467975 - Enclosure A_DRAFT Contract.pdf

Rev. 9.4, February 2018 1

BSA Contractual Representative

Funded Amount Contract Number

Cassandra Smith TBD 467985

BROOKHAVEN NATIONAL LABORATORY

Brookhaven Science Associates

P.O. Box 5000

UPTON, L.I., N.Y. 11973-5000

Name and Address of Contractor (TBD)

SAM UEI (TBD)

CONTRACT

This Contract (the "Contract") is between the party named above (the "Contractor"), and Brookhaven Science Associates, LLC. ("BSA"), the latter acting under a Prime Contract with the United States of America (the "Government") represented by the United States Department of Energy ("DOE”).

I. SCOPE OF WORK

The Contractor shall be responsible for fabrication of Mpixel MAPS Sensor. All work shall be conducted in accordance with Attachment 1 – DRAFT Statement of Work dated 08/15/2025 and Attachment 2 – Brookhaven National Laboratory Supplier Quality Assurance Requirements (BNL-QA-101) dated 04/2025.

A. Reports/Deliverables: The Contractor shall provide the following deliverables to, and as directed by, BSA’s Technical Representative. Deliverables requiring BSA acceptance must be reviewed and approved by the BSA Technical Representative as specified below:

Item Deliverable Due BSA Acceptance Required

Completion and handling of the early reticle design submission to Tower Partners Semiconductor Company (mock-up tape-out stage).

Upon Tower Partners Semiconductor Company approval of mock-up tape-out submission.

No

Final completion stage, including all modifications from mock-up review, manufacturability reticle keys, and final tape-out design ready for fabrication.

Upon completion of all design refinements and tape-out for FY 2026 fabrication.

Yes

Submission of finalized tape-out design after incorporating modifications from mock-up tape-out.

Upon Tower Partners Semiconductor Company approval of final tape-out submission.

Yes

II. PERIOD OF PERFORMANCE:

This Contract shall be effective upon execution by both BSA and the Contractor and shall remain in effect through September 30, 2026.

III. FIRM FIXED PRICE AND PAYMENT

Rev. 9.4, February 2018 2

A. Firm Fixed Price: In full consideration of the Contractor's performance, BSA shall pay the Contractor the firm fixed price of TBD U.S. Dollars ($TBD). The said sum shall constitute full compensation for all services and materials furnished hereunder.

B. Payment: Payment will be made upon receipt and approval of milestone deliverables as listed in the table below, and upon receipt and approval of properly certified invoices.

Payment will be in accordance with the following milestone payment schedule:

Item Description Due Amount

(TBD)

1 NRE: Mock-Up Tape-Out Due upon Mock Tape-Out Submission $

2 NRE: Mask Due upon Tape-Out Submission $ 3 Prototype Lot (12 wafers) (un-probed) Due upon Shipment $

Payment terms are Net (TBD).

Invoice submission: Invoices shall be submitted in PDF format via email to the BSA Accounts Payable at apinvoices@bnl.gov.

The final invoice must be clearly marked as “FINAL”, and a copy must be submitted directly to the BSA Contractual Representative.

C. Freight: Freight terms shall be (for North American shipments:) FOB Destination, Freight Prepaid to Brookhaven National Laboratory, 98 Rochester Street, Upton, Long Island, New York. (for foreign shipments:) DAP (Delivered at Place) to Brookhaven National Laboratory, 98 Rochester Street, Upton, Long Island, New York 11973-5000.

D. Shipping and Labeling: Unless otherwise specified, standard Shipping Instructions apply. Standard Shipping Instructions are provided at https://www.bnl.gov/shipping/.

Delivery Hours:

All deliveries must arrive at BSA National Laboratory (BNL), at the above address, Building 98 between the hours of 8:00 am to 12:00 pm or from 1:00 pm to 4:00 pm ET, Monday through Friday. Any delivery outside normal delivery hours will NOT be accepted unless advanced notification was provided and arrangements were made through Receiving (631) 344-2300 or via email at: warehouseoperations@BNL.gov).

Special Notification of Delivery:

Advanced Notice, within 72 hours of expected delivery to BNL, shall be provided by the supplier or shipper to BSA’s Receiving department either by telephone at: (631) 344-2300, OR via email at: warehouseoperations@BNL.gov due to weight, size, and/or volume parameters of the end item(s) requiring special material handling/rigging by BSA personnel. Failure to contact BSA will result in delays during delivery and demurrage will be at the supplier’s/shipper’s expense.

Package Labeling Requirements:

mailto:apinvoices@bnl.gov https://www.bnl.gov/shipping/ mailto:warehouseoperations@BNL.gov

Rev. 9.4, February 2018 3

All packages delivered to BNL must be labeled with the complete Contract Number as a minimum. Each shipping container (transport package) with a gross weight equal to or greater than 400 pounds (180 kilograms) must be marked with the center of gravity and gross weight on at least one side, or end panel in addition to meeting the requirements of the latest revision of ASTM Standard D 3951-98, Standard Practice for Commercial Packaging. This applies to any item shipped (originally packaged or repackaged) to BNL or other locations cited in the purchase order or contract.

