Attachment 2 - Statement of Work for PbWO4 Crystals for the Backward Electromagnetic Calorimeter V04 dated September 9 2024.pdf

Electron-Ion Collider, Brookhaven National Laboratory

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

SOW: Statement Of Work for PbWO4 Crystals for the Backward Electromagnetic Calorimeter Revision: 04

STATEMENT OF WORK

for PbWO4 Crystals for the Backward Electromagnetic Calorimeter Quality Classification: A-3

Prepared By:

_________________________________ Date: __________________ Alexander Bazilevsky, CAM

Tanja Horn, DSL

Reviewed By:

Joseph Zipper, Quality Representative

Marcel Romero, Procurement Liaison Engineer

Chuck Schaefer, ESH Manager

Approved By:

Elke Aschenauer, Level 2 Manager

Docusign Envelope ID: BE6CEFCD-41C0-492E-92C9-A9FE99D3D65D

9/9/2024

9/16/2024

9/16/2024

9/16/2024

9/16/2024

9/16/2024

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

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Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

REVISION HISTORY

Revision # Effective Date Summary of Change

00 1/10/2024 Initial Release

01 4/29/2024 Removed language from Value Engineering regarding the approval of an equitable agreement.

02 6/12/2024 Adjusted final delivery of production crystals amount in section 6.

03 8/6/24

Revisions per CRB recommendations. Removed Section 7 Value Engineering. Adjusted lower limit of final count range from 2500 to 2400.

Removed requirement for BSA to approve the

ATP.

04 9/9/2024 Addressing BHSO comments.

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

Table of Contents

LIST OF ACRONYMS

1 SCOPE

1.1 Background

2 APPLICABLE DOCUMENTS

3 REQUIREMENTS

3.1 Contractor Responsibilities

3.1.1 Technical Performance

3.1.2 Tooling/Fixtures/Test Equipment

3.1.3 Installation

3.1.4 Spare Parts/Special Tools

3.1.5 Materials

3.2 Engineering Design and Manufacturing Requirements

3.2.1 Detailed Analysis Requirements

3.2.2 Approval to proceed

3.2.3 Manufacturing, Inspection and Test Requirements

3.2.4 Acceptance Test Procedures (ATP)

3.3 Management

3.3.2 Progress Communications

3.3.3 Manufacturing/Inspection/Test Plan

3.5 Documentation and Data Management

3.5.1 Report/Documentation Format

3.5.2 Engineering Drawing Practices

3.5.3 Documentation Required Upon Completion of Factory Acceptance Testing and/or Site Acceptance Testing

3.5.4 End Item Documentation Package

3.5.5 Records

3.6 Environment, Safety and Health (ESH)

3.7 Marking and Serialization

3.8 Packaging

3.9 Storage

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4 QUALITY ASSURANCE

4.1 Quality System and Facility Access

4.2 Configuration Management

4.3 Responsibility for Subcontractor

4.4 Responsibility for Conformance

4.5 Measuring and Test Equipment (M&TE) Calibration

4.6 Inspections and Test Requirements

4.7 First Article Acceptance

4.8 Repairs

4.9 Failure Reporting, Analysis and Corrective Action

5 DELIVERABLES

6 SCHEDULE

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LIST OF ACRONYMS

ASME American Society of Mechanical Engineers ATP Acceptance Test Procedure BNL Brookhaven National Laboratory BSA Brookhaven Science Associates

CAM

DSL

EIC

Control Account Manager Detector Subsystem Leader Electron-Ion Collider

EMCal Electromagnetic Calorimeter ESH Environment, Safety and Health JLab Jefferson Laboratory MRP Material Requirements Planning M&TE Measuring and Test Equipment NIST National Institute of Standards and Technology PbWO4

PO

Lead Tungstate Purchase Order

QA Quality Assurance SOW Statement of Work

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

Statement Of Work for PbWO4 Crystals for the Backward Electromagnetic Calorimeter

1 SCOPE

This Statement of Work (SOW) will be the basis for the procurement of the PbWO4 crystals (140 crystals for first article testing and 2400-3000 crystals for production) for the Backward Electromagnetic Calorimeter (EMCal) to be used as a subsystem in the general purpose detector, ePIC, at the Electron-Ion Collider (EIC) at Brookhaven National Laboratory (BNL) managed by Brookhaven Science Associates (BSA). This document outlines the Contractor’s responsibilities and obligations necessary for completing the requirements as set forth herein.

