B.1 Enclosure A. Draft Contract.pdf

April 9, 2025 1 Rev. 10

BSA’s Contractual Representative

Overall Value Amount

Contract Type Contract Number

Jayce M. Blood TBD Firm-fixed price 465122

BROOKHAVEN NATIONAL LABORATORY

Brookhaven Science Associates

P.O. Box 5000

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

Name and Address of Contractor

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, DE- SC0012704, 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 the purchase of all materials, manufacturing, testing, and delivery of a Low Line Density Grating.

All work shall be conducted in strict accordance with the attached BSA Statement of Work No. NSLSII-23ID2-SOW-SPC-004, Version 1, dated May 13, 2025, Drawing No. PD- IOS-GRTG-0001, Revision A, dated April 2025, and Design and Fabrication of Components No. LT-ENG-RSI-SR-VA-002, Revision A, dated December 18, 2008.

A. Reports/Deliverables: The Contractor shall provide the following deliverable(s) to BSA’s Technical Representative (Tech Rep):

Item Description Due Date

1 Manufacturing/ Inspection/Test Plan

2 weeks after award of contract

2 Acceptance Test Procedure

2 weeks after award of contract

Factory Acceptance Test Report and Test Certificates

23 months after award of contract

4 Delivery of Low Line Density Grating

24 months after award of contract

5 End Item Documentation Package In accordance with the SOW

April 9, 2025 2 Rev. 10

II. PERIOD OF PERFORMANCE

This Contract shall be effective as of the date executed by both parties. It shall remain in effect through TBD.

III. FIRM FIXED PRICE AND PAYMENT

A. Firm Fixed Price: In full consideration of the Contractor's performance hereunder, BSA shall pay the Contractor the firm fixed price of TBD U.S. Dollars ($0.00). 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 properly certified invoices. Payment will be in accordance with the following milestone payment schedule:

Item Milestone Amount Cumulative

Amount

Receipt and Approval by BSA of the Manufacturing/ Inspection/Test Plan

Receipt and Approval by BSA of the Acceptance Test Procedure

Receipt and Approval by BSA of the Factory Acceptance Test Report and Test Certificates

Receipt and acceptance of the Low Line Density Grating

5 BSA Receipt and Approval of the End Item Documentation Package

Total:

Payment terms are Net (for large businesses 30, for small businesses 10).

Invoices shall be directed to BSA’s Accounts Payable Department via electronic or regular mail.

Electronic invoice submittal is preferred by BSA. The Contractor shall make every effort to have systems in place that allow for electronic invoice transmittal.

Invoices shall be submitted in PDF format, via email, to apinvoices@bnl.gov.

Hard copy invoices, if applicable, shall be directed to BSA's Accounts Payable Department, Contracts Division, Bldg. No. 400D.

The Contractor shall indicate the final invoice by clearly marking such invoice as mailto:apinvoices@bnl.gov

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“FINAL.” A copy of the final invoice must be submitted to BSA’s Contractual Representative.

C. Freight: Freight terms shall be (for North American shipments) FOB Destination

BSA National Laboratory, 98 Rochester Street, Upton, Long Island, New York.

Freight Prepaid, (for foreign shipments) “DAP” Delivered At Place, BSA National Laboratory, 98 Rochester Street, Upton, Long Island, New York.

D. Labelling, Packing, and Notification Requirements:

More detailed instructions are available at https://www.bnl.gov/shipping/ or by emailing WarehouseOperations@bnl.gov.

Labeling Requirements

All shipments must comply with the following labelling requirements. Failure to do so may result in delayed payments. Labels must be placed on the upper left portion of the container when possible and contain:

Brookhaven National Laboratory Brookhaven’s Contract Number 98 Rochester St.

