Attachment_H_-_Mechanochromic_SOO.pdf

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Technology Development Mechanochromic Materials

STATEMENT OF OBJECTIVES

1.0 Scope of Work

The overall objective of this work is to conduct small-scale, early stage feasibility studies of mechanochromic materials, in order to establish the technical merit, feasibility and industrial potential of such materials for their use as security features in United States (US) Currency. The focus of the work is within the scope of a concept (Phase 1) and feasibility (Phase 2) firm-fixed-price level-of-effort contract. The Contractor(s) shall propose a unique approach and exercise their best effort in the design, fabrication and evaluation of novel mechanochromic materials that will meet the requirements specified in Section 3.0.

Mechanochromic materials may be at any level of technology readiness, from innovative ideas or concepts to feature prototypes. The ultimate goal is to create an overt, interactive feature that will change in color or appearance upon mechanical stimuli (e.g., pressing, rubbing, application of finger pressure), and that could be used by the public to validate the notes during common, everyday transactions. The Contractor(s) shall exert the best possible effort to develop a fully functional feature exemplar within a specified level-of-effort. The technical requirements outlined in Section

3.0 of this Statement direct the Contractor on objectives to achieving the ultimate goal for this project. Due to the complexity of the materials in development and their potential for success, it may be necessary to perform this development from Phase 1 & 2 into latter phases of the Technology Development Process (Section 5.0) as determined by 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)

The referenced documents will be available upon request.

3.0 Contractor Tasks/Requirements

All work and information shall be handled in accordance with the requirements of the NDA and the SDG. Contractor(s) working within the scope of a Concept (Phase I) study shall propose defined concepts of mechanochromic materials with confirmed research plans. Feasibility (Phase 2) studies

Mechanochromic Materials 03/09/2016 Page 2 of 7 shall focus on activities for the analysis of separate components of the technology, basic component integration and functionality of feature exemplars. The Contractor and the BEP will agree upon the desired level-of-effort at the time of the award. Successful technologies shall demonstrate continuous improvement through the BEP’s Technology Development Process.

3.1 Synthesize or fabricate materials with the following functional characteristics:

3.1.1 Optical response - materials shall exhibit a distinct change in color or appearance when mechanical force is applied. The optical response shall be unambiguously observable by the naked eye.

3.1.2 Reversibility – materials shall have relaxation times that allow the user to quickly authenticate the note during regular cash transactions.

3.1.3 Durability – materials shall exhibit the desired optical response after multiple compression/decompression cycles.

3.1.4 Scalability - materials shall be fabricated using potentially scalable methods.

Fabrication approaches may include, but are not limited to, bottom-up techniques (e.g., self-assembly, synthetic chemistry), top-down techniques (e.g., photolithography), or a combination of both.

3.2 Evaluate the optical and mechanical properties of the materials.

3.2.1 Mechanical properties may include, but are not limited to, compression strength, elasticity, flexibility, and tensile strength.

3.2.2 Optical properties may include, but are not limited to, reflectivity, transmission measurements and optical micrographs.

3.2.3 Material variants shall exhibit predicted optical responses, reversibility, and defined relaxation times. A rationale shall be provided for the design of material concepts based on their predicted structure-property relationship.

3.3 Design and construct proof-of-principle prototypes for overt, human-interpretive mechanochromic security features with the following characteristics. The BEP will prioritize which prototypes will be pursued using, in part, information provided by the contractor on the state of the technology. This prioritization may be rearranged, with prototypes added or subtracted, as the R&D effort produces information on the state of the technology. Feature exemplars shall be unique and not currently available for commercial use or being marketed to parties other than those of the USCP.

3.3.1 Optical Characteristics:

3.3.1.1 Feature may shift from colorless to color or vice versa when user performs an operation under an inspection mode. Primary user operation is by mechanical activation.

3.3.1.2 Feature may shift from one color to another color when user performs an operation under an inspection mode. Primary user operation is by mechanical activation.

