Attachment_H_-_Statement_of_Objectives_(SOO).pdf

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Technology Development Project Lumos

STATEMENT OF OBJECTIVES

1.0 Scope of Work

The objective of this work is to develop materials, equipment and strategies for deploying optical waveguides onto a flexible, cotton and linen substrate utilizing an intaglio or closely related printing process for use as features in United States (US) currency. The desired products will be new features suitable for use in protecting the next generation of US currency from potential counterfeiting threats and to provide the general public and trained cash handlers with an intuitive feature with which to quickly and confidently validate authentic notes passed in common, everyday transactions. The focus of this work is the technology development effort of achieving security feature exemplar advancement by the Contractor(s) within the scope of concept (Phase 1) and feasibility (Phase 2) contract. Due to the complexity of the materials in development and the potential for multiple successful paths, it is possible that multiple discrete features will be realized from these efforts. The contractor will hold periodic technology reviews on the development effort’s outputs in order to identify those specific technologies which are in a sufficiently advanced development state as to warrant advancing into the BEP’s Banknote Development Process. The following technical requirements direct the vendor on objectives to achieving the goals for this project. The goal of this work is for the vendor to develop fully functioning optical features adhering to the performance objectives outlined herein and to present to the BEP and its stakeholders feature exemplars incorporated onto a substrate. The vendor shall concurrently develop strategies for integration of these features with an application process at the BEP.

2.0 Referenced Documents

2.1.1 Non-Disclosure Agreement (NDA), latest version

2.1.2 Security Designation Guide (SDG), latest version

2.1.3 Test methods for light-fastness (ASTM G155, Table X3.1 Cycle 11)

2.1.4 Chemical Resistance Test (BEP STM 300.003)

2.1.5 Laundry Test (BEP STM 300.002)

2.1.6 EHS Requirements for Purchased Materials (BEP Document 75D-07.0-

05)

2.1.7 Restricted Materials at DCF (BEP Document 75D-07.0-07)

3.0 Contractor Tasks/Requirements

All work and information shall be handled in accordance with the requirements of the NDA and the SDG. The Contractor shall propose a plan to address all requirements as described in this section (Section 3). The Contractor shall perform technology development on security feature concepts and shall deliver the resulting materials and any equipment necessary for evaluation and validation of the materials’ performance to the BEP. The development work will be implemented using a periodic review approach that will allow the project to address the needs of the US Currency Program (USCP) for both the short and long term.

Attachment H

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3.1 Develop concepts for overt or device assisted, human-interpretive optical waveguide based features with the following characteristics, means of interrogation and deployment methods:

3.1.1 Optical waveguide characteristics – Each of the following shall be addressed in one or more of the development efforts. The BEP will select and prioritize which concepts will be pursued and to what extent using, in part, information provided by the contractor on the state of each concept. This prioritization may be rearranged, with concepts added or subtracted, as the development effort produces information on each concept.

3.1.1.1 Device assisted activity – The waveguide feature will display activity (e.g. visible light emission) when activated by an external source of visible light in one or more of the following fashions:

3.1.1.1.1 The waveguide will harvest visible light at a single or multiple locations on a printed sample

3.1.1.1.2 The waveguide will redirect light harvested to a single or multiple locations at which it will then emit that light for user viewing

3.1.1.1.3 The light harvesting portion of the feature will be either deliberately visible to the user or printed in such a fashion as to be deliberately invisible.