Ocean Shipments:

For foreign shipments that will be transported via ocean freight the 10-2 REQUIREMENTS Form located at https://www.bnl.gov/shipping/ must be completed by the supplier 72 hours before departure of the vessel. The form can either be faxed to Interfreight Harmonized Logistics, Inc. at (516) 371-6880 or emailed to bnl@interfreight.net. A copy should also be emailed to warehouseoperations@BNL.gov. Once the form is submitted to customs an acceptance number will be given. No freight will be loaded on a vessel without this acceptance number.

IV. AUTHORIZED REPRESENTATIVES

A. BSA’s Technical Representative: ______ is BSA’s Technical Representative, hereunder. (___) shall act as liaison between BSA and the Contractor in technical matters only. (___) can be reached via telephone no. ( ) _______ , or email to

B. BSA’s Contractual Representative: Cassandra Smith, telephone no. (907) 888- 3142, e-mail csmith2@bnl.gov, is BSA's Contractual Representative. Any questions of a contractual nature, including changes, shall be addressed to the BSA Contractual Representative. The BSA Contractual Representative is the only person authorized to make changes and/or modifications to the requirements of this Contract.

C. Contractor’s Technical Representative: ________ is the Contractor’s authorized Technical Representative, hereunder. (____) shall act as point of contact between BSA and the Contractor in technical matters only and can be reached via telephone no. ( ) _______ , or email to _________.

D. Contractor’s Contractual Representative: _______ is the Contractor’s authorized Contractual Representative, hereunder. ( ) shall act as liaison between BSA and the Contractor and reached via telephone no. ( ) _______ , or email to

V. ADDITIONAL TERMS

The provisions of Brookhaven Science Associates, LLC General Terms and Conditions for Commercial Items and Services, Rev 23.0 May 2025, are incorporated herein and made a part hereof.

This Contract is issued pursuant to Brookhaven Science Associates General and/or Supplemental terms and conditions listed above which are incorporated herein by reference. The complete text of these terms and conditions can be viewed via the internet at: https://www.bnl.gov/ppm/terms-and-conditions.php. Should the Contractor have any https://www.bnl.gov/shipping/ mailto:bnl@interfreight.net https://www.bnl.gov/ppm/terms-and-conditions.php

Rev. 9.4, February 2018 4 questions and/or not have access to these terms and conditions, contact the buyer or contracts specialist immediately.

The following documents attached hereto and made a part hereof contain additional provisions of this Contract:

• Attachment 1 – DRAFT Statement of Work dated 08/15/2025

• Attachment 2 – Brookhaven National Laboratory Supplier Quality Assurance Requirements (BNL-QA-101) dated 04/2025

This Contract does not bind, nor purport to bind, the Government of the United States.

ACCEPTED:

CONTRACTOR BROOKHAVEN SCIENCE ASSOCIATES, LLC

FOR BROOKHAVEN NATIONAL

LABORATORY

Signature: Signature:

Printed Name:

Printed Name: Cassandra Smith

Title: Title: Contractual Representative

Date: Date:

The Contractor shall sign and return one (1) copy of this Contract to the attention of Cassandra Smith, Contractual Representative, Procurement and Property Management Division, at csmith2@bnl.gov.

mailto:csmith2@bnl.gov

P.O. Box 5000 Upton, NY 11973-5000 managed by Brookhaven Science Associates for the U.S. Department of Energy

Subject: Scope of Work for fabrication of 1 Mpixel MAPS Sensor

Date: August 15, 2025

The Instrumentation Department ASIC Development group at Brookhaven National Laboratory (BNL) requires the execution of an engineering fabrication run in the Tower Partner Semiconductor Process using the TPS65IS 7M2L1F process flow with the 65 nm node. The fabricated reticle will contain 1 Mpixel MAPS Sensor that is being developed by the ASIC Development group in support of the upgrade program for the electron-Proton / Ion Collider (ePIC) Silicon Vertex Tracking (SVT) Detector for the U.S.-based Electron-Ion Collider and suitable test structures for the Electro-Photonic readout of radiation needed by the ElPho project.

1. The Contractor will fabricate 12 prototype wafers with guaranteed delivery of 6 wafers containing reticles with design prepared by the ASIC Development Group in the TPS65IS 7M2LI1F process with characteristics suitable for monolithic active pixel sensors detectors as provided within the technical documentation of the contract, i.e. mask set, such as increased resistivity substrate, deep p-well, deep n-well, and regular p-well and n-well allowing use of complementary metal oxide semiconductor field effect transistors with a pixel area.

2. The design developed by the Instrumentation Department ASIC Development group at BNL will include an array of 1,024 x 1,024 pixels, forming 1 Mpixel MAPS Sensors and BNL will provide design files suitable for fabrication. Files will be provided in the form of the fabrication suitable format, called GDS-II.

