shall be firmly potted (fixed) into
the sealant. The two flap edges shall have sufficient
sealant to secure them to the frame sides.

5.4.3 Filter Case. The case shall be fabricated in compliance with the
provisions of Section 5.3.2 of this standard. The completed case,
less gaskets, shall conform to the dimensions listed in Section 5.2.2,
Table 1 of this standard, unless alternative dimensions are specified
in procurement documents. Section 5.4.3, Table 2 of this standard
lists the acceptable tolerances.

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 DOE-STD-3020-97

TABLE 2. Tolerances for Filter Cases

a. Face Dimensions:
i. less than 18 in. +0, - 1/16 in. (1.6 mm)
(45.7 cm)

ii. greater than 18 in. +0, - 1/8 in. (3 mm)

(45.7 cm)
b. Depth: +1/16 in. (1.6 mm), -0
c. Width of gasket surface: 3/4 in. (19 mm) ± 1/16 in. (1.6 mm)
d. Squareness: face diagonals to be equal with the following total tolerances.
i. less than 18 in. 1/16 in. total (1.6 mm)
(45.7 cm)
ii. greater than 18 in. 1/8 in. total (3 mm)

(45.7 cm)
e. Gasket seating surfaces: Square with sides of frame (within 3o).flat and parallel.
1/16 in. (1.6 mm) total allowance when measured with one face
of the filter resting on a flat surface.

[Link] Wooden Cases. Case panels shall be joined with rabetted

joints which are assembled by gluing with an adhesive
meeting the requirements of Section 5.3.4 of this standard
and double nailing or double screwing with coated box nails,
corrosion resistant plated screw-nails, or flathead wood
screws. The end points of the fasteners shall not penetrate
the inside or outside surfaces of the case. Frame faces,
edges, and inner surfaces shall be thoroughly coated with
sealant to minimize permeability. Frame face sealant shall
not reduce the ability of the gasket to adhere to the frame.
There shall be no splinters or rough edges that might
penetrate or cut workers' gloves or injure the fingers of
personnel handling the filters.

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 DOE-STD-3020-97

[Link] Metal Cases. Metal cases shall have a double-turned,

3/4 in. (19 mm) wide flange on each face or a
fluid-seal socket or sleeve as specified in the
procurement documents. Panels shall be assembled
into the frame by riveting or bolting the corners, or by
potting a subassembly consisting of the filter pack and
side panels into the top and bottom panels (but not the
corners), using an adhesive meeting the requirements
of Section 5.3.4 of this standard. For mechanically
joined panels the space between abutting panels shall
be sealed with an adhesive meeting the requirements
of Section 5.3.4 of this standard.

5.4.5 Gaskets. Gaskets shall be glued firmly and continuously to the case.
Loose, peeling, or distorted gaskets shall be cause for rejection of the
filter. The gasket shall not extend more than 1/16Êin. (1.6 mm) over
either side of the seating surface at any point. Gaskets may be of
one-piece or made up of strips joined at the corners by keyhole,
keystone, or other interlocking type joints. Edges of the joint area
shall be thoroughly coated with adhesive (sealant meeting
requirement of Section 5.3.4 of this standard) before assembly.

5.4.6 Faceguards. Faceguard edges shall be firmly embedded in adhesive

and shall be installed so that projecting wires or edges do not form a
puncture hazard to personnel handling the filter and do not project
onto or beyond the gasket mounting surface. Wire edges formed
when slitting or shearing expanded-metal faceguards shall be
smoothed on both surfaces of the material before installation.

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 DOE-STD-3020-97

6.0 QUALITY ASSURANCE

6.1 Manufacturer's Quality Assurance Program, Procedures, and

Documentation

Filters shall be manufactured and shipped under a quality assurance

program meeting the essential requirements of ASME NQA-1.

Procurement and fabrication activities shall allow positive identification of the

grades of source materials used in construction, and permit positive
identification of the roll (or production run for separatorless filters) of filter
medium used in the completed filter. All tests and inspections shall be
conducted in accordance with documented manufacturer's procedures, and
the results shall be traceable to specific lots of completed filters. The results
of penetration and resistance tests specified in Section 6.2 of this standard
shall be documented and identified by serial number for each individual filter
unit. Nonconformances with the above items and documentation of
problems and their resolution shall be addressed in the manufacturer's QA
Plan.

