LCLSII-HE-1.3-SW-1082-R0_Particle_Free_Cart_SoW_signed.pdf

Statement of Work

Document Title: LCLS-II-HE Particle Free Cart SoW

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 1 of 18

The only official copy of this file is in the LCLS-II-HE Controlled Document Site.

Before using a printed/electronic copy, verify that it is the most current version.

Document Approval:

Originator: Dominique White, Mechanical Engineer

• Content/Format • Content/ Format, Requirement ID’s/Source ID’s, Verification Planning, SME Input

Reviewer: Giulia Lanza - Subject Matter Expert signature not required

• Facts, Details, Concepts, Calculations, Analysis to meet Stakeholders, Policies, Standards, Best Practices, as appl

Reviewer: Kathleen Ratcliffe – ES&H Manager signature not required

• ES&H Content, as appl

Reviewer: Scott DeBarger – Project Chief Engineer signature not required

• Scope Alignment, Stakeholder/ SME Engagement

Approver: Frank Bleisch– Supply Chain Director

•General Procurement Provisions are Complete and Accurate

Approver: Chris Mendez or designee – Systems Engineering Manager

• Clarity • Format • Req ID’s/Traceability • Change Control

Approver: Hong Bach – Quality Assurance Manager

• General QA Provisions • Req’s Validation/Verification

Approver: Tommy Hiatt – Accelerator System Manager

• Articulation, Meets Higher-Level Expectations, Stakeholder/SME Engagement

See Document Review/Approval Matrix of Responsibilities

Revision History

Revision Date Released Description of Change

R0 3/7/2024 Original Release.

Dominique White (Mar 7, 2024 12:57 PST) Dominique White

Frank Bleisch (Mar 7, 2024 13:13 PST) Frank Bleisch

Chris Mendez (Mar 8, 2024 09:15 PST) Chris Mendez

Hong Bach (Mar 10, 2024 17:15 PDT) Hong Bach

Tommy Hiatt (Mar 11, 2024 03:55 PDT) Tommy Hiatt https://slac.sharepoint.com/sites/pub/Publications/LCLSII-HE-1.1-QA-0272.pdf https://slac.sharepoint.com/sites/pub/Publications/LCLSII-HE-1.1-QA-0272.pdf https://stanford.na1.adobesign.com/verifier?tx=CBJCHBCAABAAuFaBw9UHpp13gA_K67OiQC8SO9VoTgyA https://stanford.na1.adobesign.com/verifier?tx=CBJCHBCAABAAuFaBw9UHpp13gA_K67OiQC8SO9VoTgyA https://stanford.na1.adobesign.com/verifier?tx=CBJCHBCAABAAuFaBw9UHpp13gA_K67OiQC8SO9VoTgyA https://stanford.na1.adobesign.com/verifier?tx=CBJCHBCAABAAuFaBw9UHpp13gA_K67OiQC8SO9VoTgyA https://stanford.na1.adobesign.com/verifier?tx=CBJCHBCAABAAuFaBw9UHpp13gA_K67OiQC8SO9VoTgyA

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 2 of 18

Table of Contents 1 General

2 Reference Documents

3 Scope

3.1 Work to be Performed

3.2 Deliverables

3.3 Applicable Codes and Standards

4 Technical Specifications

4.1 Fabrication

4.2 Labeling

4.3 Acceptance Test

4.4 Shipping

5 Quality Assurance Requirements

6 Technical Reviews

6.1 Kick-off Meeting (KOM)

6.2 Project Milestone Reviews

6.3 Production Readiness Review (PRR)

6.4 Pre-Ship Review (PSR)

7 Hold Point Data

8 Project Management

9 Deliverables and Submittals Table

10 Appendices

10.1 Appendix A, Subcontractor Quality Control Requirements

10.2 Appendix B, Quality Clauses Description

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1 General

The Linac Coherent Light Source II High-Energy (LCLS-II-HE) project at the SLAC National Accelerator Laboratory (“SLAC”) is an upgrade of LCLS-II, a free electron laser based on the successfully operating Linac Coherent Light Source at SLAC. The LCLS-II-HE Accelerator System will increase the energy reach of the continuous-wave (CW) superconducting linear accelerator (linac) from 4 to 8 GeV by extending it through the first third of the SLAC linac tunnel.

The Particle Free Cart is a vacuum pumping system that keeps a particle free vacuum system connected to the cart in a particle free state. This cart allows the personnel to pump down and vent vacuum systems in a slow, controlled manner. This is essential to preparing and installing Particle Free equipment needed for LCLS-II HE.

2 Reference Documents

In the event of incompleteness or error in SLAC-supplied documents, drawings, or models, the subcontractors shall notify SLAC in writing to obtain direction.

Document No.

Revision

No.

Document Title

LCLSII-HE-1.6-ES-1081 0 Particle Free Cart ESD

FP-202-631-14 6 Fabrication of UHV components

LCLSII-1.1-ES-00476 2 Particle-Free Engineering Specifications

DESY-SAES article “Particle generator of CapaciTorr® D400-2” by S. Lederer et all.

