AL-1782-0333B SOW for Manufacturing of the M1 Mirrors for ALS-U BL5.3.2.1, 5.3.2.2, 6.3.2, 11.3.2.pdf

SOW for Manufacturing of the M1 Mirrors for ALS-U BL

5.3.2.1, 5.3.2.2, 6.3.2, 11.3.2

Release Date: May 8 2025 9:43:03 AM PDT

Document Number: AL-1782-0333 Revision: B

Document Status: Released

Document Type: PROJECT MANAGEMENT

Category Code: AL6102

ALS - BEND MAGNET BEAMLINES

BL 5.3.2 BRANCH LINE

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Advanced Light Source Lawrence Berkeley National Laboratory

All officially released LBNL documents are watermarked and contain LBNL Document Control Center release information in the lower-left corner of the document's pages.

Printed hard copies of this document are for reference only.

TABLE OF CONTENTS

1 Revision History

2 Approvals

3 Abbreviations and Acronyms

4 Applicable Documents

5 Introduction

5.1 Project Overview

5.2 Description of Items

5.3 Roles and Responsibilities

6 Deliverables and Schedule

7 Management

7.1 Kick-off meeting

7.2 Reporting/Communication requirements

7.3 Documentation requirements

7.4 Control points

8 Fabrication

8.1 General engineering requirements

8.2 Final documentation package

9 Shipping

10 OSAT

11 Quality Assurance

11.1 Quality reporting requirements

11.1.1 Subcontractor Quality program

11.1.2 Deviation requests

11.1.3 NCR

11.2 FATP

11.3 ACL

12 Standards and Codes ci al ly R el ea se d to th e

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1 REVISION HISTORY

Rev. CM Number Description of Change A Baseline

2 APPROVALS

The following individual(s) shall approve this document:

Reviewer Project Role Stefan Soezeri ALS 2.0 Beamline 5.3 Front End Engineer

Dean Kurilich ALS 2.0 Bend Magnet Beamlines Lead Engineer

Arnaud Allézy ALS 2.0 Chief Engineer

Approver Project Role Daniele Cocco ALS 2.0 Optical Scientist

Windchill:

Checked by: ssoezeri,dkurilich,APAllezy Released by: dcocco ci al ly R el ea se d to th e

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3 ABBREVIATIONS AND ACRONYMS

ALS Advanced Light Source

ALS-U Advanced Light Source Upgrade

ACL Acceptance Criteria List

CAD Computer-Aided Design

DEF DEFinition

FAT Factory Acceptance Test

FATP Factory Acceptance Test Plan

FATR Factory Acceptance Test Report

ID Identification

LBNL Lawrence Berkeley National Laboratory

N/A Not Applicable

NCR Non-Conformance Report

NUM Number

NTP Notice to Proceed

OSAT Onsite Acceptance Test

SI International System of Units

UHV Ultra-High Vacuum ci al ly R el ea se d to th e

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4 APPLICABLE DOCUMENTS

This section identifies applicable documents that are considered to be a part of this document. All information contained in an applicable document shall be valid to the full extent, unless specifically noted within this document. Applicable documents shall be obtained from the LBNL Document Control Center (DCC).

Number Rev. Title

AL-1009-9880

B ALS-U Units Policy and Units Definition

AL-1208-0209

B ALS-U supplier quality evaluation survey

AL-1265-6612

B ALS-U BUILD TO SPECIFICATION CAD MODEL AND

DRAWING REQUIREMENTS

AL-1778-6137

A Technical Specification of the ALS-U M1 Mirrors for BL5321 and BL5322

AL-1777-2365

B Technical Specification of the ALS-U M1 Mirrors for BL632 and BL1132 ci al ly R el ea se d to th e

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5 INTRODUCTION

5.1 Project Overview

ALS-U is an upgrade project to the LBNL 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 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, represented by the DoE for the management and operation of LBNL and the performance of research and related work.

5.2 Description of Items

The purpose of this SOW is to define the design and production work required to provide the M1 mirrors for beamlines 05.3.2.1, 05.3.2.2, 06.3.2, and 11.3.2, listed in Table 1.The specification AL-1778-6137 provides all the technical information needed by the

Subcontractor for the M1 mirrors for 05.3.2.1 and 05.3.2.2, while AL-1777-2365 provides all the technical information needed by the Subcontractor for the M1 mirrors for 06.3.2 and 11.3.2.

The required work shall include project management, design for fabrication, fabrication, shipping, and quality assurance activities, as set forth in Sections 0 through 10 herein.

For verifying that the M1 mirrors meet expectations, LBNL will subject the mirrors to ci al ly R el ea se d to th e

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Table 1. BL 5.3.2 mirrors in the scope of the Subcontract.