3. Tower Partners Semiconductor Company will provide the BNL team with the necessary technical data related to building an image of the reticle field, including locations of alignment keys, process control monitors, dicing streets, etc.

4. Technology data is covered by NDA signed between BNL and Tower Partners Semiconductor Company.

5. The manufacturing process will consist of two main stages, i.e. the first one that will have a mock-up tape-out (also known as tape-in), and the second one that will be final tape-out including fabrication of the physical wafers.

6. Mock-up submission will take place upon completion and handling of the early reticle design to Tower Partners Semiconductor Company by the ASIC Development team first in FY 2025 and the actual fabrication of wafer will start upon completion and handling of the early reticle design to Tower Partners Semiconductor Company by the ASIC Development team in FY 2026. Based on the results of the analysis of the mock-up submission by Tower Partners Semiconductor Company, necessary modification and improvements as well as reticle keys needed for manufacturability will be added and the design will be brought to the final complete stage aiming at tape-out in FY 2026.

This information is controlled by the U.S. Department of Commerce Export Administration Regulations 15 CFR Parts 730-774 as EAR99 Technology.

ATTACHMENT 2

BROOKHAVEN NATIONAL LABORATORY

SUPPLIER QUALITY ASSURANCE REQUIREMENTS

(BNL-QA-101)

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1.0 PURPOSE & SCOPE

1.1 This document establishes quality assurance requirements to which Suppliers to Brookhaven Science Associates (BSA) must conform when specified in the procurement documentation.

1.2 This document contains two main sections. Section 3.0 covers the general requirements that are applicable to all Suppliers.

Section 4.0 contains special quality requirements that are applicable only when specifically invoked in the procurement documentation.

2.0 DEFINITIONS

2.1 The term Procurement documentation means the purchase order

(PO), contract, subcontract, Request for Proposal (RFP), Request for Quotation (RFQ) or other written agreement with the Supplier (seller) in which the requirements of BSA are incorporated.

2.2 The term Buyer means BSA operating Brookhaven National

Laboratory, acting by and through its Procurement & Property Management Division (PPM) issuing the PO/contract.

2.3 The term Supplier (seller) means the legal entity, which is the contracting party, with the Buyer with respect to the procurement documentation.

2.4 The term article or item means a product and/or a service.

3.0 GENERAL REQUIREMENTS

Unless otherwise specified in the procurement documentation, the following General Requirements apply:

3.1 Supplier’s Quality System and Quality Requirements

The Supplier must have and maintain an effective quality system that will, as a minimum, comply with all of the requirements as designated by the following:

3.1.1 A quality system certified/registered to the ISO

9001 standard: (latest revision as of the date of issuing the procurement documentation).

3.1.2 A quality system that meets the requirements of the

ISO 9001 standard: “Quality Management Systems – Requirements” (latest revision as of the date of issuing the procurement documentation).

3.1.3 Conformance to Supplier’s/Manufacturer’s quality

program or system.

3.1.4 Other: Refer to procurement documentation, (e.g. PO, Statement of Work [SOW], specifications, drawings) for quality requirements.

NOTE: Clauses 3.2 through 3.22 apply to all POs and will be included collectively in other procurement documentation when required/specified.

3.2 Assessment by Buyer

The Supplier’s quality system is subject to assessments by the Buyer’s Representative(s) for conformance with the requirements of the PO. Supplier or Distributor must allow BSA representatives, BSA customers, and regulatory agencies right of entry into the Supplier’s facilities to determine and verify product, processes, records, personnel, material, procedures, and systems.

3.3 Change Approval

No change(s) are permitted to be made to any Buyer requirements, (e.g. part number, model number, etc.) without the prior written approval of the Buyer.

3.4 Responsibility for Subcontractors

It is the responsibility of the Supplier to impose applicable requirements from this document upon their subcontractors.

Additionally, the Buyer reserves the right to disapprove, in writing, any subcontractor. For nuclear facility requirements per NQA-1, the Supplier must incorporate NQA-1 requirements in sub-tier procurement documents.

3.5 Responsibility for Conformance

The Supplier is responsible to provide items that conform to the requirements of the PO regardless of any assessments, surveillances, inspections and/or tests by the Buyer or its representatives at either the Supplier’ or Buyer’s facility. The Buyer reserves the right to request failure analysis and corrective action for non-conforming articles or items submitted or supplied to the Buyer. The Supplier is responsible for notifying the Buyer of any recalls or alerts associated with this

PO.

When NQA-1 requirements are imposed, prior to shipment, the Supplier must report any nonconformance that cannot be corrected to full conformance and obtain approval from BNL for possible Use-As-Is or Repair dispositions. Additionally, for commercial grade services, a service performance record must be provided that documents the adequacy of the service performed to the identified critical characteristics documented in the PO/contract.

