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Acquisition Plan for High Luminosity LHC CMS Detector Upgrade Project

Acquisition Plan

for the

High Luminosity LHC CMS Detector Upgrade Project

Silicon Sensors for Outer Tracker Upgrade

Version #0


Version ControlRevision History

Revision Responsible Person

Date Description of Changes

0 V. Papadimitriou

January 25, 2019 Original version

1 V. Papadimitriou/

V. Odell

April 18, 2019First complete draft

Approvals for this document will be required from:

Responsible Person (Procurement): Pamela Noyes

Project Manager Vivian O’Dell

Deputy Project Manager Vaia Papadimitriou

Outer Tracker L2 Manager & incoming Project Manager Steve Nahn

Date Approved: Submitted for Approval

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Table of ContentsA ACQUISITION BACKGROUND AND OBJECTIVES.....................................................................8

1 STATEMENT OF NEED.........................................................................................................8

1.1 BRIEF STATEMENT OF NEED........................................................................................8

1.2 SUMMARY OF TECHNICAL AND cONTRACTUAL HISTORY............................................9

1.3 ACQUISITION ALTERNATIVES.......................................................................................9

1.4 PROGRAM DOCUMENTS............................................................................................10

2 APPLICABLE PROJECT CONDITIONS...................................................................................10

2.1 REquirements for compaTIbility with existing or future systems or programs..........10

2.2 Known cost constraints`............................................................................................10

2.3 Known Schedule constraints......................................................................................11

2.4 Known capability and performance constaints..........................................................11

2.5 Other signIficant conditions affecting this acqusition................................................11

3 COST..................................................................................................................................11

3.1 Established cost goals for this acquisition.................................................................11

3.2 RatIonale supporting the cost goals...........................................................................12

3.3 Life-cycle cost............................................................................................................ 12

3.4 Design-to-COST..........................................................................................................12

4 CAPABILITY OR PERFORMANCE........................................................................................12

4.1 the required capabilities or performance characteristics of the supplies or the performance standards of the services being acquired.......................................................12

4.2 how these are related to the need............................................................................13

5 DELIVERY OR PERFORMANCE-PERIOD REQUIREMENTS...................................................13

5.1 Delivery Schedule or PERiod OF performance...........................................................13

5.2 Explain and provide reasons for any urgency if it results in concurrency of development and production or constitutes justification for not providing for full and open competition..........................................................................................................................13

6 TRADEOFF of Requirements..............................................................................................13

7 MAKE OR BUY................................................................................................................... 13

8 RISKS................................................................................................................................. 14

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8.1 technical risks and efforts planned or underway to reduce technical risk and the consequences of failure to achieve technical goals.............................................................14

8.2 Cost risks and efforts planned or underway to reduce cost risk and the consequences of failure to achieve cost goals.....................................................................14

8.3 SCHEDULE RISKS and efforts planned or underway to reduce schedule risk and the consequences of failure to achieve schedule goals.............................................................14

B PLAN OF ACTION..................................................................................................................15

1 subContract type(s)...........................................................................................................15

1.1 Subcontract type(s) by Key part of the work.............................................................15

1.2 Rationale for selection of subcontract types.............................................................15

1.3 FUTURE SUBCONTRACT TYPES..................................................................................15

2 payment and financing.....................................................................................................15

3 Sources..............................................................................................................................16

3.1 prospective sources of supplies or services that can meet the need.........................16

3.2 required sources AND oTHER SOURCES.....................................................................16

3.3 small business CONSIDERATIONS..............................................................................16

3.4 mARKET RESEARCH....................................................................................................16

4 COMPETITION...................................................................................................................17

4.1 HOW COMPETITION WILL BE SOUGHT, Promoted, and sustained throughout the course of the acquisition......................................................................................................17

4.2 Competitive method to be used................................................................................17

4.3 COMPETITION: Logistics, SPARES, AND REPAIR PARTS.............................................18

4.4 COMPETITION: LOWER TIER SUBCONTRACTS...........................................................18

4.5 COMPETITION: FOLLOW-ON SUBCONTRACTS..........................................................18

5 SOURCE SELECTION PROCEDURES....................................................................................18

5.1 Solicitation Process....................................................................................................18

5.2 Evaluation Process.....................................................................................................18

5.3 Evaluation Factors.....................................................................................................19

5.4 relationship of evaluation factors to the attainment of the acquisition objectives (see FAR Subpart 15.3)................................................................................................................20

5.5 Selection and Decision Process..................................................................................20

6 ACQUISITION CONSIDERATIONS.......................................................................................20

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6.1 PRODUCT OR SERVICE DESCRIPTIONS.......................................................................20

6.2 Performance-based acquisition.................................................................................20

6.3 multiple year AND options.........................................................................................21

6.4 SPECIAL SOLICITATION PROVISIONS, terms AND CONDITIONS, OR far/DEAR DEVIATIONS......................................................................................................................... 21

7 FUNDING...........................................................................................................................21

7.1 FUNDING ESTIMATES.................................................................................................21

8 Property and EQUIPMENT................................................................................................22

8.1 PURCHASEd or leased PERSONAL Property or equipment........................................22

8.2 pURCHASE OR LEASED REAL pROPERTY....................................................................22

8.3 utiLITIES INFRASTRUCTURE........................................................................................22

8.4 FRA furnished government property.........................................................................22

9 FRA furnished GOVERNMENT information.......................................................................22

10 Logistics considerations.................................................................................................22

10.1 reliability................................................................................................................ 22

10.2 Maintainability.......................................................................................................23