3.3.1.3 Overt, angular independence: feature functionality shall be observable under normal or feature-specific lighting conditions and

Mechanochromic Materials 03/09/2016 Page 3 of 7 the perceived color may be independent of the position of the light source and/or viewing angle(s). Primary user operation is by mechanical activation.

3.3.1.4 Overt, angular dependence: feature functionality shall be observable under normal or feature-specific lighting conditions and the perceived color may change with the position of the light source and/or viewing angle(s). Primary user operation is by mechanical activation.

3.3.2 Feature designs may include, but are not limited to:

3.3.2.1 Appearing image: High contrast image may be revealed in a feature area only after mechanical activation.

3.3.2.2 Puzzle pieces: Feature may exhibit 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 an operation under an inspection mode. Primary user operation is by mechanical activation.

3.3.3 Provide an assessment of different application and deployment methods of the mechanochromic feature.

3.3.3.1 Ink form

3.3.3.2 Patch/Stripe

3.3.3.3 Thread

3.3.3.4 Thin Film

3.3.3.5 Window

3.3.3.6 Embedded or partially embedded in paper substrate

3.3.3.7 Other application methods

3.4 Optimize interaction between, and integration of, individual components of optical feature and substrate feature as they may be deployed in various substrates.

3.4.1 Feature/Layer assembly

3.4.1.1 Reduce thickness of assembled feature (thinness; including necessary coatings and adhesives) – with a goal of less than 35 µm.

3.4.1.2 Different layer assembly orders shall be developed and used to integrate components so as to make available multiple constructions for testing.

3.4.1.3 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.

3.4.2 Feature Robustness/Durability

3.4.2.1 Resistance to crumpling

3.4.2.2 Resistance to laundry damage

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3.4.2.3 Resistance to mechanical abrasion

3.4.2.4 Resistance to splicing, sheering, or delamination

3.4.2.5 Resistance to photodegradation of image and structure

3.4.2.6 Resistance to chemical damage

3.4.2.7 Resistance to removal from substrate

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

4.0 Deliverables

4.1 Monthly progress checkpoints (submitted to COR)

4.1.1 Vendor reports (on an as needed basis, to discuss monthly progress checks)

4.1.2 Conference calls (on an as needed basis, to discuss monthly progress checks)

4.2 Quarterly Technology Summaries (consisting of the latest monthly report combined with the previous two monthly reports to summarize findings)

4.2.1 Technology readiness (maturity)

4.2.2 Market sector evaluation –updated technology screening and IP report

4.2.3 Project development versus market assessment

4.2.4 Contractor summary

4.3 Final project report (expected to be accomplished near the end of the contract)

4.3.1 Detailed description of results

4.3.2 Plans for materials optimization and scale-up

4.3.3 Physical delivery of material samples and feature exemplars

4.3.4 Presentation of project viability to BEP personnel and stakeholders. Location and method of delivery will be mutually agreed upon.

5.0 Milestones

Due to the complexity of the materials in development and their potential for success, it may be necessary to perform this development from Phase 1 & 2 into latter phases of the Technology

Development Process as determined by the BEP. Each individual material, effect response, and feature characteristic shall meet the following milestones and exit criteria to proceed to the next phase of the Technology Development Process. A proposed project schedule shall be submitted:

5.1 Concept – Phase 1

5.1.1 Define current technology state

5.1.1.1 Provide theory of materials effect/functionality.

5.1.1.2 Conduct market research of the technology.

5.1.1.3 Describe the current state of the market and IP space.

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5.1.1.4 Results of lab tests performed shall show proof-of-concept of the materials’ optical and mechanical properties and functional characteristics.

5.2 Feasibility – Phase 2 (Functionality) (Note: COR will determine the number of examples depending on factors such as the maturity of technology, etc.)

