Enclosure 1 - Draft Contract 457675 w Exhibits 2-13.pdf

Rev. 9.4, February 2018 1

Buyer Amount Contract Number L. Gonzales TBD 457675

BROOKHAVEN NATIONAL LABORATORY

Brookhaven Science Associates P.O. Box 5000

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

Name and Address of Contractor (TBD)

CONTRACT

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

I. SCOPE OF WORK

The Contractor shall furnish all labor, services, materials, and equipment to provide a high-resolution X-ray Microscope (XRM) for Center for Functional Nanomaterials (CFN) at Brookhaven National Laboratory. The XRM instrument shall be designed to study solid samples in transmission geometry under conditions of ambient or vacuum pressure.

All work shall be conducted in strict accordance with the following exhibits attached hereto:

• Exhibit A - Statement of Work (SOW) entitled, “X-Ray Microscope Instrument (XRM)” dated, January 27, 2025

• Exhibit A-1 – Center for Functional Nanomaterials Job Hazard Analysis (JHA) Template

• Exhibit B - Technical Specifications entitled, “X-Ray Microscope Instrument

• Exhibit C – BNL-QA-101

A. Reports/Deliverables: The Contractor shall provide the following deliverables to and as directed by BSA’s Technical Representative:

Rev. 9.4, February 2018 2

Item Deliverable Due BSA Approval

1 Program Plan 6 weeks after award of contract Yes

2 Technical and Progress Teleconference 6 weeks after award of contract & monthly No

3 Performance reports 5th of each month after receipt of Program Plan and within 2 weeks of key project milestones

No

4 Manufacturing/Inspection/Test Plan 10 weeks after award of contract Yes 5 Preliminary Technical Design 12 weeks after award of contract Yes 6 Final Technical Design 16 weeks after award of contract Yes

7 Equipment Footprint and Laboratory Requirements 18 weeks after award of contract Yes

8 Installation Work Plan/JHA 20 weeks after award of contract Yes 9 Factory Acceptance Testing 64 weeks after award of contract Yes 10 Delivery of the Instrument 70 weeks after award of contract Yes

11 Site Acceptance and Commissioning Report 10 weeks after delivery of instrument Yes

II. PERIOD OF PERFORMANCE:

This Contract shall be effective upon execution by both BSA and the Contractor and shall remain in effect through 80 weeks after award of contract.

III. FIRM FIXED PRICE AND PAYMENT

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

B. Payment: Payment will be made:

1. Upon receipt and approval of milestone deliverables as listed in the table below; and

2. Upon receipt and approval of properly certified invoices.

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

Item Description Due Amount

(TBD)

1 Program Plan 6 weeks after *AOC 2 Manufacturing Plan 10 weeks after AOC 3 Installation Work Plan 20 weeks after AOC 4 Factory Acceptance Testing 64 weeks after AOC 5 Delivery of the XRM 70 weeks after AOC 6 Site Acceptance Test Report and Commissioning Report 10 weeks after delivery

*Award of Contract (AOC)

Rev. 9.4, February 2018 3

Payment terms are Net (TBD).

Invoices shall be directed to BSA’s Accounts Payable Section 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 e-mail, to apinvoices@bnl.gov.

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

The Contractor shall indicate the final invoice by clearly marking such invoice as "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 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. Shipping and Labeling: Unless otherwise specified, standard Shipping Instructions apply. Standard Shipping Instructions are provided at https://www.bnl.gov/shipping/.

Two (2) weeks prior to delivery of all items the contractor shall contact BSA as to the type of freight carrier that will be used.

Delivery Hours:

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

Special Notification of Delivery:

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

Package Labeling Requirements:

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

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

Rev. 9.4, February 2018 4

Ocean Shipments:

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

IV. AUTHORIZED REPRESENTATIVES

A. BSA’s Technical Representative: ______ of the Center for Functional Nanomaterials, is BSA’s Technical Representative, hereunder. (___) shall act as liaison between BSA and the Contractor in technical matters only. (___) can be reached at (631) 344-_____ (phone), _____@bnl.gov (e-mail).

B. BSA’s Contractual Representative: Lisa C. Gonzales, telephone no. 631-344-

5965, lgonzales@bnl.gov (e-mail), is BSA's Contractual Representative. Any questions of a contractual nature, including changes, shall be addressed to the BSA Contractual Representative. Any change or modification in the terms and conditions of this contract shall require the written approval of BSA's Procurement and Property Management Division’s Manager, or their designee.

C. Contractor’s Technical Representative: ________ is the Contractor’s authorized Technical Representative, hereunder. (____) shall act as point of contact between BSA and the Contractor in technical matters only and can be reached at ( ) _______ (phone), _________ (e-mail).

