RFS_REE_Initiatives_20221109.pdf

DISTRIBUTION STATEMENT A. This is approved for public release, distribution unlimited

Request for Solutions (RFS) For

Rare Earth Element (REE) Initiatives Prototype Projects

09 November 2022

DISTRIBUTION STATEMENT A. This is approved for public release, distribution unlimited

1 Purpose This RFS is seeking vendors for an Other Transaction Authority (OTA) agreement, for the Rare Earth Element (REE) Initiatives Prototype Projects. The Government will evaluate the solution with the intent to competitively award one or multiple Other Transaction (OT) agreement(s) for prototype project(s), in accordance with 10 U.S.

Code § 4022.

2 Summary and Background The DoD has recognized how critical REEs like cobalt, lithium, neodymium, vanadium, are to numerous defense and commercial applications, including aircraft/Unmanned Aerial Vehicles (UAVs)/vehicles, sensors, precision-guided munitions, electric motors, nuclear reactors and more. The United States (US) has limited domestic production of 14 critical minerals (CMs), relying on imports to meet demand. More than 50% of the US’ annual consumption for 31 of the 35 minerals designated as critical by the Department of Interior are imported, per the Department of Commerce.

The Southeast Asia region is self-sustaining with regard to critical elements. The region commands the majority of the world’s mined REE output and approximately 80% of REE processing/separation. Over the last 10 years, the Southeast region nations have built up their chemical processing capacity by securing mines around the globe, setting up long term agreements for raw materials flow into the country. This coupled with a volatile market, makes it increasingly difficult for the US to secure REE sources overseas. Furthermore, the Southeast region has reportedly been exploring how it can impede American defense contractors by limiting REE supplies. Therefore, securing both domestically sourced REE and domestic REE processing infrastructure is critical to building up the US defense and technology sectors and ending the US’ dependence on the Southeast region for these items.

On July 22, 2019, Presidential Determination No. 2019-18 established that rare earth processing capabilities are essential to national defense, asserting that “[w]ithout Presidential action under section 303 of the Act, United States industry cannot reasonably be expected to provide the production capability for Rare Earth Metals and Alloys adequately and in a timely manner.” The Memorandum for the Secretary of Defense also affirmed that “purchases, purchase commitments, or other action pursuant to section 303 of the [Defense Production] Act are the most cost-effective, expedient, and practical alternative method for meeting the need for this critical capability.”

It is the intent of the Government to establish this RFS for two REE Protype and Demonstration projects and serve as a basis for the release of additional RFS documents that are supported within the overall REE Initiatives Prototype Projects. The release of additional RFS documents based on the REE initiatives Prototype Projects will provide for individual requirements, to include evaluation criteria and anticipated duration.

The Office of the Secretary of Defense (OSD) / Office of Industrial Base Policy (OIBP) is the primary Department of Defense (DoD) agent funding and supporting the capability development efforts addressing the REE Initiatives Prototype Projects.

Program Executive Office for Simulation, Training, & Instrumentation (PEO STRI) will conduct prototyping to address the REE Initiatives Prototype Projects, specifically the REE Recovery Demonstration and REE Separation Technology Capabilities prototype projects. The ultimate goal of the REE Initiatives prototype projects will be to conduct prototyping efforts that demonstrate and develop solutions that address:

Advance and sustain both traditional and emerging defense manufacturing sectors

Preserve critical and unique manufacturing and design skills Support and expanding reliable sources Identify and mitigating supply chain vulnerabilities, including cyber, manufacturing, and trade skills vulnerabilities

As reflected in Figure 1 (below), each prototype requirement is referred to as a topic.

Each topic has a set of requirements and objectives. Listed topics amplify the above and include specific capability development requirements. Multiple topics are not component requirements for a single prototype. Each topic represents a request for a stand-alone prototype development and award.

This RFS describes two (2) REE Initiatives Prototype Projects intended to promote the adoption of REE recovery and separation technologies, the utilization of advanced processing capabilities by industry partners with the ability to meet the eligibility requirements of 10 U.S.C. § 4022(d)(1).

