MPEX-07-SOW-05 Rev1_signed.pdf

MPEX-07-SOW-05 R1

STATEMENT OF WORK FOR A SURFACE ANALYSIS

STATION DIAGNOSTICS CHAMBER

MATERIAL PLASMA EXPOSURE EXPERIMENT

(MPEX)

Prepared by

OAK RIDGE NATIONAL LABORATORY

Oak Ridge, TN 37831-6283 Managed by

UT-BATTELLE, LLC

For the

US DEPARTMENT OF ENERGY

under contract DE-AC05-00OR22725

This report was prepared as an account of work sponsored by an agency of the United States government. Neither the United States government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States government or any agency thereof. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States government or any agency thereof.

MPEX-07-SOW-05 R1 Page 2 of 16

Material Plasma Exposure Experiment Oak Ridge National Laboratory

Statement of Work for a Surface Analysis Station Diagnostics Chamber for the

Material Plasma Exposure Experiment Project

MPEX-07-SOW-05

Author(s)

Xiao-Ying Yu, Group Lead of Advanced Nuclear Materials Date

Reviewers:

Elizabeth Vacanti, Procurement Officer Date

Milena Keys, Quality Assurance Representative Date

Aftab Hussain, MPEX Lead Engineer Date

Approver:

Craig Deibele, MPEX Diagnostics CAM Date

Distribution:

John Sanseverino, MPEX Project Director Robyn Rose, MPEX Project Manager

1nz Text Box LaTravia Harmon signing for Milena Keys, 9/18/2024

1nz Text Box Doug Curry signing for Aftab Hussain, 9/27/2024

MPEX-07-SOW-05 R1 Page 3 of 16

Material Plasma Exposure Experiment Project

Revision History

Revision Date DESCRIPTION OF CHANGE

REVISION TYPE

Major Minor

0 Jan. 20, 2024 Initial Issue ☐ ☐

1 Sept. 20, 2024 Revision 1 Issue ☐ ☐

MPEX-07-SOW-05 R1 Page 4 of 16

CONTENTS

ACRONYMS

1. INTRODUCTION

2. SCOPE

3. APPLICABLE DOCUMENTS

4. PERFORMANCE REQUIREMENTS

4.1 ACCEPTANCE CRITERIA LISTING (ACL)

4.2 SHIPPING PLAN

5. QUALITY ASSURANCE

5.1 TASK 1: QUALITY PLAN AND PROJECT SCHEDULE

5.2 TASK 2: REVIEW PERFORMANCE SPECIFICATIONS

5.3 TASK 3: PRELIMINARY DESIGN

5.4 TASK 4: FINAL DESIGN

5.5 TASK 5: DELIVER SAS DIAGNOSTICS CHAMBER

5.6 PROJECT MANAGEMENT

5.6.1 Language

5.6.2 Communications Protocol

5.6.3 Reporting

5.6.3.1 Kickoff Meeting

5.6.3.2 Schedule and Milestones

5.6.3.3 Monthly Reports

5.6.3.4 Variance Reporting

5.6.3.5 Periodic Communications

6. QUALITY ASSURANCE

6.1 QUALITY PROGRAM

6.2 ACCESS FOR SOURCE SURVEILLANCE INSPECTIONS

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6.3 SUSPECT/COUNTERFEIT ITEMS PREVENTION