D. Contractor’s Contractual Representative: _______ is the Contractor’s authorized Contractual Representative, hereunder. ( ) shall act as liaison between BSA and the Contractor and can be reached at ( ) _________ (phone), ______ (e-mail).

V. ADDITIONAL TERMS

The provisions of Brookhaven Science Associates, LLC General Terms and Conditions for Commercial Items and Services, (Rev 22.0 Sep., 2022) and Brookhaven Science Associates, LLC Supplemental Terms and Conditions for Work by Contractors on Site at Brookhaven National Laboratory, (Rev. 22.0; dated Sep., 2022) are incorporated herein and made a part hereof. (Please note: if a Non-commercial product is offered it must be specified and, the terms & conditions will be changed to accommodate.)

This Contract is issued pursuant to Brookhaven Science Associates General and/or Supplemental terms and conditions listed above which are incorporated herein by reference. The complete text of these terms and conditions can be viewed via the internet at: https://www.bnl.gov/ppm/terms-and-conditions.php. Should the Contractor have any questions and/or not have access to these terms and conditions, contact the buyer or contracts specialist immediately.

https://www.bnl.gov/shipping/ mailto:bnl@interfreight.net mailto:warehouseoperations@BNL.gov mailto:_____@bnl.gov https://www.bnl.gov/ppm/terms-and-conditions.php

Rev. 9.4, February 2018 5

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

• Exhibit A - Statement of Work (SOW) entitled, “X-Ray Microscope Instrument

• Exhibit A-1 – Center for Functional Nanomaterials Job Hazard Analysis (JHA) Template

• Exhibit B - Technical Specifications entitled, “X-Ray Microscope Instrument

• Exhibit C – BNL-QA-101

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

ACCEPTED:

CONTRACTOR BROOKHAVEN SCIENCE ASSOCIATES,

LLC.

By: By:

Signature: Signature:

Title: Title:

Date: Date:

The Contractor shall sign and return one (1) copy of this Contract to the attention of TBD, Sr.

Contracts Specialist, Procurement and Property Management Division, at lgonzales@bnl.gov.

mailto:lgonzales@bnl.gov

STATEMENT OF WORK (SOW)

for

X-RAY MICROSCOPE INSTRUMENT (XRM)

Prepared by:

Date

Aaron Michelson

Center for Functional Nanomaterials

Approvers:

Charles Black, Project Director, NSRC Recap Director, Center for Functional Nanomaterials

NSRC Recap Manager

Aaron Stein

Quality Assurance

Gizandra Mussi Quality Management Office

ESH Coordinator

Wai-Lin Ng Center for Functional Nanomaterials

Technical Representative Ashley Head Center for Functional Nanomaterials

QA Category: A-2

02/02/2025

02/03/2025

2/6/2025

2/7/2025

2/7/2025

EXHIBIT A

VERSION CONTROL SHEET

VERSION DESCRIPTION DATE AUTHOR APPROVED BY

1 First Issue 11OCT24 Aaron Michelson See cover page.

2 Added BNL-QA-101 wording 30OCT24 Aaron Michelson See cover page.

Removed sample preparation system from the document and tied final milestone and deliverable dates to be tied to delivery

27JAN25 Aaron Michelson See cover page.