6.1.1 Qualification. Filter manufacturers shall be required to show

evidence that HEPA filters meet the test requirements of Sections
6.1.3 to 6.1.5 of this standard.

Qualifications testing must be performed and certified by an

independent test laboratory.

Requalification is required every five years.

If a filter fails any or all of the qualifications tests, the test organization
shall first notify the manufacturer, and provide the manufacturer the
opportunity to review test methods and results prior, to removing the
filter model from the QPL. (or similar qualifications list) and issuing
notice thereof.

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In order to reduce costs associated with qualification testing,

successful tests of filters with known material components for filter
frames, filter medium, cases and adhesives, produced by a single
manufacturer, can be used to qualify filters of similar construction, but
smaller sizes by the same manufacturer. Tests of:

Filter Size 5 shall qualify similar filters of sizes 1 through 5.

Filter size 6 shall qualify similar filters of sizes 1 through 6.
Filter Size 7 shall qualify similar filters of sizes 1 through 7.
Filter Size 8 shall qualify similar filters of sizes 1 through 8.

DOE reserves the right to randomly select HEPA filters from existing
storage at DOE sites and perform the tests defined in Sections 6.1.3
through 6.1.5 of this standard. If failures are noted, procurement
organizations shall be notified that the failed filter model has been
removed from the current DOE QPL. The manufacturer, the DOE
FTF, and DOE contractor procurement specialists shall be informed
that the failed filter model is no longer acceptable for use at DOE
facilities, pending requalification.

6.1.2 Qualifications Testing. Qualifications tests of filter components shall

be conducted in accordance with requirements of Sections 6.1.3
through 6.1.5 of this standard and applicable specification and
performance requirements of ASME AG-1. If a manufacturer's filter
model, consisting of a specific set of components including frame,
adhesive, and filter medium, is listed in a current QPL, this shall
constitute satisfactory evidence of having met the qualification
requirements of this standard. Filters selected for qualification testing
may be prototypes of the proposed design or production filters of the
specific design randomly selected from the manufacturer's stock.
The number of filter units required for qualification testing shall be as
specified in ASME AG-1. Modification of these requirements shall be
only as specified below.

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 DOE-STD-3020-97

6.1.3 Overpressure Resistance. The new, unused filter, when

preconditioned according to ASME AG-1 Code, Section FC, Section
5140, “Resistance to Pressure,” shall withstand a pressure differential
of 10 ± 0.2 in. wg (2500 ± 50 Pa) for 60 minutes without visible
evidence of damage. Within 15 minutes of the pressure differential
test, and while still wet, the filter shall meet the penetration
requirement of Section 6.2.2 at 20% of nominal airflow rating (size 4
and larger filters).

6.1.4 Resistance to Fire and Heated Air. The new, unused filter shall
withstand exposure to air heated to 700¡F ± 50¡F (370¡Ê±Ê28¡C) for 5
minutes. After exposure to heat, the penetration, when tested at
nominal airflow rating, shall not exceed 3.0%. There shall be no
evidence of sustained burning when subjected to a spot flame at any
point on the filter except the gasket. Labeling or certification (by
Underwriters Laboratories) in accordance with UL-586 shall provide
evidence of satisfactory compliance with applicable requirements for
resistance to fire and heated air.

6.1.5 Resistance to Rough Handling. The filter shall withstand shaking for
15 minutes at 3/4-in. (19 mm) amplitude and 200 cycles per minute
(3.33 Hz) without evidence of filter damage. The test shall be
conducted with the filters boxed, and the pleats and separators
vertical. After the test, the filter shall meet the penetration
requirement of Section 6.2.2 of this standard at 100% (all filters) and
20% (125 cfm [212 m3/hr] and larger) at the nominal airflow rating.