10.3 QUALITY ASSURANCE.............................................................................................23

11 Test, evaluation, inspection and Acceptance................................................................23

12 Warranties.....................................................................................................................23

13 ENVIRONMENTAL, HEALTH AND SAFETY.......................................................................23

13.1 Environmental Considerations...............................................................................23

13.2 Health and Safety Considerations..........................................................................24

13.3 Radiation Protection Considerations......................................................................24

14 SECURITY CONSIDERATION...........................................................................................24

14.1 Physical security.....................................................................................................24

14.2 Information Security..............................................................................................24

15 EXPORT AND iMPORT cONTROL....................................................................................24

16 SUBCONTRACT Management........................................................................................24

16.1 EARNED VALUE MANAGEMENT SYSTEM...............................................................24

16.2 How Cost will be managed.....................................................................................25

16.3 How Schedule will be managed.............................................................................25

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16.4 How Performance will be managed.......................................................................25

16.5 How Changes will be managed..............................................................................25

17 OTHER CONSIDERATIONS..............................................................................................25

17.1 DISCUSS OTHER MATTERS GERMANE TO THE PLAN, NOT COVERED ELSEWHERE.25

18 MILESTONES FOR THE ACQUISITION CYCLE..................................................................25

19 IDENTIFICATION OF PARTICIPANTS IN ACQUISITION PLAN PREPARATION...................26

20 attachments.................................................................................................................. 26

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Acronyms and Abbreviations

CD Critical DecisionCM Construction ManagementCFR Code of Federal RegulationsDB Design-Build construction delivery methodDBB Design-Bid-Build construction delivery methodDOE U.S. Department of EnergyEA Environmental AssessmentEOI Expression of InterestESAAB Energy Systems Acquisition Advisory BoardESH Environment, Safety and Health DivisionEVMS Earned Value Management System FAR Federal Acquisition RegulationFERMILAB Fermi National Accelerator Laboratory (also Fermilab) (a location)FESHM Fermilab Environment, Safety, and Health ManualFESS Facilities Engineering Services SectionFPD Federal Project DirectorFRA Fermi Research Alliance, LLC (a company)FSO Fermilab DOE Site OfficeFY Fiscal YearHA Hazard AnalysisHPK Hamamatsu Photonics Kabushiki kaishaIERC Integrated Engineering Research CenterIPT Integrated Project TeamL2 Level 2L3 Level 3NEPA National Environmental Policy ActNTP Notice to ProceedPED Project Engineering and Design PEP Project Execution PlanPWS Performance Work StatementRFI Request for InformationRFP Request for ProposalRMP Risk Management PlanSLI Science Laboratories InfrastructureSOW Statement of WorkWBPMS Web Based Project Management SystemWBS Work Breakdown Structure

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A ACQUISITION BACKGROUND AND OBJECTIVES 1 STATEMENT OF NEED1.1 BRIEF STATEMENT OF NEEDLimit to half a page.

The Compact Muon Solenoid, or CMS (http://cms.cern.ch), is a particle physics experiment at the Large Hadron Collider (LHC) at CERN. The CMS detector is designed to study particles produced in high-energy proton-proton and heavy ion collisions to seek answers to fundamental scientific questions. The CMS detector is located 100 m underground at the French village of Cessy near Geneva, Switzerland. The original construction of the CMS detector was completed in 2007 with significant U.S. contribution. The first major upgrade (Phase 1) for the CMS detector included a U.S. contribution as well which is planning for CD-4 in May 2019.

We now need to procure high quality radiation tolerant planar silicon strip and macro-pixel sensors (hereafter referred to as the sensors) for the CMS experiment’s Outer Tracker (OT) High Luminosity LHC (HL-LHC) upgrades or Phase 2 upgrades. The expected HL-LHC increase in peak luminosity by a factor of five over nominal value, implies increase in radiation levels and in particle density, which therefore require improved radiation hardness and higher detector granularity than the existing tracking system can provide. The HL-LHC OT which covers the radial region between 0.2 m to 1.2 m requires more than 200 m2 of silicon sensors. The supply must consist of n-on-p type AC-coupled strip sensors in two different designs called PS-s and 2S and of n-on-p type DC-coupled macro-pixel sensors called PS-p, fabricated on 6” processing lines. This amounts to 30,809 required sensors out of which 17050 are 2S sensors, 6234 are PS-s sensors and 7525 are PS-p sensors. This estimate includes a combined number of pre-Production and Production units as well as spares. Two macroscopic images of a 2S prototype sensor are shown in Fig. 1 below. The nominal dimensions are 94.183 mm x 102.700 mm x 0.320 mm.

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Figure 1: Two images of a 2S prototype sensor. The left image shows a full sensor and the the right one one corner of the same sensor.

The expected and negotiated share of the US HL-LHC CMS upgrade Project in the purchase of these sensors is: 2,875 PS-p sensors, 2,875 PS-s sensors and 4,600 2S sensors.

1.2 SUMMARY OF TECHNICAL AND CONTRACTUAL HISTORY Describe what has been bought previously.

Identical items have not been bought before, but items of technical similarity although in different quantities and of different cost scale have been bought by FRA. During the CMS Detector Upgrade, there was a Si sensor wafer purchase from Sintef (a Norwegian company) in 2014 for an estimated cost of $925 k that was carried out by University of Kansas using NSF funds. The 2014 buy is different from the currently planned one in the sense that the 2014 sensors were of different size and different properties, and were less radiation hard; also, different quantities are required.