SRF2009 article “Particle Free Pump Down and Venting of UHV Vacuum

Systems” by K. Zapfe and J. Wojtkiewicz

SNS 109000000-

T0002-R00

SNS PLC Programming Guidelines

LCLSII-HE-1.3-PP-1117 0 Particle Free Cart Acceptance Criteria List

3 Scope

The scope of work includes the production and delivery of the Particle Free Cart that meets technical specifications, testing of the Particle Free Cart, and providing documentation relevant to the assembly.

The total number of units to be delivered will be specified in the subcontract.

3.1 Work to be Performed

Subcontractor shall purchase and/or manufacture all components described in the quantities required for completing the assemblies and sub-assemblies as described in the current revision of LCLSII-HE- 1.3-ES-1081. Commercial components shall be purchased in accordance with the ESD.

Subcontractor shall deliver to SLAC final Particle Free Cart drawings and associated engineering documents based on this statement of work and attached references. All documents shall be submitted in English, using SI units with the exception of Torr used for pressure.

3.2 Deliverables

• Particle Free Cart assembled with the criteria described in LCLSII-HE-1.6-ES-1081

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• SolidEdge CAD or STEP or EDGE model of the cart

• Assembly drawings (PDF)

• Detail drawings (PDF)

• Electrical schematic

• Wiring diagrams

• I/O Mapping for PLC modules

• PLC software source code

• Components manuals

• Warranties

• Certifications

• PFC manual on how to operate and troubleshoot the cart

• Four hours of training for three technicians at SLAC

3.3 Applicable Codes and Standards

The following list of codes and standards in their latest edition or given year of reference shall be applied to the engineering, design, fabrication, assembly and tests of the Particle Free Cart and its components:

• ASTM E 498 “Standard Practice for Leaks Using the Mass Spectrometer Leak Detector or Residual Gas Analyzer in the Trace Probe Mode” Test Method A.

• ISA - Instrument Society of America

• NEC – National Electrical Code

• International Standard ISO 14644-1

If Subcontractor deems it necessary to observe additional governing codes and regulations, SLAC shall be notified of this in writing.

4 Technical Specifications

4.1 Fabrication

Fabrication of the Particle Free Cart shall conform to LCLSII-1.1-ES-00476- R2. Assembly of the Particle Free Cart vacuum system from the turbo to the connection hose should be performed in a class 10 clean room.

4.2 Labeling

All valves and mass flow controllers shall be labeled per Figure 2 in document LCLSII-HE-1.6-ES-1081.

The PLC tags for the components of the Particle Free Cart shall use these values as a prefix to better identify the device type.

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 5 of 18

Component Prefix

Mass Flow Controller VMFC

Roughing Pump VPRO

Turbo Pump VPTM

Pirani Gauge VGPR

Cold Cathode Gauge VGCC

Piezo gauge VGPZ

RGA VRGA

Manual Valves VVMG

Pneumatic Valves VVPG

Manual Flow Valve VVFL

4.3 Acceptance Test

Particle Free Cart will be tested using criteria described in LCLSII-HE-1.3-PP-1117 and LCLSII-HE-1.6-

ES-1081.

4.4 Shipping

Subcontractor must ship particle free cart to SLAC sealed and vented with pure nitrogen at atmospheric pressure. Prior to shipment, Subcontractor shall enclose the Particle Free Cart in a double layer plastic bag. Subcontractor shall apply care to the hose which shall also be covered in a double layer of plastic bag.

Subcontractors packing, shipping container, and transport method must ensure parts are not damaged in transit.

5 Quality Assurance Requirements

SLAC incorporates a graded approach to procurement actions at a level of rigor commensurate with the risk associated with the intended use or application of the procured item. To meet project quality assurance mandates, Subcontractor shall adhere to Subcontractor Procurement Quality Control Requirements specified in Appendix A for purchases of items outlined in this subcontract.

The Particle Free Cart shall be designed and manufactured in accordance with generally applied quality standards and techniques.

If Subcontractor has a QAP system currently certified to ISO 9001 requirements, elements of the QAP may be satisfied by specific reference to the appropriate ISO document.

SLAC reserves the right to have representatives witness any and all fabrication stages, tests, and inspections under the QAP program to demonstrate compliance with specification requirements.

6 Technical Reviews

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6.1 Kick-off Meeting (KOM)

A Project Kick-Off Meeting shall be scheduled within one (1) week or no later than one (1) month after contract award. Subcontractor shall lead the KOM with SLAC representatives and include discussion of the following:

• Technical objectives, requirements, and specifications

• Definition of the particle cart control system and interlocks

• Project schedule, to include all required formal Technical Reviews and deliverables specified in this Statement of Work, including final design review of control system

• Material procurement plan

• Subcontracting quality assurance plan

• Fabrication, cleaning, assembly, inspection and test plans, and documentation status

• Identification of SLAC Mandatory Inspection Points (MIPs)

• Assessment of risk areas, issues, and concerns

• Shipping Plan

• Resolution of any identified quality concerns

At SLAC’s discretion for the duration of the subcontract, weekly or bi-weekly web-based meetings will be held to review project progress. Meeting minutes will be recorded and delivered to the project team within one (1) week.

