J-8 PMR-QAP-Cryo-Feb 16 2024-Final.pdf

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US

LBNF/DUNE-US

Argon Cryogenic Packages J-8 Project Management Requirements, Quality Assurance and Quality Control Plan

Document Number: EDMS 2193453

J-8 Project Management Requirements, Quality Assurance and Quality Control Plan

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US Page ii

Document Approvals

Signatures Required Date

Originator: Roza Doubnik (LBNF/DUNE-US FDC Cryogenics Systems Engineer)

Co-Author: Kevin Fahey (LBNF/DUNE QA Manager)

Co-Author: James F. Mateyack (Senior Quality Assurance Specialist)

Approver: Mark Adamowski (Lead Cryogenic Systems Engineer)

Approver: David Montanari (LBNF/DUNE-US FDC Deputy Project Manager for Cryogenics)

Quality Assurance and Quality Control Plan

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Revision History and Version Control

This version of the document may not be the current or approved revision. The Engineering & Equipment Data Management Service (EDMS) maintains the current revision. EDMS can be accessed through the web at https://edms.cern.ch. This document can be identified by the revision date as indicated in the Version Control Table below.

The currently approved version is always available in DocDB or EDMS.

Author Revision Date Location (EDMS) Description of Changes

Roza Doubnik 06/28/2019 2193453 v.1 Original

Roza Doubnik, Kevin Fahey 01/29/2024 2193453 v.2

Rev. 1, updated information, based on reviewer comments.

https://edms.cern.ch/

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Table of Contents

Document Approvals .................................................................................................................................... ii

Revision History and Version Control .......................................................................................................... iii

Acronyms, Abbreviations and Definitions ................................................................................................... vi

1 Purpose and Scope ............................................................................................................................. 1-1

2 Project Introduction ........................................................................................................................... 2-3

3 Responsibilities for Project Management .......................................................................................... 3-5

4 Manufacturing, Installation, and Assembly Requirements ............................................................... 4-7

4.1 Manufacturing ........................................................................................................................... 4-7

4.2 Welding ...................................................................................................................................... 4-7

4.3 Installation ................................................................................................................................. 4-7

5 Shipping ............................................................................................................................................ 5-10

6 Project Management ....................................................................................................................... 6-11

7 Quality Assurance Program.............................................................................................................. 6-13

7.1 Quality Assurance Plan (QAP) .................................................................................................. 6-13

7.2 Personnel Training and Qualification ....................................................................................... 6-15

7.3 Documents and Records .......................................................................................................... 6-15

7.4 Submittals ................................................................................................................................ 6-17

7.5 Design Process ......................................................................................................................... 6-18

7.5.1 Design Verification and Validation ................................................................................... 6-19

7.5.2 Preliminary Design Review (PDR) ..................................................................................... 6-19

7.5.3 Final Design Review (FDR) ................................................................................................ 6-20

7.5.4 Production Readiness Review (PRR) ................................................................................ 6-21

7.6 Fabrication Work Processes ..................................................................................................... 6-21

7.7 Change Control / Modifications Management ........................................................................ 6-22

7.8 Calibration of Equipment ......................................................................................................... 6-22

7.9 Examinations, Inspections, and Tests ...................................................................................... 6-22

7.10 Receipt and Installation Inspection and Test ........................................................................... 6-24

8 Procurement .................................................................................................................................... 8-26

Quality Assurance and Quality Control Plan

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8.1 Subcontractor .......................................................................................................................... 8-26

9 Control of Nonconforming Material ................................................................................................ 9-27

10 Assessments ............................................................................................................................... 10-29

References

11 Appendix A – Ross Shaft Load Envelopes

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Acronyms, Abbreviations and Definitions

Acronym Definition

EFS External Floor Supports

FDR Final Design Review

FRA Fermi Research Alliance

GAr Gaseous argon

HP

Hold Point: A milestone where the subcontractor is required to notify FRA of the impending completion of a specific task or a specific deliverable and shall stop the associated processes until written authorization is issued

HWDB Hardware database

LAr Liquid argon

MAWP Maximum Allowable Working Pressure

NIST National Institute of Standards and Technology

NP

Notification Point: A milestone where the subcontractor is required to notify FRA that it has completed a specific task or a specific deliverable and is proceeding to the next task or to the next action on the specific deliverable

NWD Autodesk Navisworks

OEM Original Equipment Manufacturer

PDR Preliminary Design Review

Piping Cryogenic Process Piping

PM Project Management or Project Manager, depending on context

PMP Project Management Plan

PRR Production Readiness Review

QAM Quality Assurance Manager

QAP Quality Assurance Plan

QAR Quality Assurance Representative

SME Subject Matter Expert

SOW Statement of Work

SPM Subproject Manager

STEP Standard for the Exchange of Product Data; a common ISO standard exchange format used for 3D modeling and printing

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Acronym Definition

WBS Work Breakdown Structure

WPS Weld Procedure Specification

WPQ Weld Procedure Qualification

WQR Welder Qualification Record

Quality Assurance and Quality Control Plan Purpose and Scope

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 1-1

1 Purpose and Scope The Subcontractor is responsible for all activities necessary to manage, control, and document work related to the procurement, fabrication, and installation (if applicable) of the Argon cryogenic packages, ensuring compliance with the Subcontract documents and internationally recognized quality standards such as ISO 9001, ASME, etc.