iii

Contents

1. SCOPE

1.1 BACKGROUND

1.2 DEFINITIONS/ACRONYMS

2 APPLICABLE DOCUMENTS

3 REQUIREMENTS

3.1 CONTRACTOR RESPONSIBILITIES

3.1.1 Technical Performance

3.1.2 Tooling/Fixtures/Test Equipment

3.1.3 Factory Acceptance Testing

3.1.4 Installation

3.1.5 Acceptance Testing at BNL

3.1.6 Commissioning

3.1.7 Training

3.2 DESIGN AND DESIGN REVIEW REQUIREMENTS

3.3 MANUFACTURING REQUIREMENTS

3.3.1 Acceptance Test Procedure

3.3.2 Commissioning Reports

3.4 MANAGEMENT

3.4.1 Program Plan

3.4.2 Progress Teleconference

3.4.3 Manufacturing/Inspection/Test Plan

3.4.4 Performance Reporting

3.5 DOCUMENTATION AND DATA MANAGEMENT

3.6 CONFIGURATION MANAGEMENT

3.7 SOFTWARE REQUIREMENTS

3.8 ENVIRONMENT, SAFETY AND HEALTH (ESH)

3.8.1 Contractor Work on Site at BNL

3.8.2 Electrical Safety

3.8.3 Pressure Safety

3.8.4 Fire Safety

3.8.5 Laser Safety

3.8.6 Attachment Points and Lifting Fixture

3.8.7 Radio Frequency Safety

3.9 PACKAGING

3.10 WARRANTY

4 QUALITY ASSURANCE

4.1 QUALITY ASSURANCE REQUIREMENTS

4.2 MATERIAL REVIEW BOARD (MRB) AUTHORITY

4.3 QA FLOW-DOWN

5 DELIVERABLES

6 SCHEDULE/ MILESTONES

7 VALUE ENGINEERING

Statement of Work for the X-ray Microscope Instrument

1. SCOPE

This Statement of Work (SOW) will be the basis for the procurement of a high-resolution X-ray Microscope (XRM), for the Center for Functional Nanomaterials (CFN) at Brookhaven National Laboratory. The XRM instrument shall be designed to study solid samples in transmission geometry under conditions of ambient or vacuum pressure. The photon energies should be sufficient to penetrate through multiple microns of material at an achievable resolution of

50-75nm.

This new procurement will enable the real-space spatial evaluation of various materials using photon energies above

4keV. The XRM instrument will enable evaluation of nanostructures, defects and grain-boundaries of nanoscale material with features from 50-200nm with an emphasis on enabling 3D characterization. The XRM instrument will allow for the integration of in-situ holders such as heating, biasing, and nanoindentation.

This document outlines the Contractor’s responsibilities and obligations necessary for completing the requirements as set forth herein.

1.1 Background

The CFN is a user-oriented research center whose mission is to be an open facility for the nanoscience research community and advance the science of nanomaterials that address the nations’ energy challenge.

Research at CFN focuses on the development of application of advanced techniques to understand structure-processing-property relationships in functional nanomaterials. New and unique capabilities would enrich for both internal research and our User program.

1.2 Definitions/Acronyms

XRM X-ray Microscope

ASME American Society of Mechanical

Engineers

ATP Acceptance Test Procedure

BNL Brookhaven National Laboratory

BSA Brookhaven Science Associates

CFN Center for Functional Nanomaterials

ESH Environment, Safety, and Health

MRB Material Review Board

MRP Material Requirements Planning

NFPA National Fire Protection Association

NRTL Nationally Recognized Test Laboratory

QA Quality Assurance

SOW Statement of Work

2 APPLICABLE DOCUMENTS

In the event of a conflict between the Technical Specification and the 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.

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

Document Number Document Title

10CFR 851 DOE Worker Safety and Health Program

10CFR 835 DOE Occupational Radiation Protection

DOE G 441.1-1C Radiation Protection Programs Guide

BNL QA-101 Supplier Quality Assurance Requirements

ASME B30.26 Rigging Hardware

ANSI N43.2 Radiation Safety for X-Ray Diffraction and Fluorescence Analysis Equipment

ANSI N43.3

Radiation Safety for Installations Using Non-Medical X-Ray and Sealed Gamma-Ray Sources, Energies up to 10 MeV

ANSI Z136.1 Safe Use of Lasers

ASME BPV Boiler and Pressure Vessel Code

ASME B31.3 Process Piping -2015 Edition

NFPA 70

National Electrical Code – 2020 Edition http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=70

NFPA 70E

Standard for Electrical Safety in the Workplace – 2021 Edition or the most current version in place

ASMEY14.5M-2008 Dimensioning and Tolerancing

JHA BNL Job Hazard Analysis Template (Attached)

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 the engineering, purchase of all materials, manufacturing, assembly, inspecting, testing, delivering, installing, commissioning and training on the Instrument.

Safety and code compliance must be paramount at every stage of a project, from the initial concept to the final installation and use. Electrical design and installation must follow the National Electrical Code NFPA 70 and

Standard for Electrical Safety in the Workplace NFPA 70E.

3.1 Contractor Responsibilities

3.1.1 Technical Performance

In accordance with SOW, Technical Specification document, and all referenced documents, the

Contractor shall engineer, manufacture and assemble the Instrument. The Contractor shall first test the Instrument at the Contractor’s facility, then deliver, test and commission the Instrument at BNL.

It is the Contractor’s responsibility to ensure that the Instrument complies with all the specification requirements and the safety codes and standards referenced herein.

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 complete the engineering, manufacturing, assembly, inspecting, testing, delivering, and installing the Instrument. Gases, cryogens, and water for testing will be supplied by BNL if they are required for operation.

3.1.3 Factory Acceptance Testing

The Instrument shall be tested at the Contractor’s facility to demonstrate full compliance with the

SOW/Technical Specification. The Instrument shall be fully assembled and be representative of the final as-delivered configuration for Factory Acceptance Test (FAT). The tests listed in the SOW/

Technical Specification shall be conducted on the Instrument at the Contractor’s facility according to the approved Acceptance Test Procedure (ATP), prior to delivery to BNL. A BSA representative may wish to be present for the FAT.

