1. AL-1953-0482C, SOW, SR Embedded Floor Plates.pdf

SOW, SR EMBEDDED FLOOR PLATES

RELEASE DATE : 2026-10-06

AUTHOR:

DOCUMENT NUMBER: AL-1953-0482 REVISION: C

DOCUMENT STATUS: RELEASED

DOCUMENT TYPE: REQUIREMENT

CATEGORY CODE: AL7525

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TABLE OF CONTENTS

REVISION HISTORY 3

APPROVALS 3

Abbreviations and Acronyms 4 1 Introduction 5

1.1 Project Overview 5

1.2 Description of Items 5

1.3 Roles and Responsibilities 6

2 Scope of Work 7

2.1 Work required 7

2.2 Optional value-added services 8

3 Deliverables and Schedule 8

3.1 Deliverables: Hardware 8

3.2 Deliverables: Quality assurance documentation 10

3.3 Options 10

3.3.1 Option 1: Storage and controlled materials release 10

3.3.2 Options 2 & 3: Post completion additional machining 11

4 Project Administration 12

4.1 Reporting/Communication Requirements 12

4.2 Reviews and Approvals 13

4.2.1 Manufacturing readiness review 13

4.2.2 Pre-shipment documentation review 13

4.2.3 Machining option review 13

4.3 Hold Points 14

4.4 Documentation Management 15

5 Packaging, Storage, and Shipping Requirements 15

5.1 Packaging 15

5.2 Storage 16

6 Quality Assurance 16

6.1 Quality Reporting Requirements 16

6.1.1 Deviation requests 16

6.1.2 Nonconformance reports 17

6.2 Inspection Requirements 17

6.2.1 Work Package 1 17

6.2.2 Acceptance Criteria 17

7 Applicable Documents 18

Advanced Light Source

Lawrence Berkeley National Laboratory

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Center release information in the lower-left corner of the document's pages

Printed hard copies of this document are for reference only.

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REVISION HISTORY

Rev. CM Number Description of Change

A Baseline Release

APPROVALS

The following individual(s) shall review this document:

Reviewer Project Role

The following individual(s) reviewed this document:

Reviewed by: DVMUNSON

The following individual(s) shall approve this document:

Approver Project Role

The following individual(s) approved this document:

Approved by: ESPINODEVINE

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ABBREVIATIONS AND ACRONYMS

ACL Acceptance Criteria List

ALS Advanced Light Source

ALS-U Advanced Light Source Upgrade

ANSI American National Standards Institute

ARO After Receipt of Order

BOM Bill of Materials

CAD Computer Aided Design

CNC Computer Numerical Control

CoC Certificate of Conformance

COTS Commercial, Off the Shelf

DR Deviation Request

GD&T Geometric Dimensioning and Tolerancing

HW Hardware

ISO International Standards Organization

LBNL* Lawrence Berkeley National Laboratory mm Millimeters

NCR Non-Conformance Report

NTP Notice to Proceed

QA Quality Assurance

QC Quality Control

QTY Quantity

RFP Request for Proposal

SKU Stock Keeping Unit

SOW Statement of Work

SR Storage Ring

University* The Regents of the University of California

WP Work Package

*For the purposes of this SOW, the terms University and LBNL are used interchangeably.

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1 INTRODUCTION

1.1 Project Overview

ALS-U is an upgrade project to the LBNL Advanced Light Source (ALS). The ALS is a

1.9 GeV storage ring operating at 500 mA of beam current. It is optimized to produce intense beams of soft x-rays, which offer spectroscopic contrast, nanometer-scale resolution, and broad temporal sensitivity. The ALS facility includes an accelerator complex and photon delivery system that is capable of providing the foundations for an upgrade that will achieve world-leading soft x-ray coherent flux. The existing ALS provides a ready-made foundation, including conventional facilities and also includes extensive beamlines (up to 40 simultaneously operating beamlines) and instrumentation, an experimental hall, computing resources, ancillary laboratories, offices, and related infrastructure that will be heavily utilized in an upgrade scenario.

The ALS will be upgraded with a multibend achromat (MBA) lattice design that will provide a soft x-ray source that is orders of magnitudes brighter — an up to 100-1000 times increase in brightness and will provide a significantly higher fraction of coherent light in the soft x-ray region than is currently available at ALS.

Any resulting Subcontract will be between the University and the party identified as the

Subcontractor and will be issued under Prime Contract No. DE-AC02-05CH11231 between the University and the United States Government (hereinafter “U.S.

Government”), represented by the Department of Energy (hereinafter “DOE”) for the management and operation of LBNL and the performance of research and related work.