This includes providing adequate Quality Assurance/Control services for work accomplished on- and off-site by its organization, suppliers, sub-tier subcontractors, technical laboratories, and consultants.

The Subcontractor shall implement a Quality Assurance program, designate a quality responsible person(s), and submit its Company Quality Assurance Program with its proposal.

Revisions to the quality program issued during the period of performance shall be provided to FRA within 14 business days of issue.

Additionally, the Subcontractor’s welding program shall meet applicable nationally recognized standards such as ASME, AWS, etc., utilizing qualified welders, Weld Procedure Specifications, and Weld Qualification Records.

The QA/QC requirements outlined in this document and detailed in referenced procedures will ensure that the Argon cryogenic packages, including the eleven (11) packages for cryostats 1 and 2, are manufactured, assembled, installed (if applicable), and commissioned (if applicable to the package) to meet quality standards, with instructions provided to FRA.

The inspections and tests outlined here and detailed in referenced procedures will ensure that each component is functioning as required as the elements of the cryogenic system are manufactured, assembled, installed, and commissioned, if applicable to the package.

The scope of this document covers the requirements for the Argon Cryogenic Packages which are composed of eleven (11) packages for cryostats 1 and 2:

1. GAr Purification System 1-2,

2. LAr Purification System 1,

3. LAr Purification System 2,

4. Regeneration System 1,

5. Regeneration System 2,

6. Side Penetration Inline Safety Valves,

7. LAr Circulation System 1,

8. LAr Circulation System 2,

9. Liquid Argon Pump Units,

10. Condensers System 1,

11. Condensers System 2.

Quality Assurance and Quality Control Plan Purpose and Scope

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 1-2

The following information will be provided in the individual Statements of Work for each Argon Cryogenics Package:

• Scope of the Document

• Applicable Codes and Standards

• General description of the system

• Interface Requirements

• Technical Requirements

• Functional Requirements

• Operational Requirements

• Mechanical Requirements

• Specification of Supplied Equipment

• Manufacturing, Installation and Assembly Requirements

• Shipping

• Examination, Inspection, and Test

• Deliverables for the Kick-Off Meeting

• Deliverables for the Engineering Phase

• Deliverables for the Manufacturing Phase

• Quality Assurance

• Project Management

• Required Documents Summary

• Project Schedule

Quality Assurance and Quality Control Plan Project Introduction

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 2-3

2 Project Introduction LBNF (http://lbnf-dune.fnal.gov/) will provide the infrastructure necessary to support the massive neutrino detectors located deep underground at the Sanford Underground Research Facility (SURF) in Lead, South Dakota (SD). The Deep Underground Neutrino Experiment (DUNE) will employ four (4) such detectors, housed in cryostats requiring almost 70,000 tons of liquid argon (LAr), about 17,500 tons for each cryostat. DUNE (http://www.dunescience.org/) is expected to achieve transformative discoveries, making definitive determinations of neutrino properties, examining the dynamics of supernovae that produced the heavy elements necessary for life, and probing the possibility of proton decay. Figure 3-1 shows an overview of LBNF/DUNE.

Figure 3-1: LBNF/DUNE at Fermilab and SURF.

The cryogenics infrastructure for LBNF is split between two locations:

• aboveground at the Receiving Facility

• belowground within the Detector Caverns and the Central Utility Cavern (CUC), shown in Figure 3-2.

The two locations are separated vertically by nearly one mile.

Figure 3-2: Underground Facility.

http://lbnf-dune.fnal.gov/

Quality Assurance and Quality Control Plan Project Introduction

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They are joined by the Ross Shaft, through which all underground equipment must pass, shown in Figure 3-3.

Figure 3 3: Ross and Yates Shafts.

Quality Assurance and Quality Control Plan Responsibilities for Project Management

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 3-5

3 Responsibilities for Project Management Overall QA Supervision. The LBNF/DUNE-US Project Manager (PM) holds ultimate responsibility for QA supervision, ensuring adherence to quality standards and techniques throughout the project.

Key Personnel Responsibilities.