6.4 SELLER REQUESTED DEVIATIONS

6.5 NON-CONFORMANCES

6.6 MEASUREMENT AND TEST EQUIPMENT

6.7 SOFTWARE QUALITY ASSURANCE

7. TRANSPORTATION

8. DELIVERABLES

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ACRONYMS

ACL Acceptance Criteria Listing

COTS Commercial Off The Shelf

DAP Delivered at Place

DESO Directorate Electrical Safety Officer

FAT Factory Acceptance Test

FIB Focused Ion-Beam

MPEX Material Plasma Exposure Experiment Project

NIST National Institute of Standards and Technology

NRTL National Recognized Testing Laboratory

ORNL Oak Ridge National Laboratory

OSHA Occupational Safety and Health Administration

PFC Plasma Facing Component

POC Point of Contact

PO Procurement Officer

QAP Quality Assurance Program

RF Radio Frequency

SAS Surface Analysis Station

SEM Scanning Electron Microscope

SOW Statement of Work

TPO Technical Project Officer

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1. INTRODUCTION

The Material-Plasma Exposure eXperiment (MPEX), a superconducting magnet, steady-state device, is being constructed at Oak Ridge National Laboratory (ORNL), going forward referred to as “the Company,” to address the harsh conditions inside a fusion reactor. This device, as designed, will have the unique feature of conducting accelerated lifetime tests of plasma facing components (PFCs), including those that have experienced neutron damage. MPEX will utilize a new high-intensity plasma source concept based on Radio Frequency (RF) technology. This source concept will allow coverage of all expected plasma conditions in the divertor of a future fusion reactor, including very high densities. It will be able to study erosion and redeposition in correct geometries with relevant electric and magnetic fields in front of the target.

After the target has been exposed to the plasma, analysis of the affected surface is essential to understanding of the effects. To maintain the integrity of the affected surface target will be kept in a vacuum environment during transportation and analysis. This analysis will be conducted in a Surface Analysis Station (SAS) Diagnostics Chamber to facilitate the study of the pristine affected surface.

2. SCOPE

This Statement of Work (SOW) applies to the procurement of the design, fabrication, and delivery of a surface analysis station. The first phase of the procurement involves the design of the SAS chamber and instruments. The second phase involves the manufacture, assembly, inspection, factory acceptance testing, packaging, and shipment of the SAS to ORNL. The third phase is installation and commissioning of the SAS at the MPEX facility of ORNL.

The “Seller” or entity that provides the SAS chamber and instrument(s) is expected to demonstrate that the SAS shall comply with the technical requirements through the design package presented at a preliminary design review and at a final design review.

3. APPLICABLE DOCUMENTS

[1] Specifications for MPEX off-device diagnostics systems (Surface Analysis Diagnostics), MPEX-07-SRD-001.

[2] Technical Specification for a Surface Analysis Station Diagnostics Chamber, MPEX-07-

SPC-03.

4. PERFORMANCE REQUIREMENTS

The Seller shall provide all necessary facilities, personnel, management, and other resources to carry out the tasks specified in this document.

The Seller shall deliver a Surface Analysis Station and associated components as specified in

MPEX-07-SPC-03 [2].

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4.1 ACCEPTANCE CRITERIA LISTING (ACL)

The ACL shall be developed and reviewed and approved by the Company (ORNL) for the components in the SAS instrument package and mutually agreed between the Seller and ORNL.

4.2 SHIPPING PLAN

A packaging and shipping plan shall be developed by the Seller and reviewed and approved by ORNL. The plan shall be coordinated with the approved ACL for ORNL to review and accept the components of the SAS instrument.

5. QUALITY ASSURANCE

5.1 TASK 1: QUALITY PLAN AND PROJECT SCHEDULE

The Seller is expected to prepare a quality plan for approval and a project schedule for the design, manufacture, test, and delivery of a SAS Diagnostics Chamber. The quality plan shall address how the Seller's Quality Program will be applied to the work in this SOW, and identify procedures and other documentation for all special processes, measurements, etc. The quality plan shall also identify any planned work to be outsourced, list the planned or expected subcontractors and Suppliers, and address how the quality requirements of this SOW shall be flowed down to these subcontractors and Suppliers.

The project schedule shall contain sufficient detail so that the Company’s Technical Project Officer (TPO) may track design, procurement, fabrication, assembly, testing, and shipping activities. The Seller shall propose milestones for tracking progress and payments including at a minimum those listed in the technical performance specification requirement document, MPEX-

07-SPC-03 [2].

The proposed milestone payment in the Seller’s schedule shall reference tangible and physical evidence of project progress. Payment milestones shall include, at a minimum, the Deliverables listed in [8]. Additional examples of evidence for payment milestones includes, but not limited to, receipt of goods ordered, physical test results with report, etc. Payment milestones are to be agreed upon prior to award of contract and will be negotiated with the Procurement Officer.

Reporting, as listed in [5.6.3] is not considered milestones for payment purposes.

Acceptance by the Company at Seller specified individual milestones neither removes the Seller from contractual obligation to adhere to the technical specification requirements in [2] nor obligates the Company from acceptance of a Seller Requested Deviation [6.4] or design change.

Successful completion of Task 1, [5.1] permits the beginning of Task 2, [5.2].