3.6 Protection of Material and Equipment

The Supplier must employ procedures that assure adequate protection of material and equipment during shipment and while in storage. Such protection must include special environmental packaging, as necessary. All items shipped (originally packaged or repackaged) to BNL or other locations cited in the PO or contract, must comply with the requirements for preservation, packaging and marking as stated in the latest revision of ASTM Standard D 3951 Standard Practice for Commercial Packaging.

3.7 Measuring and Test Equipment (M&TE) Calibration

The Supplier must calibrate any M&TE used in the fulfillment of the PO requirements against certified standards that are traceable to the National Institute of Standards and Technology (NIST), or some other recognized national or international standard, or physical constant. The Supplier must notify the Buyer of any condition found during the calibration, servicing or repair of measuring and test equipment that can affect the end item requirements.

3.8 Suspect Counterfeit Parts

csmith2 Highlight csmith2 Highlight

SUPPLIER QUALITY ASSURANCE REQUIREMENTS BNL-QA-101

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The Supplier must verify the procurement source and associated certifying paperwork.

Appropriate incoming inspection test methods must be used to detect potential counterfeit parts and materials.

The Supplier must flow this requirement down to all sub-tier suppliers to prevent the inadvertent use of counterfeit parts and materials.

Distributors must not modify, rework or repair material shipped on this order.

* For more information refer to the following Department of Energy website: https://www.energy.gov/ehss/corporate-reporting-analysis/databases/suspectcounterfeit-and-defective-items

3.9 Electrostatic Discharge Control

Items that are susceptible/sensitive to electrostatic discharge (ESDS) must be handled and packaged to protect them from damage. Items and/or packages must be labeled to indicate the susceptibility to electrostatic discharge.

3.10 Electrical or Fire Protection Equipment, Material, and

Systems All electrical or fire protection equipment, material, and systems delivered to BNL must be certified, listed, or labeled by a Nationally Recognized Testing Laboratory (NRTL). The CE mark is NOT a recognized NRTL certification mark. (For a listing of OSHA-recognized NRTLs, refer to http://www.osha.gov/)

For electrical or fire protection equipment, material, and systems which no NRTL accepts, certifies, lists, labels, or otherwise determined to be safe, the Supplier must determine the equipment to be safe for its intended use. The determination must be made on the basis of test data. The determination and test data documents must be made available to BSA prior to or upon delivery for review and acceptance by the applicable BSA Authority Having Jurisdiction

(AHJ).

In accordance with 29 CFR 1910.147(c)(2)(iii) whenever new machines or equipment are provided with energy isolating devices, those devices must be designed to accept a lockout device.

3.11 Hoisting & Rigging Equipment

All hoisting & rigging equipment used at BNL must meet the requirements of the latest applicable OSHA Regulations and ASME B30 Series standards for design, construction, markings, and proof load testing.

When proof load testing is required by the standards, a certificate must be provided upon delivery documenting the proof test.

3.12 Deleted

3.13 Powered Machine Shop Equipment

All powered machine shop equipment (e.g., lathe) delivered to BNL must meet the requirements of the latest applicable OSHA 1910 Regulations (e.g., part subpart O). Equipment purchased must include an integrated NFPA 79 compliant emergency stop and an anti-restart device.

3.14 Vehicle-Mounted Elevating and Rotating Aerial Devices

All vehicle-mounted and rotating aerial devices equipment used at BNL must meet the requirements of ANSI A92.2.

3.15 Self-propelled Elevating Work Platform Equipment

All self-propelled elevating work platform equipment (e.g., scissor lift) used at BNL must meet the requirements of ANSI A92.6.

3.16 Manually Propelled Elevating Aerial Platform Equipment

All manually propelled elevating aerial platform equipment used at BNL must meet the requirements of ANSI 92.3.

3.17 Boom Supported Elevating Work Platform Equipment

All boom supported elevating work platform equipment used at BNL must meet the requirements of ANSI 92.5.

3.18 Powered Industrial Trucks and Attachments

Powered industrial trucks (e.g. forklifts, hi-lows) must meet the requirements of the ANSI/ITSDF B56 series for design, construction, markings, and test loading. Industrial truck attachments must be approved by the truck manufacturer and supplied with an attachment data plate indicating the new truck capacities.

3.19 Used Industrial Equipment

For used industrial equipment (e.g. scissor lifts, fork lifts, etc.), a Certificate of Conformance as defined in clause 4.16, must be provided as objective evidence and must additionally state that all maintenance and manufacturing alerts have been screened and all required repairs and improvements have been completed. The Supplier must provide records of the last year of maintenance.