The LBNF/DUNE-US Subproject Manager (SPM). SPM may designate Quality Assurance Control Representatives (QARs) within their organization to perform portions of the work defined in this Quality Assurance and Quality Control Plan.

• Manages subprojects and ensures performance goals are met.

• Oversees quality control within the subproject and reports QA issues to the PM and QAM.

• Retains overall responsibility for quality control activities within the subproject.

The LBNF/DUNE-US Quality Assurance Manager (QAM).

• Establishes, implements, and maintains the QA system.

• Reports to the PM and provides oversight and support to Subproject Managers for consistent quality assurance.

• Develops, implements, assesses, and improves the QA program.

• Periodically reports on quality system performance to the PM for improvement purposes.

• Coordinates work with designated Testing Laboratory personnel and ensures compliance with schedule and quality standards.

• Inspects work for compliance, maintains records, and participates in inspections.

• Manages submittals, coordinates testing, and ensures compliance with project requirements.

• Focuses on planning work to minimize or prevent rework, with authority to correct deficiencies.

• Maintain all quality related records.

• Provide required QC certifications and documentation.

• Ensure that As-Built and As-Installed Drawings and As-Built and As-Installed Record of Materials are kept current and onsite.

• Participate in non-conformances and final inspections.

Quality Control (QC) Specialist (s).

• Assisting the QA Manager in specific areas of responsibility.

• Attending QC meetings, preparing sections of QC reports, and ensuring quality control duties are fulfilled.

Manufacturer or Factory Representative.

• Ensures compliance with installation recommendations and other technical specifications.

• May be required on-site during certain periods of the work to ensure quality.

Responsibilities of Team Members.

Quality Assurance and Quality Control Plan Responsibilities for Project Management

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 3-6

• All LBNF/DUNE-US team members, collaborators, contractors, and subcontractors are responsible for the quality of the work they perform.

• They have the authority to stop work and report adverse conditions affecting quality to their SPM and the QAM.

Acceptance Criteria and Quality Control.

• SPM is responsible for determining and documenting acceptance criteria for subproject components and systems.

• Personnel at all levels engage in quality control through self-assessments.

• Project management may request independent quality assessments as needed.

Approval and Oversight.

• The QA Plan must be approved by the LBNF Project before work commences.

• Work initiation typically awaits QA Plan approval, with exceptions authorized by the LBNF QA

Manager.

• The QA Manager is responsible for observing work and monitoring safe work practices, with authority to address deficiencies.

Continual Improvement.

• The QA Program is subject to continual improvement, with regular reporting on performance to support this process.

• The PM, QAM, and SPM provide necessary resources for project success and quality assurance.

• The PM or higher authority may call for Quality Assurance Program readiness assessments as the

Project nears major milestones.

Quality Assurance and Quality Control Plan Manufacturing, Installation, and Assembly Requirements

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 4-7

4 Manufacturing, Installation, and Assembly Requirements

4.1 Manufacturing

The Subcontractor shall provide a manufacturing plan outlining the steps and details, which will be subject to FRA approval at the time of the Production Readiness Review (PRR) or earlier.

4.2 Welding

All welding joint preparation and welding techniques shall be performed by the applicable codes. Vacuum jacket welding shall be performed in a manner equivalent to a standard welding procedure specified and qualified under the rules of the applicable codes.

All welding performed on the cryogenic process piping circuits shall be done by the Gas Tungsten Arc Weld (GTAW) process, using welding quality argon gas for the inert shield.

All welds shall be internally purged with welding-quality argon gas during the time of welding and post-welding treatment.

Welds that show evidence of a lack of purge shall not be accepted.

All welding shall be performed in such a manner that the welding surface is smooth and free of irregularities. No visible metal chips or foreign material may be detectable inside any component. All external surfaces in the weld area shall be cleaned of heat tint, slag, and other deposits. No mechanical process shall be used to achieve a smooth appearance.

No production welding shall be performed until all WPS, PQR, and WPQ documents have been qualified by the applicable codes.

If possible, longitudinal welds shall be avoided in tubes and pipes.

4.3 Installation

The subcontractor shall provide installation manuals and procedures and all documentation for the installation process.

Subcontractor Documentation.

The Subcontractor’s reports in conjunction with the LBNF Project’s reports provide a written record of job progress, control inspections, and tests. It is therefore critical that the Subcontractor’s reports be correct and timely. These reports constitute the official record of work performance and compliance with drawings and specifications. The QA Representative must obtain and review the Subcontractor’s reports daily for accuracy and completeness. Any area(s) of disagreement must be resolved at the field level that day if possible. The LBNF Cryogenics Infrastructure Project Manager should review these reports and ensure the QA/QC process is working.