6.2 Project Milestone Reviews

Before release of design documents for production purposes, Subcontractor shall provide for one or more Project Milestone Reviews to ensure all subcontract technical requirements have been sufficiently addressed. The number of reviews and intended scheduling shall be part of the negotiated subcontract project plan. Reference a more thorough description of Project Milestone Review expectations included in Appendix A.

6.3 Production Readiness Review (PRR)

Subcontractor shall hold a Production Readiness Review with SLAC representatives compatible with the project development schedule. All PRR documentation shall be approved by SLAC prior to the start of production. Meeting minutes and any resulting action items will be recorded and delivered to the project team within one (1) week. PRR will not be deemed complete until all action items are closed and/or resolved. Reference a more thorough description of PRR expectations included in Appendix A.

6.4 Pre-Ship Review (PSR)

Subcontractor shall prepare for and conduct a Pre-Ship Review. Subcontractor shall provide acceptance verification documentation 1 week prior to shipment. SLAC will review the documentation for conformance to the engineering specification document and SOW and may require an on-site Pre- Ship Review to determine acceptability of the unit for delivery. Subcontractor shall not ship any item without prior authorization or consent from SLAC Technical Representative.

All relevant inspections and factory acceptance tests must be complete, successful, and fully documented prior to shipment. Reference a more thorough description of PSR expectations included in Appendix A.

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7 Hold Point Data

The QAP shall provide for “Hold” and/or “Witness” points. The proposed points shall be submitted by SLAC at or prior to the Production Readiness Review. The “Hold” and/or “Witness” points shall be designated on the applicable documentation so that there is provision for a signoff by the designated inspection personnel (SLAC and the SUBCONTRACTOR) to assure completion as well as proper sequencing of the required work.

8 Project Management

Subcontractor shall actively manage all matters relating to the performance of this subcontract to ensure that all performance, schedule, and quality objectives are fully met. A single individual at Subcontractor’s company shall be assigned to serve as the Project Manager of this subcontract. The Project Manager shall act as the single point of contact with SLAC on all technical and programmatic matters. Monthly (or as required) teleconferences between SLAC and Subcontractor shall be held at a mutually scheduled time. The discussion shall address Subcontractor’s design, documentation, and/or fabrication progress, technical and contractual questions, material status, tooling and test equipment status, resources, manufacturing issues, and/or other relevant topics.

Subcontractor shall establish and apply a project control system to track progress towards pre-established, measurable goals. Subcontractor shall develop and share a detailed project schedule, including milestones, with SLAC at the KOM, or within thirty (30) days of subcontract award.

Subcontractor shall identify and explain any problems with subcontract performance and identify appropriate corrective actions. Any item that has immediate effect on technical performance, schedule, cost, or delivery shall be brought to the attention of the SLAC Subcontract Representative within one

(1) business day. In the event SLAC determines that project success is in jeopardy because of technical, cost, schedule, or quality shortfalls, SLAC reserves the right to conduct special project reviews or audits at the Subcontractor’s facility.

9 Deliverables and Submittals Table

In addition to end item (hardware and/or software) deliverable(s) that is/are the centerpiece of this procurement, the following subcontract obligations shall be delivered to SLAC. Subcontract completion can only be achieved via SLAC acceptance and approval of each item.

Item Technical Review / Deliverable Requirement Completion Date

1 Kick-Off Meeting (KOM) ARO + 2 weeks

1.a Project Schedule ARO + 2 weeks

1.b Material Procurement Plan ARO + 2 weeks

1.c Subcontractor Quality Assurance Plan ARO + 2 weeks

1.d Fabrication, assembly, inspection, test, and documentation plans

ARO + 2 weeks

1.e Preliminary Risk Assessment ARO + 2 weeks

2 Project Progress Review Meetings Every other week

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2.a Project Schedule Updates At progress meetings

2.b Project Discrepancy Reports, including Corrective Action Plans

At progress meetings, unless urgent, then within 1 business day

2.c Meeting Minutes 1 week following each meeting, including KOM

2.d Field Change Requests As required

2.e Risk Analysis/Mitigation Plans PRR minus 15 working days

2.f Requirements Specifications PRR minus 15 working days

3 Production Readiness Review (PRR) Prior to start of production

3.a Engineering Models/Documentation PRR minus 15 working days

3.b Analyses PRR minus 15 working days

3.c Engineering Test Results PRR minus 15 working days

3.d Preliminary Production Plan PRR minus 15 working days

3.e Production and Delivery Schedule PRR minus 10 working days

3.f Material Procurement/Inventory Control plans PRR minus 10 working days

3.g Safety Assessments PRR minus 15 working days

3.h Final Drawings PRR minus 10 working days

3.i Manufacturing Plan/Procedures/Specifications PRR minus 10 working days

3.j Quality Assurance/Quality Control Procedures PRR minus 10 working days

3.k Inspection and Factory Acceptance Test Plans/Procedures

PRR minus 10 working days

3.l Shipping Plan PRR minus 10 working days

4 Pre-Ship Review (PSR) Prior to shipment, as negotiated with SLAC

4.a Packaging Plan/Procedure PSR minus 30 calendar days

4.b Handling Plan PSR minus 30 calendar days

4.c Final Shipping Plan PSR minus 30 calendar days

4.d Shipping Schedule PSR minus 30 calendar days

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4.e Inspection and Factory Acceptance Test Results PSR minus 30 calendar days