6.2 DOE Production Testing and Marking

6.2.1 Acceptance Inspection and Testing. Prior to installation at a DOE

site, each HEPA filter shall be tested at a DOE FTF. Acceptance is
contingent upon satisfactory completion of inspections and tests
specified in DOE Standards. Filters will be inspected for physical
damage to the packaging and filter, and for compliance with
specification requirements which can be checked visually. Each filter

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 DOE-STD-3020-97

shall be tested for penetration and resistance. The penetration at

each specified airflow and the resistance at nominal airflow rating
shall be marked clearly and indelibly on the case of the filter unit
tested. At the discretion of the FTF, the customer may be advised to
request the manufacturer to supply evidence of compliance with
qualifications tests and materials requirements of the specification.
Failure to meet inspection, test, or verification requirements shall be
cause for rejection of the filter(s). After the testing and inspection is
completed, each filter will bear a FTF test label indicating acceptance
or rejection.

6.2.2 Penetration. Each filter unit shall be tested for penetration by a

DOE-approved aerosol and test method at a DOE FTF as follows:

Size 1 and 2 (up to 125 cfm [212 m3/hr]) filter units: 100% of
rated airflow.

Size 3 (125 cfm [212 m3/hr]) and larger filter units: 100% and
20% of rated airflow.

• Filters with penetration rates in excess of 0.03% (0.0003)

measured at a particle diameter of 0.3 micrometer shall be
rejected. When tested with a laser spectrometer test method, the
maximum penetration and the aerosol particle size of maximum
penetration shall be reported in addition to the penetration at 0.3
micrometers diameter. However, penetration at 0.3 micrometers
diameter shall be the only criterion used to judge whether a filter
is rejected for excess penetration.

6.2.3 Resistance. The air flow resistance across the HEPA filters shall
conform to the limits listed in Section 5.2, Table 1. Tests for
resistance to airflow shall be conducted at flow rates expressed in
actual cubic feet per minute (ACFM).

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 DOE-STD-3020-97

6.2.4 Accepted and Rejected Filters. Accepted filters shall be marked as

specified in DOE standards.

7.0 PACKAGING, SHIPPING, AND STORAGE

7.1 Packaging and Shipping for Testing

7.1.1 Packaging. HEPA filters shall be packed in individual, durable

containers which meet applicable shipping regulations.

7.1.2 Preparation for Delivery. The contractor's shipping instructions shall

specify that HEPA filter cartons be crated or placed on a pallet to
minimize unit handling, particularly at public carrier interchange
points. Filters should not be stacked more than three (3) high. For
large shipments, it is recommended that the entire shipment be
shipped in a sealed, dedicated trailer or rail car. At all times the
filters must be handled with care and properly orientated.

7.1.3 Packaging , Shipping and Storage. Packaging, shipping and storage

shall be in accordance with NQA-2, level B.

7.2 Shipping

HEPA filters to be tested shall be shipped to the address below, as agreed to

by the procurement specialist and the vendor.

1) Lockheed Martin Energy Systems

K-25 Site, Building K-1024
Oak Ridge, Tennessee 37830
Attention: Filter Test Facility

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 DOE-STD-3020-97

7.3 Reshipment

Following satisfactory completion of inspections and tests specified in

section 6.2 of this standard, the FTF will repack the tested filters in a manner
comparable to the received packaging, and forward them to the address
specified by the customer.

7.4 Rejected Filters

Rejected filters will be disposed of by the FTF in accordance with written

instructions on file from the purchaser and/or the manufacturer.

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DOE-STD-3020-97

Intentionally Blank

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 DOE-STD-3020-97

CONCLUDING MATERIAL

Review Activity: Preparing Activity:

DOE-DP-45

DOE Field Offices

DP Albuguerque Operations Office
EE Chicago Operations Office
EH Idaho Operations Office Project Number:
EM Nevada Operations Office FSC-4460-0005
ER Oakland Operations Office
FM Oak Ridge Operations Office
GC Rocky Flats Office
HR Richland Operations Office
IG Savannah River Operations Office
NE
RW

National Laboratories
Brookhaven National Laboratory
Los Alamos National Laboratory
Lawrence Livermore National Laboratory
Oak Ridge National Laboratory
Sandia National Laboratory

Power Authorities
WAPA