All test data shall be documented in the Factory Acceptance Test report and sent to BSA prior to the

Instrument delivery. Acceptance of the test data is contingent upon data review and written approval by BSA technical representative prior to shipment of the Instrument.

3.1.4 Installation

3.1.4.1. The Contractor shall provide a footprint of the XRM Instrument and the utilities requirements.

3.1.4.2. The Contractor shall be responsible for all Instrument installation. BSA will not supply personnel for installation tasks other than identified herein. Unloading of containers and trucks, and staging of the Instrument at the installation site, shall be performed by BSA riggers. The Contractor shall not be permitted to drive BSA-owned forklifts for any reason. The Contractor shall submit an installation work plan that includes all onsite installation activities in a step-by-step format at least two months before the scheduled start of installation activities. This plan is a necessary prerequisite for obtaining a work permit and must be approved by BSA prior to the start of installation activities. The person

(or persons) responsible for all onsite installation activities shall participate in the work planning process for the purpose of obtaining a work permit. This shall be completed during the Technical Review as well as after the Technical Review in video conferencing and/or teleconferences.

3.1.4.3. All training and safety requirements identified during the work planning process (or by

BSA ES&H/Training staff members) shall be successfully completed by Contractor personnel who are participating in onsite installation work prior to issuance of a work permit and prior to installation.

3.1.4.4. BSA shall be responsible for offloading and rigging of heavy equipment. Contractors may operate their own rigging/cranes that are installed as part of their equipment, original equipment manufacturer (OEM) components. These must first be inspected by BSA.

3.1.4.5. Electrical tools/equipment needed for installation shall be inspected by BSA prior to use at BNL, to ensure compliance with electrical safety standards referenced herein.

3.1.4.6. The Installation Work Plan shall include at a minimum:

a. Work instructions/ installation plan: job steps or detailed step-by-step instructions

b. Prerequisites: preparatory actions to be performed before work can be started and any administrative and physical requirements (for example, review/ inspection/ approval of equipment, training, etc.)

c. Precautions: precautions that must be observed during performance of work

d. Identification for hold points and other monitoring

e. Operational limits imposed

f. Coordination of tasks

g. Special conditions for working alone

h. Scheduling, coordination, and notification

i. Changes impacting configuration management

j. ES&H work controls for mitigating identified hazards based on the following hierarchy, as practical:

i) Elimination/substitution of hazards

ii) Engineering controls

iii) Administrative controls and work practices

iv) Personal protective equipment

3.1.4.7. Note that disposal of waste packing material shall be the responsibility of BSA.

3.1.4.8. The Contractor shall supply all bolt-on wheels, transportation carts and custom tooling required for the installation of the Instrument which will remain the property of the

Contractor at Contract Completion.

3.1.4.9. During assembly of all components, proper alignment and tightening shall be assured by the use of appropriate tools (e.g., torque wrenches) and by following the procedures recommended by the manufacturer, including the use of alignment tools and bolt-tightening sequences, etc.

3.1.4.10. Installation includes hardware and software setups for computer-based control of the

Instrument.

3.1.5 Acceptance Testing at BNL

The Instrument shall be tested at BNL by the Contractor to demonstrate full compliance with this

SOW and the Technical Specification documents. The tests listed in the SOW and the Technical

Specification documents shall be conducted on the Instrument at BNL according to the ATP, prior to final acceptance.

3.1.6 Commissioning

The Contractor shall be responsible for the commissioning of the Instrument. Commissioning shall be defined as all test and demonstration work performed on site at BNL.

Commissioning of the Instrument on site in its final configuration shall be performed with samples supplied by the Contractor. The Instrument shall be able to demonstrate the performance specifications as outlined in the separate Technical Specification document.

3.1.7 Training

During the commissioning phase of the contract, the Contractor shall provide hands-on training at

BNL for at least three (3) BSA scientific and/or technical staffs for the safe operation and maintenance of the Instrument. This training shall be conducted at BNL for a period of at least three

(3) working days.

3.2 Design and Design Review Requirements

3.2.1 Preliminary Design Report

A preliminary design to meet all the technical requirements shall be presented to BNL staff. A three-dimensional depiction in .easm file, CAD file, or similar format, shall be provided to BNL. A videoconference meeting shall be held to discuss the design and facilitate questions. Changes to be incorporated shall be agreed upon by both BNL and the Contractor.

3.2.2 Final Design Report

A final design that incorporates and documents changes from the preliminary design shall be submitted to BNL. The final design shall be a three-dimensional depiction in .easm file, CAD file, or similar format. The instrument design in an .easm file or similar format shall be submitted. A videoconference may be convened if deemed necessary.