3.20 Global Harmonized System Compliance

The supplier of chemicals must deliver the chemical in full compliance with the Department of Labor, Occupational Safety & Health Administration (OSHA)’s Globally Harmonized System (GHS) Hazard Communication Standard (29CFR1910.1200), available at:

https://www.osha.gov/dsg/hazcom/HCSFinalRegTxt.html

All hazardous chemicals delivered to BNL must be accompanied by an GHS Safety Data Sheets (SDS) with the format and content specified in 29CFR1910.1200. For information on the GHS SDS see OSHA Brief- Hazard Communication Standard: Safety Data Sheets Publication 3514 available at:

https://www.osha.gov/Publications/OSHA3514.pdf

All hazardous chemicals delivered to BNL after 12/01/2015 must have a label with the elements specified in 29CFR1910.1200 [product identifier; pictograms; signal words; hazard statement(s);

precautionary statement(s); and manufacturer, importer, or distributor’s name, address, and telephone number]. For information on the GHS label, see OSHA Brief- Hazard Communication Standard: Labels and Pictograms Publication 3636 available at:

https://www.osha.gov/Publications/OSHA3636.pdf

3.21 Age/Shelf Life and Storage Control

The Supplier must have an effective storage and age control system for items where acceptability is limited by the age or manner of storage of the item. The system must include a method of identifying the expiration date on the containers in which material is delivered to the Buyer. Special handling conditions must be recorded on certifications and shipping documents covering the material delivered to the Buyer. At the time of receipt, the material must not have less than three-quarters of its shelf life remaining, without prior written approval from the Buyer for each shipment.

3.22 Product Recalls/Product Bulletins/Safety Alerts

Any and all product recall alerts, product bulletins, or safety alerts must be communicated by email directly to ProductRecallAlert@BNL.gov. Provide the Purchase Order Number(s) and names of purchasers with notification to assist BNL in locating and identifying the subject material.

https://www.energy.gov/ehss/corporate-reporting-analysis/databases/suspectcounterfeit-and-defective-items https://www.energy.gov/ehss/corporate-reporting-analysis/databases/suspectcounterfeit-and-defective-items http://www.osha.gov/ https://www.osha.gov/dsg/hazcom/HCSFinalRegTxt.html https://www.osha.gov/Publications/OSHA3514.pdf https://www.osha.gov/Publications/OSHA3636.pdf mailto:ProductRecallAlert@BNL.gov

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4.0 SPECIAL REQUIREMENTS

The following Special Requirements are applicable only when specified in the procurement documentation or as indicated by check mark hereon. These Requirements can be modified as required.

INSTRUCTIONS: Since sub-clauses (e.g., 4.4.1) are tied to the main clause (e.g., 4.4), the requirements of the main clause will apply by default whenever any sub-clause is selected (regardless of whether the main clause was selected/checked).

4.1 Quality Assurance Program or Manual

The Supplier must submit a copy of their Quality Assurance Program or Manual with their proposal for review and evaluation.

Suppliers providing A1/A2 but without a quality system compliant with NQA-1, i.e., Commercial Grade Supplier, must follow applicable Commercial Grade Dedication Instructions as defined in the SOW.

OR

Supplier must utilize the QA Program audited and approved by BNL.

4.2 Configuration Control System

The Supplier must establish and maintain a system to assure that all end items (including spares) are of the proper configuration, and that all approved configuration changes are incorporated at the specified effectivity points. Records must be maintained to verify the configuration of each item.

4.3 Process Sheets, Travelers, etc.

The Supplier must maintain a system of process sheets, shop travelers, or equivalent means to define the sequence of manufacturing, inspection, installation and test activities to be performed. Flow sheets, or equivalent, must be provided for sign-off by designated inspection personnel at specified inspection and test points, including, as required, re-inspection and re-test points, to assure completion as well as proper sequencing of required operations.

4.4 Manufacturing/Inspection/Test Plan

Sixty (60) calendar days prior to performance of work, the Supplier must submit for the Buyer’s approval a Manufacturing/Inspection/ Test Plan for the item(s) to be produced. Once approved, changes/ revisions must be approved by the Buyer prior to implementation.

The Plan must satisfy one or more of the following as selected:

4.4.1 Identification of parts and subassemblies showing

integrated flow into end item(s).

4.4.2 Identification of critical manufacturing operations, as well as inspection and test checkpoints.

4.4.3 The Plan may be a single document, or may make use

of existing “travelers,” or other suitable planning and control documents.

4.5 “Witness” Points The Buyer reserves the right to designate selected manufacturing, inspection, and/or test operations as “witness” points. The Supplier must provide the Buyer with five (5) working days notice in advance of reaching such witness points during the manufacturing and test cycle of each item. For nuclear facility applications (NQA-1), witness points are required when Source Inspection is invoked. (see Clause 4.14)

4.6 Test and Inspection Procedures

Test and inspection procedures required to demonstrate satisfactory completion of requirements must be prepared by the Supplier and submitted to the Buyer for approval sixty (60) calendar days prior to use of such procedures. Once approved, changes/revisions must be approved in writing by the Buyer prior to implementation.

4.7 Special Processes

Processes (e.g., welding, brazing, bonding, plating, chemical machining, chemical coating, chemical cleaning, precision cleaning, heat treating, or waste processing) that either cannot be verified non-destructively or require a unique (special) non-destructive test/inspection (e.g., radiographic inspection, ultrasonic testing, pressure leak testing) must be performed in accordance with detailed written procedures. These procedures must specifically describe the exact manner in which the processes are to be performed.