The Government plans to award one or more OT agreements for each of the following:

REE Recovery Demonstration

REE

Initiatives

Topic 2:

REE Separation Technology Capabilities

Topic 1:

REE Recovery Demonstration

Figure 1. Overview of REE Initiatives and Topics

REE Separation Technology Capabilities

The awarded OT Agreements shall satisfy the following high level requirements:

1. The ability to acquire feedstocks rich in REE and Critical Minerals (CM) from domestic locations

2. Commercial scalability of REE recovery processes

3. Advancement and efficiency in REE extraction and separation processing capabilities

The Government defines REE Recovery and REE Separation as follows:

REE Recovery: retrieve REE from waste products

REE Separation: Individual REEs do not occur in minable concentrations in the Earth’s crust, but are naturally mineralized together and must be chemically divided by liquid-liquid extraction methods to use for technological applications.

Other applicable prototype project terms follow:

Rare Earth Elements (REE): or rare earth metals are a set of seventeen chemical elements in the periodic table, specifically the fifteen lanthanides plus scandium and yttrium; these elements play a critical role to our national security, energy independence, environmental future, and economic growth.

Critical Minerals (CM): a non-fuel mineral or mineral material essential to the economic or national security of the United States (US) and which has a supply chain vulnerable to disruption.

Acid Mine Drainage (AMD): the formation and movement of highly acidic water rich in heavy metals. AMD forms when pyritic waste rock from coal mines is exposed to air.

This acid then leaches rare earth metals out of the rock.

Feedstock: raw material from AMD or coal byproducts rich in REE or CM.

Technology Readiness Level (TRL): maturity level of technology entering DoD acquisition programs ranging from 1. basic principles observed and reported to 9. actual system proven through successful mission operations.

Light REE (LREE): REEs with atomic numbers 57 to 61 are classified as light (e.g., lanthanum, cerium, praseodymium, neodymium, samarium, and europium).

Heavy REE (HREE): REEs with atomic numbers 62 and greater are classified as heavy (e.g., gadolinium, terbium, dysprosium, holmium, erbium, thulium, ytterbium, lutetium, scandium, and yttrium).

Conventional Solvent Extraction (CSX): the most common process for the separation of mixed REEs into separate LREE and HREE; a liquid-to-liquid separation method that depends on both physical and chemical techniques; in a typical application, a desired metal and its contaminants are dissolved into an aqueous solution by exposing a mined mineral concentrate to acid.

Topic 1: REE Recovery Demonstration Prototype Project Background

Institutions of higher education in partnership with industry-will gain detailed visibility into the efficacy of recovering REE and CM from AMD, the feasibility of bringing such technology to commercialized scale, and determine domestic locations that are appropriate for the deployment of such technology.

Researchers have found that treating one of the biggest sources of pollution in the US of AMD can provide a rich source of REEs without the traditional problems of sourcing REE which is radioactive tailings or additional mining waste. Because of the radioactive tailings stream, which is the common byproduct of REE mining, REE processing waste must be managed in perpetuity. This is why the US imports nearly all its REE from the Southeast Asia region, which supplies about 89 percent of the world's rare earth needs.

The DoD has recognized the importance of recovering REE and CM from AMD and other coal byproducts and is not only seeking to limit US dependence on outsourcing this critical infrastructure from the Southeast Asia region but also find ways to economically and safely source REE and CM within the US or from its allies. REEs and CMs are the building blocks of advanced technologies. A domestic supply is needed to maintain and sustain commercial and defense related industries, ensuring the U.S retains its sovereign influence.

The objective of this prototype project is to develop innovative process technologies to extract salable REE and CM from AMD feedstocks and document the ability to commercially scale the process toward fully continuous, automated operations. The recovery of REE from mining feedstock is an economical way to obtain REE with the added benefit of cleaning up rivers and lakes contaminated as a result of mining activities.

AMD discharge sites currently produce REE and CM in a readily recovered, aqueous form. The sites typically contain 60% heavy and critical REE and negligible radioactive or other harmful byproducts. Because these locations are under permit, responsible parties already treat AMD under the Federal Clear Water act, making these sites accessible with infrastructure and workforce.

In contrast, conventional, greenfield REE/CM mines require 8-10 years to obtain operating permits. As a result of the above, AMD sites could rapidly move into production with techno-economic analyses supporting the viability of recovering REE/CM from AMD discharge sites.