Upton, NY 11973 Box Number / Number of Boxes

Packing List Requirements

Every shipping container must include a packing list. The packing list must be clearly identified and affixed to a side of the shipping container. At a minimum, the packing list should contain the following information:

• Ship from company name and address

• Supplier contact name

• Supplier telephone number

• Ship to address as instructed by Buyer/Contracts Specialist

• Brookhaven’s Contract number

• Part number, description, quantity, unit of measure, and corresponding BNL

Contract line number

Special Notification of Delivery

If a shipment is heavier than 3,000 lbs., longer than 8 feet in any direction, or has a high center of gravity, it will require rigging upon receipt and the shipper shall provide a minimum of 3 days’ advance notice of delivery to BNL’s Receiving Department via email to WarehouseOperations@bnl.gov. The shipper must obtain acknowledgement from BNL that delivery notification was received. Failure to contact BNL will result in delays during delivery and any resulting demurrage https://www.bnl.gov/shipping/ mailto:WarehouseOperations@bnl.gov

April 9, 2025 4 Rev. 10 will be at the shipper’s expense.

Marking of Outer Package

Each shipping container (transport package) with a gross weight equal to or greater than 400 lbs. (180 kilograms) must be marked with the center of gravity location and gross weight on at least one side or end panel. It must also meet the requirements of the latest revision of ASTM Standard D 3951, Standard Practice for Commercial Packaging. This applies to any item shipped (originally packaged or repackaged) to BNL or other locations cited in the Contract.

Protection of Material and Equipment

The Contractor shall employ procedures which ensure adequate protection of material and equipment during shipment and while in storage. Such protection shall include special environmental packaging as necessary. All items shipped (originally packaged or repackaged) to BNL or other locations cited in the PO or Contract shall comply with the requirements for preservation, packaging, and marking as stated in the latest revision of ASTM Standard D 3951-10, Standard Practice for Commercial Packaging.

Unacceptable Packing Material

Do not use vermiculite as a packaging material inside any shipments to BNL unless required by shipping regulation. “Vermiculite” as defined in this specification means the hydrous, silicate mineral classified as a phyllosilicate that has been expanded by heating. Vermiculite used as a packaging material in shipments must be determined to be free of asbestos (<1% chrysolite, amosite, crocidolite, tremolite, anthophyllite, and actinolite). All shipments containing vermiculite must be accompanied by documentation stating that the vermiculite used is certified asbestos-free. This documentation must be affixed to the outside of the package.

Ocean Shipments

Foreign shipments transported via ocean freight must use the 10+2 REQUIREMENTS Form (PDF). The form must be completed by the Contractor 72 hours before departure of the vessel. Send form to the following:

Interfreight Harmonized Logistics, Inc.

Fax: 516-371-6880 bnl@interfreight.net

Brookhaven National Laboratory WarehouseOperations@bnl.gov https://www.astm.org/Standards/D3951.htm https://www.astm.org/Standards/D3951.htm https://www.bnl.gov/shipping/files/pdf/10-2-security-filing-bnl-interfreight.pdf https://www.bnl.gov/shipping/files/pdf/10-2-security-filing-bnl-interfreight.pdf mailto:bnl@interfreight.net

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Once the form is submitted to customs, an acceptance number will be provided.

Freight will not be loaded onto a vessel without an acceptance number. Failure to submit the 10+2 form may result in fines. It is the Contractor's responsibility to make sure the 10+2 form is submitted 72 hours prior to the vessel sailing. BSA shall withhold payment from the Contractor's final invoice for any penalties incurred by BSA due to late or incorrect ISF filing by the Contractor.

IV. AUTHORIZED REPRESENTATIVES

A. BSA’s Technical Representative: TBD, telephone no. TBD, TBD (email), is BSA's Technical Representative, and shall act as liaison between BSA and the Contractor in technical matters only.

B. BSA’s Contractual Representative: Jayce Blood, telephone no. (631)344-2627, jblood@bnl.gov (email), is BSA's Contractual Representative. Any change or modification in the terms and conditions of this Contract shall require the written approval of BSA's Contractual Representative or designee.

C. Contractor’s Technical Representative: TBD, telephone no. TBD, TBD

(email), is the Contractor’s authorized Technical Representative, and shall act as point of contact between BSA and the Contractor in technical matters only.

D. Contractor’s Contractual Representative: TBD, telephone no. TBD, TBD

(email), is the Contractor’s authorized Contractual Representative and shall act as liaison between BSA and the Contractor.

V. PATENT CERTIFICATION RESERVED

VI. GOVERNMENT PROPERTY RESERVED

VII. 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.

Article 18 entitled “Warranty” is modified to reflect a two (2) year warranty. The contractor shall warranty the equipment against failure and defects for a period of two (2) years from delivery and final acceptance at BNL.