3.2.3 Approval to Proceed

BSA must approve in writing the final design, including any modifications introduced at the Final

Design Review Meeting before the Contractor proceeds with ordering material and components.

3.3 Manufacturing Requirements

3.3.1 Acceptance Test Procedure

The contractor shall provide an ATP that is in accordance with this SOW/Technical Specification and all reference documents noted herein. The ATP must be approved by BSA prior to use. The

ATP shall ensure that all test requirements as defined in the safety codes referenced herein are achieved.

3.3.2 Commissioning Reports

A Commissioning report shall be provided by the Contractor. The report shall include, but not limited to, the results of all tests performed including graphs, printouts, drawing updates, calibration data, and control system tuning parameters. The Contractor shall be responsible for remedying any noncompliance regarding the requirements in this SOW/Technical Specification, subject to BSA approval. A summary sheet including demonstrated remedy of any non-compliances shall be included. Final acceptance is contingent on BSA data review and written approval by BSA.

3.4 Management

3.4.1 Program Plan

Within the timeframe listed in Section 5, the Contractor must deliver a detailed program plan which includes a milestone schedule defining the design validation, manufacturing, inspection, testing, installation and commissioning phases in sufficient detail to allow regularly scheduled progress monitoring.

3.4.2 Progress Teleconference

Beginning within the timeframe listed in Section 5, monthly program 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, presentations of analysis or testing results, design reviews, value engineering, trouble shooting, material status, tooling status, resources, and manufacturing issues.

3.4.3 Manufacturing/Inspection/Test Plan

A manufacturing plan shall be developed which identifies the manufacturing processes of work required to complete all efforts as identified in this SOW. It shall be submitted for review and approval by BSA within the timeframe indicated in the 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.

3.4.4 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 clearly detailing 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.

3.5 Documentation and Data Management

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

3.5.2 Unless determined to be a trade secret, all engineering drawings shall:

a. Be formatted in accordance with ASME Y14.5M-2008

b. Have views shown in third angle projection

c. Preferably use metric dimensions and tolerances

d. Have a separate parts list

e. Have part number designations in accordance with LT-ENG-RSI-STD-002

3.5.3 The Contractor shall provide an electronic copy (email, plus either CD ROM or USB data storage device) of all required documentation as noted in this SOW. Manufacturing drawing CAD files of all components and assemblies shall be in any of these formats: STP, SAT, IGS, IAM, or IPT.

Notwithstanding any other provision of this agreement, all Intellectual Property and rights owned by the Vendor prior to the execution of this agreement shall remain the sole and exclusive property of the Vendor. Manufacturing drawings will be shared unless determined to be a Trade Secret.

Notwithstanding the foregoing, in no case will manufacturing drawings necessary for operation and maintenance be withheld from BSA.

3.5.4 End Item Documentation Package

The Contractor shall provide an electronic copy of the End Item documentation package in accordance with the schedule set forth in this SOW. The End Item documentation package shall consist of the following documentation:

a. Acceptance Test Reports and copies of test certificates

b. All manuals

c. Completed travelers (documents following instrument throughout manufacturing process)

d. Manufacturing/ Inspection/Test data for inspections performed at incoming inspection or during manufacturing

e. Certificate of Conformance as specified in Section 4

f. Copies of specification/ data sheets for viewports.

g. Copies of the Contractor’s (or Subcontractors’) weld certification/test reports, if applicable.

h. Documentation of required proof test procedures and results for vacuum vessels, if applicable.

i. Certification that all required pressure relieving devices used are approved by either the

ASME or National Board of Boiler Inspectors (NBBI)Acceptance Test Reports and copies of test certificates

3.5.4.1 Documents

The Contractor shall provide an electronic copy (on a USB stick or BSA identified

FTP site, in Microsoft Office format, or drawing format described in section 3.4 with formal “controlled copies” in PDF format) of the following documentation:

a. All documentation identified in this SOW

b. All parts and assembly solid models. Notwithstanding any other provision of this agreement, all Intellectual Property and rights owned by the Vendor prior to the execution of this agreement shall remain the sole and exclusive property of the Vendor. Solid models will be shared unless determined to be a Trade Secret. Notwithstanding the foregoing, in no case will solid models necessary for operation and maintenance be withheld from BSA.

c. User/operational manual

3.5.4.2 Operation and Maintenance Manuals

The Contractor shall provide the operation and maintenance manual in electronic format with formal PDF format on a USB stick and provide two (2) hardcopies.