3.1.1.1.4 The waveguide transmission sections will be

deliberately invisible unless they are intentionally visible as part of a design characteristic

3.1.1.1.5 The emissive areas of the waveguide will be visible only when activated by transmission of visible light from an activation area unless they are intentionally visible at other times as part of a design characteristic

3.1.1.1.6 The harvesting/transmission/emission waveguide

system will have apparent functionality only in the prescribed direction unless specifically designed to be bidirectional

3.1.1.1.7 The waveguide will function to emit visible light only when activated at the harvesting area by a specific type of light source. The sources may include broadband (white), monochromatic, point source (e.g. LED;

LASERs are not desired), broad source (e.g.

incandescent; LCD screen; flame)

3.1.1.1.8 The waveguide will transmit the full visible spectrum of the incident light from harvesting region to emission region

3.1.1.1.9 The waveguide will selectively filter the incident light such that a different visible wavelength exits the emission region than is introduced in the harvesting region

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3.1.1.2 Overt activity – The waveguide feature will have an overt component that will be independent of any action upon it by an external device. This could include:

3.1.1.2.1 The waveguide feature collects, distributes or emits visible light in a range of ambient lighting conditions that makes it clearly visible to the user without any further interaction or the use of any device; or

3.1.1.2.2 The waveguide feature collects, distributes or emits visible light in such a way that the activity of the feature is only seen under a certain angle or other condition of viewing; or

3.1.1.2.3 The waveguide feature absorbs or redistributes visible light in such a way that it is completely hidden under ambient conditions. In this case, the feature effectively disappears in the absence of an external activating device

3.1.1.3 High contrast image – The waveguide feature functions in such a way that the emission of visible light produces a high contrast effect in relation to its surroundings

3.1.1.4 Animated image: Feature contains images that flip, rotate, expand/contract, dive/surface or change color and/or tonality during an inspection activity while activated by a device. The activity may be a movement of either the device or the feature

3.1.1.5 Appearing image: High contrast image revealed in a feature area only by using a specific operation of an inspection mode

3.1.1.6 Puzzle pieces: Feature exhibits some combination of high contrast images, image replacement, image completion, and hidden image of multiple icons that become a unified larger icon system when user performs multiple operations with multiple inspection modes while activating the feature with an external device

3.1.1.6.1 Image completion: Feature contains image of an

incomplete icon that becomes a complete icon when user performs an operation under an inspection mode while activating the feature with an external device

3.1.1.7 Transmission contrast effects to be seen when viewing through the feature medium and any supporting substrate while activating the feature with an external device

3.1.2 Develop concepts for deploying waveguide feature in intaglio printing applications

3.1.2.1 Develop method for intaglio application

3.1.2.1.1 Develop specifications for waveguide deployment

suitable for intaglio application using testing equipment and production equipment

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3.1.2.1.2 Determine press settings for all variables necessary for successful application of waveguides to include press speed, temperature and pressure

3.1.2.1.3 Determine application instrument parameters (plate

engraving parameters) necessary to achieve an optimized waveguide structure to include engraving depth, smoothness, cross sectional area, cross sectional shape and linear distance

3.1.2.2 Develop materials for intaglio printing application

3.1.2.2.1 Develop specifications for effective intaglio printed materials

3.1.2.2.2 Develop materials that function on a standard cotton and linen substrate that contains no pre-treatment or coating

3.1.2.2.3 Develop materials that function on a standard cotton and linen substrate in combination with a pre- or post-application treatment or coating

3.1.3 Inspection modes and user operations

3.1.3.1 Device-Assisted Human-Interpretive: Feature can be validated by use of common, hand held assistance devices such as point-source visible LEDs, array configured visible LEDs, monochromatic visible LEDs, incandescent illumination devices, or, in certain configurations, 365 nm UV excitation lamps

3.1.3.2 Overt, reflected ambient light: feature functionality will be instantly observable to the general public cash user under normal lighting conditions and shall serve to attract user attention, be a viable verification option, and warrant closer inspection with another inspection mode

3.1.3.3 Overt, Angular Dependent Light: feature functionality shall be observable under normal or feature-specific lighting conditions and change in image and/or spectral response when user changes the angle of incident light and/or viewing angle(s)

3.2 Optimize interaction between, and integration of, individual components of optical feature and substrate feature as they may be deployed on various substrates

3.2.1 Feature/Layer assembly

3.2.1.1 Reduce thickness of assembled feature (thinness; including necessary pre-or post-treatments) – to function within standard intaglio printing range, i.e. an ink layer thickness goal of 20 microns or less.