1.1 Background

The EIC Project includes one interaction region, with an allowance for a second, and one detector. The EIC detector is being designed as a hermetic, general-purpose detector. It will be an approximately 10-meter-long cylindrical barrel detector with additional instrumentation that extends to up to 45m in each direction down the EIC beamline. It will use cutting-edge technologies to detect particles created in collisions between high energy electrons and protons or heavy ions (the nuclei of larger atoms) moving close to the speed of light. It will be based on a 1.7 Tesla superconducting magnet for curving the trajectories of charged particles created in these collisions and will include high precision tracking and particle identification systems to measure and identify charged particles, electromagnetic calorimeters to measure and identify electromagnetic particles, and hadronic calorimeters to allow for high precision jet (a collimated spray of particles) measurements.

The Backward EMCal role in the EIC detector is the high precision measurements of the scattered electron to determine the event kinematics in inclusive Deep Inelastic Scattering events, and final state photons. Its design is based on high quality PbWO4 crystals, which convert the energy of the impact electron and photons into light, subsequently detected by photo sensors.

2 APPLICABLE DOCUMENTS

In the event of a conflict between the Technical Documentation and this SOW, the Contractor shall immediately notify the BSA Contractual Representative who shall in each instance determine which document takes precedence and advise the Contractor accordingly. Failure to notify BSA of a document conflict shall not relieve the Contractor’s responsibility to ensure full compliance to all requirements.

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The following documents are an integral part of this SOW; the applicable revision level will be the latest that is in effect at the time of award:

Document Number Document Title

EIC-DET-SPC-020 Technical Specification for the PbWO4 crystals for the Backward EMCal

ASME Y14.100 Engineering Drawing Practices

BNL-QA-101 Supplier Quality Assurance Requirements

3 REQUIREMENTS

In accordance with the applicable specifications, referenced documents, and instructions as defined in this Statement of Work, the Contractor shall be responsible for manufacturing (labor and materials) the PbWO4 crystals, developing a quality assurance plan, and updating the BNL liaison every month on the status of the procurement.

3.1 Contractor Responsibilities

3.1.1 Technical Performance

In accordance with this SOW, BSA technical specification EIC-DET-SPC-020, and all referenced documents, the Contractor shall furnish all equipment, materials, tools, facilities and labor to perform the work necessary to manufacture and test the crystals. The Contractor shall ensure that the resultant design & finished product meets the performance parameters and criteria in accordance with BSA specification EIC-DET-SPC-020 and all other referenced documents. Failure to provide crystals that satisfy the technical specifications outlined in EIC-DET-SPC- 020 and all referenced documents will result in replacement of crystals at the cost of the Contractor.

3.1.2 Tooling/Fixtures/Test Equipment

The Contractor shall be responsible for supplying all materials, including (but not limited to) the construction of all tools, jigs, fixtures, and test equipment required to meet the requirements of this SOW and the referenced technical drawings and specification(s).

3.1.3 Installation

Not applicable

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A

3.1.4 Spare Parts/Special Tools

Not applicable

3.1.5 Materials

The Contractor shall have an effective storage for crystals with proper protection from any kind of potential damage.

3.2 Engineering Design and Manufacturing Requirements

3.2.1 Detailed Analysis Requirements

The Contractor shall describe the methods and equipment to be used to control the crystal specifications.

3.2.2 Approval to proceed

The approval to proceed with production crystals shall be granted in writing based on results of the tests with first article crystals, coordinated by BSA and Detector Subsystem Leader. Approval shall be granted by BSA Technical Representative or authorized designee. For this purpose, 140 crystals meeting specifications shall be provided to BSA.

3.2.3 Manufacturing, Inspection and Test Requirements

In coordination with BSA engineering and scientific support for the project, the Contractor shall develop detailed schedules for the fabrication of the crystals. The Contractor shall prepare all quality assurance documents identified in Section 4.1 Clause 4.4 to describe how the specifications will be achieved during fabrication.

The Contractor shall conduct all acceptance testing for the crystals and report the results of this testing to BSA. The Contractor shall report any recommended improvements identified during manufacturing to BSA so that revisions to the established procedures can be considered. The Contractor shall keep a record (travelers) of all raw materials that are used in the crystal fabrication, and document the procedures followed during the crystal fabrication and the results of acceptance testing.