[The Project had already CD-0 approval or Approval of Mission Need in 2016. It expects a Review towards CD-1 or Approval of Alternative Selection and Cost Range during the 4th Quarter of FY19. In order for the Project to be able to obligate money towards the purchase of the sensors discussed in this Acquisition Plan (AP) it requires CD-3a approval which allows for the purchase and construction of baselined long lead items. The CD-3a review is currently planned for the 2nd or 3rd Quarter of FY20. ] move it out

1.3 ACQUISITION ALTERNATIVESDiscuss feasible acquisition alternatives, the impact of prior acquisitions on those alternatives, and any related in-house effort.

In-house is not a feasible acquisition alternative because FRA does not have the capacity/capability to build sensors….

The CERN market survey has considered 8 companies already, out of which one was viable/chosen, Hamamatsu. Please see Market Survey documents for details in http://cds.cern.ch/record/2145271 and in https://indico.fnal.gov/event/20530/. The US CMS Project Team contributed substantively to the Market Survey and in the testing of prototypes that led to the selection of appropriate companies.

One alternative we considered and evaluated is that the US Project negotiates directly with Hamamatsu. Our reasons for using CERN as the sole source for the silicon sensors are listed below:

1. Homogeneity: a separate purchase, even using the same technical specifications, will not guarantee the same quality of sensors – i.e. it is common that different batches of sensors have varying degrees of quality. By purchasing through CERN, we ensure that the sensors we buy are from the same batches as all of the other purchases.

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https://indico.fnal.gov/event/20530/

http://cds.cern.ch/record/2145271


2. Schedule: Hamamatsu has given a draft schedule to CERN for the entirety of the silicon purchases. If the U.S. were to buy instead directly through Hamamatsu, it is likely that our smaller purchase would not have the same schedule priority as the rest of the order.

3. Quality Control: The Quality Assurance plan of the sensors has been developed within the international CMS collaboration, and the Quality Control of the delivered sensors will be overseen by CERN.

The CERN Market Survey took ~2 years to be completed. If the acquisition plan does not move forward with the currently chosen vendor, the judgement of the CMS upgrade management is that an additional 16 months of R&D will be needed, and the price will be ~2.5 times higher than currently expected.

1.4 PROGRAM DOCUMENTS This is a list of the critical decision and description documents. This is not an all-inclusive list. (brief list)

The HL-LHC CMS Detector Upgade Project list of documents includes:

CD-0 approved Mission Need, “Mission Need Statement for HL-LHC ATLAS and CMS Detector Upgrades”, CMS-doc-13091.

USCMS HL-LHC Upgrades – Conceptual Design Report (DOE Scope), CMS-doc-13151. Alternatives Analysis and Life Cycle Costs, CMS-doc-13472. DOE Preliminary Project Execution Plan, CMS-doc-13092. DOE Acquisition Strategy, CMS-doc-13517. Resource Loaded Schedule and Work Breakdown Structure (WBS) Dictionary, CMS-doc-

13245 & CMS-doc-13213. Project Management Plan, CMS-doc-13104. Quality Assurance Plan, CMS-doc-13093. Preliminary Hazard Analysis Report, CMS-doc-13394. Integrated Safety Management Plan, CMS-doc-13395.

2 APPLICABLE PROJECT CONDITIONS2.1 REQUIREMENTS FOR COMPATIBILITY WITH EXISTING OR FUTURE

SYSTEMS OR PROGRAMSDiscuss.

No compatibility is required with the existing Phase 1 upgrade tracking detector since it will need to be replaced anyway.

The scope of this acquisition is to enable the HL-LHC CMS project to take data during the Phase 2 upgrade. All sensors for the Phase 2 upgrade, regardless of contributing sources, have to be combatible. The US contributed silicon sensors are ~30% of the total number of sensors

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https://cms-docdb.cern.ch/cgi-bin/DocDB/ShowDocument?docid=13395




https://cms-docdb.cern.ch/cgi-bin/DocDB/RetrieveFile?docid=13213&filename=WBS-Dictionary-HLLHC-DOE-V3.3.pdf&version=33

https://cms-docdb.cern.ch/cgi-bin/DocDB/ShowDocument?docid=13245&asof=2099-12-31

https://cms-docdb.cern.ch/cgi-bin/DocDB/ShowDocument?docid=13245&asof=2099-12-31





https://cms-docdb.cern.ch/cgi-bin/DocDB/RetrieveFile?docid=13091&filename=HL-LCH%20CMS%20Upgrade%20MNS-Signed031716.pdf&version=1


needed, and they have to be compatible with the rest of the sensors. These sensors are expected to last for the 10 years of HL-LHC running.

2.2 KNOWN COST CONSTRAINTS`Discuss. This is NOT funding, which will be discussed later.

No cost constraints are known at this time.

2.3 KNOWN SCHEDULE CONSTRAINTSAccording to the CMS schedule, OT pre-production Si sensors have to start becoming available in the 2nd quarter of 2020 and production sensors have to start becoming available in the fourth quarter of 2020.

2.4 KNOWN CAPABILITY AND PERFORMANCE CONSTAINTSDiscuss.

The capability and performance constraints of the sensors are discussed under “Technical Requirements”, in Chapter 3 of the Invitation to Tender.

2.5 OTHER SIGNIFICANT CONDITIONS AFFECTING THIS ACQUSITIONDiscuss.

Not applicable.

3 COST3.1 ESTABLISHED COST GOALS FOR THIS ACQUISITIONThis is NOT funding, which will be discussed later. Show the cost goal(s). Show and start with total cost. Then, explain components of total cost. Do not use “management reserve” and “contingency” as these can be confusing. Instead, describe how risk is factored into any number.