Additionally, the following requirements apply as selected:

4.7.1 Copies of special process procedures must be made

available on request for review by the Buyer’s representative.

4.7.2 At least sixty (60) calendar days prior to use on items deliverable to the Buyer, the Supplier must submit to the Buyer copies of all applicable process procedures for review and approval. Revisions or changes to Buyer-approved special process procedures must be submitted to the Buyer for review and approval prior to implementation.

4.7.3 Qualification of Procedures, Facilities, Equipment

and Personnel The Supplier must, prior to use, qualify the procedures/specifications, facilities, equipment and personnel that will be used for the performance of special processes. Only those personnel who have been qualified to perform a specific special process must be used to perform that process. Records of such qualification must be available to the Buyer’s representative upon request.

4.8 Qualification of Procedures, Facilities, Equipment

Superseded by Sub-clause 4.7.3

4.9 Qualification of Special Process Personnel

Superseded by Sub-clause 4.7.3

4.10 End-Item Documentation Package

The Supplier must provide a documentation package for each shipment of the item(s) supplied, which consists of objective evidence of compliance with PO requirements. This documentation package must be complete, legible, indexed, and traceable to the item supplied. Additionally, the following requirements apply as selected:

4.10.1 Copies of reports of all required or necessary

inspections, examinations and tests, properly validated by the Supplier’s authorized personnel.

4.10.2 A listing of the as-built configuration of

each delivered item; this may be defined by the use of drawing numbers and revisions, unique parts lists or other such means of positive identification.

4.10.3 Copies of nonconformance reports dispositioned as

“rework/repair” or “use-as-is”, and all BSA approved deviation/waivers.

4.10.4 Copies of material test certificates for specified

materials, showing physical and chemical properties.

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4.10.5 – Superseded by Clause 4.16

4.11 Release for Shipment

The documentation package required in Clause 4.10 must be approved by the Buyer’s representative prior to release of the item for shipment.

4.12 Shipment of Documentation Package to Buyer

Three (3) copies of the documentation package required in Clause

4.10 must be shipped to the Buyer with or prior to each shipment of the purchased items.

4.13 Failure Reporting, Analysis and Corrective Action

The Supplier must maintain a failure reporting, analysis and corrective action system that must, at a minimum, evaluate, analyze and correct failures occurring during qualification, first article and end-item acceptance testing and inspection. The results of all failure evaluations and analyses must be documented and available for review by the Buyer.

4.14 Source Inspection/Verification

Items to be delivered require inspection, tests or surveillance by the Buyer’s representative at the Supplier’s facility. Five (5) working days advance notice, for acceptance inspections and tests, must be provided by the Supplier to the Buyer to permit scheduling of source inspection. For nuclear facility applications (NQA-1), source verification must be conducted in accordance with a Verification Plan to inspect, test, or examine at predetermined/Witness points (see Clause 4.5). Documented evidence of acceptance must be provided upon completion of all verifications.

4.15 Chemical and Physical Test Report

One copy of the actual chemical and physical test report(s) for each heat, batch or lot must accompany each shipment. Test reports must list the actual parameters tested, the acceptable limits for each parameter, and must contain the actual readings taken during test.

4.16 Certificate of Conformance (C of C)

With each shipment, per the procurement documentation, the Supplier must submit a Certificate of Conformance (C of C). In case of drop shipment, a copy of the certificate must be submitted to the Buyer at the time of shipment. The certificate must identify the purchased item/material/equipment by PO number and quantity, include the title of and be signed by an authorized representative of the company, and must constitute a representation by the Supplier that:

A. Materials used are those which have been specified by the Buyer, and that the items delivered were produced from materials for which the Supplier has on file, reports of chemical or physical analysis, or any other equivalent evidence of conformance of such items to applicable specifications;

B. Processes used in the fabrication of items delivered were in compliance with applicable specifications included as part of the PO/contract, or Buyer-approved procedures or specifications;

C. The items as delivered comply with all applicable drawings, specifications, deviations/waivers and other requirements of the procurement documentation; and-

D. When specified, cleaning and cleanliness requirements have been completely satisfied. The C of C must reference the Supplier’s applicable cleaning procedures.

4.16.1 Additional C of C Requirements for Nuclear

(NQA-1) Purchases

A. The certificate must be signed by the person responsible for the quality function and whose function and position is described by the supplier’s QA program/system.

B. The Supplier’s Certification system must be described in their QA Program/system documentation and include the process for completing the C of C along with the review and Approval of the C of C prior to delivery.

C. The Buyer reserves the right to verify the validity of Supplier’s certificates and the effectiveness of the Supplier’s certification system. This verification will be commensurate with the Supplier’s quality performance/history.

D. Additional requirements for Certificate of Calibration: The certificate must include the following:

• M&TE ID or Asset number

• The Supplier’s calibration procedure

• The recommended frequency of calibration

• The calibration date

• The next calibration due date

• As-found calibration data must be reported in the certificate of calibration when calibrated items are found to be out-of-tolerance.