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 at PPM | Terms and Conditions. Should the Contractor have any 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:

mailto:jblood@bnl.gov https://www.bnl.gov/ppm/terms-and-conditions.php https://www.bnl.gov/ppm/terms-and-conditions.php

April 9, 2025 6 Rev. 10

Attachment A Statement of Work No. NSLSII-23ID2-SOW-SPC-004, Version 1, dated

May 13, 2025 Attachment B Drawing No. PD-IOS-GRTG-0001, Revision A, dated April 2025 Attachment C Design and Fabrication of Components No. LT-ENG-RSI-SR-VA-002, Revision A, dated December 18, 2008 Attachment D BNL Supplier Quality Assurance Requirements (BNL-QA-101)

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

ACCEPTED:

CONTRACTOR – TBD BROOKHAVEN SCIENCE

ASSOCIATES, LLC.

By: By:

Name: Name:

Title: Title:

Date: Date:

Should you accept this Contract without exception or alteration, a copy of the Contract shall be returned to BSA's Contractual Representative. Should you take any exceptions or attempt to alter the Contract in any manner, BSA’s execution thereof shall be null and void. Should you wish to take exception(s)/alteration(s), you shall notify BSA’s Contractual Representative. BSA will consider the requested exception(s)/alteration(s) and notify you accordingly. No Contract shall exist unless and until such differences are resolved.

Brookhaven National Laboratory Number: NSLSII-23ID2-SOW-SPC-004 Brookhaven Science Associates Version: 1 National Synchrotron Light Source II (NSLS-II) Effective: 13MAY2025

23-ID-2 INSPIRE Low Line Density Grating Statement of Work and Technical Specification

QA Category: A-2

Document Reviewed and Approved By:

Prepared by Approval Joseph Dvorak NSLS-II Optical Design Scientist

ESH Approval Robert Lee NSLS-II ESH Manager

Approved By Ira Waluyo NSLS-II IOS Lead Beamline Scientist

Approved By Christopher Eng NSLS-II Beamline Engineer

Approved By Paul Zschack PSROD Director, Spectroscopy Interim Program Manager

Approved By Steve Moss NSLS-II Authorization Basis Manager

Approved By Lindsay Garske NSLS-II Quality Assurance Engineer

Reviewers (Listed in SharePoint Properties as Additional Approvers – beyond initial 7 approvers)

Reviewed By Adrian Hunt IOS Beamline Scientist

Reviewed By Stephen Sherwood NSLS-II Liaison Engineer

Reviewed By Mourad Idir NSLS-II Optics and Metrology Group Leader

Reviewed By Lacy Jones NSLS-II Operations Engineer

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

ii National Synchrotron Light Source II

Version 1 ii Brookhaven National Laboratory

VERSION HISTORY LOG

VERSION DESCRIPTION DATE AUTHOR

1 First Issue 13MAY2025 J. Dvorak

NSLSII-23ID2-SOW-SPC-004: 23-ID-2 INSPIRE Low Line Density Grating Statement of Work and Technical Specification

Photon Sciences Division iii 13MAY2025

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 Definitions of Optical Parameters

8.2 Scope of Supply

8.3 Substrate Specifications

8.4 Grating Ruling Specifications

8.5 Testing Requirements

8.5.1 Roughness

8.5.2 Groove profile

8.5.3 VLS parameters

8.5.4 Inspection Test Report

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DEFINITIONS/ACRONYMS

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 GeV Giga Electron Volts INSPIRE Inelastic Scattering, Photoemission and Infrared Endstation IOS In situ and Operando Soft X-ray Spectroscopy ISO International Organization for Standardization MRB Material Review Board NSLS-II National Synchrotron Light Source II PDF Portable Document Format QA Quality Assurance RIXS Resonant Inelastic X-ray Scattering RMS Root Mean Square SOW Statement of Work SPC Technical Specification UHV Ultra-High Vacuum VGD Variable Groove Depth VLS Variable Line Spacing

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1 INTRODUCTION AND OVERVIEW

1.1 Background

NSLS-II is a synchrotron light source that has a highly optimized 3 GeV electron storage ring, full-energy injector, experimental beamlines and optics, and appropriate support equipment. The INSPIRE Low Line Density Grating for the IOS beamline described in this document will be hereafter referred to as “the Equipment”. The specifications are for a single soft X-ray Variable Groove Depth and Variable Line Spacing Laminar Grating, for a new energy loss spectrometer for the IOS beamline.

