Attachment (A) NSLSII-2ID-SOW-SPC-005_v1.pdf

Brookhaven National Laboratory Number: NSLSII-2-ID-SOW-SPC-005 Brookhaven Science Associates Version: 1 National Synchrotron Light Source II (NSLS-II) Effective: 07JUN2023

SIX Ultrahigh Energy Resolution Spectrometer Grating Statement of Work and Technical Specification

QA Category: A-2

Document Reviewed and Approved By:

Approved By Joseph Dvorak SIX Beamline Scientist

Approved By Valentina Bisogni SIX Beamline Scientist

ESH Approval Robert Lee ESH Manager

Authorization Basis Approval Steve Moss Authorization Basis Manager

Approved By Joseph Zipper NSLS-II Quality Assurance Engineer

Approved By Steve Hulbert NSLS-II SXSS Program Manager

Approved By Phil Bernath PPM Contracts Administrator

Reviewer Stephen Sherwood NSLS-II Liaison Engineer ii National Synchrotron Light Source II

Version 1 ii Brookhaven National Laboratory

VERSION HISTORY LOG

VERSION DESCRIPTION DATE AUTHOR APPROVED BY

1 First Issue 07 JUN 2023 Joseph Dvorak See cover page.

NSLSII-2ID-SOW-SPC-005: SIX Ultrahigh Energy Resolution Spectrometer Grating Package Statement of Work and Technical Specification

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Contents 1 Introduction and Overview

1.1 Background

1.2 Scope

2 References

3 Requirements

3.1 Contractor Responsibilities and Manufacturing Requirements

3.1.1 Technical Performance

3.1.2 Acceptance Test Procedure

3.1.3 Factory Acceptance Testing

3.2 Management

3.2.1 Manufacturing/Inspection/Test Plan

3.2.2 Progress Teleconference

3.2.3 Performance Reporting

3.3 Documentation and Data Management

3.3.1 General Documentation Requirements

3.3.2 End Item Documentation

3.4 Configuration Management

3.5 Warranty

3.6 Packaging

4 Quality Assurance

4.1 Quality Assurance Requirements

4.2 Material Review Board (MRB) Authority

4.3 QA Flow-Down

5 Schedule / milestones 6 Deliverables

7 Value Engineering

8 Technical Specifications

8.1 Scope of Supply

8.2 Substrate Specifications

8.3 Technical Specification of the Gratings

8.4 Testing Requirements

8.4.1 Roughness

8.4.2 Slope and Height Error

8.4.3 Groove profile

8.4.4 VLS parameters

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DEFINITIONS/ACRONYMS

AFM Atomic Force Microscopy

ATP Acceptance Test Procedure

ASCII American Standard Code for Information Interchange

BNL Brookhaven National Laboratory

BSA Brookhaven Science Associates

ESH Environment, Safety, and Health

FAT Factory Acceptance Test

IAW In Accordance With

LTP Long Trace Profiler

MRB Material Review Board

NSLS-II National Synchrotron Light Source II

QA Quality Assurance

RMS Root Mean Square

SIX Soft Inelastic X-ray Scattering (beamline)

SOW Statement of Work

SPC Technical Specification

UHV Ultra-High Vacuum

USG Ultrahigh Energy Resolution Spectrometer Grating

VLS Variable Line Spacing

NSLSII-2ID-SOW-SPC-005: SIX Ultrahigh Energy Resolution Spectrometer Grating Package Statement of Work and Technical Specification

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1 INTRODUCTION AND OVERVIEW

1.1 Background

The National Synchrotron Light Source II (NSLS-II) is a synchrotron light source at Brookhaven National Laboratory (BNL) that has a highly optimized 3 GeV electron storage ring, full-energy injector, experimental beamlines and optics, and appropriate support equipment. The Ultrahigh energy resolution Spectrometer Grating (USG) for the Soft Inelastic X-ray Scattering (SIX) beamline described in this document will be hereafter referred to as “the Equipment”.

1.2 Scope

This Statement of Work (SOW) and Technical Specification (SPC), hereinafter called the SOW/SPC, is the basis for the procurement of the Equipment, which will be used on the SIX beamline at the National Synchrotron Light Source II (NSLS-II) at Brookhaven National Laboratory (BNL). This SOW/SPC outlines the Contractor’s responsibilities and obligations necessary for completing the requirements as set forth herein.