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5.2 TASK 2: REVIEW PERFORMANCE SPECIFICATIONS

The Seller shall review the performance specifications for the components identified in MPEX- 07-SPC-03 [2] and may propose deviations or changes to these specifications. The Company’s TPO shall review and approve these changes and update [2] as necessary.

Successful completion of Task 2 permits the beginning of Task 3. Both Tasks 2 and 3 shall follow the quality plan and project schedule outlined in Task 1.

5.3 TASK 3: PRELIMINARY DESIGN

With the completion of Task 2 and authorization by the TPO, the Seller shall prepare a preliminary design of the SAS describing compliance with the technical specifications given in [2]. The Seller shall prepare a preliminary design report and participate in a preliminary design review. The expectation is that the design shall be > 60% completed for the preliminary design review. The final design review shall be held by videoconference or at the Seller's site based on agreement between the Point of Contact (POC) and TPO. The Seller shall prepare written meeting minutes and submit them to the TPO for review within 3 working days after the meeting. Completion of the preliminary design review and closure of all issues or concerns shall constitute a project milestone.

The Preliminary Design Review shall include:

• Mechanical assembly drawings

• Major piece part assemblies

• Performance modeling results

• Preliminary interface descriptions and drawings

• Preliminary electrical schematics

• Preliminary control schematics

• Preliminary Bill of Materials

• Preliminary Shipping Plan

• Preliminary Test and Commissioning Plan

Successful completion of Task 3 permits the beginning of Task 4.

5.4 TASK 4: FINAL DESIGN

After completion of Task 3 and approval by the TPO, the Seller shall prepare a final design of the SAS Diagnostics Chamber demonstrating compliance with the specifications given in MPEX-07-SPC-03 [2]. The Seller shall prepare a final design report and participate in a final design review. The final design review shall be held by videoconference or at the Seller's site based on agreement between the POC and TPO. The Seller shall prepare written meeting minutes and submit them to the TPO for review within 3 working days after the meeting. The

MPEX-07-SOW-05 R1 Page 10 of 16 expectation is that the Seller shall be ready for manufacturing upon approval of the final design.

Completion of the final design review and closure of all issues or concerns shall constitute a project milestone.

The final design review shall consist of:

• Addressing findings from Preliminary Design Review

• Final performance modeling

• Final mechanical drawings

• Final interface definitions

• Final electrical schematics

• Final control schematics

• Chamber design information including Scanning Electron Microscope (SEM), Plasma

Focused Ion Beam (FIB), X-Ray, ion column, detector, and Camera specifications

• Address planned major item procurements

• Factory Acceptance Test Plan review

• Commissioning and Site Acceptance Test Plan review

• Service Contract review

• Final Shipping Plan

Successful completion of Task 4 permits the beginning of Task 5.

5.5 TASK 5: DELIVER SAS DIAGNOSTICS CHAMBER

Upon successful completion of Task 4 and with authorization of the TPO, the Seller shall fabricate, assemble, test, and deliver the SAS Diagnostics Chamber in accordance with the approved final design from Task 4 meeting the specifications in MPEX-07-SPC-03 [2]. The Seller shall provide installation supervision and commissioning support at the Company's site, including participation in the site acceptance testing.

Final acceptance of the SAS Diagnostics Chamber shall occur upon successful completion of the site acceptance tests at the Company's facility.

5.6 PROJECT MANAGEMENT

5.6.1 Language

All communications and documentation shall be in English.

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5.6.2 Communications Protocol

The Seller shall designate an official single POC to interface with the Company’s TPO. Only the Company’s Procurement Officer (PO) can authorize changes to the price or work scope. SOW or Technical Specification updates can only be issued to the Seller by the Company's TPO.

Problems encountered or anticipated shall be communicated as soon as practical.

5.6.3 Reporting

5.6.3.1 Kickoff Meeting

The kickoff meeting shall be scheduled at a mutually agreed time as soon as practical after award of the subcontract. The Seller is responsible for recording meeting minutes and submitting them to the TPO within 3 working days after the meeting.

The primary purpose for the kickoff meeting is to confirm that the project participants understand the terms and conditions of the subcontract, SOW, specifications, and work activities.

The following topics, at a minimum, shall be discussed:

• Flow down of requirements.

• Work activities, schedules, and deliverables

• Expectations for satisfying quality standards and documentation

5.6.3.2 Schedule

At a minimum, the schedule shall include the following activities.