4.f Packing List PSR minus 30 calendar days

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10 Appendices

10.1 Appendix A, Subcontractor Quality Control Requirements

APPENDIX A: Subcontractor Quality Control Requirements

The following Quality Control Requirements that are marked in the checklist below shall be provided by the Subcontractor:

Quality Program & Traceability Requirements:

☒ QC-01 Documented Quality Assurance Program

☐ QC-02 Design/Change Control for SUBCONTRACTOR Provided Design

☒ QC-02A Design/change control for SLAC Provided Design

☐ QC-03 Qualification and Certification of Personnel and Staff

☐ QC-04 Traceability–Item

Certification and Documentation Requirements:

☒ QC-05 Certificate of Conformance (CoC)

☒ QC-06 Certification of Calibration of Delivered Equipment

☒ QC-06A Certification of Calibration for SUBCONTRACTOR Measuring & Test

☐ QC-07 Certified Material Test Reports (CMTR)

☐ QC-08 Certificate of Analysis (CoA)

☐ QC-09 Shelf-Life Certifications/Storage Requirements

☐ QC-10 Manufacturer’s Certificate of Proof Test (hoist, rigging, lifting devices)

☒ QC-11 Manufacturing, Maintenance, Repair, Inspection and/or Test Procedures

☒ QC-12 Inspection, Examination, and Test Reports

☒ QC-13 Special Process Procedures (welding, heat treating, chemical cleaning, etc.)

☒ QC-14 Engineering Drawings

☒ QC-15 Manuals/Instructions

Inspection and Acceptance:

☐ QC-16 First Article Inspection/Review

☒ QC-17 Source Inspection

☒ QC-18 Factory Acceptance Test

☐ QC-19 Receipt Inspection (at SLAC)

☒ QC-20 Final Acceptance Test (at SLAC)

Surveillance:

☒ QC-21 SLAC’s Right of Access to SUBCONTRACTOR’s Facility for Inspection (Visit)

☐ QC-22 SLAC’s Right of Access to SUBCONTRACTOR’s Facility for Communication and

Oversight (Resident) Miscellaneous:

☐ QC-23 Design Review

☒ QC-24 Production Readiness Review

☒ QC-25 Pre-Ship Review

☒ QC-26 Nonconformance Reporting (NCR)

☒ QC-27 Corrective Action Reports (CAR)

☒ QC-28 Suspect/Counterfeit Items [required for all items regardless of QL]

☒ QC-29 Serialization and Marking

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☒ QC-30 Handling, Storage, Shipping, and Packaging (identify any special requirements in QC-

31 Other)

☒ QC-31 Other (Provide comment/remarks identifying additional information to be addressed by SUBCONTRACTOR)

10.2 Appendix B, Quality Clauses Description

APPENDIX B: Quality Clauses Description

QC-01 DOCUMENTED QUALITY ASSURANCE PROGRAM

SUBCONTRACTOR’s Quality Assurance (QA) Program is required to be evaluated for the capability of providing items/services in accordance with subcontract technical and quality requirements prior to contract award. It will be required to be approved by SLAC prior to the start of work as further defined/controlled in the subcontract.

SUBCONTRACTOR will perform all work under this subcontract in accordance with its approved QA Program and further will notify SLAC of any quality affecting changes made to its QA Program, which may require follow-on re-evaluation/re-approval by SLAC.

SUBCONTRACTOR’S QA Program shall be subject to ongoing evaluation and monitoring by SLAC.

SUBCONTRACTOR agrees to provide SLAC the right and access to conduct audits of SUBCONTRACTOR’S quality systems and verify compliance with subcontract requirements.

SUBCONTRACTOR is responsible for flowing down the quality assurance requirements of this subcontract to its lower tier-subcontracts/suppliers.

QC-02 DESIGN/CHANGE CONTROL FOR SUBCONTRACTOR PROVIDED DESIGN

SUBCONTRACTOR shall provide design detail that is organized, well-defined, well-documented, verified, controlled, and managed throughout the subcontract life cycle. SUBCONTRACTOR shall maintain configuration control of design and design-related documentation following a baseline approval and acceptance. Subsequently, proposed design changes shall be fully described, documented, reviewed, and approved by SUBCONTRACTOR’s authorized knowledgeable and technical authorities, then incorporated into the documentation record following approval. A record of revisions shall apply to each official document to trace applicability throughout the subcontract life cycle.

QC-02A DESIGN/CHANGE CONTROL FOR SLAC PROVIDED DESIGN

SUBCONTRACTOR shall implement the SLAC provided design for the work involved. Design questions and design change requests must be transmitted to the SLAC via formal documents such as Requests for Information (RFI), Field Change Requests (FCR), or equivalent. No design changes will be implemented unless formally approved by the SLAC via Engineering Change Notice (ECN) or other equivalent controlled document.