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 INSPIRE spectrometer at NSLS-II.

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

PD-IOS-GRTG-0001

Performance Specification, Optical Components for Fire Control Instruments INSPIRE RIXS Grating Substrate Drawing

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.

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

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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 of mutual agreement. 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 Manufacturing/Inspection/Test plan that includes a milestone schedule defining the design validation, manufacturing, and testing in sufficient detail to allow regularly scheduled progress monitoring. The manufacturing plan shall identify the manufacturing processes required to complete all efforts identified in this SOW/SPC. 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 would include 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 progress through the prior month with respect to the Manufacturing/Inspection/Test plan. This shall include milestone charts, detailed progress, open items, problems, recommended solutions, and risk mitigation.

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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 the End Item documentation package in accordance with the schedule set forth in this SOW/SPC. The End Item documentation package for the Equipment shall consist of the following:

• Completed travelers

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

• Material certification for the optic(s) 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.

• 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.

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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, 3.1.4, 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, 4.10.2, 4.10.3, 4.10.4, 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.

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 24

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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.

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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.

8.1 Definitions of Optical Parameters

8.1.1 Deviations from the theoretical or ideal profile of an optical surface is designated as roughness or figure error according to the length scale.

8.1.2 Figure errors: Figure error (also termed height 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 slope error is defined as the value of the gradient of the height error along a specified direction and over a specified region of the optical surface.

• The RMS slope error is defined as the RMS deviation from the slope of the ideal figure.

• The spatial length range is typically 1 mm to the full length or width of the optical clear aperture.

8.1.3 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 0.001 to 1 um-1, corresponding to spatial lengths from 1 to 1000 um.

8.2 Scope of Supply

The scope of supply shall include:

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

8.3 Substrate Specifications

8.3.1 The grating substrates with measurement results will be provided by BSA.

8.3.2 The grating substrates are being manufactured according to the specifications reported in the table below. BSA will provide two substrates.

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

Table 8-1: Technical Specifications for the Grating Substrates

8.4 Grating Ruling Specifications

8.4.1 In this section the grating parameters are specified. For the grating a laminar profile with varying groove depth in the sagittal direction is required.

8.4.2 The Variable Line Space (VLS) parameters are defined as follows:

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

8.4.3 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 is shown in the 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 laminar groove profile.

Technical Specifications for the Grating Substrates 1 Substrate material Single crystal silicon 2 Substrate dimensions As shown in PD-IOS-GRTG-0001 3 Dimensioning tolerances As shown in PD-IOS-GRTG-0001 4 Parallelism and perpendicularity As shown in PD-IOS-GRTG-0001 5 Finish on non-optical surfaces Lapped, 100 μm peak to valley 6 Substrate shape Planar; tangential radius greater than 30 km, sagittal radius greater than 3 km.

7 Optical clear aperture As shown in PD-IOS-GRTG-0001 8 Tangential slope error <0.2 µrad rms (frequency range 0.005 to 1 mm-1) 9 Sagittal slope error <0.5 µrad rms (frequency range 0.005 to 1 mm-1) 10 Micro-roughness 0.3 nm rms (frequency range 0.005 to 1 µm-1) 11 Identification number Each substrate will have a unique identifier engraved on the upstream end of the grating

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8.4.4 The ruled surface shall be centered to within ± 0.5 mm on the substrate. The ruling shall cover the optical area defined in the table below.

8.4.5 The groove orientation shall be ± 0.2 degrees of perpendicular to the long axis of the substrate.

8.4.6 The identifying mark shall be on the low line density (upstream) end of the grating.

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

8.4.8 The grating parameters are listed in the following table.

Grating Ruling Specifications a0 40.00 ± 0.1% mm-1 a1 0.01378 ± 5% mm-2 a2 3.56 x10-6 ± 25% mm-3 a3 8.2x10-10 mm-4 (between -1.5x10-8 to +2x10-8 mm-4)

Groove depth variation 4 – 25 nm linear variation along sagittal direction Ruling area As shown on PD-IOS-GRTG-0001

Land to period ratio 0.5 ± 15% Micro-roughness ≤1 nm rms (frequency range 0.04 to 1 µm-1) on final coated grating

Coating 30 nm ± 10% Au, with optional 5 nm Cr binding layer

Table 8-2: Grating Ruling Specifications

8.5 Testing Requirements

8.5.1 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 25 discrete points located at the intersections of the lines as shown in Figure 3. The roughness shall be measured on both the substrate and the final ruled grating. The specifications listed in Table 8-2, Grating Ruling Specifications table, apply to the final coated grating.