Advancing the ability to collect REE/CM from AMD, the Government would solve one of the foundational issues it faces of sourcing REE/CM all while correcting errors of past pollution.

Topic 2: REE Separation Technology Capabilities Prototype Project Background Capabilities delivered by this project will enable industry to gain advancement and efficiency in REE extraction and separation processing methods. The US currently does not have commercial-scale REE extraction capabilities. Ongoing research and development aims to lower the cost of extracting REE from mineral deposits and from recycled materials. Congress has provided funding to develop and demonstrate industrial-scale processes related to separating REE from raw ore and/or recycled end products.

Types of necessary re-imagination in REE separation processes, include innovative augmentation in separation factors, reduction of equipment requirements, and/or reductions in chemical consumption. The Government seeks to improve the economics of the process, reduce waste, and reduce complexity by limiting the steps it takes to achieve separation. Process enhancements will lead to promoting a sustainable and economically viable domestic supply of REE in the US. The scope of this prototype effort will focus on developing advancements in solvent extraction technology and separation process enhancement capabilities.

3 General Information

Submission Costs The cost of preparing and submitting a response is not considered an allowable direct charge to any Government contract or agreement.

Submission Response Limitations A vendor acting as a Prime, shall only submit a solution for one topic. A vendor may participate as a subcontractor to multiple responses for each topic. Non-compliance with the submission instructions provided herein may preclude the vendor from being considered for award.

Special Requirements Prospective vendors for Topic 1: REE Recovery Demonstration Prototype Project must be an institution of higher education. Institutions of higher education may choose to partner with industry to fulfill RFS requirements.

Please note this requirement doesn’t not exist for Topic 2: REE Separation Technology Capabilities Prototype Project

Use of Non-Disclosure Agreements (NDAs) Government participants and advisors in the evaluation process will be required to sign NDAs and ensure the procedures are in accordance with 41 U.S.C. 423, Procurement Integrity Act.

Non-Government Advisors This is to advise you that non-Government advisors will assist in the evaluation. The use of non-Government advisors will be strictly controlled. Non-Government advisors will be required to sign a NDA prior to viewing the REE Initiatives Prototype Projects.

Agreements Officer will review NDAs for conflict prior to allowing access to evaluation information.

All non-Government advisors will only have access to the information corresponding to their area(s) of expertise. Advisors will not have access to the Price Volume of the response. The companies identified herein have agreed not to engage in the manufacture or production of hardware/services/R&D that is related to these efforts, and to refrain from disclosing proprietary information to unauthorized personnel.

The following company will have non-Government personnel advising:

ANSER

5275 Leesburg Pike Suite N-5000 Falls Church, VA 22041 Cage Code: 4A458

4 Government Furnished Information (GFI) / Government Furnished Property

(GFP)

Use of GFI/GFP is not applicable for this OTA.

5 Solution Responses

Overview Solution responses for each topic, REE Recovery Demonstration Prototype Project and REE Separation Technology Capabilities Prototype Project, shall consist of one volume to include a General, Technical, and Price sections. Responses shall be submitted in an editable/executable (not scanned) Word/Adobe PDF format. The Technical section is limited to no more than 10 standard size (8 ½” X 11”) pages for the total volume count using standard 12-point Arial font. No more than 3 foldouts are allowed with a page size of 11”x17” and will be counted towards the 10-page limit. Please note, each one-sided page will count towards the page count limit. Charts or figures are not bound by the 12-point font requirement but shall be clearly legible. The General and Pricing Sections along with the cover pages, Sub-Vendor List, Government Desired Rights in Technical Data and Computer Software, List of Figures, critical path Plan of Action and Milestones (POAM), delivery Schedule, Section 889-Telecommunications and Representations, and Acronym Definitions do not count towards the page count limit. If the solution exceeds the page limitation, the Government may choose not to read any information exceeding the 10-page limit and the information may not be included in the solution evaluation.

Each submitted solution must be a self-contained unit that stands on its own merits.

Vendors will not rely upon hyperlinks to information that exists outside the 10-page

Technical Section limit (i.e., on external web pages). Evaluators will neither read nor use such information during the conduct of their evaluations.