3.2.4 Acceptance Test Procedures (ATP)

The Contractor shall provide a general recommended ATP. The ATP will be evaluated by BSA during the proposal process. The ATP shall ensure that all test requirements as defined in the Specification are achieved.

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3.3 Management

3.3.2 Progress Communications

Monthly program technical and progress telecommunications and/or meetings between the Contractor and BSA shall be scheduled to commence after the first crystal production delivery and shall occur at a mutually agreeable time. The discussions shall include the Contractor’s progress, technical and contractual questions, presentations of analysis or testing results, troubleshooting, material status, tooling status, resources, and manufacturing issues.

3.3.3 Manufacturing/Inspection/Test Plan

A manufacturing/inspection/test plan shall be provided which identifies the manufacturing processes required to complete all efforts as identified in this SOW.

This shall include the procurement of raw material from any subcontractors. The plan shall be submitted for review by BSA within 4 weeks after award of contract.

The plan may be a single document, or may make use of existing travelers or other suitable planning and control documents. It shall address the Material Requirements Planning (MRP), and at a minimum include manufacturing, inspection, and test steps including identification of critical manufacturing operations and parts/subassemblies showing integrated flow into the end item(s). If the Contractor does not have an MRP system in place, then details for purchasing all raw materials, shop loading (by work center), and a schedule for manufacturing all components and assemblies through packaging and shipping shall be provided by the Contractor.

3.5 Documentation and Data Management

3.5.1 Report/Documentation Format

• All reports submitted shall include an introduction, body of the documents, and a conclusion. Large documents shall include a table of contents. For calculations, equations shall be shown with values defined for each variable so the analysis can be reviewed. Diagrams shall be included for clarity and labels shall be consistent with design drawings for specific items, such as vessel penetrations.

• All documentation provided by the Contractor shall be in English.

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• The Contractor shall provide an electronic copy (BSA-identified FTP, DVD or USB data storage device) of all documentation required by this SOW.

Contractor manufacturing drawing Computer-Aided Design files of all components and assemblies shall be in one of these formats: STP, SAT, IGES, IAM, or IPT.

3.5.2 Engineering Drawing Practices

All Contractor-generated engineering drawings shall be in accordance with ASME Y14.100, Engineering Drawing Practices. All dimensions and tolerances shall be U.S. Customary units with metric (SI) units as a secondary notation.

3.5.3 Documentation Required Upon Completion of Factory Acceptance Testing and/or Site Acceptance Testing

Factory acceptance testing for crystals performed by the Contractor will be documented and all results will be relayed to BSA. Site acceptance testing for crystals will be coordinated by BSA and Detector Subsystem Leader upon delivery to JLab. BSA will review Factory and Site Acceptance Testing results. The specific criteria for Factory and Site Acceptance Testing is outlined in Section 3.1 of EIC- DET-SPC-020 “Technical Specification for PbWO4 crystals for the Backward Electromagnetic Calorimeter”

3.5.4 End Item Documentation Package

The Contractor shall provide with the End Item Documentation package an electronic copy of the following documentation in accordance with the schedule set forth in this SOW to BSA Technical Representative and the Detector Subsystem Leader. The End Item Documentation package shall consist of all documentation identified in this SOW and include the following:

a. Manufacturing Travelers: Manufacturing Travelers that include documentation of visual and dimensional inspections, materials, cleaning procedures, vacuum bake-outs, etc. shall be provided for each shipment of crystals.

b. Final Inspection and Test Reports: Final test reports of all required or necessary inspections, examinations, and tests, properly validated by the Contractor’s authorized personnel shall be recorded and compiled in a measurement and test report and be supplied to BSA.

The BSA Technical Representative and the Detector Subsystem Leader shall review and provide written approval prior to shipment.

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c. Nonconformance Reports: Nonconformance reports identified as “rework / repair” or “use-as-is” shall be provided.

d. Material Certificates: Copies of material test reports for specified materials, showing physical and chemical properties.

e. Certificate of Conformance The Contractor shall provide a Certificate of Conformance that certifies the following:

• Materials used are those which have been specified by the BSA, and that the items delivered were produced from materials for which the Contractor has on file, reports of chemical or physical analysis, or any other equivalent evidence of conformance.