8.5.2 Groove profile

The groove profile shall be measured at the same 25 positions as for the roughness via AFM. Images are to be of sufficient resolution to access the local line density to < 0.5%.

8.5.3 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

NSLSII-23ID2-SOW-SPC-004: 23-ID-2 INSPIRE Low Line Density Grating Statement of Work and Technical Specification

Photon Sciences Division Page 9 of 9 13MAY2025

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

The RMS deviation of the local line density from the best fit VLS law shall be <0.01 mm-1.

Figure 2: Diagram showing the location to perform micro-roughness measurements. The roughness measurements shall be performed at all the intersections of the traces.

8.5.4 Inspection Test Report

• The Contractor shall submit an Inspection Test Report of metrology results and 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.

A B C D

SUBSTRATE, GRATING, INSPIRE RIXS

PD-IOS-GRTG-0001 A

SHEET SIZE DRAWING/PART NUMBER REVISION

SHEET OF1 1

DRAWN BY

CHECKED BY

VACUUM

APPROVAL

ENGINEER

APPROVAL

SUPERVISOR

APPROVAL

C. LONGO

C

WBS#

UNLESS OTHERWISE SPECIFIED

ALL DIMENSIONS ARE IN MILLIMETERS

DIMENSIONS IN BRACKETS [xx.xx] (WHERE PRESENT)

ARE INCHES AND ARE FOR REFERENCE ONLY

INTERPRET DRAWING AS PER ASME Y14.5-2009

DIMENSIONAL TOLERANCES

X. 1.500 .X 0.750

.XX 0.400

.XXX 0.120

ANGULAR TOLERANCE

.5

FINISH

THIRD ANGLE

PROJECTION

BREAK EDGES & SHARP CORNERS 0.120 MIN. TO 0.750 MAX

2/14/2025

BROOKHAVEN NATIONAL LABORATORY

BROOKHAVEN SCIENCE ASSOCIATES

UPTON, NEW YORK 11973

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Exploring Life's Mysteries, Protecting its Future

SCALE:

MATERIAL

Silicon Crystal

MASS

4.5 lbmass

3.2

ESH&Q

RISK LEVEL

ES&H APPROVAL

NEXT ASSY:

QA APPROVAL

PHOTON DIVISION

IOS BEAMLINE, GRATINGS

R. GAMBELLA 4/2025

N/A N/A

C. ENG 4/2025

J. DVORAK 4/2025

R. LEE 4/2025

L. GARSKE 2/2025

04.03.02.01.03.15 A2PD-IOS-MIR-0115 1 : 1

REVISION HISTORY

REV DESCRIPTION DATE DESIGNER CHECKED BY ENGINEER

A RELEASE PER ECO-007201 4/2025 C. LONGO R. GAMBELLA C. ENG

OPTICAL AREA

SERIAL NO. MARKING

SEE NOTE 4

220.00

60.000.10

50.00 - 0.10 0+

.05 A .05

.05 D

D

A

6.000.202X 6.000.202X

6.000.202X

.05 A

40.000.10

200.000.10

INTERFACE CONTROL DRAWING

NOTES:

1. REFER TO SPECIFICATIONS NSLSII-23ID2-SOW-SPC-004 AND NSLSII-23ID2-SOW-SPC-005

FOR TECHNICAL AND PERFORMANCE REQUIREMENTS.

2. ITEM IDENTIFICATION: BAG AND TAG WITH PART NO. AND APPLICABLE REV. LETTER.

3. CHAMFER ALL EDGES .5 X 45°.

4. SERIAL NUMBER MARKING & BEAM DIRECTION: ENGRAVE USING 4.0 HIGH CHARACTERS

IN APPROXIMATE LOCATION SHOWN.