1.2 Description of Items

This statement of work (SOW) outlines the requirements for the supply and delivery of fabricated components for the embedded floor plate installed in the Storage Ring tunnel floor. There is one work package that is part of this SOW.

The embedded floor plate system provides the structural interface and leveling surface for the Storage Ring support plinths. The floor plates are installed in precise locations in the tunnel floor prior to installation of the support plinths. The bill of materials (BOM) document AL-1953-0511 defines all fabricated components required for this work package. The storage ring requires 96 embedded plates, 12 plates for each design variant.

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Example showing the embedded floor plates under the Storage Ring raft assembly

1.3 Roles and Responsibilities

Two individuals will be identified in the awarded contract: a University Procurement

Specialist and a University Technical Representative. The named university personnel are responsible for the contract administration from award initiation through the receipt and acceptance of the purchased item.

University Procurement Representative – See subcontract for details.

University Technical Representative – See subcontract for details.

The selected subcontractor is required to identify a project manager to act as the single point of contact at the subcontractor. The project manager interfaces directly with the

University Technical Representative for technical, programmatic, and schedule items.

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2 SCOPE OF WORK

The work is to be completed as specified in this SOW and the applicable documentation, listed in Table 7-1 Applicable documents list. The work package is required to adhere to all sections of this SOW, unless specifically noted. Exceptions or exclusions from the documented requirements require prior written approval from LBNL before modifications are made.

The scope of work includes work package 1.

Work package 1

The fabrication, inspection, quality management, and documentation of all embedded floor plate components per LBNL drawings. All work is to be performed in accordance with this SOW and the associated drawings listed in the bill of materials. Machined components (those starting with “AL”) are to be serialized per EG-1002-1955 and SAE

AS478-15B2 with the drawing number, revision letter, and sequential part serial number

(e.g. AL-1425-2859-000x).

2.1 Work required

1. Fabricate, inspect, and fully document any nonconformances of all LBNL drawings. Fabricated parts are indicated by LBNL part numbers that start with an “AL”.

2. Packaging that ensures safe transport and storage for first articles and subsequent batches.

3. Package labeling to ensure clear identification and traceability of each part.

4. Delivery of components per the delivery schedule issued by LBNL.

5. Provide Quality Assurance (QA) documentation of delivered items, including

Certificate of Conformance, material certification, packing lists, and batch verification. Section 6 of this document fully describes the quality assurance requirements.

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2.2 Optional value-added services

Optional value-added services are the storage and possible additional manufacturing activities that may be performed by the subcontractor. Optional value-added services are carried out only if LBNL chooses to exercise the specified option as a contract modification.

1. Storage and materials release management detailed in Section 3.3.1.

2. Post process addition of holes per LBNL provided CAD files detailed in Section

3.3.2.

3 DELIVERABLES AND SCHEDULE

This section describes the deliverables required for this scope of work. The deliverables constitute the fabricated components and associated quality assurance (QA) documentation for each part. The deliverables are to be shipped to LBNL per an

LBNL-approved schedule.

First article items are required for design verification and fit checks. This process includes a hold point to allow for inspection and documentation verification.

Production of the remaining parts may not begin prior to written authorization from

LBNL. Hold point requirements are specified in Section 4 of this document.

3.1 Deliverables: Hardware

Table 3.1 specifies the hardware deliverables and required cadence of part completion.

Items are to be delivered as noted unless the storage option is exercised. See Table 3.2 for option details.

Table 3.1 - Work package definition and deliverables

Work

Package

Part

Number

Description First

Article or

Batch No.

Quantity Delivery

Due

Dates

1 AL-1425-2859 Embedded floor plate type 1

First Article 2 1/5/2027

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Work

Package

Part

Number

Description First

Article or

Batch No.

Quantity Delivery

Due

Dates

1 AL-1425-2859 Embedded floor plate type 1

Batch 1 10 2/15/2027

1 AL-1498-3423 Embedded floor plate type 2

Batch 2 12 3/15/2027

1 AL-1425-286

Embedded floor plate type 3

Batch 3 12 3/30/2027

1 AL-1498-348

Embedded floor plate type 4

Batch 4 12 4/5/2027

1 AL-1425-2861 Embedded floor plate type 5

Batch 5 12 4/28/2027

1 AL-1425-2862 Embedded floor plate type 6

Batch 6 12 5/5/2027

1 AL-1425-2858 Embedded floor plate type 7

Batch 7 12 6/15/2027

1 AL-1521-1093 Embedded floor plate type 8

Batch 8 12 7/5/2027

1 AL-1975-5588 Embedded floor plate type 9

Batch 9 12 7/30/2027

Table 3.2 - Option definitions

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3.2 Deliverables: Quality assurance documentation

A documentation package shall be provided prior to each batch shipment to verify component quality and configuration. The QA documentation requirements are detailed in Section 6 Quality Assurance.