2 REFERENCES

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

Document Number Document Title

LT-ENG-RSI-SR-VA-002 Requirements for Design and Fabrication of Components for NSLS-II UHV Systems BNL-QA-101 BNL Supplier Quality Assurance Requirements MIL-PRF-13830B Performance Specification, Optical Components for Fire Control Instruments PD-SIX-BL-GRTG-0003 SIX Beamline Gratings Substrate Drawing (Note: this is for the spectrometer grating)

3 REQUIREMENTS

In accordance with the applicable specifications, referenced documents, and instructions as defined in this SOW/SPC, the Contractor shall be responsible for the purchase of all materials, manufacturing, testing, and delivery of the Equipment.

3.1 Contractor Responsibilities and Manufacturing Requirements

3.1.1 Technical Performance

In accordance with the SOW/SPC document and all referenced documents, the Contractor shall manufacture the Equipment. The Contractor shall test the Equipment at the Contractor’s facility, then deliver the Equipment to BNL. It is the Contractor’s responsibility to ensure that the Equipment complies with all requirements in the SOW/SPC.

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3.1.2 Acceptance Test Procedure

The Contractor shall provide an ATP that is in accordance with this SOW/SPC, and all reference documents noted herein. The ATP must be reviewed and approved by BSA prior to use. The Contractor shall submit an ATP to BSA for approval describing each test or measurement to be implemented. Drawings and equipment required for adequate inspection and test shall be listed in the ATP.

The ATP shall ensure that all test requirements as defined in the SOW/SPC are achieved.

3.1.3 Factory Acceptance Testing

The Equipment shall be tested by the Contractor at the Contractor’s facility, the Contractor’s subcontractor’s facility, or a pre-approved BSA facility prior to shipment, in accordance with the

ATP.

BSA reserves the right to perform in-process inspections at the Contractor’s facility. The Contractor shall notify BSA a minimum of 30 working days prior to the start of final inspection and testing. BSA inspection shall in no way relieve the Contractor of responsibility for ensuring the quality of the optic(s).

The Contractor shall maintain documentation for all metrology and processes during fabrication and characterization of the Equipment. The responsibility for performing and documenting all specified tests and metrology shall rest with the Contractor unless noted otherwise.

The Contractor shall submit the Factory Acceptance Test Report of metrology results and associated raw data to BSA for review and approval by BSA in writing prior to shipment of the equipment. The Acceptance Test Report shall include machine-readable raw data sets for all metrology performed. Data sets shall be in plain ASCII text, or another widely used format subject to BSA review and approval in writing. The Contractor shall describe the file formats and supply necessary constants and parameters to permit independent data analysis of the raw data. If possible, a full map of the clear aperture shall be provided.

3.2 Management

3.2.1 Manufacturing/Inspection/Test Plan

Within two (2) weeks after award of contract, the Contractor shall deliver a detailed program plan that includes a milestone schedule defining the design validation, manufacturing, and testing in sufficient detail to allow regularly scheduled progress monitoring. The Contractor shall supply a Gantt chart indicating the estimated time and duration to achieve major milestones in the optic(s) fabrication. For mirror production, this includes procuring material, polishing, metrology, final inspection, acceptance test date and delivery. For grating production this includes design, optimization and testing of the ruling method, the ruling process, metrology, final inspection, acceptance test date and delivery. The chart shall be submitted electronically using Microsoft Project or Excel. The plan shall be submitted for review and be approved in writing by BSA.

3.2.2 Progress Teleconference

Within two (2) weeks after award of contract, monthly technical and progress teleconferences and/or meetings between the Contractor and BSA shall be held at a mutually scheduled time. The discussions shall include the Contractor’s progress, technical and contractual questions, analyses, value engineering, troubleshooting, material status, resources, and manufacturing issues.

3.2.3 Performance Reporting

Throughout the life of the contract, the Contractor shall supply a written report by the fifth of every month to the BSA technical representative and contractual representative that clearly details

NSLSII-2ID-SOW-SPC-005: SIX Ultrahigh Energy Resolution Spectrometer Grating Package Statement of Work and Technical Specification

National Synchrotron Light Source II 3 07 JUN 2023 progress through the prior month with respect to the program. This shall include milestone charts, detailed progress, open items, problems, recommended solutions, and risk mitigation.