The sensor costs from P6 (as of March 2019) for the US contribution are displayed below. The last column represents the Total Project Cost including estimate uncertainty.

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Our estimate for the price of the U.S contributed sensors is ~$8 M including an estimate uncertainty of ~30%. (later cost)

Risks for the sesnors are being discussed in section 8 below.

3.2 RATIONALE SUPPORTING THE COST GOALSDiscuss.

The estimated cost are budgetary estimates coming from an initial vendor enquiry with HPK (which year date- BOE). That is where I use numbers of sensors

3.3 LIFE-CYCLE COSTDiscuss how life-cycle cost will be considered. If it is not used, explain why. If appropriate, discuss the cost model used to develop life-cycle-cost estimates.

We build it. The operations program operates it and at the end of life becomes property of CERN.

No additional people needed to operate it. No spares needed since not accessible. No more operations money needed. The ownership and disposal will be determined by MOU.

3.4 DESIGN-TO-COSTDescribe the design-to-cost objective(s) and underlying assumptions, including the rationale for quantity, learning-curve, and economic adjustment factors. Describe how objectives are to be applied, tracked, and enforced. Indicate specific related solicitation and contractual requirements to be imposed. For Architecture-Engineering and Design-Build, answer, “How are we going to ensure the cost to construct is feasible?”

Design to cost is not applicable.

4 CAPABILITY OR PERFORMANCE4.1 THE REQUIRED CAPABILITIES OR PERFORMANCE CHARACTERISTICS OF

THE SUPPLIES OR THE PERFORMANCE STANDARDS OF THE SERVICES BEING ACQUIRED

Discuss. Do NOT state delivery or performance period requirements here as they are discussed in 5.

Hamamatsu is very experienced in producing silicon sensors. Most of the existing CMS tracker detector has been produced with components from Hamamatsu.

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CERN is very experienced in acquiring these silicon sensors. Copy form 3.1…

4.2 HOW THESE ARE RELATED TO THE NEEDDiscuss.

CERN’s expertise directly supports the CMS Outer Tracker need for acquiring Si sensors, an area where the U.S. CMS Project has significant responsibility.

5 DELIVERY OR PERFORMANCE-PERIOD REQUIREMENTS5.1 DELIVERY SCHEDULE OR PERIOD OF PERFORMANCEShow in table or list when possible. Do NOT repeat the technical performance requirements. This is about delivery requirements

Contract is expected to be awarded to CERN between November 2019 and January 2020.

ADD the delivery of sensors schedule…

Describe the basis for establishing delivery or performance-period requirements

Discuss.

How the schedule got constructed …P6….(meet consteuction sc. LHC HL

The delivery requirements have been incorporated (section 4.2 of tender). acceptance

5.2 EXPLAIN AND PROVIDE REASONS FOR ANY URGENCY IF IT RESULTS IN CONCURRENCY OF DEVELOPMENT AND PRODUCTION OR CONSTITUTES JUSTIFICATION FOR NOT PROVIDING FOR FULL AND OPEN COMPETITION

This is NOT the place to discuss competition, if there will be competition. This is the place to explain the reason for urgency requiring concurrency or explain the reason why the urgency prevents competition.

Discuss.

No concurrency between design and production. Finish design before you produce….

6 TRADEOFF OF REQUIREMENTSThis is NOT the place to discuss the use of a tradeoff source selection (if applicable), as that is done in “5. Source Selection”. Discuss the expected consequences of tradeoffs among the various cost, capability or performance, and schedule goals.

Not applicable ; Designed already.

The tradeoff of requirements was considered during the design process resulting spesc and layouts (current)

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7 MAKE OR BUYDiscuss any consideration given to make-or-buy programs (see FAR 15.407-2).

FRA is not capable of producing silicon sensors and therefore these items have to be bought from specialized manufacturing companies.

8 RISKSRisks for the sensors are being discussed within: https://fermipoint.fnal.gov/organization/ocoo/ippm/Lists/Risk%20Register/HLLHC-CMS-Upgrades-DOE.aspx (remove)

8.1 TECHNICAL RISKS AND EFFORTS PLANNED OR UNDERWAY TO REDUCE TECHNICAL RISK AND THE CONSEQUENCES OF FAILURE TO ACHIEVE TECHNICAL GOALS

RT-402-2-01-D, OT - Sensor quality problem during production. Cost impact between $46K and $163 K. Schedule impact between 2 and 6 months.

8.2 COST RISKS AND EFFORTS PLANNED OR UNDERWAY TO REDUCE COST RISK AND THE CONSEQUENCES OF FAILURE TO ACHIEVE COST GOALS

Discuss. If concurrency of development and production is planned, discuss its effects on cost risk.

FFP will be used.

Exchange rate risks? Procurment award in $US. Payment is Swiss Francs. Accounting gets hedge.?

8.3 SCHEDULE RISKS AND EFFORTS PLANNED OR UNDERWAY TO REDUCE SCHEDULE RISK AND THE CONSEQUENCES OF FAILURE TO ACHIEVE SCHEDULE GOALS

Discuss. If concurrency of development and production is planned, discuss its effects on schedule risk.