Quality Assurance and Quality Control Plan Manufacturing, Installation, and Assembly Requirements

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 4-8

The documentation that is generated by the QA System must be maintained in the document management system.

Subcontractors are required to develop and provide daily Subcontractor Production and Quality Control Reports to the LBNF Project. These reports are the daily record of operations on the job site. This series of reports is intended to fully document the work, any test results, dimensional checks, equipment, and material checks. Depending on the complexity of the work being performed and the duties of the QA Manager, the Subcontractor may combine these reports into one daily report. The QC portion of the report will include the reports from each sub-subcontractor working on the site. Entries on the report(s) must be tied to the scheduled activities.

These reports are to be delivered to the Quality Assurance Representative no later than 10:00 a.m. local time the following workday. It is important that the reports be current, factual, and complete as they provide a complete record of the contract.

The LBNF QA Representative and the LBNF Cryogenics Infrastructure Project Manager shall obtain and review the Subcontractor’s reports daily for accuracy and completeness, and to ensure the QA/QC process is working.

• The Subcontractor Production Report, prepared by the Subcontractor’s Project Manager, documents the efforts expended and the progress made on a daily basis; it is not specifically a Quality Control report. Each entry in the Subcontractor’s Production Report must tie to an associated activity on the Subcontractor’s schedule and clearly identify the on-site labor support for each sub-subcontractor.

• The Subcontractor Quality Control Report, prepared by the QC Manager, is specifically intended to address the progress and issues with the Quality Control Program as it proceeds on the project site. Space is designated for documenting actions on all work, as well as rework.

Entries shall be clearly tied to the activities on the Subcontractor’s schedule. Documenting the controls for any follow-up inspection of work is of importance. The report must include a certification by the QA Manager that the work follows the contract, except as noted in the report.

• The submittal status log shows the status of all shop drawings, certifications, and other submittals. For each submittal, the log shall show the contract and/or specification paragraphs requiring the submittal, a description of the submittal, whether it is Subcontractor-approved or LBNF-approved, and actual submission and approval dates on all actions. This allows the QA Manager to track the status as well as pending or planned actions required by the Subcontractor or the LBNF Project.

• Subcontractors are required to prepare and maintain a Testing Plan and Log to document the specification requirements, test plan, test location, tester, and frequency of all required tests.

With this information, the QA Manager and the QA Representative can monitor the plans and status of all required testing.

The QA Manager shall establish a list of items requiring rework, and an agenda item for the QC meetings to review the progress of corrective actions on these items. The list shall indicate the date identified, Quality Assurance and Quality Control Plan Manufacturing, Installation, and Assembly Requirements

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 4-9 describe each deficiency, contract requirement, action taken, and resolution, and indicate the date corrected. Deficiencies corrected on the same day they are discovered are exempt from the rework list.

The QA Manager should not allow the adding to, building upon, or enclosing of nonconforming work.

Quality Assurance and Quality Control Plan Shipping

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 5-10

5 Shipping The Supply sub-components shall be carefully packed for transport and their value shall be covered by transport insurance. The Subcontractor shall take all appropriate precautions necessary to avoid damage to equipment or interference from any kind of other FRA contractors or users.

Accelerometers with logging capabilities shall be mounted before shipment and inspected after each transport and handling up to the final positioning of each item in the detector caverns. The peak value shall not exceed 4 g.

All openings shall be sealed against moisture, dirt, or air penetration with appropriate plastic caps or blind flanges.

All items shall be created or boxed to be readily handled with a forklift truck and shall have suitable lifting attachments for the use of an overhead crane.

The design of the crate and lifting fixtures (if used) shall respect the weight and size limitations listed in Appendix A.

Each crate shall be marked indicating contents, contract number, and gross weight. In addition, the following features shall be incorporated into the design of each crate:

i. The full enclosure on all sides.

ii. Sufficient interior restraint to prevent the components from shifting within each crate.

iii. Vacuum-insulated components shall be supported only on the exterior surfaces of the vacuum vessels.

iv. Appropriate and marked exterior features to allow tie-down during transport and lifting using both a crane and a forklift.

v. Protection from prolonged exposure to the weather without corrosion or other damage to their contents.

vi. Clear labels in the English language and point of origin indicating the presence of fragile contents.

vii. Extra interior space and restraints for miscellaneous hardware (mounting jacks, etc.). The list of hardware shall be identified on the bill of lading for easy identification.

viii. Any welds used in the construction of the shipping crate shall conform to welding codes.

The following inspections shall be performed upon arrival:

i. Transport acceleration.

ii. FRA incoming inspection (at SURF) including visual inspection and verification of Bill Of

Lading.

Quality Assurance and Quality Control Plan Project Management

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-11

6 Project Management The Subcontractor shall coordinate and control all project-specific activities and corresponding resources and shall ensure the realization of the standards of this SOW and the successful fulfillment of the subcontract.