• The standards used for calibration

• The PO number

• Any additional technical and quality requirements, as necessary.

On the certificate, the supplier must also attest that the contracted calibration or test service has been performed in accordance with their ISO/IEC-17025:2017 program, has been performed within their scope of accreditation, is traceable to NIST, the PO’s requirements are met, and identify any and all nonconforming conditions.

4.17 Report with Each Shipment

Superseded by Clause 4.10

4.18 First Article Acceptance

Buyer acceptance of first article(s) is required prior to the production run. The first article(s) must be identified as such, including the PO number/contract, part number, and part name. The Supplier is required to:

4.18.1 Submit the first article(s) to the Buyer’s

representative for test/inspection to be conducted at the Supplier’s facility by the Buyer’s representative.

4.18.2 Submit the first article(s) to the Buyer for test /

inspection by the Buyer at the Buyer’s facility.

4.18.3 Submit the first article(s) to the Buyer together

with documents showing data representing results of the Supplier’s first article(s) test/inspection, including the actual dimension or value for each specified characteristic.

4.18.4 After Buyer acceptance of first article(s), all of the remaining units required by the PO/contract must be produced by the Supplier and the Supplier’s suppliers using the same design, materials, processes, methods and tooling that were used to manufacture the approved first article(s). Any changes must have prior written approval from the Buyer.

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4.19 Notification of Change to Design, Methods, or Processes

The Supplier must immediately notify the Buyer of any significant changes (those that may affect form, fit, function, reliability, safety, or interchangeability) in product design, fabrication methods, materials, or processing from those used by the Supplier at time of Supplier’s quotation or offer to the Buyer, which resulted in the PO.

4.20 Age/Shelf Life and Storage Control

Superseded by Clause 3.21

4.21 Serial Numbers

The Supplier must assign/mark a separate and distinct serial number to each end-item in accordance with the procurement documentation.

A record of the serial number, for each part number, must be maintained by the Supplier.

4.22 Lot or Batch Numbers

For items furnished in accordance with the procurement documentation, the manufacturing lot or batch number must be indicated on the packing list, certifications and other applicable documents. Where impractical to mark individual parts due to size or shape, the lot or batch number must be marked on identifying tags or the smallest unit package.

4.23 Material Traceability

Materials used must be identified by material type, applicable specification and revision number, and be traceable to their lot and/or heat number(s). Traceability records must be available for review by the Buyer’s representative.

4.24 Shipment Destination Other than BNL

The material ordered is to be shipped to other than the Buyer’s facilities. Copies of the data required in accordance with the procurement documentation must accompany the shipment; in addition, one copy of such data must be mailed to the Buyer on the same day that shipment is made.

4.25 Heat Treat Bars

Superseded by Clause 4.7

4.26 Burn-in

Burn-in must be performed on each completed item, per the procurement specification or Supplier’s Burn-In process approved by the Buyer. Records of burn-in testing, repairs and test results must be maintained and must be available to the Buyer’s representative upon request.

4.27 Welding Procedures

Superseded by Clause 4.7

4.28 Weld/Braze Inspection Report

A report(s) must be submitted that indicates the complete inspection of welds or brazes from the initial fit-up stage through final inspection. Inspection reports must be accompanied by all radiographic films, filler metal reports etc. The reports must contain the signature or stamp, and title of an authorized Supplier representative.

4.29 Radiographic Quality Requirements

Items requiring radiographic inspection must be radiographed and processed in accordance with the Supplier’s special process procedures that satisfy design specifications, standards or other procurement documentation requirements. Personnel reading and interpreting film must have been examined and certified.

Responsibility for this certification must rest with the Supplier, whether the Supplier does the work or subcontracts to a specialized laboratory. A report of the findings must include the name of the reader and the signature and title of a responsible representative. The radiographic film and a reproducible copy of the report must accompany each shipment. An adequate method of identifying and cross-referencing each film exposure, report, and item must be provided. When parts are serialized, serial numbers must appear on the report and the film.

4.30 Nondestructive Test Reports

All nondestructive testing must be conducted in compliance with the Supplier’s special process procedures that satisfy the applicable provisions of the design specifications, or other procurement documentation requirements. Personnel and equipment utilized in performance of such tests must be qualified for the type of test performed. The Supplier must furnish with, or prior to, each shipment reports of such nondestructive examination of material or items furnished. These reports must be identifiable to the respective item or material including the specific section, joints or views of the item furnished. These reports must contain the signature and title of an authorized Supplier representative. When items are serialized, the serial numbers must appear on the reports.

4.31 Pressure or Leak Test Reports

Test reports must be prepared for all pressure and leak tests. Such reports must state the requirement, the Supplier’s test procedure number, and the observed result for each item, joint or connection tested. When items are serialized, the serial numbers must appear on the report. Reports must contain the signature/title of an authorized Supplier representative and must accompany each shipment.