(RT-402-2-06-D, OT - Temporary loss of Sensor QC Site. 22 -- 48 -- 86 k$ and 1-4 month delay.) not for acquisition) technical

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https://fermipoint.fnal.gov/organization/ocoo/ippm/Lists/Risk%20Register/HLLHC-CMS-Upgrades-DOE.aspx

https://fermipoint.fnal.gov/organization/ocoo/ippm/Lists/Risk%20Register/HLLHC-CMS-Upgrades-DOE.aspx


B PLAN OF ACTION1 SUBCONTRACT TYPE(S)1.1 SUBCONTRACT TYPE(S) BY KEY PART OF THE WORKShow/list the subcontract types (e.g., FFP, Cost Reimbursement with no fee, T&M, etc.) by each key part of the work (with Subcontract Line Item (SLIN) if possible). Also show contract methods such as Indefinite Delivery / Indefinite Quantity (IDIQ).

This will be a Firm-Fixed-Price (FFP) subcontract. This is one subcontract for the full M&S purchase of the U.S. portion of the silicon sensors for the Outer Tracker.

1.2 RATIONALE FOR SELECTION OF SUBCONTRACT TYPESDiscuss the rationale for the selection of subcontract types. For other than firm-fixed-price contracts, see FAR 16.103(d) for additional documentation guidance. Discuss the facts and circumstances, (e.g., complexity of the requirements, uncertain duration of the work, contractor’s technical capability and financial responsibility, or adequacy of the contractor’s accounting system), and associated reasoning essential to support the contract type selection. Procurement shall ensure that requirements and technical personnel provide the necessary documentation to support the contract type selection.

An FFP subcontract was chosen because the scope of work, schedule, and deliverables will be well defined and fits within an FFP subcontact framework. [This subcontract is a Sole Source to CERN with a negotiated per piece price and a well defined schedule of delivery.]

1.3 FUTURE SUBCONTRACT TYPESFor each subcontract (and order) contemplated, discuss the strategy to transition to firm-fixed-price contracts to the maximum extent practicable. During the requirements development stage, consider structuring the contract requirements, i.e., line items, in a manner that will permit some, if not all, of the requirements to be awarded on a firm-fixed-price basis, either in the current contract, future option years, or follow-on contracts. This will facilitate an easier transition to a firm-fixed-price contract, because a cost history will be developed for a recurring definitive requirement.

There are no requirements for future subcontract purchases.

2 PAYMENT AND FINANCINGDescribe payment and financing. Justify advance payment for non-commercial goods and services per the “Advance Payment” section of the Procurement Manual.

Payment for the silicon sensors is made upon delivery. The delivery is done in batches . There is no advance payment. DOE funding is expected to be available after CD-3a approval, in the second quarter of 2020, for the entire U.S. purchase.

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3 SOURCES3.1 PROSPECTIVE SOURCES OF SUPPLIES OR SERVICES THAT CAN MEET THE

NEEDDiscuss/list.

CERN is uniquely qualified to handle the silicon sensor purchase for the CMS Outer Tracker. CERN has the experience in specifying, building, and operating large scale silicon detectors for the LHC experiments (CMS, ATLAS, LHCb). Additionally, they have the technical, legal, and procurement personnel to procure, test, and monitor the performance of their subcontractor. CERN has performed a two year long market survey of companies capable of fabricating silicon sensors for the CMS Outer Tracker. The results can be found in the Market Survey documents listed in http://cds.cern.ch/record/2145271 and in https://indico.fnal.gov/event/20530/.

3.2 REQUIRED SOURCES AND OTHER SOURCESConsider required sources of supplies or services (see FAR Part 8) and sources identifiable through databases including the Governmentwide database of contracts and other procurement instruments intended for use by multiple agencies available at https://www.contractdirectory.gov/contractdirectory/.

Not applicable.

3.3 SMALL BUSINESS CONSIDERATIONSDiscuss small business participation at the subcontractor and lower tier subcontractor levels. Include consideration of small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns (see FAR Part 19). Discuss whether set-aside is appropriate. Consider the impact of any consolidation or bundling that might affect participation of small businesses in the acquisition (see FAR 7.107). When the proposed acquisition strategy involves bundling, identify the incumbent contractors and contracts affected by the bundling.

During the market survey process, the U.S. team worked with a small business in the U.S. (Tezzaron Semiconductor Corp./Novati) via an SBIR to enhance their capabilities for delivering a subset of the silicon sensors with the required technical specifications, however the foundry used is no longer available for sensor producion, and as a result, not capable of producing sensors.

A small business plan will not be required because All work will be performed outside the US.

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https://www.contractdirectory.gov/contractdirectory/


http://cds.cern.ch/record/2145271


3.4 MARKET RESEARCHAddress the extent and results of the market research. See FAR Part 10. Indicate their impact on the various elements of the plan.

CERN has performed a market survey and the details can be found in attachment… https://indico.fnal.gov/event/20530/ . In summary, eight companies were initially considered from which one was a U.S. company. Three of them (including the U.S. company) passed the first step of qualification which required the companies to return the “Technical Questionnaire” document where the responses need to fulfill the requirements set in the “Qualification Criteria” document (2016). Two of these companies (Hamamatsu or HPK and Infineon) passed the second step, requiring the companies to provide samples free of charge of functional devices for testing (2017). In July 2018, Infineon decided to withdraw from participating in High Energy Physics Projects and therefore only Hamamatsu was left for Invitation to Tender….

FRA’s MARKET Research consisted of reviewing and validation the CERN MS. FRA determined hw work was appropriate and met the standards of FAR Part 5. Say here again that we reviewed it and were part of it and it met all requirements…

4 COMPETITION4.1 HOW COMPETITION WILL BE SOUGHT, PROMOTED, AND SUSTAINED

THROUGHOUT THE COURSE OF THE ACQUISITIONDiscuss. If full and open competition is not contemplated, discuss why full and open competition cannot be obtained.

[The CERN Market Survey has been open and broad. At this point, additional competition is not expected, as there are no viable companies that can meet the technical and schedule requirements.]