3.3 Documentation and Data Management

3.3.1 General Documentation Requirements

All documentation provided by the Contractor shall be in English.

The Contractor shall provide an electronic copy (in Microsoft Office format with formal, controlled copies in PDF format) of all documentation identified in this SOW/SPC, unless otherwise noted.

3.3.2 End Item Documentation

The Contractor shall provide an electronic copy of the End Item documentation package IAW the schedule set forth in this SOW/SPC. The End Item documentation package for the Equipment shall consist of the following documentation:

Completed travelers

Manufacturing / Inspection / Test data for inspections performed at incoming inspection or during manufacture

Material certification for the grating coating, including material purity

3.4 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.

3.5 Warranty

The Contractor shall provide a warranty for the Equipment, against failure and defects for a period of two

(2) years from final acceptance at BNL.

3.6 Packaging

• The Contractor shall be responsible for design and fabrication of the optic(s) shipping container(s).

• The Equipment will be used in an ultra-high vacuum (UHV) environment and shall be UHV clean.

The specifications for vacuum compliance are in BSA document LT-ENG-RSI-SR-VA-002, Design and Fabrication of Components for NSLS-II UHV Systems.

• Talcum powder-free, clean room gloves shall always be used when handling the Equipment.

• Oil, fingerprints, dust, and other contaminants shall be kept off the Equipment.

• In preparation for shipping, the Equipment shall be sealed for protection against weather elements, dust, and damage to projections, shock loads, impacts, and rubbing. The Equipment shall be properly braced and cushioned within its own packing so that it will not shift during handling and shipment. A dust-free interior-most enclosure shall be used. Hermetically sealed packaging shall be used during shipping to protect the Equipment from dust and contamination.

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• Durable materials, such as clean wood, bubble wrap, or similar non-contaminating materials, are to be used to support and protect the components from one another during transit and storage. Peanut-type material shall not be used for packaging.

• Each packing shall be fitted with ShockWatch™ and TiltWatch™ sensors or an equivalent approved by BSA.

• The container shall be appropriately labeled with the listing of contents, destination, gross weight, location of center of gravity, purchase order number, and contact information.

4 QUALITY ASSURANCE

The Contractor shall maintain and apply an effective QA program for the design, manufacture, and testing of all systems and equipment provided. The system shall comply with the requirements of the ISO-9001 Standard, “Quality Management System Requirements.” The Contractor shall supply the necessary documentation to demonstrate compliance. Pre-award and post-award surveys may be required and shall be supported.

4.1 Quality Assurance Requirements

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 to 3.22, 4.0, 4.1, 4.2, 4.3, 4.4 as modified below, 4.4.1, 4.4.2, 4.4.3, 4.6 as modified below 4.7, 4.7.1, 4.7.3, 4.10, 4.10.1, 4.11, 4.13, 4.16, 4.19, 4.21, and 4.39. With each Component delivered, the Contractor shall supply to BSA a Certificate of Conformance, in accordance with section 4.16 of BNL-QA-101.

Clause 4.4: Manufacturing/Inspection/Test Plan, is modified as follows: 2 weeks after award the supplier shall submit for the Buyer’s approval a Manufacturing/Inspection/Test Plan for the item(s) to be produced.

Clause 4.6: Test and Inspection Procedure, is modified as follows: 2 weeks after award the supplier shall submit for Buyer’s approval the Test and Inspection Procedure for the item(s) to be produced.

4.2 Material Review Board (MRB) Authority

Unless, and until, Material Review Board (MRB) authority has been requested and received, the Contractor shall be restricted to dispositions of rework, scrap, and return-to-vendor: i.e., the Contractor shall not use nonconforming materials via unique or standard repair processes, nor via use-as-is-dispositions.

The Contractor shall not delegate MRB authority to suppliers without the prior knowledge and written approval of BSA.

BSA may delegate MRB Authority to the Contractor, when requested by the Contractor. Such request shall be accompanied by: 1) the Contractor’s procedure for the identification, evaluation, disposition, and control of non-conformances; and 2) the resumes of personnel to be assigned as MRB members.

All non-conformances requiring MRB action shall be documented and sent to the BSA technical representative within five (5) working days of the decision.

4.3 QA Flow-Down

The Contractor shall ensure a proper and complete flow-down of all applicable QA requirements, as described in section 4.1 herein, to its suppliers and sub-tier suppliers.