QC-03 QUALIFICATION AND CERTIFICATION OF PERSONNEL AND STAFF

SUBCONTRACTOR’s personnel and staff shall have the training, experience, qualifications, and certifications necessary for the work to be performed as required by industry standards, as well as any additional requirements specified in this subcontract. Qualification and certification records shall be available for review by SLAC upon request.

QC-04 TRACEABILITY–ITEM

SUBCONTRACTOR shall have the capability of tracing items to both the documentation and the raw material from which the item was fabricated. All documentation and records used for traceability shall be available for review by SLAC upon request.

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QC-05 CERTIFICATE OF CONFORMANCE

SUBCONTRACTOR shall provide a Certificate of Conformance (CoC) for each of the items procured through this subcontract. SUBCONTRACTOR personnel must assure that CoC are verified for compliance with the technical and quality requirements stated in the subcontract. Each CoC shall be from SUBCONTRACTOR and/or Manufacturer, shall identify SLAC’s subcontract number, and shall state that the item conforms in all respects with subcontract/manufacturer requirements, which may include any applicable specifications, drawings, marking requirements, part/serial/model number identification, or codes/standards that the item is certified to. Each CoC shall be signed and dated by an authorized representative as defined by the SUBCONTRACTOR/Manufacturer’s quality assurance program.

QC-06 CERTIFICATION OF CALIBRATION FOR DELIVERED EQUIPMENT

SUBCONTRACTOR shall submit with each instrument/system, a certification that the instrument/system has been calibrated and is ready for use. If separately stated in the procurement documents, such calibrations and associated calibration certificates shall have a pedigree of accreditation (e.g., A2LA, NVLAP, ACLASS, DKD, etc.) specified and provided by the SUBCONTRACTOR. The certification shall contain, as a minimum, the description and/or part/model number of the instrument/system, including any applicable serial numbers; identification of the standards, calibration date(s), and/or equipment used for the calibration; when appropriate, the as-found and as-left data with measurement uncertainties; and a statement that the calibration of the standards and/or equipment used is traceable to the National Institute of Standards and Technology (NIST) or other industry recognized and accepted national or international standard. The certification shall contain the signature and title of an authorized SUBCONTRACTOR representative.

SUBCONTRACTOR shall maintain records that provide traceability of calibrations for a minimum of one year from the date of completion of this subcontract. Such records shall be available for review by SLAC upon request.

QC-06A CERTIFICATION OF CALIBRATION FOR SUBCONRACTOR MEASURING & TEST

EQUIPMENT

For any SUBCONTRACTOR Measuring & Test Equipment (M&TE) that provides measurement on the production and acceptance of SLAC’s items/processes is by design required to be calibrated.

SUBCONTRACTOR shall maintain records that provide traceability of analytical results and instrument calibrations to the National Institute of Standards and Technology (NIST) for a period of one year from the date of completion of this subcontract. SUBCONTRACTOR shall provide copies of all current calibration documentation associated with SUBCONTRACTOR M&TE for SLAC to review upon request.

QC-07 CERTIFIED MATERIAL TEST REPORTS

SUBCONTRACTOR shall provide to SLAC, with and prior to the first shipment, a Certified Material Test Report (CMTR) for the material(s) used in the production of the specified subcontract deliverable. The CMTR must report physical and/or chemical properties, any test(s) performed, and any other technical evaluations invoked for the material type. The CMTR shall be traceable to the materials via heat/batch/manufacturer's lot numbers, or other identification method. Reporting shall conform with any referenced national and international standards. The CMTR shall be signed and dated by an authorized representative as defined by the SUBCONTRACTOR/Manufacturer’s quality assurance program.

QC-08 CERTIFICATE OF ANALYSIS

SUBCONTRACTOR shall provide to SLAC, with and prior to shipment, a Certificate of Analysis (CoA) for the material(s) supplied, including any associated Material Safety Data Sheets (MSDS’). The CoA shall include:

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1. Name of chemical/product

2. Purchase Order # and/or Lot # traceable to purchase document and/or chemical container

3. Name and address of facility manufacturing/supplying product

4. Quantity of certified material

5. Analyzed concentration/purity

6. Analytical accuracy

7. Date of manufacture and/or date of shelf-life expiration (only applicable for items which are identified by the manufacturer as having an expiration date)

8. Signature and date of SUBCONTRACTOR’S certifying authority

QC-09 SHELF-LIFE CERTIFICATIONS/STORAGE REQUIREMENTS

SUBCONTRACTOR shall have an effective storage and age control system for items whose acceptability is limited by its age or manner of storage. The control system must include a method of identifying the age of such items and provisions for the rotation and purging of stock. Items provided with a designated shelf life must be marked or have their packaging marked with cure/manufacturing dates or expiration dates. At the time of receipt, the material shall not have less than 85% (allowing for rounding to whole months) of its shelf life remaining without prior written approval from SLAC.