Operation and maintenance manuals shall include:

a. A title to the front cover, identifying the title of the project and the date of issue

b. A table of contents

c. A general description of the Instrument installation

d. Copies of any permits to use copyrighted material

e. A technical description of each system and subsystem to allow the correct and safe operation, maintenance and repair of all systems and subsystems installed, including:

i. Operating manuals at all modes of operation described in

Technical Specification document

ii. Standard maintenance operations not limited to beam alignment and adjustment of lens operations

iii. Trouble shooting techniques

iv. Recommendations for preventive maintenance

v. Disassembly, repair, cleaning and adjustment procedures

vi. List of recommended spare parts to keep on hand

vii. Software documentation and source code for open-source processing routines

3.6 Configuration Management

The Contractor shall establish and maintain a configuration control system to assure that all end items

(including spares) are of the proper configuration, and that all approved configuration changes are incorporated at the specified effectivity points. Records shall be maintained verifying the configuration of each item.

3.7 Software Requirements

The Contractor shall provide and maintain the capability to receive and send CAD files of all components or assemblies in STP, SAT, IGES, IAM, or IPT file format at the request of BSA.

3.8 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.

3.8.1 Contractor Work on Site at BNL

BSA will identify and designate space necessary to safely perform staging and installation activities.

Any cordons, stanchions, or barriers required to designate and isolate the Contractor’s work area will be supplied by BSA.

A Job -Hazard Analysis(JHA) including a hazard list identifying all hazardous materials associated with the instrument, including Safety Data Sheets (SDS) shall be submitted to BSA for approval with the Installation Work Plan.

3.8.2 Electrical Safety

3.8.2.1 All electrical equipment must be in accordance to U.S. standards, must comply with NFPA70, shall be listed by a Nationally Recognized Testing Laboratory

(NRTL), and approved by the BNL Electrical Authority Having Jurisdiction

(AHJ). Note that CE is not an approved NRTL. In the case that the instrument is

NRTL listed prior to delivery, it will be inspected once installed to ensure NRTL listing is still valid. In the case of the instrument that is not NRTL listed as delivered from the Contractor, a third-party Field Evaluation Body (FEB), recognized by BNL electrical AHJ, must perform an evaluation of the XRM

Instrument. Results of the FEB evaluation must be provided to BNL electrical

AHJ, and approved before the XRM Instrument are to be energized. In order to enable the FEB evaluation, the XRM Instrument will be allowed to be energized during the inspection.

3.8.2.2 The contractor shall supply the following to BSA:

3.8.2.2.1 Documentation for the XRM Instrument installation, operation, service and maintenance that describes operation, shutdown, safety concerns, and nonstandard installations

3.8.2.2.2 Unless determined to be a trade secret, schematics, drawings, and bill of materials describing power feeds, voltages, currents and parts used for construction, maintenance, and operation of the XRM

Instrument.

3.8.2.2.3 Safety Requirements and emergency shutdown procedures of XRM

Instrument including lockout/tagout (LOTO) requirements.

3.8.2.2.4 Documentation of specific hazards associated with the XRM

Instrument.

3.8.2.2.5 Documentation shall be provided if special tools, PPE, or other equipment is necessary for proper maintenance and operation of

XRM Instrument.

3.8.2.3 The contractor shall include safety-related design concepts for electrical equipment and installations. Following methods can be considered:

3.8.2.3.1 Installing finger-safe components, covers, and insulating barriers to reduce access to exposed energized electrical conductors and circuit part due to inadvertent movement

3.8.2.3.2 Substituting ≥50 volts control circuit with non-hazardous <50 volt circuits.

3.8.2.3.3 Separate enclosures for hazardous and non-hazardous electrical conductors and circuit parts.

3.8.2.4 Contractor shall mark the XRM Instrument which includes the NRTL certification mark/Field Evaluation mark, Manufacturer, model #, manufacturing date, drawing number, current draw, power, frequency voltages entering and leaving the control cabinets, and equipment. Caution, Warning, or Danger labels shall be affixed to the exterior describing specific hazards and safety concerns. Refer to

ANSI Z535, Series of Standards for Safety Signs and Tags, for more information on precautionary marking of electrical system or equipment.

3.8.2.5 All exposed electrical connections/terminations ≥50 volts shall be covered so that workers are protected from the hazards of electrical shock during operation and when performing service & maintenance. Plexiglas® is not allowed; Lexan® may be used for inadvertent contact. Electrical insulation must be Low Smoke, Zero

Halogen (LSZH), Fire Retardant, and rated for its application. Non-LSZH cables shall be permitted in length <50 feet.

3.8.2.6 The contractor shall include safety-related design concepts for electrical equipment and installations. Following methods can be considered:

3.8.2.6.1 Installing finger-safe components, covers, and insulating barriers to reduce access to exposed energized electrical conductors and circuit part due to inadvertent movement.