The Subcontractor shall assign a person responsible for the technical execution of the contract and its follow-up, as well as a person responsible for the commercial follow-up, throughout the contract. They shall be able to communicate in English.

The Subcontractor shall appoint a safety correspondent who shall act as its representative with FRA in matters of safety.

The LBNF Project uses cost and scheduling tools (Primavera P6 and Cobra) by FRA standards. In addition, FRA utilizes the Earned Value Management System (EVMS) for cost, schedule, and scope change control.

This system will be used by FRA to monitor and evaluate project progress and performance against the deliverables for the duration of the subcontract.

The performance of the Subcontractor will be monitored through a project schedule that is prepared by the Subcontractor and accepted by FRA. The Subcontractor shall provide submittals, as defined in the schedule specification, and shall be inclusive of but not limited to:

A comparison of the resources planned versus actual work completed with an explanation of any variances from the plan.

Review and approval of the schedule and monthly updates including the following:

Actual Start Dates for activities begun during the status period.

Actual Finish Dates for the activities completed during the status period.

Physical Percent Complete for those activities started but not completed.

Forecast completion dates for activities started but not yet completed.

Narrative description of actual project progress versus planned progress, highlighting risk areas and work that is behind the plan.

End-of-month status of any issues tracking including but not limited to Requests for Information, Change Orders, Submittals, etc.

Schedule of Values based on resource loaded schedule.

In special cases, especially in the case of technical problems and delays, FRA may also request more frequent reporting intervals.

In case of events affecting the schedule, the Subcontractor shall take suitable measures to ensure that the schedule is maintained. This expressly includes the assignment of additional personnel (overtime and shift work) and additional equipment at the Subcontractor’s expense.

Quality Assurance and Quality Control Plan Project Management

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-12

Independent of the scheduled reports, all events that may influence the schedule shall be reported to FRA. In case of serious problems that endanger the achievement of contractually agreed milestones, the FRA shall be informed immediately in writing. The subcontractor shall present to FRA a recovery plan to minimize or offset the adverse impact on the schedule.

The Subcontractor shall plan and prepare a series of project meetings (in addition to the scheduled reviews), whereby the agenda, the participants, the location, and means are to be determined in coordination with FRA. There shall be provision for weekly teleconferences throughout the whole duration of the Subcontract using a mutually agreed teleconferencing system. FRA and the Subcontractor have the right to request special meetings as needed.

Unless otherwise arranged, the Subcontractor shall prepare all minutes of the meetings and share them with FRA within five (5) workdays.

Quality Assurance and Quality Control Plan Quality Assurance Program

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-13

7 Quality Assurance Program

7.1 Quality Assurance Plan (QAP)

Design and Manufacturing Standards. The Supply shall be designed and manufactured in accordance with generally applied quality standards and techniques.

Quality Assurance Program (QAP). The subcontractor shall prepare and implement a QAP to cover the design, procurement, fabrication, testing, inspection, and delivery of the Supply and its subassemblies.

The QAP shall address the criteria outlined in this document. If the subcontractor’s QAP system is currently certified to ISO 9001 requirements, specific elements may be satisfied by reference to the appropriate ISO document.

Procurement Activities. The QAP shall provide for planning and execution of procurement activities in accordance with documented instructions and/or procedures.

Verification of Purchased Items. The QAP shall provide for verification of conformance of purchased items to the Subcontractor’s design specifications and procurement document requirements.

Periodic Audits. The QAP shall provide for planned, periodic audits of the various aspects of the program by individuals not directly responsible for implementation shall be conducted.

Fabrication Planning and Control. The QAP shall provide for fabrication planning, material and process control, cleanliness control, inspection, testing, non-conformance control, and documentation of the inspection function.

Calibration Procedures. Calibration procedures, status indication on test equipment, serialization, traceability to NIST or other standards, and calibration records shall be maintained.

Material and Equipment Identification. The QAP shall provide for the material and equipment identification maintained throughout the manufacturing process, either on the material or equipment or on records traceable to the material or equipment. Status of acceptability of materials and equipment with respect to inspections and tests shall be readily discernible through the subcontractor’s use of tags, stamps, routing cards, or other means.

Subcontractor’s QA Program Plan. The Subcontractor’s QA Program Plan shall include:

• A QA/QC Organization detailing the qualifications, duties, responsibilities, and authorities of each person assigned a Quality function, including the Project Quality Assurance Manager.

• In-process inspection and testing.

• Completion inspections.

• QC certifications and documentation necessary to verify that all subcontracted work complies with the requirements of the Subcontract, including materials, equipment, workmanship, manufacturing, installation, and commissioning.