The Vendor’s proposed solution will be used to collaboratively negotiate a statement of work (SOW), including key performance metrics, after selection for award. The contractor shall provide a draft SOW with their proposal to help in the collaboration efforts. The final agreed-upon SOW will be incorporated into the OT agreement.

The following documents are subject to page count limitations.

Section Subsection Format**

Counted towards page limit Page Limit*

Yes No

General

Cover Page

MS

Word/PDF X

No Page Limit

Nontraditional Contractor (NDC) Status

MS

Word/PDF X

FOCI Status

MS

Word/PDF X OCI & Mitigation Plan

MS

Word/PDF X

Technical

Sub-Vendor List and Strategy

MS

Word/PDF X

10-Page Limit

Vendor Experience

MS

Word/PDF X

Project Management

MS

Word/PDF X

Solution Paper

MS

Word/PDF X Govt Desired Rights in Tech Data & Computer SW

MS

Word/PDF

X

Anticipated Delivery Schedule

MS

Word/PDF X

Plan of Action and Milestones (POAM)

MS Excel/

PDF X

Price

Pricing Breakout MS Excel X

No Page Limit Basis of Estimate

(BOE)

MS

Word/PDF X

Rough Order of Magnitude (ROM) MS Excel X

*The General and Pricing Sections along with the cover page, Sub-Vendor List, Government Desired Rights in Technical Data and Computer Software, List of Figures, Delivery Schedule, POAM, Section

889-Telecommunications and Representations, and Acronym Definitions do not count towards the page count limit. ***All PDF’s will be editable (not locked).***

5.1 General Section Overview (Unlimited Page Count)

The general volume has an unlimited page count.

The following shall be included in the General/Administrative Volume/Section Cover Page Prototype Eligibility Requirements Foreign Owned, Controlled, or Influenced (FOCI) status Organizational Conflicts of Interest and Mitigation Plans

5.1.1 Cover Page

The cover page shall identify the applicable topic title being addressed by the submission. The cover page shall include the vendor’s name, SAM Unique Entity ID (UIE), Commercial and Government Entity (CAGE) Code (if available), NAICS Code, Business Size, Business Type (Traditional or Non-Traditional) level of facility clearance (if any), address, primary point of contact, and status of United States (U.S.) ownership.

The North American Classification System (NAICS) and Product Service Code (PSC) appropriate for the prototype topics are, NAICS: 541714 – Research and Development in Biotechnology; PSC: 3820 –Mining, Rock Drilling, Earth Boring, And Related Equipment. The cover sheet shall also indicate data disclosure requirements and related precautions as previously specified regarding submitted document markings.

5.1.2 Prototype Project Eligibility Requirements

The vendor shall provide its nontraditional business status or your ability to meet the eligibility requirements of 10 U.S.C. §4022(d)(1). The vendor shall clearly identify and support one of the following award eligibility requirements – with appropriate justification, as applicable.

There is at least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the project.

All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors.

At least one third of the total cost of the project is to be paid out of funds provided by sources other than the Federal Government.)

If the vendor is not a nontraditional defense contractor (NDC) additional information is needed. Vendor shall provide the name and CAGE code information for the NDC participating in the prototype project. Additionally, the vendor shall provide what portion of the work the NDC is performing and an explanation of the significance of the NDC’s contribution to the prototype project.

5.1.3 Definition of Nontraditional Defense Contractor

An entity that is not currently performing and has not performed, for at least the one-year period preceding the solicitation of sources by the Department of Defense (DoD) for the procurement or transaction, any contract or subcontract for the DoD that is subject to full coverage under the cost accounting standards prescribed pursuant to 41 U.S.C §1502 and the regulations implementing such section.

5.1.4 Foreign Owned, Controlled or Influenced:

In accordance with RFS Attachment 1: PEO STRI Vendor/Contractor Vetting Process the vendor must include certification that the vendor is not Foreign Owned or under USA Foreign Owned, Controlled or Influenced (FOCI) status (and are not in merger or purchasing discussions for a foreign company or USA FOCI Company). This certification must also include and address each sub-vendor. Should a prospective vendor be unable to self-certify, they will be ineligible for award unless the mitigating circumstances in Attachment 1: PEO STRI Vendor/Contractor Vetting Process are met.