The required quality deliverables include:

1. Complete packing lists including part and/or serial numbers of all components in the package

2. Material certification documentation for all fabricated components

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Option Description Quantity

(plates)

1 Fabricate a robust, aluminum or acrylic inspection template for each design variant. Generate a complete inspection report that demonstrates the templates’ ability to accurately verify the GD&T dimensions in the

LBNL drawings

NA

2 Generate a full, complete inspection report for each plateThe report must demonstrate adherence to the

LBNL drawings and clearly identify out of tolerance items as necessary.

NA

3 Monthly Storage: Provide secure, environmentally controlled storage (documented by photographs and facility description) and the release of completed deliverables to support LBNL's schedule.

1 - 96

TBD

4 Machining of additional holes per LBNL provided CAD file. See section 3.3.2 for details.

5 Machining of additional holes per LBNL provided CAD file. See section 3.3.2 for details.

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3. Certificates of conformance

4. Inspection reports or other documentation

5. Any other applicable documents as requested in writing

3.3 Options

3.3.1 Options 1 & 2: Measurement template vs. individual point inspection or CMM measurement for Quality Assurance

Option 1 includes for each plate design variant type shall include a robust, aluminum or acrylic inspection template that is sufficiently accurate to verify the individual plate profile, critical hole location, and hole size per LBNL critical inspection drawing

AL-1952-8314 for production series. Note first articles need to be verified using CMM.

A complete, 100% inspection report is required for each template (e.g. a CMM or other dimensional inspection report). Templates are to be permanently marked or engraved with labels indicating datums B and C. With prior LBNL approval, the selected supplier may use these templates as part of the quality assurance process for delivery. One template per design variant is required.

Option 2 is to complete CMM measurements for each plate (first articles and production series) instead of using the templates.

3.3.2 Option 3: Storage and controlled materials release

The Subcontractor may propose to provide storage and controlled release of completed deliverables to support LBNL's schedule. A proposal for this option must address the following:

1. A secure, environmentally controlled storage facility that maintains product cleanliness and prevents damage of the completed and inspected components. The proposal must specify the cost for a defined period (e.g.

per month).

2. Details of the inventory control system to be used, which must provide real-time status and traceability for all stored items. This system and its reporting format are subject to LBNL approval.

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3. A description of the process for managing the release and shipment or post machining of components

4. Until the materials are physically delivered to and signed for at the LBNL, the risk of loss remains with the subcontractor. The subcontractor must maintain adequate insurance coverage for the full replacement value of the stored inventory against fire, theft, or natural disaster.

3.3.3 Options 4 & 5: Post completion additional machining

Due to the nature of the installation of these parts in an existing structure, the final mounting holes for securing the embedded plates will be determined by scanning and locating points on the facility floor. These holes will be unique to each floor plate by location. LBNL will scan the location once existing hardware is removed and provide a unique set of hole locations for that embedded plate in that specific location. If this option(s) is exercised, the selected subcontractor will complete all processes detailed in work package 1, Sections 3.1 and 3.2 prior to any option work being completed.

While each hole addition will be unique to location and floor plate, it is anticipated that each part will need a quantity of 11 holes. The holes are to be 38.1 mm diameter through the part with a counterbore of 76.2 mm to a depth of 50.8 mm. A rough sketch of the intended hole is shown in figure 3.1

Refer to example drawings AL-1899-4826 and AL-1899-4828 for tolerance details.

Figure 3.1 sketch of hole dimensions.

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The Subcontractor may propose to provide post completion machining per LBNL provided CAD file. A proposal for this option must address the following:

1. Approximate time required for the addition of 11 holes per the dimensions referenced above. This time frame should encompass the time from receipt of the LBNL file through to completion, deburr, clean and preparation to ship to LBNL.

2. Indicate how post option machining will be inspected and reported to

LBNL.

3. Identify the machine(s) and associated CAD or CNC program that will be used to orient, locate, and check the hole patterns provided by LBNL CAD files.

4. Specify the protections that will be employed to avoid damage to adjacent surfaces, threads, and powder coat.

4 PROJECT ADMINISTRATION

4.1 Reporting/Communication Requirements

1. Upon award of the subcontract, the University Technical Representative will contact the Subcontractor to set up a project kick-off meeting to establish communication requirements, including the use of the portal for project data exchange.