B

C

.40 A C

.40 A B

BEAM DIRECTION INDICATOR

SEE NOTE 4

2 SURFACES

2 SURFACES

NATIONAL SYNCHROTRON LIGHT SOURCE II

BROOKHAVEN SCIENCE ASSOCIATES

UPTON, LONG ISLAND, N.Y. 11973

QF-043, REV C

PROJECT:

Design and Fabrication of Components for NSLS-II UHV Systems

LT-ENG-RSI-SR-VA-002 12/18/2008 A

DOCUMENT NUMBER DATE REV

RREEVVIISSIIOONN CCOONNTTRROOLL SSHHEEEETT

REV DESCRIPTION OF CHANGE(S) DATE WRITTEN BY APPROVED BY ENTERED BY

A First issue 12/15/08 H.-C. Hseuh H.-C. Hseuh , N.

Gmür, E. Cheswick, F. Willeke

H.-C. Hseuh

B

C

D

E

F

Design and Fabrication of Components for NSLS-II UHV Systems

CONTENTS

1 Introduction 2 Scope of Document 3 Applicable Documents

3.1 Current Revisions

3.2 Order of Precedence

4 Technical Requirements

4.1 Technical Requirements

4.2 Design Options and Design Reviews

4.3 Material Selection

4.3.1 UHV-Compatible Materials

4.3.2 UHV-Incompatible Materials

4.3.3 Flanges and Bi-Metal Material

4.4 Fabrication

4.4.1 Machining

4.4.2 Welding

4.4.3 Brazing

4.5 Cleaning

4.6 Assembly

4.7 Acceptance Tests

4.7.1 Dimensional Inspection

4.7.2 Leak Test

4.7.3 Outgassing Rate and Residual Gas Analysis

4.7.4 Bakeout

5 Quality Assurance Requirements and Provisions 6 Preparation for Delivery

Design and Fabrication of Components for NSLS-II UHV Systems

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Design and Fabrication of Components for NSLS-II UHV Systems

1 INTRODUCTION

The National Synchrotron Light Source-II Project (“NSLS-II,” hereafter) is to design and construct an electron storage ring with a circumference of 792 m. To provide a long beam lifetime for the circulating electron beam, ultrahigh vacuum (UHV) of 10-10 mbar, and absence of hydrocarbon contamination are necessary in storage ring and front end vacuum systems. Therefore the vacuum chambers and components inside or mounted on the vacuum chambers must meet very stringent UHV requirements, starting from the design stage throughout fabrication, installation, and commissioning.

2 SCOPE OF DOCUMENT

The requirements in this document, in conjunction with the associated Statement of Work (SOW), drawings, specification, and other applicable documents, provides the general requirements in the design, material selections, fabrication and workmanship, cleaning, assembly, inspection, quality assurance, and packaging of chambers, parts, and components (“Components,” hereafter) for NSLS-II UHV systems. It is the responsibility of the manufacturers (“Vendor” hereafter) to demonstrate that the Components meet the requirements of this document prior to their acceptance for installation into NSLS-II UHV systems.

3 APPLICABLE DOCUMENTS

The following document forms a part of this requirement to the extent specified herein. Unless otherwise specified, the issue date or revision level shall be that in effect on the date of the Request for Quote (RFQ).

Exceptions must be approved in writing by BNL.

BNL QA-101, Seller Quality Assurance Requirements (4/08).

3.1 Current Revisions

It is the responsibility of the Vendor to determine that the requirements, the technical specification(s) and applicable drawing(s) used in the preparation of quotations by the Vendor and the subsequent execution of the Purchase Order, are the most current revisions. This is emphasized here, in the interest of the Vender.

3.2 Order of Precedence

In the event of conflicting requirements, requirements specifically stated within the applicable SOW and/or other associated technical specification(s) shall take precedence over requirements stated herein. These conflicting requirements shall be emphasized in the applicable documents.

Design and Fabrication of Components for NSLS-II UHV Systems

4 TECHNICAL REQUIREMENTS

4.1 Technical Requirements

These technical requirements shall be followed for the design, fabrication, and evaluation of all Components to be installed in NSLS-II UHV systems. Any deviation from the requirements is to be brought to the attention of NSLS-II cognizant engineers/scientists for review and approval in writing.