In such a case, these mitigating circumstances shall be detailed in an appendix to the General Volume.

Security Vetting: All vendors who want to participate at any level in support of this effort must be willing to comply with the PEO STRI Vendor/Contractor Vetting Process for Release of Protected Information at the Unclassified/For Official Use Only (FOUO), Top Secret (TS)/Sensitive Compartment Information (SCI), or any level in between the two categories. Per Attachment 1: PEO STRI Vendor/Contractor Vetting Process, all vendors (Prime and Subs) must be vetted for eligibility, suitability, national status e.g., Foreign or USA Foreign Owned, Controlled and Influenced (FOCI) prior to the receipt of any award instrument.

5.1.5 Organizational Conflicts of Interest and Mitigation Plans:

Vendors will submit an Organizational Conflict of Interest Mitigation Plan via an Appendix to its General Volume. In the event there are no real or perceived OCIs, simply state so and annotate what actions would be taken if one is realized.

5.2 Technical Section (10 Page Limit)

The following shall be included within the Technical Volume/Section:

Sub-vendor List Vendor Experience Project Management Solution Paper Government Desired Rights in Technical Data and Computer Software Anticipated Delivery Schedule

POAM

5.2.1 Sub-vendor List and Strategy

Provide a list of all sub-vendors involved and their role within the performance of your submission as an appendix (which will not count towards the page count) stating any team member name(s), their role within the performance of your submission, FOCI status, OCI, Unique Entity ID, Commercial and Government Entity (CAGE) Code, Business Size for NAICS Code: 541714 – Research and Development in Biotechnology

5.2.2 Vendor’s Experience

Vendor shall describe their company or team’s qualifications and recent or relevant previous experiences as it pertains to the work associated to the respective topic. This experience should be related to the topic the vendor is submitting for that is the same or similar to the required work of the respective topic. Projects worked in the last three years from the release of the RFS are considered recent.

5.2.3 Project Management

Vendor shall describe their company’s methodologies, organizational structure, quality assurance processes, and staffing they intend to use to manage this prototype project.

5.2.4 Solution Paper

Each response shall include the vendor’s proposed technical solution that clearly describes their approach, feasibility, and technical risks and mitigation strategies to their solution identified in fulfilling the Topic Technical Objectives, Requirements, and associated deliverables identified below. The approach shall clearly address planned documentation deliverables (including format and content) and any planned demonstrations, design reviews, feasibility of implementation, total project risk, and management reviews.

5.3 Technical Objectives – Topic 1: REE Recovery Demonstration Prototype Project The technical objectives of the REE Recovery Demonstration Prototype Project are listed below.

1. Determine the efficacy of recovering REE and CM from AMD and coal byproducts.

2. Calculate the feasibility of bringing such technology to commercialized scale.

3. Find domestic locations that are appropriate for the deployment of such technology in

West Virginia.

5.3.1 Requirements – Topic 1: REE Recovery Demonstration Prototype Project The requirements for the REE Recovery Demonstration Prototype Project are:

1. Determine the ability to acquire AMD feedstocks from any of the following sources:

Integrated AMD/REE/CM facilities in West Virginia Concentrates produced at small AMD discharges US metal mines NATO Ally sources

2. Demonstrate commercial scalability of REE recovery processes toward fully continuous, automated operations.

5.3.2 Project Technical Milestones/Decision Points (DP) –Topic 1: REE Recovery Demonstration Prototype Project

These are notional events based on preliminary market research. The proposed solutions will influence the nature of the actual technical events and milestones. The completion criteria established for each technical objective may be considered a DP for entry into the subsequent technical objective or follow-on efforts, where applicable.

Successful completion of this prototype project is when all technical objectives and requirements are complete and satisfied for the respective topic. The RFS shall include the milestone information After Receipt of Award (ARA). The period of performance (PoP) for this project is up to 12 months in duration.

5.3.2.1 (1-month ARA) – Project Kick-off / Monthly Report The monthly status report shall include the following:

a. Project performance.

b. Schedule progress.

c. Funding status.

d. Updated risk and opportunity analysis, including planned response actions, associated with cost, schedule, and performance.

e. Key metrics.