3.2.1.2 Develop the feature such that physical removal of the feature from the substrate after integration will result in the complete destruction of the feature and image.

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3.3 Develop concepts for optimizing feature robustness and durability,

3.3.1 Resistance to crumpling

3.3.2 Resistance to laundry damage

3.3.3 Resistance to mechanical abrasion

3.3.4 Resistance to photodegradation of image and structure

3.3.5 Resistance to chemical damage

3.3.6 Resistance to removal from substrate

3.3.7 Resistance to alteration of the image or to the color of the feature

3.4 Additional Concepts – The following concepts may be addressed as possibilities for additional levels of functionality

3.4.1 Machine readable responses

3.4.1.1 Infrared Responses: feature functionalities which can be identified by transmission of light in the infrared spectral region of 700 to 1000 nm.

3.4.1.2 Spectral discrimination of optical responses suitable for spectroscopic characterization by customized-device field-testing and laboratory instrumental techniques

3.4.2 Forensic image: Feature contains characteristics that are not revealed under the normal inspection modes for public cash use, not revealed in public training literature, and not be obvious or recognizable as a distinguishing image for the feature.

3.4.3 Additional concepts related to intaglio printed waveguides

3.4.4 “Additional Concepts” will be discussed with and approved by the BEP prior to implementation into feasibility assessments

3.5 Develop a preliminary quality plan

3.5.1 Develop a preliminary plan for ensuring quality is designed into the feature during the research and development stage

3.5.2 Develop a preliminary plan for ensuring feature quality is maintained during production

3.6 Identify alternative sources of supply for raw materials

4.0 Deliverables

4.1 Initial technology screening survey report – Perform survey and technology screening for novel optical effect technologies which demonstrate high complexity of color reflectance/ transmission and/or movement responses. Novel as used here could include, but not be limited to, new optical effects, previously identified technologies with advances in development, materials previously identified but exhibiting new optical effects or a new combination of effects that produces a previously unknown optical effect or response which is related to the technology

Project Lumos 02/23/2016 Page 6 of 8 being developed under this contract or for micro optics in general. The vendor shall provide a detailed summary of those novel optical effects as outlined below

4.1.1 Initial technology screening report with a technology matrix for ranking feature technologies

4.1.2 Updates to the report shall be made at least quarterly and may coincide with the quarterly technology summary

4.1.3 The BEP will direct the vendor to integrate any new optical effect technology from the matrix into the feature assembly to assess initial feasibility for a future development by adding the technology to the Desired concept characteristics list in section 3

4.2 Monthly progress checkpoints

4.2.1 Vendor reports

4.2.2 Vendor presentation/meeting

4.2.3 Conference call

4.3 Quarterly Technology Summaries/Exemplar review

4.3.1 Physical delivery and presentation of most advanced feature exemplars

4.3.2 Technology readiness (maturity)

4.3.3 Market sector evaluation

4.3.3.1 Updated technology screening report

4.3.4 Project development versus market assessment

4.3.5 Vendor summary

4.4 Annual project development summary

4.4.1 Physical delivery of most advanced feature exemplars

4.4.2 Presentation of project viability

4.4.3 Presentation to the BEP’s stakeholders

5.0 Feature exemplars.

The feature exemplars for each technology will demonstrate the optimum feature functionality which is currently feasible with that display technology.

5.1 Exemplars shall be unique and not currently available for commercial use or being marketed to parties other than those of the USCP

5.2 Exemplars shall be constructed with the goal of obtaining the required concept characteristics from section 3.1

5.3 Exemplars shall show the effort towards addressing the non-optical properties described in 3.2 and 3.3

5.4 The additional concepts outlined in section 3.4 will be discussed on a case-by-case basis for inclusion but should not be the primary focus of activity for the proposal

5.5 For each exemplar, the Contractor shall supply a quantity of feature exemplar units suitable to demonstrate the intended properties for all functional modes developed.