2. Project meetings are required to be held twice per month, but the frequency may be higher during the period leading up to production.

3. Written monthly schedule updates are required, to be delivered on or before the

10th of every month. The schedule must include lead times for components and materials, high-level production sequences of key components, and planned dates for shipments to LBNL.

4. Written monthly status reports are required and must include an explanation for schedule changes as well as a list of completed quantities of key components throughout the production sequence, accomplishments, work planned for the next reporting period, delivery table with original and current forecast dates, and issues being addressed. Monthly status reports are on or before the 10th of every month.

5. Site visits by LBNL personnel (or designee) are at LBNL’s discretion upon providing advance notice. If a visit is scheduled, access to the factory where the

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6. Action item tracking is required. The Subcontractor must document action items in written form for all project meetings.

7. Other reports or data may be required as requested in writing.

4.2 Reviews and Approvals

The University Technical Representative will coordinate all required reviews, which may be conducted at either facility, remotely, or via document submission. LBNL reserves the right to include external reviewers and implement additional review types as needed.

The review types required for this scope of work are:

4.2.1Manufacturing readiness review

The manufacturing readiness review is intended to demonstrate that the manufacturing setup is robust enough to proceed. Prior to the bulk purchase and production of components the selected supplier will provide a manufacturing plan or review by LBNL.

The manufacturing plan shall include the following components at a minimum:

1. A fully integrated schedule detailing the fabrication timelines.

2. Identification of any tooling or special equipment required for the production of the embedded plates

3. A complete quality plan (including a test & inspection plan) that ensures compliance with the requirements detailed in this Statement of Work

4. A packaging, labeling, and shipping plan

4.2.2Pre-shipment documentation review

Prior to each shipment, the Subcontractor must submit the corresponding QA documentation package for LBNL review and acceptance. Shipment is not authorized until this documentation is approved in writing.

4.2.3 Machining option review

If options 2/3 are exercised a manufacturing readiness review is required prior to commencing the post-machinning/hole machining operations.

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Additional review types may be implemented at LBNL’s discretion at any time during the subcontract’s period of performance.

4.3 Hold Points

Each hold point requires LBNL’s written NTP before any action can be taken beyond the listed approval item.

Hold

Point

Approval

Item

Subcontractor action items / submittals

Anticipated

LBNL

response

First article shipment

1. Successful completion of the shipping plan review

2. Complete QA documentation package submitted:

- first article inspection report,

- material certifications,

- photographs of the first article

Within 20 business days of receipt of required items

/ submittals

2 Series production, manufacturing

1. Successful verification of first article performance and conformance with any other acceptance criteria

- inspection report,

- material certifications,

- photographs of production parts

Within 10 business days of receipt of required items

/ submittals

3 Production shipment

1. Submittal of complete QA documentation package(s)

Within 20 business days of receipt of required items

/ submittals

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4.4 Documentation Management

Upon award of the subcontract, LBNL will establish a Windchill project portal to be used by the Subcontractor to both gain access to applicable documents and submit – in electronic format – all documentation required in this SOW, including quality assurance

(QA) data, certificates of conformance, inspection results, and drawings, as applicable.

Acceptable document formats include .docx, .xlsx, and other editable Microsoft Office file formats, pdf format, image formats, and .txt or .csv for measurement data, as applicable.

5 PACKAGING, STORAGE, AND SHIPPING REQUIREMENTS

The Subcontractor is responsible for ensuring that all items arrive at LBNL clean, undamaged, and traceable. Each shipment must include a checklist confirming that all pre-shipment and packaging requirements as addressed in Sections 3, 4, and 5 have been met. No item may be shipped before a written approval is issued by LBNL (per

Section 4.3).

5.1 Packaging

The following requirements must be observed for packaging components prior to shipping:

1. Cleanliness: All components must be clean, dry, and free of debris and fluids.

2. Palletization: Plates must be on pallets supporting the entire load and allowing access from two opposing sides by a standard forklift or pallet jack.

3. A packing slip must accompany each shipment, detailing:

a. Part number and quantities of components contained;

b. LBNL purchase order (PO) number;

c. Delivery batch number; and

d. Package number and total count (e.g. "Box 3 of 5").

4. Shipment labelling: The outer container must be clearly labeled for identification and handling, including:

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a. Delivery address;

b. University Technical Representative contact information;

c. Part number of the contained components;

d. Subcontract (Purchase Order) number; and

e. Orientation and handling symbols, as applicable.

5. The subcontractor must provide the LBNL technical representative with the tracking number for each shipment to facilitate LBNL logistics coordination.