3.8.2.6.2 Substituting ≥50 volts control circuit with non-hazardous <50 volt circuits.

3.8.2.6.3 Separate enclosures for hazardous and non-hazardous electrical conductors and circuit parts.

3.8.2.7 Electrical wiring must be installed in a neat and workmanlike manner.

3.8.2.8 Teflon® shall not be used as an insulation material, except in small quantities

3.8.3 Pressure Safety

For process piping requirements, the contractor shall use ASME B31.3 or equivalent approved by BSA in writing. The liquid nitrogen, gaseous nitrogen, and cooling water lines shall be designed to ASME B31.3 requirements. In all cases, 100% proof testing shall be completed on each component to 150% of the maximum working pressure for hydrostatic tests, or 110% of the maximum working pressure for pneumatic tests.

If vacuum vessels are included, to prevent inadvertent over-pressurization of vacuum vessel(s), the system must be supplied with burst disk per ASME BPV Code.

3.8.4 Fire Safety

3.8.4.1 The Contractor shall ensure that any electrical equipment or wiring minimizes combustibility by the use of flame-resistant materials.

3.8.4.2 The Contractor shall ensure that any cable tray minimizes the possibility to damage cables. All cables to be installed in a cable tray shall be rated for Cable

Tray use. The cable shall have the TC (Tray Cable) and NRTL markings. If a

Contractor elects to use a cable not marked for Tray Cable use, then the

Contractor shall use a cable that will meet IEEE 1202 or equivalent approved by BSA in writing. BSA shall approve the use of all non-NRTL marked tray cables in advance of the Contractor ordering the cable.

3.8.4.3 All other cables shall be Low Smoke Zero Halogen (LSZH). Non-LSZH cables shall be permitted in length <50 feet.

3.8.5 Laser Safety

3.8.5.1 All potential Class 3b/4 Laser safety hazards shall be identified and addressed utilizing laser operation subject matter experts as required and following all applicable requirements as mandated by the BNL SBMS Laser Safety subject area.

3.8.5.2 All safety interlocks, including laser and electrical, must place all hazardous energies into a fail-safe condition in the event of unauthorized protective cover removal.

3.8.5.3 All system and subsystem components shall be equipped with emergency system shut off circuitry. Operator intervention is required to reset the system/subsystem.

3.8.5.4 All systems contain a class 3b/4 laser shall be equipped with emergency beam shut off circuitry. Operator intervention is required to reset the system/subsystem.

3.8.5.5 The laser ablation system shall be fully interlocked including viewport covers, sample temperature, chamber pressure, and other relevant parameters, and operate as a class 1 laser system.

3.8.6 Attachment Points and Lifting Fixture

3.8.6.1 The Contactor shall provide lifting eyes, either permanent or removable, on each piece of equipment or stand of sufficient capacity and number to allow the XRM

Instrument to be safely lifted.

3.8.6.2 All lifting fixtures must meet the requirements specified in ASME B30.26 (Rigging

Hardware) and ASME BTH-1 (Design of Below-the-Hook Lifting Devices, Design

Category “A”).

3.8.7 Radio Frequency Safety

Any component using radio frequencies (i.e. plasma sources), should be labeled with the appropriate warnings following 29 CFR 1910.97 - ANSI C95.2-1982. Once installed radiofrequency radiation exposures limits shall not exceed Threshold Limit Values

(ACGIH TLV – 2016) and Safety Levels (ANSI/ IEEE C95.1).

3.8.8 Radiation Generating Devices

X-ray sources when operating in UHV chamber shall have a maximum dose rate

< 50 μrem/hr at 30 cm from any surface.

Permanent shielding should be designed and installed consistent with the guidance provided in ANSI N43.3. X-ray sources shall be shielded to ensure worker exposure maximum dose rate < 50 μrem/hr at 30 cm from any surface of the device.

Doors and/or access panels in exempt shielded, shielded, and unattended installations should be equipped with one or more fail-safe safety interlocks to prevent irradiation of an individual [ANSI N43.3(6.5.2)].

The control system governing the production of radiation should be equipped with a lock and key to prevent unauthorized use.

Warning lights shall be provided to alert workers that radiation is in use.

All system and subsystem components shall be equipped with emergency system shut off circuitry. Operator intervention is required to reset the system/subsystem.

3.9 Packaging

In preparation for shipping, the Instrument shall be covered or wrapped for protection against weather elements, dust, and damage to projections, shock loads, impacts, and rubbing. The Instrument shall be properly braced and cushioned within the packing so that it will not shift during handling and shipment. The method of shipping will be specified by BSA one month prior to delivery.

3.9.1 After the component or piece of the Instrument has been cleaned and tested, it shall be packed to ensure that it remains clean and free from damage during both storage and shipping. All seal faces and/or knife edges should be protected. Vacuum components shall be backfilled with dry nitrogen gas.