Beamline Label Technical spec# Quantity (ea) 05.3.2.1

M211 AL-1778-6137 1

05.3.2.2

M201 AL-1778-6137 1

06.3.2

632M1 AL-1777-2365 1

11.3.2

1132M1 AL-1777-2365 1

LBNL provides the baseline design files, which include the 3D CAD models and 2D drawings of each mirror. The Subcontractor shall be responsible for supplying:

- The final design files labelled “for fabrication” (if applicable),

- The mirrors delineated in Table 2,

- The supporting final documentation packages, including FAT,

- Shipping to LBNL.

5.3 Roles and Responsibilities

For the purposes of this document the terms University and LBNL may be used interchangeably. 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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6 DELIVERABLES AND SCHEDULE

The Subcontractor shall deliver the items summarized in Table 2. The drawings will be approved when the Subcontract is issued. Fabrication is eligible to start immediately with no additional decisions to be made in this regard.

Table 2. List of deliverables and schedule information.

Item Description Due date ARO

[weeks]

001 Kick-off meeting 2

002 Initial schedule 2

003 Progress reports monthly

004 FATP 6

005 Final documentation package 35

006 Mirrors delivered in UHV compatible boxes 39 ci al ly R el ea se d to th e

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7 MANAGEMENT

The Subcontractor shall provide all supervision, labor, materials, tools, testing equipment, and all other services to meet the requirements of this Subcontract.

7.1 Kick-off meeting

Upon award of the Subcontract, the LBNL technical representative will contact the selected Subcontractor to set up a project kick-off meeting.

The Subcontractor shall:

- Present its organization and management, core competencies, operational capabilities and the team assigned to this project

- Present the initial schedule

LBNL shall:

- Present an overview of the mirrors and their related assemblies, and answer any technical question the Subcontractor may have

- Establish the requirements for communication

- Present the LBNL portal that will be used for data exchange and train the

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7.2 Reporting/Communication requirements

The Subcontractor shall assign a person responsible for the technical execution of the

Subcontract and its follow-up, as well as a person responsible for the commercial follow-up, throughout the duration of the Subcontract. They shall be able to communicate in

English.

LBNL reserves the right to visit the production site(s) to witness activities. In that situation, LBNL will coordinate with the subcontractor prior to the visit.

The Subcontractor shall conduct biweekly phone calls with the LBNL Technical Team responsible for the technical execution of the Subcontract. In addition, the Subcontractor shall send a progress report monthly, to be submitted by the 5th of each month. The report shall include:

- Actual progress in comparison with the schedule

- Issues encountered and solutions proposed

- Information about any risks in failing to fulfil the requested quality or schedule

- Other reports or data as requested by LBNL

- Action item tracking ci al ly R el ea se d to th e

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7.3 Documentation requirements

Upon Subcontract award, a Windchill Project portal will be established by LBNL and access provided to the Subcontractor. Windchill will be used as the repository for all documentation, QA data, certificates of conformance, test results, models, and drawings.

An electronic copy of all required documentation noted in this document is required and shall be transmitted to LBNL via the designated Windchill portal. LBNL document AL-

1265-6612: ALS-U BUILD TO SPECIFICATION CAD MODEL AND DRAWING

REQUIREMENTS, identifies the acceptable file formats and requirements for the final drawings and CAD models.

Acceptable document formats include .docx, .xlsx, and other editable Office file formats or as noted in this document.

The Subcontractor shall comply with professional and/or LBNL’s standards/codes in matters of document editing, design/drawing process, design reviews and approval, naming conventions and tagging, quality assurance/control, etc. The Subcontractor may propose other design standards, subject to prior written approval by LBNL. LBNL reserves the right to disallow the use of certain codes or norms.

7.4 Control points

The Subcontractor shall not proceed with the FAT without a written NTP valid for the entire duration of the Subcontract. LBNL shall notify the Subcontractor of the outcome of the LBNL review 2 weeks after receipt of the FATP:

- If LBNL delivers the NTP, the Subcontractor may proceed with the FAT

- If LBNL rejects the FATP, the Subcontractor shall propose a new FATP within 2 weeks from the date of the rejection

In addition, the Subcontractor shall not proceed with shipping without a written NTP for each substrate. LBNL shall notify the Subcontractor of the outcome of the LBNL review 2 weeks after receipt of the final documentation package:

- If LBNL delivers the NTP, the Subcontractor may proceed with shipping

- If LBNL rejects the final documentation package, the Subcontractor shall propose a recovery plan within 2 weeks from the date of the rejection ci al ly R el ea se d to th e

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8 FABRICATION

The Subcontractor may initiate the material procurement and fabrication activities ARO.

8.1 General engineering requirements

It is the responsibility of the Subcontractor to guarantee that the M1 mirrors will meet all requirements in AL-1778-6137, AL-1777-2365, and other relevant documents. LBNL provides the baseline design files, which include the 3D CAD models and 2D drawings of each mirror. The Subcontractor shall be responsible for supplying the final design files, labelled “for fabrication”, if applicable. Any modification of LBNL’s design files shall be requested by the Subcontractor and approved by the LBNL Technical Representative. As part of the final design files, the Subcontractor shall provide a BOM listing all detail and assembly drawings, the requested modifications and supporting justifications (e.g.

improved manufacturability). For each mirror, the Subcontractor shall deliver the final design files, which shall include CAD models and fabrication drawings (if applicable), document listing all modifications made to LBNL’s design files (if applicable).