NSLSII-2ID-SOW-SPC-005: SIX Ultrahigh Energy Resolution Spectrometer Grating Package Statement of Work and Technical Specification

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5 SCHEDULE / MILESTONES

The following schedule is for planning purposes only. Schedule requirements as set forth in the contract will take precedence.

SCHEDULE IN MONTHS AFTER AWARD OF CONTRACT

Receipt of Equipment at BNL 22

6 DELIVERABLES

The Contractor shall supply the following:

Item Deliverable Due Approval Required

1 Manufacturing/Inspection/Test Plan 2 weeks after award of contract Yes 2 Technical & Progress Teleconference 2 weeks after award/every month thereafter No 3 Performance Reports 5th of each month Yes 4 Acceptance Test Procedure 2 weeks after award of contract Yes 5 Delivery of Factory Acceptance Test Report and test certificates 7 days after completion of FAT and prior to shipment of equipment to BNL

Yes

6 Delivery of Equipment at BNL As set forth in contract Yes 7 End Item documentation package With the Equipment delivery Yes

7 VALUE ENGINEERING

The Contractor is encouraged to make recommendations for changes that might lead to an improvement in performance, reliability, quality, safety, or reduction in cost. Simplicity in operation, ease of maintenance, and an improvement in the performance and reliability of the specific functions beyond the requirements of this specification are objectives, which shall be considered in the production of each component type. Where it appears a substantial improvement in simplicity of design, performance, ease of maintenance or reliability will result from the use of materials, parts and processes other than those specified, it is desirable that their use be investigated. When investigations point to advantages that may be realized, the recommendation for change shall be presented to BSA for review and, if approved, authorized in writing. An equitable agreement will be negotiated between BSA and the Contractor to share the savings of any recommended change that is approved and implemented.

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8 TECHNICAL SPECIFICATIONS

A pictorial definition of relevant terminology is given in Figure 1.

Figure 1: Pictorial definition of terminology. Note that this schematic is not meant to imply a given deflection direction or surface figure. The substrates for this procurement are planar.

Definitions of Optical Parameters Deviation from the theoretical or ideal profile of an optical surface is designated as roughness or figure error according to the length scale.

Figure errors: Figure error is defined as the difference between the specified three-dimensional surface height and the actual surface height under operational conditions (e.g., mounted and in the correct deflecting geometry, etc.). The figure error is defined for longer length scales than the roughness, typically over the spatial frequency range from 1/(length of the optic) to 1 mm-1, corresponding to spatial lengths from 1 mm up to the length of the optic. The RMS height error is defined as the RMS value of the height error over a specified region of the optical surface. The RMS slope error is defined as the RMS value of the gradient of the height error along a specified direction and over a specified region of the optical surface.

Surface roughness: The 2-dimensional surface micro-roughness is defined over a shorter period than the figure error, typically in the spatial frequency range from 0.005 to 1 µm-1, corresponding to spatial lengths from 1 to 200 µm.

8.1 Scope of Supply

The scope of supply shall include:

• The manufacture of sufficient grating substrates for the production of one grating.

• Design, fabrication and testing of one ruled grating according to the specifications given below.

8.2 Substrate Specifications

The grating substrates shall have the specifications reported in the table below.

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The optic(s) optical surface shall have no striae under visible examination and shall meet a scratch/dig requirement of 10/5 per MIL-PRF-13830B.

8.3 Technical Specification of the Gratings

In this section the grating parameters are specified. For the grating, a blazed profile is required. The Variable Line Space (VLS) parameters are defined as follows:

k(x) = a0 + a1 x + a2 x2 + a3 x3

Where k(x) is the line density along the tangential coordinate 𝑥𝑥, with 𝑥𝑥 = 0 at the center of the clear aperture and positive 𝑥𝑥 in the direction away from the source, and 𝑎𝑎𝑖𝑖 is the ith-order VLS coefficient. This coordinate system, along with the correct orientation of the blaze profile, is shown in Figure 2. The above equation defines the line density in the plane tangent to the grating surface at the center (𝑥𝑥 = 0).

Figure 2: Pictorial definition of the parameters referring to the blazed groove profile.

The ruled surface shall be centered to within ± 0.2 mm on the substrate. The ruling shall cover the optical area defined in the table below.

The identifying mark shall be on the high line density (downstream) of the grating.