• Delivery date

• Quality plan

• Early draft mechanical, electrical, and controls interface drawings released

• Preliminary Design Review

• Preliminary Design Review findings updated

• Final Design Review

• Final Design Review findings updated

• Vacuum chamber ordered or fabrication started

• SEM ordered or fabrication started

• Plasma FIB ordered or fabrication started

• X-ray ordered or fabrication started

• Ion column ordered or fabrication started

• Detector(s) ordered or fabrication started

• Camera ordered or fabrication started

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• Commence assembly of diagnostics equipment into vacuum chamber

• Commence control systems and electrical assembly

• Complete assembly of diagnostics equipment into vacuum chamber

• Complete control systems and electrical assembly

• Complete checkout of controls

• Complete diagnostics systems checkout

• Factory Acceptance Tests

• Prepare for shipment and provide installation guide to the Company

• Complete installation at the Company site

• Perform final acceptance testing as outlined in the Test Plan at the Company site

• Verify performance meeting specifications

• Train the Company’s instrument custodian staff following the Seller’s standard operating procedure

• Transfer the Seller’s user manual to the Company

• Complete final documentation

5.6.3.3 Monthly Reports

Monthly reports shall be submitted by the third working day of each month or on the Seller’s usual reporting schedule as mutually agreed between the TPO and the Seller’s designated POC.

Monthly report data shall include actual schedule progress, milestones achieved, corrective actions needed, display of the present critical path for the Seller’s work, a brief expense summary, and a brief narrative describing the status of work, significant accomplishments, actual and potential problems and risk mitigations or corrective actions.

5.6.3.4 Variance Reporting

The Seller shall notify the TPO and the PO immediately in writing when it is determined the actual cost may exceed the Agreement price. In no case shall the Seller continue work without authorized funding if it is determined that actual cost may exceed the Agreement price.

5.6.3.5 Periodic Communications

The Seller shall participate in a bi-weekly phone conference to be held with the Company’s TPO to discuss any technical issues and schedule, personnel, and any other items pertinent to the work activities. The bi-weekly phone conference shall serve as a mechanism to get early visibility of potential problems and issues arising during the performance of this subcontract. The Seller shall prepare written meeting minutes and submit these to the TPO for approval within 3 working days after the phone conference.

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6. QUALITY ASSURANCE

6.1 QUALITY PROGRAM

The Seller shall have a Quality Assurance Program (QAP) that, at a minimum, is ISO 9001 certified, but preferably compliant with NQA-1 2008/2009a or equivalent. The Seller shall be able to demonstrate that they can fulfill the quality assurance requirements in this SOW and in MPEX-07-SPC-03 [2]. At a minimum, the prospective Seller shall have an established, documented, and effectively implemented quality assurance program describing controls for:

work processes (controlled by instructions/procedures), personnel training and qualification, document and records control, design, procurement, inspection, and testing; including the use of measuring and test equipment when used, corrective action, and issues management.

The work shall also be suited for the intended application and function, shall perform correctly in accordance with any specifications or preliminary testing results, shall be in accordance with applicable laws, and shall be complete, correct, and otherwise free from errors, omissions, faults, or defects in design, workmanship, and materials.

Prior to subcontract award, the seller’s QAP shall be evaluated to determine the degree of effective implementation of the quality program. Deficiencies, if any, identified during the evaluation shall be addressed and corrected to the satisfaction of the Company prior to award.

All suppliers/sub-suppliers, subcontractors, and fabricators (as applicable) shall have a Quality Assurance Program that meets or exceeds the requirements listed above.

6.2 ACCESS FOR SOURCE SURVEILLANCE INSPECTIONS

As part of the Company’s quality assurance program, the Company reserves the right to perform source surveillance activities at the Seller’s facility or any sub-tier seller facility that the Company determines necessary to ensure that quality objectives are met.

6.3 SUSPECT/COUNTERFEIT ITEMS PREVENTION

The Seller’s QAP must include an S/CI Program that is compliant with DOE O 414.1D, Quality Assurance or approved equivalent.

6.4 SELLER REQUESTED DEVIATIONS

The Seller may propose any deviations to the specifications, drawings, or other technical requirements and obtain ORNL’s approval prior to invoking the deviation. Any Deviation Requests arising from the fabrication phase shall adhere to the Seller's Quality Program procedure and must be approved by ORNL.