SUBCONTRACTOR shall provide shelf-life information on certification documents and any applicable special storage and handling instruction.

QC-10 MANUFACTURER’S CERTIFICATE OF PROOF TEST

SUBCONTRACTOR shall provide to SLAC, with and prior to each shipment, a “Certificate of Proof Test” that is traceable to the item by serial/part/model number being shipped. A proof test successfully verifies construction and workmanship of hoisting, rigging, and lifting devices via application of a specified nondestructive testing. The certificate shall be signed and dated by an authorized representative as defined by the SUBCONTRACTOR/Manufacturer’s quality assurance program.

QC-11 MANUFACTURING, MAINTENANCE, REPAIR, INSPECTION AND/OR TEST PROCEDURES

SUBCONTRACTOR shall submit to SLAC upon request for review written procedures, checklists, and/or travelers prior to manufacturing, maintenance, and/or repair activity that will be performed to conform to the requirements of this subcontract.

SUBCONTRACTOR shall submit written detailed inspection and/or test procedures for approval prior to inspection and testing that will be performed to verify that the items to be supplied conform to the requirements of this subcontract. The Inspection and Test Plan shall clearly indicate the inspection and test environments, durations, procedures, inspection and test configurations, Hold/Witness points, pass/fail criteria, etc. for each item to be verified.

QC-12 INSPECTION, EXAMINATION, AND TEST REPORTS

SUBCONTRACTOR shall provide to SLAC, with and prior to each shipment, all reports of on-site testing/inspections/examinations and test results applicable to a hardware or software subcontract deliverable. The reports shall be traceable to the subcontract number, item part/model/serial number identification (where applicable), and/or system description (when items are tested/inspected as part of an overall integrated system).

QC-13 SPECIAL PROCESS PROCEDURES

SUBCONTRACTOR'S special process procedures as applicable to a work activity shall be made available for SLAC’S review upon request. Special processes (e.g., welding, brazing, bonding, plating, Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 14 of 18 chemical machining, heat-treating, radiographic inspection, ultrasonic testing, pressure leak testing, waste processing, etc.) shall be performed in accordance with written procedures or instructions.

SUBCONTRACTOR shall maintain a system of process sheets, shop travelers, or equivalent means to define the sequence of manufacturing, inspection, installation, and test activities to be performed.

SUBCONTRACTOR shall provide the qualification/certification of personnel, prior to their assignment, to ensure competence in the use of the special process and associated procedures or specifications.

Qualification/certification records of SUBCONTRACTOR personnel who will be performing special process operations shall be available to SLAC for review upon request. Only those personnel that have been qualified to perform a specific special process shall be used to perform that process.

QC-14 ENGINEERING DRAWINGS

SUBCONTRACTOR shall provide to SLAC, with and prior to completion of design deliverables, prior to fabrication if required by the procurement documents, or with and prior to the shipment of any applicable items, engineering drawings detailing the design of the items/systems required by this subcontract. Drawing submittals shall meet the drawing standards (e.g., ASME Y14.100, ASMEY14.5, or another acceptable equivalent standard) and be traceable to the associated item. For authorized items, this requirement may be satisfied by inclusion of existing drawings in a technical operations/maintenance manual.

QC-15 MANUALS/INSTRUCTIONS

SUBCONTRACTOR shall submit manuals/instructions or other related documents associated with the items provided under subcontract. They may include applicable drawings/sketches; part/model numbers; recommended spare and replacement parts; information required for ordering, storage, and safety; installation/test instructions and operating and maintenance procedures. Manuals/instructions shall be written in clear, concise language, readily understood by a technician or craftsman and shall conform to any available industry standard(s) for the preparation of such documents.

QC-16 FIRST ARTICLE INSPECTION/REVIEW

SUBCONTRACTOR shall demonstrate to SLAC’s satisfaction that the first production article of a subcontract deliverable conforms to the requirements of this subcontract. First article acceptance may follow a series of product analyses, inspections, demonstrations, or tests, and will likely require accompanying engineering documentation (drawings, travelers, specifications, analyses, technical reports, software datasheets, certifications, etc.). One or more reviews may be held to communicate the steps taken to satisfy subcontract technical expectations. SUBCONTRACTOR shall obtain SLAC’s written approval/authorization of the first article prior to proceeding with production of remaining like items.

QC-17 SOURCE INSPECTION

In addition to other reviews or inspections, SLAC shall inspect the supplies covered by this subcontract at its source. This may include any step in the process of manufacturing, assembly, inspection, testing, and preparation for shipment. Particular emphasis may be placed on the SUBCONTRACTOR's identified critical processes, product inspections, and tests. To facilitate this potential source inspection, SUBCONTRACTOR shall notify SLAC of its readiness at least ten (10) working days before the negotiated date on which the source inspection is anticipated to begin.

QC-18 FACTORY ACCEPTANCE TEST

SUBCONTRACTOR shall submit a factory acceptance test plan to SLAC for approval at least thirty (30) days prior to the start of factory acceptance tests. SUBCONTRACTOR shall provide factory acceptance test reports following completion of testing. Reports shall be certified by the SUBCONTRACTOR’s Quality Assurance Manager, identifying conformance with deliverable physical and functional

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 15 of 18 requirements, recorded non-conformances, and authorized re-inspection/re-test results.