These units shall be in the base technology form

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5.6 Goal for the exemplars, following the ASTM G155, 72 hour exposure following Cycle 11 of Table X3.1, there shall be no delamination with the color and/or illumination response the same as prior to the test

5.7 Representative samples of each optical exemplar shall be incorporated into/onto a substrate and delivered as note-sized coupons

5.8 Goal for the exemplars, following the BEP STM 300.003 (Chemical Resistance Test), there shall be no delamination of the material

5.9 Goal for the exemplars, following the BEP STM 300.002 (Laundry Test), there shall be no loss of integrity of the print. The color and/or illumination response is the same as prior to the test between creases.

5.10 The Contractor shall work with the BEP to provide know-how and assistance in combating the potential counterfeiting of these security features made from commercially available materials

5.11 Periodic progress meetings will be scheduled by the BEP to discuss/review exemplars. Meeting location and format (such as, teleconference) will be mutually agreed upon by both parties.

6.0 Feature Selection.

Criteria for feature selection by the BEP will be based upon the exemplar’s adherence to the requirements outlined in Section 3.

7.0 Milestones.

For each individual technology, material, effect response, and feature characteristic, the project process shall entail the following activities for technology development:

7.1 Concept (Phase 1)

7.1.1 Define current technology state

7.1.1.1 Provide optical theory of feature effect/functionality

7.1.1.2 Conduct market research of existing materials

7.1.1.3 Describe the current state of the market

7.1.1.4 Conduct market research on related application materials

7.1.1.5 Define research potential of the proposed features

7.1.2 Define technology ability to address:

7.1.2.1 Feature users

7.1.2.2 Feature inspection methods

7.1.3 Define feature concept criteria

7.1.4 Define a quality plan for feature R&D

7.1.5 Define a quality plan for feature production

7.1.6 Define feature selection/acceptance criteria

7.1.7 Define technology development scope & objectives

7.2 Feasibility (Phase 2):

7.2.1 Functionality

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7.2.1.1 Exemplar demonstrating a specific feature functionality

7.2.1.2 Exemplar demonstrating multiple feature functionalities

7.2.1.3 Exemplar demonstrating a different version of feature

7.2.1.4 Basis of evolving feature over time and/or for denomination purposes

7.2.2 Integration

7.2.2.1 Demonstration of effect materials in experimental test apparatus

7.2.2.2 Demonstration of effect materials with support/application media

7.2.2.3 Demonstration of effect materials as a feature applied to paper substrate

7.2.2.4 Demonstration of feature exemplar with thickness relevant to banknotes

7.2.3 “Proof of Concept”

7.2.3.1 Feature exemplars with function and integration

7.2.4 Initial Durability

7.2.4.1 “Proof of Concept” feature exemplars pass battery of durability tests

7.2.5 When a feature concept possesses exemplars which demonstrate “Proof of Concept” and Initial Durability, that feature concept has passed the Feasibility phase of technology development

7.3 Test and Optimization (Phase 3): with completion of Feasibility phase requirements, feature concepts may move forward to the “Test & Optimization” phase of technology development upon the direction of the BEP, which may provide the additional requirements for that phase of technology development at that time. Any Phase 3 work will be done under a separate, follow-on contract.

7.4 Project Pipeline

7.4.1 Feature concepts continue to populate the project pipeline as additional potential feature versions to address the future needs of the project with regards to alternate feature effects, alternate feature application methods, advanced feature versions, market relevance, technology maturity, banknote deployment strategy, and denomination stratification

7.4.2 Multiple feature prototype versions and/or alternate feature concept prototypes may be necessary to pass Feasibility requirements for the project as a whole to be considered to enter the “Test and Optimization” phase of technology development

7.4.3 Multiple feature prototype versions and/or alternate feature concept prototypes may continue to be in the Feasibility phase of development while other feature concepts have already entered the “Test and Optimization” phase of technology development