4.2 Design Options and Design Reviews

The basic design rule for UHV Components is to minimize the gas load, with the benefit of low operating pressure. The gas load arises from outgassing both thermal and desorbed, and diffusion and leaks, which can vary by several orders of magnitude. Gas load is minimized by the selection of proper materials, careful surface treatment, and by minimizing the surface area exposed to vacuum.

An important design criterion is the elimination of trapped volumes, which connect to the main vacuum through very small orifices, capillaries, etc. To this end, the vacuum sealing welds, whenever possible, shall be internal welds. Where this is not possible, full penetration external welds must be specified. Similarly, vacuum brazing should leave a smooth run of braze material on the vacuum side of the brazed joints.

There should never be an attempt to seal a trapped volume under any circumstances, whether it is a sealing weld or a threaded bolt. All volumes should be vented, either to atmosphere or to vacuum. For the same reason a vacuum sealing weld should always be a single weld, never a double weld. All threaded fasteners located in blind holes inside vacuum are to be vented through coaxial vent hole.

It is sometimes a requirement that vacuum surfaces be coated. Extreme care should be taken so that there is no possibility of delaminating or peeling of the coatings. The surface to be coated should be clean and free from defects which could give rise to trapped volumes under the coatings. A high-temperature vacuum bake of > 200oC is recommended to test the adhesion, and the Components shall be rejected with any evidence of peeling. If acid bath is used for coating, vacuum bake at > 400oC shall be applied to remove any acid residues from electroplating.

Cleanliness is important at all times. Frequent cleaning of items before, during, and after manufacturing processes is required. Care should be taken not to cross-contaminate “clean” and “dirty” components.

Proper support of the Components during fabrication and evaluation shall be considered at the design stage to eliminate the possibility of distortion and damaging of the Components. All Components must be designed to safely withstand the loading exerted by atmospheric pressure while under vacuum. Modular Components utilizing bellows or geometries which result in differential loading while under vacuum must include proper restraints that prevent lateral and axial movements due to the differential pressure loading.

The design of the Components shall be submitted for review and approval by NSLS-II, including detailed drawings, bill of materials, applicable fabrication processes, etc. This review shall take place prior to the Vendor’s procurement of material and start of fabrication.

4.3 Material Selection

Only UHV-compatible metal and ceramic materials shall be selected for fabrication of the Components for the NSLS-II UHV systems. Some UHV materials may be excluded based on the specific application, e.g., magnetic permeability, temperature limitation, or radiation resistance.

Design and Fabrication of Components for NSLS-II UHV Systems

The Vendor is to supply material certification traceable to its original sources for each batch of material used, including material specification, chemical analysis report, mechanical properties, etc.

4.3.1 UHV-Compatible Materials

The following materials are UHV-compatible, after proper cleaning and degassing:

Stainless steel – Austenitic, 300-series vacuum arc remelt (VAR) or hot-forged electron slag remelt (ESR). Preferred types are ASTM 304L, 304LN, 316L, 316LN, 321, and 347, where “L” signifies low carbon content (which reduces chromium carbide precipitation in the heat-affected weld areas), and “N” is for high nitrogen content. Carbide precipitation can lead to corrosion, reduced strength, and high magnetic permeability.

Aluminum alloys 2219, 5086, A6061-T6, and A6063-T6 for their high strength, easy weldability, and non-magnetic properties

Copper – Oxygen-free high conductivity, OFHC or OFS grades, Beryllium Copper, GlidCop

Titanium – Commercially pure, aircraft quality, type 50A

Ceramics, Refectories – Alumina (> 96% Al2O3) and similar oxide ceramics (however, beryllia is not allowed without written approval by NSLS-II)

Others – glass, sapphire, Inconel, beryllium windows, Monel, Kovar, Mu Metal, Macor, Kapton

4.3.2 UHV-Incompatible Materials

The following materials are not UHV compatible:

Zinc and zinc alloys with high vapor pressure at elevated temperature, found in bearings, silver solders, brass and bronze components

Cadmium and cadmium alloys with high vapor pressure, found in bearings, solders, and steel rust proofing.

Elastomers – O-ring seals for flanges and valves

Organics with high outgassing rates tend to trap hydrocarbon contaminants; and are less radiation resistant. Use of Teflon® is specifically prohibited.