Full and open competition is not being contemplated due to the two reasons in the SS justification. The first reason is the need to have CERN centrally and concurrently buy the US and and international parts to uniform specifications as well as cost, schedule and quality assurance requirements. The second reason is to assure all sensors are produced concurrently to ensure the homogenious quality that meets the technical specifications for the entire OT project.

4.2 COMPETITIVE METHOD TO BE USEDState the competitive method to be used: Sealed Bid (FAR Part 14); Contracting By Negotiations (FAR Part 15); Combination of Competitive Procedures; Architecture-Engineer Contracts (FAR Part 36.6); Basic and Applied Research (FAR Part 6.102(d)); or, Multiple Award Schedules (FAR Part 8.4). If Contracting By Negotiations (FAR Part 15), state whether Tradeoff or Lowest Price Technically Acceptable (LPTA).

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This is a sole source procurement to CERN. See attached SS justification.

COMPETITION: MAJOR COMPONENTS OR SUBSYSTEMS

Identify the major components or subsystems. Discuss component breakout plans relative to these major components or subsystems. Describe how competition will be sought, promoted, and sustained for these components or subsystems.

Not applicable.

4.3 COMPETITION: LOGISTICS, SPARES, AND REPAIR PARTSDescribe how competition will be sought, promoted, and sustained for spares and repair parts. Identify the key logistic milestones, such as technical data delivery schedules and acquisition method coding conferences, that affect competition.

There are no repleacable parts in the sensors.

The order will include extra sensors for possible losses in the subsequent module assembly process.

4.4 COMPETITION: LOWER TIER SUBCONTRACTSWhen effective lower tier subcontract competition is both feasible and desirable, describe how such lower tier subcontract competition will be sought, promoted, and sustained throughout the course of the acquisition. Identify any known barriers to increasing lower tier subcontract competition and address how to overcome them.

As noted in the SS justification CERN determined that Hamamatsu is the only responsible source.

4.5 COMPETITION: FOLLOW-ON SUBCONTRACTSDescribe how competition will be sought, promoted, and sustained for follow-on subcontracts.

There are no follow-on subcontracts planned.

5 SOURCE SELECTION PROCEDURES5.1 SOLICITATION PROCESSDiscuss the Request For Proposal process. Address the role of the Procurement Administrator in controlling the communications.

FRA will issue a Request For Proposal to CERN.

5.2 EVALUATION PROCESS Discuss the roles and responsibilities for conducting the source selection process. Discuss how the evaluation criteria will be developed. Don’t discuss the actual evaluation factors here as they will be discussed in 5.3 below. (FOR LBNF ONLY: The FSO may require a Source Evaluation Plan (SEP) to be submitted with the RFP. Find out now. If so, consider creating a draft SEP now and referencing and attaching to this acquisition plan. The answer to “5. Source Selection

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Procedures” here can be “see the draft SEP attached”. When you do submit the RFP later to the FSO for review, you can update the SEP. Not required, just something that may: save you time; save repeating information; and, avoid conflicts between what you said in an earlier Acquisition Plan and a later SEP.)

FRA technical presonnel will provide Technical Evaluation on the CERN proposal.

5.3 EVALUATION FACTORSList the evaluation factors. Provide details. Cite “go/no go” or “mandatory” criteria if used.

Consider this guidance from FAR 15.304.

(a) The award decision is based on evaluation factors and significant sub-factors that are tailored to the acquisition.

(b) Evaluation factors and significant sub-factors must –

(1) Represent the key areas of importance and emphasis to be considered in the source selection decision; and(2) Support meaningful comparison and discrimination between and among competing proposals.

(c) The evaluation factors and significant sub-factors that apply to an acquisition and their relative importance are within the broad discretion of agency acquisition officials, subject to the following requirements:

(1) Price or cost to the Government shall be evaluated in every source selection (also see Part 36 for Architect-Engineer contracts).(2) The quality of the product or service shall be addressed in every source selection through consideration of one or more non-cost evaluation factors such as past performance, compliance with solicitation requirements, technical excellence, management capability, personnel qualifications, and prior experience. (3)

(i) Past performance, except as set forth in paragraph (c)(3)(iii) of this section, shall be evaluated in all source selections for negotiated competitive acquisitions expected to exceed the simplified acquisition threshold.

(ii) For solicitations that are not set aside for small business concerns, involving consolidation or bundling, that offer a significant opportunity for subcontracting, the contracting officer shall include a factor to evaluate past performance indicating the extent to which the offeror attained applicable goals for small business participation under contracts that required subcontracting plans.

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(iii) Past performance need not be evaluated if the contracting officer documents the reason past performance is not an appropriate evaluation factor for the acquisition.

(4) For solicitations, that are not set aside for small business concerns, involving consolidation or bundling, that offer a significant opportunity for subcontracting, the contracting officer shall include proposed small business subcontracting participation in the subcontracting plan as an evaluation factor.

(d) All factors and significant sub-factors that will affect contract award and their relative importance shall be stated clearly in the solicitation (10 U.S.C. 2305(a)(2)(A)(i) and 41 U.S.C. 3306(b)(1)(A)) (see 15.204-5(c)). The rating method need not be disclosed in the solicitation. The general approach for evaluating past performance information shall be described.

(e) The solicitation shall also state, at a minimum, whether all evaluation factors other than cost or price, when combined, are --

(1) Significantly more important than cost or price;(2) Approximately equal to cost or price; or(3) Significantly less important than cost or price.

There are no evaluation factors because this is not a competitive acquisition.