SUBCONTRACTOR shall obtain SLAC’s written acceptance of all required inspection and test results prior to product shipment.

QC-19 RECEIPT INSPECTION (at SLAC)

SLAC shall ensure that delivered items are fully inspected upon receipt at SLAC. Inspections shall confirm that the deliverable meets all subcontract physical requirements, and that the deliverable was received in good condition. Product acceptance (or rejection), including a full delineation of any non-conformances, shall be provided to SUBCONTRACTOR within fifteen

(15) days of receipt.

QC-20 FINAL ACCEPTANCE TEST (at SLAC)

Following delivery, SLAC reserves the right to perform any or all final acceptance tests required to verify that the purchased item(s) conform(s) to the requirements in this subcontract. Tests shall be completed within forty-five (45) working days of delivery. Failure of any tests sanctioned to legitimately certify performance will deem the purchased item(s) unacceptable. SLAC will return the purchased item(s) to SUBCONTRACTOR for repair or replacement at no cost to SLAC. Shipping costs of return and replacement shall be at the SUBCONTRACTOR’S expense.

QC-21 SLAC’S RIGHT OF ACCESS TO SUBCONTRACTOR’S FACILITY (VISIT)

SLAC reserves the right to send its representatives to visit SUBCONTRACTOR's facilities, on a non-resident basis, for surveillance and audit purposes. Such visits are intended to assure/verify SUBCONTRACTOR's conformance to the technical requirements of this subcontract, including test and inspection requirements, and all applicable quality assurance requirements. SLAC’s personnel shall be allowed full access to: (1) witness all operations/tests involved in the performance of this subcontract;

and (2) all records pertaining to the subcontract. Reasonable advance notice (minimum 24 hours), in writing, shall be provided to SUBCONTRACTOR prior to any such visits. SUBCONTRACTOR shall flow down this requirement for SLAC's right of access to all lower-tier subcontractors and suppliers.

QC-22 SLAC’s RIGHT OF ACCESS TO SUBCONTRACTOR’S FACILITY (RESIDENT) SLAC, at its discretion, may assign and station resident representatives at SUBCONTRACTOR's facility to provide program coordination and to regularly monitor subcontract progress. These representatives will assist in expediting actions between SLAC and SUBCONTRACTOR and will ensure program progress meets technical, cost, and schedule expectations. The resident representatives shall have access to all areas and all information directly related to the scope of the assigned subcontract. SUBCONTRACTOR agrees to provide appropriate office space and communication facilities for such representatives at no additional cost to SLAC.

QC-23 DESIGN REVIEW

SUBCONTRACTOR shall include SLAC in each design review scheduled for engineered subcontract deliverables to demonstrate that the design shall meet SLAC’s requirements. SUBCONTRACTOR shall notify SLAC of plans to conduct a design review conference at least fifteen (15) working days before the date on which the conference is scheduled or as indicated in the subcontract. The notification shall include the proposed conference agenda and one reproducible copy of each document that is intended to substantiate design definition. The extent to which design definition is prescribed is dependent on the level of design maturity. The following represents typical documentation that shall be provided to SLAC at least fifteen (15) working days prior to the design review:

• Design requirements

• Design/Installation drawings, models, schematics, algorithms

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• Performance analyses

• Prototype test results

• Reliability/maintainability analyses

• Safety hazards assessment

• Risk analysis and risk mitigation strategies

• Preliminary production plan

• Cost/schedule status

QC-24 PRODUCTION READINESS REVIEW

SUBCONTRACTOR shall perform a Production Readiness Review (PRR) to provide assurance that production design is proven complete and adequate; all necessary plans, procedures, design documentation, and resources are in place; and the SUBCONTRACTOR facility is ready for the start of manufacturing. SUBCONTRACTOR shall not proceed into manufacturing until completion of the PRR and written approval has been provided by SLAC.

The SUBCONTRACTOR shall provide the following documentation to SLAC at least ten (10) working days prior to the PRR:

• Production and Delivery schedule

• Material Procurement/Inventory Control plans

• Final Drawings

• Manufacturing Plan, including all procedures and SLAC Mandatory Inspection Hold Points

• Inspection and Test plans, in accordance with the Subcontractor Quality Control

Requirements detailed under Appendix A

• Quality Assurance Plan, in accordance with the Subcontractor Quality Control Requirements detailed under Appendix A.

• Shipping Plan, including packaging, marking, handling, shipping method and courier selection details.

QC-25 PRE-SHIP REVIEW

Status of preparations for shipment and delivery shall be reviewed at least thirty (30) days prior to shipment. SUBCONTRACTOR shall only ship articles under written SLAC authorization following any Pre-Ship Review. The need for follow-on or ongoing Pre-Ship Reviews will be routinely assessed throughout the production effort. The following Shipping Plan detail shall be addressed during the Pre- Ship Review:

• Handling, storage, and packaging, including markings, shall be conducted in accordance with established work and inspection instructions, drawings, specifications, or other pertinent documents or procedures specified for use in conducting these activities.