Quality Assurance and Quality Control Plan Quality Assurance Program

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-14

Inspection System. The Subcontractor shall maintain an adequate inspection system to ensure that the work conforms to contract requirements, along with complete inspection records available for review by the LBNF Project.

1. The Subcontractor must provide a tailored Quality Assurance (QA) Plan to the LBNF Procurement Representative, meeting project-specific quality control requirements. This document should outline the procedures, instructions, and reports the Subcontractor will utilize throughout the project. The QA Plan should include the following elements:

• Table of Contents

• QA Organization Chart

• Personnel Training and Qualifications

• Duties and Responsibilities

• Procurement Quality Assurance

• Design Process

• Work Process

• Submittal Procedures

• Inspection and Acceptance Testing

• Control of Nonconforming Material and Equipment

• Quality Improvement

• Documents and Records

• Independent Assessment

• Completion Inspection Procedures

• Suspect and Counterfeit Items

2. Approval from the LBNF Project is necessary before the Subcontractor commences work. This plan delineates the process the Subcontractor will follow, and the roles personnel will undertake to meet QA Program requirements. Typically, work initiation awaits the approval of the QA Plan. Any exceptions must be explicitly authorized by the LBNF QA Manager in writing.

3. Acknowledging the impracticality of delaying work initiation until a complete QA Plan is submitted and approved, exceptions may be granted for mobilization work. The sole other possible exception is work sanctioned under an "Approved as Noted" submittal of the QA Plan, permissible under the following two circumstances:

• First 90 Days: If the QA Plan serves as a preliminary submittal for the initial ninety (90) days of work, the LBNF QA Manager may grant approval as "Approved as Noted" solely for these initial activities. Upon completion of the authorized work, unless an acceptable follow-up QA plan is submitted and approved, the Argon Cryogenics Project Manager must stop the work.

• Minor Changes: Approval of the QA Plan with minor changes or additions is permissible. The Argon Cryogenics Project Manager may use an "Approved as Noted" approach to authorize

Quality Assurance and Quality Control Plan Quality Assurance Program

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-15 work initiation if the Subcontractor agrees in writing to rectify the plan by a specified date.

Failure to approve a corrected plan by the specified date mandates cessation of work.

4. Should the Subcontractor opt to make any alterations to its QA Plan, including personnel changes, the revised QA Plan must be submitted to LBNF for approval. The LBNF Project retains the prerogative to modify the QA Plan, including conducting interviews with QA/QC Personnel to verify submitted qualifications, and if necessary, to request personnel replacement.

7.2 Personnel Training and Qualification

All subcontractor personnel are required to have the necessary experience, knowledge, and skills to perform their jobs. Personnel are qualified to perform their job based on previous experience, education, and training; on-the-job training; and completion of training courses or qualification programs.

Subcontractor management is required to evaluate and ensure that the people performing work are appropriately qualified, having the appropriate skills, background, education, and training necessary to carry out their assigned tasks.

The QAP shall delineate required qualifications for personnel assigned to perform the special processes as required by the applicable codes and standards. These processes include, but are not limited to, welding, heat treatment, non-destructive examination, helium mass spectrometer leak check, and others as may be required by this specification.

7.3 Documents and Records

The subcontractor shall provide copies of mill certification reports for all materials and/or code listed components supplied by the subcontractor.

For “Commercial Off the Shelf Items” such as weld rods, electrodes, and fasteners, the subcontractor shall supply certificates of compliance in lieu of mill certification reports. Conflat flanges are not excluded from having to provide material certifications.

The subcontractor shall furnish copies of the WPS utilized in welding operations on the Supply.

The subcontractor shall furnish all weld maps and nondestructive weld inspection results.

The subcontractor shall furnish copies of the WPQ and WQR for each welder utilized in the welding operation on the Supply.

The subcontractor shall furnish all engineering and design information for the lifting lugs on the Supply, if used.

The subcontractor shall furnish a code-compliance certificate for all process piping circuits as well as design calculations for all code process piping components to verify that all component pressure ratings are at or below the circuit design pressures.

Quality Assurance and Quality Control Plan Quality Assurance Program

Long-Baseline Neutrino Facility (LBNF) / Deep Underground Neutrino Experiment (DUNE) - US 6-16

The subcontractor shall furnish a code compliance certificate for all pressure vessels as well as design calculations for all code components to verify that all component pressure ratings are at or below the design pressures.

The subcontractor shall furnish a code compliance certificate for all vacuum vessels as well as design calculations for all code components to verify that all component pressure ratings are at or below the design pressures.

The subcontractor shall furnish specifications and manuals for purchased components used in the Supply.

The subcontractor shall furnish quality control reports, including but not limited to leak-check test reports with name and qualification of the person(s) performing tests.