• Processes used in the fabrication of items delivered were in compliance with the SOW, specification and BSA approved procedures.

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

3.5.5 Records

The Contractor shall 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 shall be made available to BSA for review upon request. These records shall be maintained for a minimum of three (3) years, unless otherwise specified in the procurement documentation, after the completion of the Purchase Order (PO)/Contract.

3.6 Environment, Safety and Health (ESH)

The Contractor shall design and build all equipment in accordance with ESH requirements in the appropriate specifications, codes, standards, and other documents listed in Section 2 of this SOW.

3.7 Marking and Serialization

Crystals shall be serialized and documented in the travelers associated with each shipment.

Serialization shall be agreed upon between the Contractor and BSA prior to acceptance of final design.

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3.8 Packaging

In preparation for shipping, a packaging plan will be developed that will be reviewed and approved by BSA prior to shipment. The crystals shall be covered or wrapped for protection against weather elements, dust, and damage to projections, shock loads, impacts, and rubbing. The crystals shall be properly braced and cushioned within the packing so that they will not shift during handling and shipment. The shipment shall contain proper use and handling instructions. The method of shipping will be specified by BSA one month prior to delivery. The container shall be appropriately labeled with the listing of contents, destination, gross weight, location of center of gravity, purchase order/Contract number, and contact information. Each container shall have G-force shock indicators. Each container shall be palletized and include provisions to permit access for a forklift to lift the container.

Preservation, packaging, and packing for shipment or mailing of all work deliverable hereunder shall be in accordance with standard commercial practice and adequate to insure acceptance by common carrier and safe transportation at the most economical rates.

3.9 Storage

Contractor shall provide proper handling and storage instructions with each shipment.

4 QUALITY ASSURANCE

4.1 Quality System and Facility Access

The Contractor shall maintain and apply an effective and documented quality assurance system for the design, manufacture, and testing of all equipment provided. The system shall meet the requirements of the ISO-9001 Standard, “Quality Management Systems Requirements”, and shall provide the processes to ensure that each component produced for acceptance conforms to the requirements of this document and the applicable technical documentation. The Contractor shall supply the necessary documentation to demonstrate this compliance. Post-award surveys may be required and shall be supported by the Contractor. In addition, BSA representatives shall have access to the Contractor’s facility during agreed-upon fabrication, inspection and testing processes.

The Contractor shall provide ten (10) working days’ notice in advanced of the agreed-upon witness points, if any are proposed.

As set forth in BSA Form BNL-QA-101, “Brookhaven National Laboratory Supplier Quality Assurance Requirements,” as amended herein, forms a part of this statement of work. Specifically, this includes the following sections: 1, 2, 3, 3.1, 3.1.2, 3.2–3.22, 4.0, 4.1, 4.2, 4.3, 4.4 as modified

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A below, 4.4.1, 4.4.2, 4.4.3, 4.5 as modified below, 4.6, 4.7, 4.7.1, 4.7.3, 4.10, 4.10.1, 4.10.2, 4.10.3, 4.10.4, 4.11, 4.13, 4.15, 4.16, 4.18, 4.18.2, 4.18.3, 4.19, 4.22, 4.23, 4.24 and 4.39.

Clause 4.4: Manufacturing/Inspection/Test Plan, is modified as follows: 4 weeks after award of contract, the Supplier shall submit for the Buyer’s review a Manufacturing/Inspection/ Test Plan for the item(s) to be produced.

Clause 4.5: “Witness” Points, is modified as follows: The supplier shall provide BNL with ten (10) working days’ notice in advance of reaching such witness points during the manufacturing and test cycle of each item.

4.2 Configuration Management

The Contractor shall establish and maintain a configuration control system to assure that all end items are of the proper configuration, and that all approved configuration changes are incorporated at the specified effectivity points. Records verifying the configuration of each item shall be maintained for a minimum of five (5) years from the date of acceptance of the equipment by BSA.

The Contractor shall immediately notify the BSA Contractual Representative of any significant changes (those that may affect form, fit, function, reliability, safety, or interchangeability) in design, fabrication methods, material or processing.

For changes in configuration, a request for change approval shall be submitted to BSA for consideration. Changes in configuration may be made by the Contractor only with the written approval of BSA.