4.3.3 Flanges and Bi-Metal Material

Conflat® flanges with knife-edge sealing surface shall be fabricated from 304L, 316L, or 316LN VAR or ESR stainless steel. Knife edge with 90° angle is preferred over 70° angle.

The leak-check grooves of the Conflat flanges shall be at vertical center when the flange face is vertical;

when not, the grooves shall be parallel to the electron beam direction.

The following bi-metal transition materials have been used successfully in UHV application. However, detailed inspection including, but not limited to, thermal cycling and leak tests, must be made before and after fabrication. Since these materials can vary from lot to lot, all pieces must be 100% inspected and tested.

Design and Fabrication of Components for NSLS-II UHV Systems

Roll-bonded plates and shells between aluminum and stainless steel

Explosion-bonded plates between copper and stainless steel

Explosion-bonded plates between aluminum and stainless steel (e.g., ATLAS® flanges)

4.4 Fabrication

4.4.1 Machining

Only water soluble machining lubricants are allowed. The use of silicone- or sulfur-based machining lubricants is prohibited. All machining is to be carefully controlled to ensure that no foreign matter is embedded in the surface of the material. The use of abrasive wheels or cloths, wire brushes, files, sand, polishing pastes, and the like is prohibited.

Scale removal, etc., shall be performed by careful hand brushing with a clean 300-series stainless steel brush. All Components shall be deburred prior to welding to ensure proper fit at assembly, and to prevent a handling hazard from sharp edges and burrs.

4.4.2 Welding

All parts shall be cleaned prior to welding and brazing. All welding shall be performed in a clean area.

Clean, lint-free gloves shall always be worn. All jigs, fixtures, and heat sinks shall be clean.

Tungsten Inert Gas (TIG) and Electron Beam (EB) welds are recommended for UHV applications. Only clean 300-series stainless steel hand brushes are to be used for removing oxides from welds. Power driven brushes, abrasive papers and abrasive wheels shall not be used.

No welds, brazes, or joints of any kind shall bridge water-cooled channels and vacuum spaces. If possible, the welds are to be on the vacuum side of the joints with single pass seal welding. If not, the welds shall have 100% penetration to eliminate virtual leaks. The inside surface shall be purged with argon or helium throughout the welding operation.

Where high strength requires welding on both sides of thick sections, the side facing the vacuum is to be continuous and the opposite side intermittent. At no time should there be continuous welds on both sides of the joint.

The weld zones shall be free from scale, voids, blow holes, etc. There shall be no visible evidence of inclusions. The welds shall be inspected with X-ray or other non-invasive methods. The use of dye penetrate testing after welding is strictly prohibited. No repair of defective welds is allowed without prior approval from NSLS-II. There shall be no machining or cleaning operations after welding without prior approval in writing from NSLS-II.

4.4.3 Brazing

Hydrogen or vacuum furnace brazing are acceptable for copper to stainless steel joints, for copper alloy cooling tubes to copper alloy absorbers, and for ceramic to metal joints. All brazing joints shall have adequate filler metal to provide a flush, smooth fillet free from voids, blow holes, etc., and there shall be no visible evidence of inclusion.

No silver soldered or soft soldered joints are permitted.

Design and Fabrication of Components for NSLS-II UHV Systems

The proposed brazed joint design and brazing plan shall be submitted to NSLS-II for approval, including the materials, the brazing alloys, etc. No rectification of defective brazed joints is to be carried out without prior approval in writing from NSLS-II. There shall be no machining or cleaning operations after brazing, except alcohol rinse in ultrasonic bath, followed by oven drying.

4.5 Cleaning

It is recommended that all parts be chemically cleaned and/or vacuum baked prior to welding, assembly, and testing. The cleaning process shall remove residual surface contaminants such as dirt, grease, oils, etc.

without etching the vacuum side of the surface. Therefore, the cleaning process shall not include strong acid or alkaline etching. Mechanical operations to remove surface stains shall be kept to an absolute minimum. Any metal brushing, sand blasting, or other harsh abrasives on the vacuum side are prohibited.

The exact cleaning process depends on materials, sizes of the Components, and available Vender facilities.

Components shall be carefully inspected so that any areas which might form potential contamination…