5.4 RELATIONSHIP OF EVALUATION FACTORS TO THE ATTAINMENT OF THE ACQUISITION OBJECTIVES (SEE FAR SUBPART 15.3)

Show why the selected evaluation factors matter to the acquisition objective. Why do we need it to get what we want? How does it help us select the right subcontractor?

Not applicable.

5.5 SELECTION AND DECISION PROCESSDiscuss how the results of the evaluation lead to a selection(s). Discuss who selects the winner(s) and the basis for the decision.

Not applicable.

6 ACQUISITION CONSIDERATIONS6.1 PRODUCT OR SERVICE DESCRIPTIONSDo NOT describe the requirement here, as that is covered in “Part A, 4 Capability or Performance”. Explain the choice of product or service description types (including performance-based acquisition descriptions) to be used in the acquisition. The questions are as follows: We chose a product description because……. Or, We chose a service description because…… Do NOT discuss Performance-Based Acquisition here, as you will discuss it in 6.2 below.

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http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/15.htm#P221_36054


Product description was chosen since the sensors are to be built to a product specification.

6.2 PERFORMANCE-BASED ACQUISITIONIf services, discuss the use of Performance-Based Acquisition. If services and Peformance-Based Acquisition will not be used, provide rationale. If a performance-based acquisition for services is contemplated on other than a firm-fixed-price basis, provide rationale. Consider the following guidance from the FAR 37.102 – Policy:

“(a) Performance-based acquisition (see subpart 37.6) is the preferred method for acquiring services. When acquiring services, including those acquired under supply contracts or orders, agencies must--

(1) Use performance based acquisition methods to the maximum extent practicable, except for—

(i) Architect-engineer services acquired in accordance with 40 U.S.C. 1101 et seq. (see part 36);(ii) Construction (see part 36);(iii) Utility services (see part 41); or(iv) Services that are incidental to supply purchases.

(2) Use the following order of precedence;(i) A firm-fixed price performance-based contract or task order.(ii) A performance-based contract or task order that is not firm-fixed price.(iii) A contract or task order that is not performance-based.”

Not applicable

6.3 MULTIPLE YEAR AND OPTIONSDo NOT use the term “Multi-year contract”. That has a unique meaning as described in FAR 17.103. It is not used here or if so, it is rare, and DOE would know. The key distinguishing difference between multi-year contracts and multiple year contracts is that multi-year contracts, defined in the statutes cited at 17.101, buy more than 1 year’s requirement (of a product or service) without establishing and having to exercise an option for each program year after the first. Multi-year has to address cancellation ceilings and charges. Again, do NOT use.

We use multiple year and options here. Describe the base year and the options including when options will have to be exercised.

This is not a multiple year subcontract and options are not included.

6.4 SPECIAL SOLICITATION PROVISIONS, TERMS AND CONDITIONS, OR FAR/DEAR DEVIATIONS

Discuss if any of these apply.

Legal??

7 FUNDING

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7.1 FUNDING ESTIMATESShow the funding schedule in a table by FY year by key parts of the project with totals. Include explanatory conditions and notes. Explain how the funding estimates were derived. The questions are as follows. How much will it cost? When will funding be available?

On the basis of the budgetary estimate discussed above which was based on initial quotes $6 M in FY20. Funding will be available in Q32020 subject to CD3-a approval. (cannot award if we do not have funding)

8 PROPERTY AND EQUIPMENT8.1 PURCHASED OR LEASED PERSONAL PROPERTY OR EQUIPMENTDiscuss if and why equipment will be acquired by lease or purchase. Discuss property clauses to be used.

There is no purchased or leased personal property or equipment

8.2 PURCHASE OR LEASED REAL PROPERTYDiscuss if and why equipment will be acquired by lease or purchase. Discuss property clauses to be used.

Not applicable

8.3 UTILITIES INFRASTRUCTUREDiscuss if utilities infrastructure will be new or modified. Discuss the purchase of utilities defined as: steam, gas, electricity, telephone lines, water and sewage.

Not applicable.

8.4 FRA FURNISHED GOVERNMENT PROPERTYIndicate any Government property to be furnished to subcontractors, and discuss any associated considerations, such as its availability or the schedule for its acquisition. Discuss property clauses to be used.

None

9 FRA FURNISHED GOVERNMENT INFORMATIONDiscuss/list any Government information, such as manuals, drawings, and test data, to be provided to prospective offerors and subcontractors. Discuss how the subcontractor will obtain the GFI. Indicate which information that requires additional controls to monitor access and distribution (e.g., technical specifications, maps, building designs, schedules, etc.), as determined by the agency, is to be posted via the enhanced controls of the GPE at http://www.fedbizopps.gov (see 5.102(a)).

None

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10 LOGISTICS CONSIDERATIONS10.1 RELIABILITYDiscuss.

Delivered sensors must conform to the technical specifications (including reliability and performance) discussed in Atachment…(section 3.3.2)

10.2 MAINTAINABILITYDiscuss maintenance, servicing and spare parts over the life of the acquisition. Discuss requirements for subcontractor data (including repurchase data) and data rights, their estimated cost, and the use to be made of the data (see FAR Part 27).

This subcontract for the sensors does not require maintenance or servicing and there are no spare parts.

10.3 QUALITY ASSURANCEDiscuss. (point to section 3.6) Tests by Hamamatsu and tests by CMS

11 TEST, EVALUATION, INSPECTION AND ACCEPTANCEDescribe the test program of the subcontractor, FRA and the Government. Describe the test program for each major phase of a major system acquisition. If concurrency is planned, discuss the extent of testing to be accomplished before production release. Discuss how inspection and acceptance will be accomplished.