The following applies to all documents, drawings, notes, calculations, results of inspections, analysis, testing reports, etc. prepared by the Subcontractor and submitted to FRA related to the design, manufacturing, and testing of the Supply:

• All documents shall be written in English.

• All documents shall use dual units: Imperial first followed by SI in parenthesis.

• 3D models shall be submitted in native CAD format, STEP format, and, whenever possible, NWD format.

• All drawings shall be submitted in Drawing Exchange Format (DXF) and Portable Document

Format (PDF).

• All electronically generated documents shall be supplied in MS Office format and PDF.

Documents with handwritten entries shall be submitted in PDF.

• Schedule information shall be submitted in PDF.

• All documents shall include the name and qualification of the originator, checker, approver, release date, version number, and, if applicable, validity. Each version (excluding the first one) shall include a clean copy and a red markup highlighting the changes from the previous version.

• The final documentation with all updated documents shall be submitted within 30 days of the conclusion of each phase.

Quality Control Certifications

1. Each QC Report signed by the Subcontractor QA Manager shall contain the following statement:

"On behalf of the Subcontractor, I certify that this report is complete and correct, and the equipment and material used, and work performed during this reporting period is in compliance with the Subcontract drawings and specifications to the best of my knowledge, except as noted in this report."

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2. Upon completion of the work or a specific portion thereof, the QA Manager shall furnish a completion certificate to the LBNF Project attesting that "the work has been completed, inspected, tested and is in compliance with the Subcontract."

7.4 Submittals

The following items are subject to submittal to FRA for written approval following the time frame and requirements defined in the Scope of Work:

• Complete assembly fabrication drawings of the Supply, including, but not limited to, piping layouts, piping supports, pressure, and vacuum vessels and thermal intercept details.

• Any polymer and composite materials to be used for the Supply fabrication.

• Engineering analysis of the Supply cryogenic process piping (piping) as required by the code, see Statements of Work (SOW) for each package.

• Engineering analysis of the Supply:

− piping flexibility according to the code.

− pressure drops.

− internal support structure.

− vacuum vessel as required by the code.

− lifting lugs or comparable components.

− external floor supports (EFS).

− heat leak.

− pressure relief devices.

• Temperature sensor surface mounting method and procedure.

• Pipe material selection.

• Cryogenic and high-temperature Insulation selection.

• Pressure relief valves and placement within the Supply.

• Type and make of heaters to be used in the Supply.

• Type and make of instrumentation feedthroughs and connectors to be used in the Supply.

• Project Management (PM) Plan.

• Quality Assurance Plan (QAP).

• Cleanliness Quality Assurance Plan.

• Fabrication Plan.

• Rigging and Handling Plan.

• Installation Plan.

• Format and material of labels.

• WPS, WPQ, and PQR for all welding performed on the Supply and subassemblies.

• Inspection, examination, pressure test, and leak test procedures.

• Detailed project schedule listing tasks in one-month or shorter time increments.

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• Shipment plan including the design of any shipping fixtures and packaging of the Supply for shipment to the SURF site.

7.5 Design Process

The subcontractor’s design process shall provide appropriate control of planning, design inputs, outputs, verification and validation, configuration and design changes, and technical and administrative interfaces.

Design work shall be based on sound engineering judgment, scientific principles, and applicable codes and standards.

Required Meetings.

1. The Project Kickoff Meeting is an important meeting required on all major subcontracts for discussion of the administrative procedures for the Subcontract. During the Kickoff Meeting, which takes place before starting work, ground rules are established, and understandings reached that will establish positive relationships at the start of the Subcontract.

This will be done before the start of Phase 2 - engineering, manufacturing, and installation.

This is also an opportunity to emphasize the importance of the QA organization to the Subcontractor.

Discussion of the QA System requirements and their due dates should be included. An extensive discussion of the Quality Program, however, is best reserved for the QA Plan meeting. Where practical, the Project Kickoff Meeting and a QA Plan Meeting (if required) may be scheduled for the same day, provided the two agendas are properly separated.

2. The first meeting specifically relating to the Quality Program is the QA Plan Meeting. This meeting is an excellent communication forum to ensure the QA Plan and Program are quickly and efficiently instituted. The purpose of the meeting is to develop a mutual understanding of the QA Plan requirements. All QA/QC requirements from the contract and the specifications should be discussed.

3. QA Meetings shall be held on a regular basis, e.g., weekly. The QA Manager develops the agenda, conducts the meeting, and prepares the minutes. All problems or questions should be directed to him or her.

These meetings should be used to reinforce the philosophy of the Quality Program. Submittal status should be the lead off agenda item of each QA Meeting.