3.9.2 Added protection against contamination and humidity shall be given to the sensors and electrical connections. 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.

3.9.3 All assemblies or sub-assemblies with moving parts shall be secured to prevent damage due to unwanted motion or vibration. The packaging must be designed to withstand acceleration loads in excess of twice the acceleration due to gravity (>2g0).

3.9.4 Each packing crate shall be fitted with Shockwatch and Tipwatch sensors or an equivalent approved in writing by BSA.

3.9.5 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.

3.10 Warranty

The Contractor shall provide a one-year warranty on all parts and labor commencing with BSA’s acceptance of the installed and tested Instrument. A recommended spare parts list shall be available from the Contractor.

Remote diagnosis and troubleshooting from Contractor shall be available upon request within 24 hours during regular workdays.

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 meet the requirements of the ISO-9001 Standard, “Quality

Management System Requirements,” or equivalent. The Contractor shall supply the necessary documentation to demonstrate this compliance. 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 as shown below. 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, 4.4.3, 4.5, 4.6, 4.7, 4.7.1, 4.7.3, 4.10, 4.10.1, 4.10.2, 4.10.3, 4.13, 4.14, 4.16, 4.19, 4.21, 4.30, 4.31, 4.34, 4.35, 4.36, 4.37,

4.43 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.

1.0 PURPOSE & SCOPE

1.1 This document establishes quality assurance requirements to which Suppliers to Brookhaven

Science Associates (BSA) must conform when specified in the procurement documentation.

1.2 This document contains two main sections. Section 3.0 covers the general requirements that are applicable to all Suppliers. Section 4.0 contains special quality requirements that are applicable only when specifically invoked in the procurement documentation.

2.0 DEFINITIONS

2.1 The term Procurement documentation means the purchase order (PO), contract, subcontract, Request for Proposal (RFP), Request for Quotation (RFQ) or other written agreement with the Supplier

(seller) in which the requirements of BSA are incorporated.

2.2 The term Buyer means BSA operating Brookhaven National Laboratory, acting by and through its

Procurement & Property Management Division (PPM) issuing the PO/contract.

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

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

3.0 GENERAL REQUIREMENTS

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

3.1 Supplier’s Quality System and Quality Requirements

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

3.1.2 A quality system that meets the requirements of the

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

3.2 Assessment by Buyer

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

3.3 Change Approval

No change(s) are permitted to be made to any Buyer requirements, (e.g. part number, model number, etc.)

without the prior written approval of the Buyer.

3.4 Responsibility for Subcontractors

It is the responsibility of the Supplier to impose applicable requirements from this document upon their subcontractors. Additionally, the Buyer reserves the right to disapprove, in writing, any subcontractor. For nuclear facility requirements per NQA-1, the Supplier must incorporate NQA-1 requirements in sub-tier procurement documents.

3.5 Responsibility for Conformance

The Supplier is responsible to provide items that conform to the requirements of the PO regardless of any assessments, surveillances, inspections and/or tests by the Buyer or its representatives at either the

Supplier’ or Buyer’s facility. The Buyer reserves the right to request failure analysis and corrective action for non-conforming articles or items submitted or supplied to the Buyer. The Supplier is responsible for notifying the Buyer of any recalls or alerts associated with this PO.

3.6 Protection of Material and Equipment

The Supplier must employ procedures that assure adequate protection of material and equipment during shipment and while in storage. Such protection must include special environmental packaging, as necessary. All items shipped (originally packaged or repackaged) to BNL or other locations cited in the

PO or contract, must comply with the requirements for preservation, packaging and marking as stated in the latest revision of ASTM Standard D 3951 Standard Practice for Commercial Packaging.

3.7 Measuring and Test Equipment (M&TE) Calibration

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

3.8 Suspect Counterfeit Parts

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

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

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

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

* For more information refer to the following Department of Energy website:

https://www.energy.gov/ehss/corporate-reporting-analysis/databases/suspectcounterfeit-and-defective-items

3.9 Electrostatic Discharge Control

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

3.10 Electrical or Fire Protection Equipment, Material, and Systems

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

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

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

3.11 Hoisting & Rigging Equipment

All hoisting & rigging equipment used at BNL must meet the requirements of the latest applicable OSHA

Regulations and ASME B30 Series standards for design, construction, markings, and proof load testing.

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

3.13 Powered Machine Shop Equipment

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

3.14 Vehicle-Mounted Elevating and Rotating Aerial Devices

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

ANSI A92.2.

3.15 Self-propelled Elevating Work Platform Equipment

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

3.16 Manually Propelled Elevating Aerial Platform Equipment

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

ANSI 92.3.

3.17 Boom Supported Elevating Work…