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6.5 NON-CONFORMANCES

When a nonconformance is identified, the Seller shall notify the Company TPO to determine what actions are required and document the nonconformance following the Seller's Quality Program procedure. All nonconformances shall be summarized in the Final Report. Items that do not conform to specified requirements shall be controlled to prevent inadvertent installation or use. Controls shall provide for identification, documentation, evaluation, segregation when practical, disposition of the nonconforming items, and for notification to the Company.

6.6 MEASUREMENT AND TEST EQUIPMENT

Tools, gages, instruments, and other measurement and test equipment used for activities affecting quality shall be controlled, calibrated at specified periods, adjusted, and maintained to required accuracy specifications.

Measurement and test equipment used by the Seller to perform work in accordance with this Statement of Work must be calibrated and traceable to NIST standards. Calibrations must be current. Calibration records must be provided to the Company.

The Nationally Recognized Testing Laboratory (NRTL) is an independent organization that was created by the Occupational Safety and Health Administration (OSHA) to ensure equipment be tested and certified for their safe use in the work. Equipment to be provided by the Seller must meet NRTL inspections and certification by the Company’s Directorate Electrical Safety Officer (DESO) and qualified electrician. The equipment and main components should be properly recorded and marked after NRTL certification.

6.7 SOFTWARE QUALITY ASSURANCE

General Requirements (all deliverables):

The following shall be provided by the supplier (within the performance period of the contract):

1. Supplier shall provide formal on-site, off-site, or on-line training for users, as/if requested.

2. Supplier shall provide a process to notify users of defects, new releases, or issues that impact the operation of the software. Supplier shall also provide a process to allow users to report defects and request assistance in operating the software. Supplier shall provide feedback on problem resolution for reported defects.

3. Supplier shall label new releases and upgrades of the software to allow unique identification of changes by revision.

4. Supplier shall provide assurance of the software quality by allowing an external assessment of their SQA program or providing evidence of the software quality via (a) self-declaration that the software meets the intended quality, (b) third-party certification, or (c) acceptance based on key characteristics (e.g., large user base).

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All documents provided as Submittals shall be uniquely numbered and the number applied to the document.

Documents and the supporting work shall be provided in both pdf and native (e.g., MS Word, Excel, Solidworks) format.

Documents submitted shall be legible, and of a quality and type which is capable of being reproduced.

Company’s participation in any reviews of Submittals, inspections, or Acceptance does not relieve Supplier of its obligation to provide deliverables which are following the requirements of the Purchase Order.

7. TRANSPORTATION

The equipment shall be packaged in a manner that protects the equipment from damage and facilitates movement, loading, and unloading by fork truck or crane. Any special lifting fixtures or related hardware that are required to move, load, or unload the equipment shall be considered part of the equipment. Incoterms: Delivered at Place (DAP) (ORNL Facility – Oak Ridge TN).

8. DELIVERABLES

The Seller shall supply the following:

Deliverable 1 – Within 2 weeks of subcontract award, provide to the TPO the Seller's Quality Assurance Program documentation and a project specific Quality Plan.

Deliverable 2 – Within 2 weeks of subcontract award, provide to the TPO a list of proposed deviations from performance specifications given in the technical specification document, MPEX-07-SPC-03 [2].

Deliverable 3 – Preliminary design review shall be held no more than 3 months after subcontract award and shall include the following documents:

• Preliminary design review report

• All drawings and information must be specified

• Presentation slides and documents

Deliverable 4 – Final design review shall be held no more than 3 months after preliminary design review and subcontract award; and it shall include the following documents:

• Resolution of preliminary design review findings

• All documents, drawings, specifications, and information must be provided

• Final Presentation slides and documents

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Deliverable 5 – SAS Diagnostics Chamber shall be delivered to the Company site no more than 9 months after the final design review and contract award; and it shall include:

• Test data for all components

• Completed factory acceptance test report

• Mechanical drawings and electrical schematics

• SAS diagnostics chamber installation and maintenance manual

• SAS diagnostics chamber and SEM-FIB operations manual

• SAS diagnostics chamber service contract

• Each welding and brazing procedure specification supported with a qualification record

Deliverable 6 – Complete Commissioning and Acceptance Tests at the Company's facility no more 3 months after delivery of the SAS Diagnostics Chamber to the Company's facility. Seller shall provide personnel to supervise the installation and commissioning of the power supply.

This deliverable shall not be complete until Company acceptance of the final Commissioning and Acceptance test report.