4.3 Responsibility for Subcontractor

It is the responsibility of the Contractor to flow down and impose applicable technical and quality assurance requirements upon their contractors and subcontractors. Any request to use a subcontractor shall be submitted within 4 weeks of the award date. BSA reserves the right to disapprove, in writing, any contractor or subcontractor.

4.4 Responsibility for Conformance

The Contractor is responsible to provide items which conform to the requirements of the PO/Contract regardless of any assessments, surveillances, inspections and/or tests by BSA or its representatives at either the Contractor’s or BSA’s facility. The Contractor is responsible for

Doc No. EIC-DET-SOW-023 Author: Alexander Bazilevsky Effective Date: September 9, 2024 Review Frequency: N/A notifying the BSA Contractual Representative of any recalls or alerts associated with this PO/Contract.

4.5 Measuring and Test Equipment (M&TE) Calibration

The Contractor shall calibrate any M&TE used in the fulfillment of the PO/Contract requirements against certified standards that are traceable to national standards such as the National Institute of Standards and Technology (NIST), or an international standard, or a physical constant. The Contractor shall notify BSA of any condition found during the calibration, servicing or repair of measuring and test equipment that can affect the end item requirements.

4.6 Inspections and Test Requirements

Unless otherwise specified in the PO/Contract, the Contractor shall be responsible for the performance of all inspections and tests specified herein. Except as otherwise specified in the PO/Contract, the Contractor shall utilize facilities suitable for the performance of the inspection and test requirements, specified herein, which are acceptable to BSA. BSA reserves the right to re-perform any of the inspections and/or tests set forth in this document or referenced specifications where deemed necessary to assure that crystals conform to prescribed requirements at no cost to the Contractor. BSA and/or their representative shall have the option to witness all of the tests defined in this SOW.

The crystals shall be tested by the Contractor at the Contractor’s facility, the Contractor’s subcontractor’s facility, or a pre-approved BSA collaborator prior to shipment, using an ATP (as noted in Section 3.2.4) generated by the Contractor and reviewed by BSA. BSA or its designee retains the right to witness all testing. Final acceptance testing for crystals will be coordinated by BSA and Detector Subsystem Leader upon delivery to JLab. The time period for final acceptance testing shall be within 8 weeks after receipt of the crystals at JLab.

4.7 First Article Acceptance

BSA’s acceptance of first article(s) is required prior to the production run as stated in Section 3.2.2.

The first article(s) shall be identified as such, including the PO number/contract, part number, and part name. After BSA Technical representative and Detector Subsystem Leader acceptance of first article(s), all of the remaining units required by the PO/Contract shall be produced by the Contractor and the Contractor’s suppliers using the same design, materials, processes, methods and tooling that were used to manufacture the approved first article(s).

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4.8 Repairs

If failures occur or repairs are required to an assembly or any component during manufacturing or testing that affects form, fit, function, reliability, safety, or interchangeability the process shall stop and BSA shall be immediately notified. BSA will not accept repaired assemblies or any component during manufacturing or testing that affects form, fit, function, reliability, safety, or interchangeability. Any failures will be replaced at the cost of the Contractor.

4.9 Failure Reporting, Analysis and Corrective Action

The Contractor shall maintain a failure reporting, analysis, and corrective action system which shall, as a minimum, evaluate, analyze, and correct failures occurring during end-item acceptance testing and inspection. The results of all failure evaluations and analyses shall be documented and available for review by the BSA Contractual Representative.

5 DELIVERABLES

The Contractor shall supply the following:

Item Deliverable Due BSA Approval

1 Technical and Progress Reporting Monthly after first production shipment No

2 Manufacturing/Inspection/Test Plan 4 weeks after award of contract No 3 Delivery of First article crystals Prior to production run Yes 4 Delivery of 2400 – 3000 production crystals Monthly shipments of 70 crystals starting 20 weeks after award

Yes

5 End Item Documentation Monthly shipments 20 weeks after award

Yes

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6 SCHEDULE

The following schedules are for planning purposes only. Schedule requirements set forth in the contract will take precedence.

Milestone Calendar weeks after award

Receipt of 140 First Article crystals at JLab. 8 weeks after award BSA review of first article data. 16 weeks after award

Delivery of production crystals to JLab.

Monthly shipments of 70 crystals starting 20 weeks after award

Delivery of End Item Documentation. Monthly shipments 20 weeks after award

Final delivery at which point 2400 - 3000 production crystals will have been delivered to JLab. 4 years after award