• Items shall be packaged and shipped in a way that protects while in transit.

• Packaging shall incorporate appropriate lifting or hoisting accommodations, limitations on transportation shock loads, application of necessary environmental sensors, and all appropriate

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 17 of 18 handling warnings or notifications. Provision shall be made for ergonomically friendly content removal.

• Shipping content shall be inspected prior to packaging. Packaging slip including shipper and consignee name, address, and contact details; net and gross weights, dimensions, and contents of all shipping pieces; part/serial number of included unit(s), etc. shall either be included inside or taped to the outside of the package.

• Appropriate markings, including center-of-gravity, weight, “Fragile”, “This side up”, “Do not get wet”, etc. shall be clearly displayed on packaging exterior surfaces.

• Shipping Label information (address and Point of Contact) shall be confirmed with SLAC at least fifteen (15) days prior to the PSR.

• Appropriate shipping method and courier shall be disclosed.

• Shipping schedule shall be communicated.

QC-26 NONCONFORMANCE REPORTING

SUBCONTRACTOR shall evaluate and notify SLAC of each nonconformance against contractually agreed upon engineering, inspection, or test requirements within three (3) working days of the discovery. This includes, but is not limited to, nonconformance with documentation requirements and technical or material requirements. Notice of a nonconformance shall consist of a written description of the nonconformance, an assessment of the cause and the proposed disposition/corrective action, including an explanation and technical justification for any proposed Use-As-Is or Repair dispositions.

In cases where the SUBCONTRACTOR proposes a Use-As-Is or Repair disposition, the disposition of the nonconformance must be evaluated, accepted, and approved by SLAC. Documentation of Use-As- Is or Repair nonconformance shall be submitted by SUBCONTRACTOR to SLAC through a formal/controlled method. All records of nonconformance shall be maintained by the SUBCONTRACTOR and shall be made available for review at SLAC’s request. SUBCONTRACTOR shall allow the return of any materials determined by SLAC to be nonconforming as a result of SLAC’s receipt inspection or final acceptance test.

QC-27 CORRECTIVE ACTION REPORTS

SUBCONTRACTOR shall provide SLAC with a written plan for addressing a corrective action request/requirement, within five (5) working days of corrective action receipt or identification.

SUBCONTRACTOR shall follow-up with a corrective action report, identifying actual corrective action(s) taken, within 30 calendar days of the event, unless otherwise negotiated with SLAC. Prior to implementation, corrective actions will be evaluated and approved by SLAC to ensure such actions are appropriate and have been/will be effectively implemented.

QC-28 SUSPECT/COUNTERFEIT ITEMS

A suspect/counterfeit item (S/CI) is one in which there is an indication by visual inspection, testing, or other information that it may not conform to established Government or industry-accepted specifications or national consensus standards. A counterfeit item is a suspect item that is a copy or substitute, without legal right or authority to do so, or one whose material, performance, or characteristics are knowingly misrepresented by the vendor, supplier, distributor, or manufacturer.

SUBCONTRACTOR warrants that all items, including their subassemblies, components, and parts, tendered to SLAC shall be genuine (i.e., not counterfeit), new and unused, and conform to the requirements of this subcontract, unless otherwise approved in writing by SLAC prior to delivery.

SUBCONTRACTOR’s warranty certifies that labels and/or trademarks or logos affixed or designed to be affixed; items supplied or delivered to SLAC; and certifications, affirmations, information, or

Document Number: LCLSII-HE-1.3-SW-1082-R0 Page 18 of 18 documentation related to the authenticity and quality of items supplied or delivered to SLAC under this subcontract, are genuine.

SLAC shall have the right to reject deliverables, and related paperwork, as nonconforming, to deny payment for such items, or to return such items to SUBCONTRACTOR if found to be suspect/counterfeit.

QC-29 SERIALIZATION AND MARKING

The manufacturer shall serialize parts, components, subassemblies, and assemblies as required by drawings, specifications, and this subcontract. The manufacturer’s serial number control system shall ensure that the same serial number is not used more than once, across their entire product line.

Accompanying quality documents (e.g., test/inspection reports, certification documents) shall refer to any applicable serial numbers, or if more appropriate, lot numbers of the items. Serial numbers/lot numbers shall be directly marked or affixed to items. If not feasible, the item(s) shall be indirectly identified (e.g., tagged with a serial number or bagged with a requisite lot number).

QC-30 HANDLING, STORAGE, SHIPPING, AND PACKAGING

Until shipped and delivered to SLAC or authorized destination, SUBCONTRACTOR shall control and be responsible for the handling, storage, cleaning, packaging, shipping, and preservation of items to prevent damage or loss and to minimize deterioration.

SUBCONTRACTOR shall only package, mark, and ship items under a written SLAC approved Shipping Plan. If found unacceptable by SLAC, non-conforming packages shall be returned to SUBCONTRACTOR at SUBCONTRACTOR’S expense.

QC-31 OTHER

See section 4.4 for shipping requirements.