8.2 Final documentation package

Following the fabrication phase, the Subcontractor shall deliver the final documentation package for each substrate, which shall include:

- FATR

- Completed and signed ACL

- NCR (as applicable)

- Deviation requests (as applicable)

- Shipping plan ci al ly R el ea se d to th e

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9 SHIPPING

After receipt from LBNL of the NTP with shipping, the Subcontractor may initiate the shipping activities. The Subcontractor shall be responsible for shipping all units to LBNL in accordance with the requirements in AL-1778-6137 and AL-1777-2365. The

Subcontractor shall submit a shipping plan in the final documentation package. It shall include detailed information about the UHV compatible box, the packaging, the crates or other containers and the marking, in accordance with the following requirements:

- Vendor will supply all shipping containers and packaging. Vendor will assume responsibility for packing the finished mirror for safe shipment to LBNL in

Berkeley, California.

- Optics cover assembly to be designed per AL-1778-6137 and AL-1777-2365.

- The shipping containers shall be reusable (e.g. 4-panel hinged crates)

- All shipping container materials shall meet or exceed the quality standards for

Wood Groups II, III, or IV per ASTMD6199

- The shipping containers shall have markings that clearly indicate tie-downs, mass or weight

- The shipping containers shall have markings that clearly indicate the presence of fragile contents

- The contract information and the substrate label shall be attached to the exterior of the shipping container

- The shipping containers shall have soft-adhesive shock indicators (e.g.

Shockwatch®) inside and outside

- The mirror label shall be indicated on the box exterior

Shipping shall comply with any regulations, in particular with customs. Damage incurred during shipment will be the responsibility of the Subcontractor to correct. LBNL may approve the shipment of more than one substrate in a shipping container.

LBNL reserves the right to perform an evaluation of hardware, documentation, and shipping methods at the Subcontractor’s production site prior to authorizing shipment.

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10 OSAT

LBNL shall plan, organize, and should execute OSAT 4 weeks after delivery of the substrates, and complete and sign the ACL. The Subcontractor shall follow up and provide remote assistance if needed.

After OSAT, if LBNL rejects deliverables, the Subcontractor shall propose a recovery plan within 2 weeks from the date of the rejection.

11 QUALITY ASSURANCE

11.1 Quality reporting requirements

11.1.1 Subcontractor Quality program

The Subcontractor shall complete the ALS-U Supplier Quality Evaluation Survey AL-

1208-0209 during RFP. The Subcontractor shall maintain and apply an effective QA program for the design, manufacture, testing of all systems and equipment provided.

Post-award surveys may be required and shall be supported.

11.1.2 Deviation requests

Any deviations from the dictating LBNL documents must be requested by the

Subcontractor and approved by LBNL prior to implementation. LBNL will provide a standard deviation request form however, a Subcontractor’s existing or internal document may be utilized with prior written LBNL approval.

Deviation requests apply to requests to modify processes or documented drawings.

Deviation requests DO NOT apply to hardware that is built and does not conform to the specification.

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11.1.3 NCR

A NCR provides a summary for products or procedures which do not conform to the defined requirements. NCR may be determined and reported by either the Subcontractor or LBNL staff. LBNL will provide a standard NCR form however, a Subcontractor’s existing or internal document may be utilized with LBNL approval. NCR are to be submitted to LBNL within 3 business days of the identification.

NCR apply to hardware that is built and does not conform to the specification(s). LBNL will provide a written disposition establishing a path forward for each nonconformance.

No operations may be performed on the nonconforming item without LBNL’s written disposition or approval to proceed.

11.2 FATP

The Subcontractor shall provide a FATP which shall be submitted to LBNL for written approval. This FATP shall consist of a plan in the Subcontractor’s format listing components, subassemblies, and assemblies; identifying inspections and tests planned for the verification of quality; and identifying documentation/planning for recording the results. The FATP shall be derived from the requirements listed in AL-1778-6137 and AL-

1777-2365.

11.3 ACL

AL-1801-5702 (05.3.2.1, 05.3.2.2 M1 mirrors) and AL-1800-6442 (06.3.2, 11.3.2 M1 mirrors) list all LBNL acceptance criteria to be confirmed upon receipt.

12 STANDARDS AND CODES

Documents listed in this section are considered reference documents that can be used to better describe, clarify intent, or describe where the information was obtained from.

Number Title

ASTMD6199

Standard Practice for Quality of Wood Members of Containers and Pallets

ISO 90001:2000 Quality management systems — Requirements ci al ly R el ea se d to th e

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