Technical Specifications for the Grating Substrates 1 Substrate material Radiation hard material (e.g. single crystal silicon, high purity fused silica). The choice of material shall be determined by the Contractor with regards to their grating manufacturing processes.

2 Substrate dimensions As shown in PD-SIX-BL-GRTG-0003 3 Dimensioning tolerances As shown in PD-SIX-BL-GRTG-0003 4 Finish on non-optical surfaces Lapped, 5 μm peak to valley 5 Substrate shape Planar; tangential radius greater than 10 km, sagittal radius greater than 1 km.

6 Optical clear aperture As shown in PD-SIX-BL-GRTG-0003 7 Tangential slope error <0.1 µrad rms (frequency range 0.005 to 1 mm-1) 8 Sagittal slope error <0.4 µrad rms (frequency range 0.025 to 1 mm-1) 9 Height error < 1 nm rms over any contiguous 40 mm tangential length 10 Micro-roughness 0.3 nm rms (frequency range 0.005 to 1 µm-1) 11 Identification number Each substrate will have a unique single digit identifier engraved on the downstream end of the grating

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The coating shall extend at least 2 mm beyond the optical clear aperture.

The grating parameters are listed in the following table.

USG Grating Ruling Specifications Substrate PD-SIX-BL-GRTG-0003 Ruling Blazed VLS Optical Length 200 mm Optical Width 40 mm a0 2500 ± 2.5 mm-1 a1 0.4158 ± 0.0042 mm-2 a2 (+3.82 ± 0.04) x 10-4 mm-3 a3 (+4.0 ± 0.8) x 10-8 mm-4 Coating Au: 30 nm ± 5%, 99.9% purity, with optional 5 nm Cr binding layer Roughness ≤ 1 nm (frequency range 0.005 to 1 µm-1) on final coated grating Blaze Angle 1.56 degrees

Anti-blaze Angle ≥ 10 degrees

8.4 Testing Requirements

8.4.1 Roughness

Roughness shall be measured using a 20X objective from a micro interferometer or other method reviewed and approved by BSA. The roughness shall be measured at 15 discrete points located at the intersections between three parallel lines along the longitudinal direction (central line and ±40% of the total optical width to either side) and five parallel lines along the sagittal direction (central line and at ±20% and ±40% of the total optical length to either side), as shown in Figure 3. The roughness specifications listed in the Grating Ruling Specifications table apply to the final coated grating.

8.4.2 Slope and Height Error

The slope and height error shall be measured using interferometry or a long trace profiler. The measurements shall be at a minimum along the lines shown in Figure 3 in the tangential and sagittal directions. The substrate shall be oriented with the optical surface-oriented face up and shall be supported by the points shown in PD-SIX-BL-GRTG-0003. This orientation will duplicate orientation and mounting of the grating in the final assembly.

8.4.3 Groove profile

The groove profile shall be measured at the same 15 positions as for the roughness via AFM. Images are to be of sufficient resolution to access the local line density to < 0.5% and resolve the blaze angle to within 0.05°. The antiblaze angle is defined as the angle from the minimum to the maximum of the groove profile with respect to the surface plane, and shall be measured to within an accuracy of 0.2°.

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8.4.4 VLS parameters

The local line density shall be measured to determine the groove placement error and ensure that it is compliant with the accuracy on the VLS law specified above. This measurement shall be performed using either of the following techniques:

• Visible light diffraction

• Long trace profiling

• Fizeau interferometry

• Method suggested by the vendor and agreed upon by BNL.

To confirm the Contractor’s compliance with the specifications, the following measurements will be carried out by BSA: Long trace profiling to verify the VLS law. Visible light Fizeau interferometry in Littrow configuration to verify the local line density. The RMS deviation of the local line density from the best fit VLS law shall be <0.1 mm-1.

Figure 2: Diagram showing the location to perform micro-roughness measurements as well as slope/height traces if an LTP or similar metrology tool is used to measure the figure. The roughness measurements shall be performed at all the intersections of the traces.

The Contractor shall submit an Inspection Test Report of metrology results and the associated raw data with the grating at the time of delivery. The Inspection Test Report shall include machine-readable raw data sets for all metrology performed. Data sets shall be in plain ASCII text, or another format subject to BSA review and approval. The Contractor shall describe the file formats and supply necessary constants and parameters to permit independent data analysis of the raw data.