Sub-Subcontractor QA/QC personnel should attend the meetings to discuss approaches to upcoming phases of work and correction of any deficiencies. Agendas for these meetings include items such as:

• Status of submittals.

• Review of test reports for deficiencies and results.

• Review of Schedules to see which tests or inspections are scheduled for upcoming work.

• Review of outstanding problems from previous meeting.

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The QA Manager shall be required to address how the Subcontractor intends to correct any problems. As part of the project documentation, the QA Manager must keep the minutes of the meeting and distribute them to attendees. These minutes become part of the official contract file.

7.5.1 Design Verification and Validation

Design shall be verified and validated to an extent commensurate with its importance to safety, complexity of design, degree of standardization, state of the art, and similarity to proven design approaches. Acceptable verification methods include but are not limited to any one or combination of (1) design reviews, (2) alternative calculations, and (3) prototyping, plus qualification testing and/or comparison of the new design with a similar proven design if available. Verification work shall be completed before approval and implementation of the design.

Wherever the design method involves the use of computer software to make engineering calculations or static dynamic models of the structure, system, or component's functionality, the software must have been demonstrated to produce valid results. The demonstration needs to be documented in a formal Report of Validation that is maintained in records that are accessible for inspection. However, exemptions may be made for commercially available software that is widely used and for codes with an extensive history of refinement and use by multiple institutions. Exemptions affecting systems or components shall be identified to the LBNF/DUNE Systems Engineering team.

Critical software and firmware computer codes shall also be subjected to reviews for verification and validation. Some items to be considered during computer code review are as follows:

• Adequacy of code testing scheme.

• Code release control and configuration management.

• Output data verification against code configuration.

• Verification that code meets applicable standards.

• Verification of code compatibility to other systems that use the data.

• Verification that code meets applicable hardware requirements.

• Adequacy of code maintenance plans.

• Adequacy of code and data backup systems.

7.5.2 Preliminary Design Review (PDR)

A PDR is held when the design is advanced and understood sufficiently to begin design modeling and engineering analysis of the subcomponents. Detailed designs are not required at this time, but preliminary design analyses shall be provided to demonstrate compliance with specification requirements. The subcontractor shall present the design and interfaces by means of configuration and layout sketches, analyses, 3-D models, and any early results. Preliminary mechanical and thermal supporting data and analyses shall be included in the PDR.

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The PDR shall cover the following items:

• Documented technical requirements.

• Changes to technical requirements, as needed.

• Closure of action items from Kick-Off Meeting.

• Interface requirements.

• Preliminary mechanical and structural design and analyses.

• Preliminary thermal design and analyses.

• Preliminary layouts, drawings, and 3-D models.

• Assessment of risk areas and potential delays.

• Updated schedule.

Completion of the PDR and the closure of all action items shall constitute the basis for proceeding with the detailed design and long lead procurements.

7.5.3 Final Design Review (FDR)

The FDR is held to present the final, detailed design using substantially completed drawings, 3-D models, and analyses to show that the design will meet the performance and interface specifications and the required design objectives. The FDR shall present a complete and comprehensive final design and interfaces by means of detailed drawings, including, but not limited to, layout and assembly drawings, modeling results, engineering analysis results, and all changes to the design presented at the PDR.

The FDR shall include all the items specified for a PDR, updated to the final, present stage of the development process, plus the following additional items:

• Closure of action items from the PDR.

• Any revised technical objectives and requirements.

• Final interface requirements.

• Final results of mechanical and structural design and analysis.

• Final results of thermal design and analysis.

• Final detailed design with 3-D models, layouts, drawings, and analyses.

• Fabrication, assembly, test, and shipment plans.

• Assessment of risk areas and potential delays.

• Updated fabrication and installation schedule, if any.

Completion of FDR and the closure of all action items shall constitute the final design for the Supply. A successful FDR shall allow for procurement of all required materials.

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7.5.4 Production Readiness Review (PRR)

The PRR is held to present a final review of completed fabrication drawings and documents to show that the design is ready for the production phase. The PRR shall also verify that all the production documents such as welder qualifications, welding procedures, testing, and shipping plans are in place.

The PRR shall include the following items:

• Closure of action items from all previous reviews

• Any revised technical objectives and requirements.

• Final detailed design with layouts, drawings, and analyses.

• Updates to fabrication, assembly, test, and shipment plans.

• Assessment of risk areas and potential delays.

• WPS, WPQ, and PQR documents.

• Examination and testing procedures and related documents.

• Updated schedule.

• Design of shipping fixtures.

Completion of the PRR and the closure of all action items shall constitute the final design approval for the Supply to be built. A successful PRR allows for full-scale fabrication and assembly.

7.6 Fabrication Work Processes

Fabrication work on the LBNF/DUNE-US Project shall be performed to established technical standards and…