5.2.1 Provide exemplars demonstrating the intended feature functionality (i.e., mechanochromic effect).

5.2.2 Provide exemplars demonstrating defined optical characteristics.

5.2.3 Provide exemplars demonstrating different versions of the feature.

5.3 Feasibility – Phase 2 (Integration)

5.3.1 Demonstration of feature effects in experimental test apparatus.

5.3.2 Demonstration of feature effects with support/application media.

5.3.3 Demonstration of feature effects as a feature applied to paper substrate.

5.3.4 Demonstration of feature exemplars with thickness relevant to banknotes.

5.4 Feasibility – Phase 2 (Proof-of-Concept)

5.4.1 Feature exemplars demonstrate function and integration on a simulated banknote.

5.5 Feasibility – Phase 2 (Initial Durability)

5.5.1 “Proof of Concept” feature exemplars pass battery of durability tests.

5.6 Test and Optimization – Phase 3

5.6.1 With completion of feasibility phase requirements, the technology may move forward to the “Test & Optimization” phase upon direction of the BEP, which may provide additional requirements for that phase of technology development at that time.

5.6.1.1 Prove that the technology can be manufactured on the contractor’s equipment/pilot process.

5.6.1.2 Features survive printing, performing in a simulated banknote environment, and passing full durability testing.

6.0 SOO, SOW & QASP

(a) The statement of objective (SOO) provides the government’s overall objectives and performance requirements for this solicitation. Offerors shall use the SOO, together with other applicable portions of this RFP, as the basis for preparing their proposal. The offeror shall ensure that all aspects of the

SOO are addressed. The offeror will provide a Statement of Work (SOW), describing their proposed

Mechanochromic Materials 03/09/2016 Page 6 of 7 plan/approach to carry out the work under this solicitation. During the work under the anticipated contract, it is expected that the SOW will evolve. It will be periodically reviewed and updated with government approval. The SOW will include:

(1) A proposed project plan, including schedule, to complete this work. The plan must be specific and detailed (as described below).

(2) A breakdown of the work necessary to successfully complete the requirement.

(3) The proposed measurable and structured performance objectives and standards to permit an assessment of the contractor’s performance to meet the Government’s needs.

The offeror shall provide a project plan that describes the approach and plan of action the Contractor intends to utilize to meet the requirements as set forth in section C.1 above. At a minimum, the plan shall include the offeror’s technical strategy, milestone schedule, and a work breakdown of the staffing plan to include identified personnel and their responsibilities and tasks.

Offerors are encouraged to provide a project plan that will provide the Government with a high level of confidence that the offeror has a thorough understanding of this requirement and the available resources to successfully perform. The offeror’s project plan shall demonstrate how they intend to meet the requirements of the SOO including deliverables (reference Attachment A of this solicitation) as evidenced by a realistic separation of the project into viable components and/or milestones.

The offeror’s proposal should demonstrate sufficient information on business characteristics within the project plan and work breakdown staffing plan necessary to complete the proposed technical development. Examples of business characteristics include those that will be dedicated to the project such as principal staff, support staff, facilities, infrastructure, machinery, instrumentation, and contracts or business relationships that will be utilized to meet the needs of the development. The offeror should also identify any potential problems and/or critical issues that will relate to the successful completion of the project.

While the Offerors are encouraged to address all items in the Statement of Objectives for full consideration, the BEP may consider proposals that offer a substantially innovative, secure and notable solution to a less than complete set of requirements so long as the main focus is heavily representative of the high level requirements of the SOO sections 3.1 and 3.2.

(b) Offerors are requested to submit a proposed Quality Assurance Surveillance Plan (QASP) for the

Government’s consideration in development of the Government’s plan. The QASP should directly correspond to the performance objectives and standards (i.e., quality, quantity, timeliness) specified in the proposed SOW and detail how, when and by whom the Government will survey, observe, test, Mechanochromic Materials 03/09/2016 Page 7 of 7 sample, evaluate, and document contractor performance results to determine whether the contractor has met the required standards for each objective in the PWS.

(c) Offerors are referred to Section M for details of how the technical proposal will be evaluated and rated.