4.32 Cleaning Certification

Superseded by Clause 4.16 D

4.33 Calibration Certification

The Supplier must submit with each instrument/system a certification that the instrument/system has been calibrated and is ready for use.

The certification must contain, at a minimum, the identity of the instrument/system, identification of the calibration procedure used, identification of the standards and/or equipment utilized for the calibration, and a statement that the calibration of the standards and/or equipment used is traceable to the NIST or some other recognized national or international standard, or physical constant.

Unless otherwise specified, detailed support data must remain on file for minimum of three (3) years with the Supplier and must be available for review by the Buyer. The certification must also contain the signature and title of an authorized Supplier representative.

4.33.1 The Supplier will provide “As Found” (i.e., before)

and “As Left” (i.e., after) measurements with the certification.

4.34 Operating-Maintenance Manual

Documentation containing operating procedures, maintenance instructions, spare parts lists, and handling procedures must be submitted with the shipment of the first item.

4.35 Computer Software Configuration Management

The Supplier must have and maintain an effective software configuration management system. The Supplier’s system must establish requirements for placing software under configuration control, provide for the positive identification of software, and the control of all software baseline changes.

4.35.1 The Supplier must submit a copy of their software

configuration management procedure(s) with their proposal for review and evaluation, and specifications for software features, including requirements for safety, security, functions, and performance.

4.35.2 Superseded by Sub-clause 4.35.1

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4.36 Computer Software Verification and Validation (V&V)

The Supplier must develop written procedures describing the controls applied to the design of software and the validation of the design through independent technical review. The procedures must provide for documentation of review activities, including requirements for documenting comments and resolution of comments. Supplier software designs and review documentation must be subject to review and approval by the Buyer.

The Supplier must test and verify computer software developed or modified to fulfill the requirements in the procurement documentation. The verification testing must be accomplished by a comparison of test results with those from other verified software, or by a comparison with results from analytical solutions or Buyer-approved alternatives.

4.37 Computer Software Notification of defects, new releases

or other issues For Safety Software, the Supplier must provide a process to (a) notify users of defects, new releases, or other issues that impact the operation and (b) mechanisms for the users of the software to report defects and request assistance in operating software.

4.38 Computer Software User Training

The Supplier must provide formal on-site, off-site or on-line training for users.

4.39 Records

The Supplier must retain objective evidence, including records, of the inspections and tests performed in the course of manufacturing, testing, inspecting, preserving, packaging, and preparation for shipment of procured items. These records must be made available to the Buyer’s representative for review upon request. These records must be maintained for a minimum of three (3) years, unless otherwise specified in the procurement documentation, after the completion of the PO/contract.

4.40 Electrical, Fire Protection, or Scaffolding Equipment, Material, and Systems Superseded by Clause 3.10

4.41 Hoisting & Rigging Equipment

Superseded by Clause 3.11

4.41.1 Powered Industrial Truck Attachments

Superseded by Clause 3.18

4.41.2 Custom-made Equipment

Superseded by Clause 3.11

4.41.3 Critical Lifts

Superseded by Clause 3.11

4.42 Marking of Outer Package and Hoisting & Rigging Services Superseded by Clause 3.12

4.43 Franchised/Licensed “Distributor” Traceability

Products that are not purchased directly from the Original Equipment Manufacturer (OEM)/Original Component Manufacturer (OCM) must be purchased only from a franchised/licensed distributor of the product being offered. The distributor must ensure traceability of all products to the original equipment manufacturer by identifying the original manufacturer for each lot/date code on the Certificate of Conformance. The distributor must provide a copy of the Manufacturer’s certificate for the lot number being supplied, along with their franchised distributor certification. The distributor must not use unapproved brokers (any company, person, or entity who is not an OEM/OCM) for the purchase of components and parts, unless pre-approval has been granted by Brookhaven Science Associates (BSA).

4.44 Power Machine Shop Equipment

Superseded by Clause 3.13

4.45 Aerial Lifts Equipment

Superseded by Clause 3.14

4.46 Self-propelled Elevating Work Platform Equipment

Superseded by Clause 3.15

4.47 Nuclear (NQA-1) Calibration Services

The service must be provided in accordance with the supplier’s accredited ISO/IEC-17025 program and scope of accreditation. As-found calibration data must be reported in the certificate of calibration when calibrated items are found to be out-of-tolerance.

The equipment and standards used to perform the calibration must be identified in the certificate of calibration. Subcontracting of these accredited services is prohibited. BNL must be notified of any condition that adversely impacts the supplier’s ability to maintain the scope of accreditation. Performance of the services listed on this order is contingent on the Supplier’s accreditation having been achieved through an on-site accreditation assessment by the accreditation body within the past 48 months. Any additional technical and quality requirements, as necessary.

4.48 Nuclear (NQA-1) Right of Access

BNL or designated representative may enter the premises of Supplier (or its sub-tier supplier) and review records for the purpose of inspection, surveillance, or quality assurance audit.

4.49 Nuclear (NQA-1) Partial Orders

Supplier may not ship partial orders without prior written approval from BNL.

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