FRA will conduct testing, evaluation, inspection and acceptance in accordance with section 3.3 and 3.4 of the … A couple of sentences about HPK QA / CERN/HPK plans?

12 WARRANTIESDiscuss.

FRA will obtain an one year warranty per standard FRA terms and conditions

13 ENVIRONMENTAL, HEALTH AND SAFETY13.1 ENVIRONMENTAL CONSIDERATIONSDiscuss all applicable environmental and energy conservation objectives associated with the acquisition (see FAR Part 23), the applicability of an environmental assessment or environmental impact statement (see 40 CFR 1502), the proposed resolution of environmental issues, and any environmentally-related requirements to be included in solicitations and contracts (see FAR 11.002 and 11.303).

Find a balance. It is not good to provide a “boatload” of FESM procedures. It is also not good to just have one sentence that says we comply will all requirements. Provide a big picture answer.

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The environmental impacts of the HL-LHC CMS detector construction and installation have been evaluated. The project complies with all requirements of the National Environmental Protection Act (NEPA) and its implementing regulations (10 CFR 1021 and 40 CFR 1500–1508). This action has been reviewed and determined to meet the requirements for a Categorical Exclusion (CX) classification. The CX was issued in January 2018 and a copy is available at CMS DocDB 13483. All environmental issues identified will be responsibly and economically addressed. The environmental risk is low.

13.2 HEALTH AND SAFETY CONSIDERATIONSDiscuss.

Not applicable. No health and safety considerations for personnel involved in handling or testing of Si sensors.

13.3 RADIATION PROTECTION CONSIDERATIONSDiscuss. State correctly. “Design is compliant with 10 CFR taking into consideration….”

There is no possibility for radiation exposure to personnel from the production and acquisition of the Si sensors. Therefore no Occupational Radiation Protection program needs to be implemented.

14 SECURITY CONSIDERATION14.1 PHYSICAL SECURITYDiscuss.

All work shall be performed in areas where access is controlled and where appropriate safety measures, such as adequate fire protection, are implemented. The type of work involved in this project is routinely done at Fermilab and CERN.

We are following the “USCMS HL-LHC Security Vulnerability Assessment” document, CMS-doc-13755

14.2 INFORMATION SECURITYDiscuss.

15 EXPORT AND IMPORT CONTROLDiscuss.

The Export Control Category Number (ECCN) for the silicon sensors is: Not controlled

The Harmonized Schedule Number (HS or HTS number) is: 8541.40. This number indicates that the sensors will have a “Free” duty rate when imported from Switzerland, France and most other parts of Europe.

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16 SUBCONTRACT MANAGEMENT16.1 EARNED VALUE MANAGEMENT SYSTEMDiscuss applicability/use of EVMS especially if incrementally funded construction.

The HL-LHC Project is currently in the pre-CD-1 phase. It uses cost and schedule tools (Primavera P6 and starting in FY20 Cobra as well) in accordance with FRA standards and the FRA Earned Value Management System (EVMS), including cost, schedule, and scope change control. Once the HL-LHC Project is baselined, this system will be used to monitor and evaluate project progress and performance against the deliverables for the duration of this scope of work.

The subcontractor is not required to use EVMS

16.2 HOW COST WILL BE MANAGEDDiscuss.

The subcontract is insentivised to mange cost because this is an FFP subcontract.

16.3 HOW SCHEDULE WILL BE MANAGEDDiscuss.

Visibility?

CERN will provide a schedule…

The production status will be monitored by CERN through teleconferences and visits to Japan. The production schedule will be introduced in P6.

16.4 HOW PERFORMANCE WILL BE MANAGEDDiscuss.

Same as above…

16.5 HOW CHANGES WILL BE MANAGEDDiscuss.

Changes will be managed via the change control procedure in the HL-LHC CMS Configuration Management Plan. / janitoria

17 OTHER CONSIDERATIONS17.1 DISCUSS OTHER MATTERS GERMANE TO THE PLAN, NOT COVERED

ELSEWHERENot applicable

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18 MILESTONES FOR THE ACQUISITION CYCLEEXAMPLE below. Use FY quarters instead of specific dates. Example below. Stop at “Subcontract Award” or a “Notice to Proceed”.

The timetable below comes from the “original” and “optimistic” Procurement timeline documents within https://indico.fnal.gov/event/20530/.

Activity Planned Completion Date

Acquisition Plan Draft CompleteSubmit to FSO, IRB, DOE-CH for Review and Approval 3QFY19

RFP Draft CompleteSubmit to FSO, IRB, DOE-CH for Review and Approval 4QFY19

Acquisition Plan Approved by DOE-SC HCA 4QFY19RFP Approved by DOE-SC HCA 4QFY19Publicly announce opportunity and release RFP documents 4QFY19Complete evaluation, selection, and negotiations 1QFY20CD-3a ESAAB approval 2QFY20DOE Approval of Subcontract Award 2QFY20Award Subcontract 2QFY20

19 IDENTIFICATION OF PARTICIPANTS IN ACQUISITION PLAN PREPARATIONList the individuals who participated in preparing the acquisition plan, giving contact information for each.

Vaia Papadimitriou: 630 840 8207; [email protected]

Vivian O’Dell: 630 840 6645; [email protected]

20 ATTACHMENTSList attachments. Recommend attaching rather than embedding into the plan. Provide the attachments separately when providing the plan.

Several related documents linked in: https://indico.fnal.gov/event/20530/.

END OF DOCUMENT

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