5.2 Storage

Completed or in-process parts requiring short term storage shall be stored in an area that is protected from the elements (e.g., moisture, precipitation, condensation, and corrosive exposure). Parts shall be stored to prevent damage, contamination, surface deterioration, and deformation. The subcontractor shall use appropriate covers, racks, pallets, and/or protective packaging as necessary to maintain part condition in accordance with the applicable drawings/specifications

6 QUALITY ASSURANCE

Subcontractors must complete the ALS-U Supplier Quality Evaluation Survey

(AL-1208-0209, Table 7-1) to outline their QA process.

Once a subcontract is awarded, the QA program submitted and found acceptable must be maintained throughout the project. LBNL may ask for further details about the QA program at any time, and reasonable updates or changes may be required. Post‑award surveys may also be conducted and must be supported by the Subcontractor.

6.1 Quality Reporting Requirements

6.1.1 Deviation requests

To propose a change to any process, document, or drawing, the Subcontractor must submit a Deviation Request (DR) and receive written approval from LBNL before implementing the change. The DR format must be provided by or pre-approved by

LBNL.

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This process is for proposed changes only; non-conforming items must be addressed via a Non-conformance Report (Section 6.1.2).

6.1.2 Nonconformance reports

Upon discovery of a non-conformance by either party, the Subcontractor must submit a non-conformance report (NCR) to LBNL within three (3) business days. The NCR format must be provided by or pre-approved by LBNL.

Following submission, LBNL will provide a written disposition. All work on the non-conforming item or any process found to be producing non-conforming parts must stop immediately. Work shall not resume without LBNL's written approval.

6.2 Inspection Requirements

6.2.1Work Package 1

% Inspection

Sample

Dimensions Requiring Inspection

First Articles

Parts

100% (All plates) All dimensions - Data sheets and/or measurement reports generated with

CMM or laser tracker is acceptable.

Production Parts 100% (all plates) Dimensions indicated in AL-1952-8314

- Data sheets generated with templates is acceptable

Note - Data sheets and/or measurement reports are a required QA deliverable for each inspection. LBNL reserves the right to increase inspection requirements for production parts if non-conformances are identified in the first article parts.

6.2.2 Options 2 & 3

1. Final tolerances and required data will be established prior to exercising an additional machining option. However, drawings AL-1899-4826 and

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AL-1899-482 with tolerance information are provided for cost estimation purposes.

2. Data sheets and/or measurement reports are a required QA deliverable for each inspection.

3. Inspections shall include 100% inspection of all hole dimensions as determined prior to option award.

6.2.3 Acceptance Criteria

Per hold point 1 & 3, the Notice to Proceed (NTP) to ship is contingent upon LBNL’s receipt and approval of the following:

1. Completion of the pre-shipment documentation review.

2. Conformity with BOM specifications, quantities, and conditions.

3. All required QA documentation, including inspection documentation.

4. All applicable non-conformance or deviation documentation, if any.

Upon delivery, LBNL will perform a receiving inspection to verify all items meet the functional acceptance criteria list (ACL). The Subcontractor may request the applicable

ACL. If this inspection reveals a previously undetected non-conformance for which the

Subcontractor is responsible, the Subcontractor must rectify it.

7 APPLICABLE DOCUMENTS

This scope of work must be based on the officially released version of the documents listed in Table 7-1. All information contained therein is integral and valid to the fullest extent unless specifically noted within this SOW. Applicable documents must originate from the LBNL Document Control Center (DCC) and will be made available by LBNL as needed.

Document Number Title

AL-1208-0209 ALS-U Supplier Quality Evaluation Survey

AL-1953-0511 Embedded Floor Plate BOM

EG-1002-1955 Engineering Standard for Part Marking

AL-1425-2859

AL-1498-3423

Embedded Floor Plate drawing package

All officially released LBNL documents are watermarked and contain LBNL Document Control ci al ly R el ea se d

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AL-1425-2860

AL-1498-3480

AL-1425-2861

AL-1425-2862

AL-1425-2858

AL-1521-1093

AL-1975-5588

AL-1952-8314 Drawing package with critical dimensions for embedded floor plates.

AL-1899-4826

AL-1899-4828

Example of drawings for post machining drawing with tolerances for cost estimation purpose (Options 2 and 3)

All officially released LBNL documents are watermarked and contain LBNL Document Control ci al ly R el ea se d

To th e

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N L

D oc um en t C on tr ol

C en te r

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2.2Optional value-added services

4.3Hold Points

4.4Documentation Management

7APPLICABLE DOCUMENTS