5.3.2.2 (2-month ARA) – Project Execution Plan The project execution plan will include the following:

a. Project scope.

b. Project management.

c. POAM with critical path efforts, milestones, risks and opportunities, proposed actions, and deliverables for the entire effort.

d. Key metrics approach.

5.3.2.3 Quarterly Project Management Review (PMR)

The PMR, which will use an in-person or virtual format, will review the state of project execution plan and progress on deliverables, the quality of monthly status reports, and key metrics.

5.3.2.4 (11-month ARA) – Main Project Deliverables The project will provide the main deliverables as listed below.

The awardee shall provide technical reports on each of the different feedstock sources and demonstrated performance of the AMD technology including, but not limited to:

a. The efficacy of separating REEs and CMs from AMD.

b. The feasibility of bringing such technology to commercialized scale.

c. Domestic locations that are appropriate for the deployment of such technology.

d. The ability of such technology to meet the requirements of the defense industrial base to supplement the REE and CM needs of the DoD.

e. Commercial scalability of rare earth extraction via AMD operations and technologies.

5.3.2.5 (12-month ARA) – Final Project Report

The vendor will develop a final detailed report that will document all efforts conducted, completed, and delivered as part of the project. The report content will include, but is not limited to the following:

a. Project objective and scope (including any modifications agreed to during execution).

b. Changes to technical approach, if any, the rationale for these changes, and their impacts on achievement of project objectives and targets.

c. Analysis of project results in terms of specified requirements and metrics.

d. Milestone and overall OTA price.

e. Sustainment approach.

f. Key Performance Metrics.

g. Details of specific benefits that accrue to the Government and other stakeholders.

h. Lessons learned.

i. Recommended follow-on efforts.

j. Any other pertinent information relevant to the project.

5.4 Technical Objectives – Topic 2: REE Separation Technology Capabilities Prototype Project

The objectives of the REE Separation Technology Capabilities Prototype Project are to understand:

1. the capability to commercially source a sustainable domestic processing facility for converting heavy and light REE oxides from feedstock to salable metals.

2. the capability to convert heavy and light rare earth oxides, compounds, and other rare earth feedstock to alloys for domestic production.

3. new innovative separation processes that increase the ability to create domestic REE processing plants.

5.4.1 Requirements – Topic 2: REE Separation Technology Capabilities Prototype Project The awardee shall demonstrate and document the following requirements by the end of the prototype development period:

1. Rare earth separation processing capability at a rate more efficient than CSX REE separation methods utilizing a shake flask test**.

**Note: the awarded vendor shall provide a demonstrated CSX REE separation shake flask test baseline rate(s) to the Government at the beginning of the project PoP that will be used to measure the vendor’s prototype separation efficiency rate against at the end of the PoP. The vendor shall provide details on the aqueous and/or clay solution used for the CSX separation shake flask test that includes a list of the extracted REE metals.

2. Separation technology applicability to both light and heavy REE.

3. A continuous process working facility capable of tonnage feedstock.

4. An increase in separation processing facility TRL.

5.4.2 Project Technical Milestones/DP – Topic 2: REE Separation Technology Capabilities Prototype Project These are notional events based on preliminary market research. The proposed solutions will influence the nature of the actual technical events and milestones. The completion criteria established for each technical objective and requirement may be considered a DP for entry into the subsequent technical objective or follow-on efforts, where applicable. Successful completion of this prototype project is when all technical objectives and requirements are completed and satisfied. The RFS shall include the milestone information ARA. The POP for this project is up to 24 months in duration.

5.4.2.1 (1-month ARA) – Project Kick-off / Monthly Report The monthly status report shall include the following:

a. Project performance

b. Schedule progress

c. Funding status

d. Updated risk and opportunity analysis, including planned response actions, associated with cost, schedule, and performance

e. Key metrics

5.4.2.2 (2-month ARA) – Project Execution Plan The project execution plan will include the following:

a. Project scope

b. Project management

c. POAM with critical path efforts, milestones, risks and opportunities, proposed actions, and deliverables for the entire effort

d. Key metrics approach

5.4.2.3 Quarterly Project Management Review (PMR)

The PMR, which will use an in-person or virtual format, will review the state of project execution plan and progress on deliverables, the quality of monthly status reports, and key metrics.

5.4.2.4 (23-month ARA) – Main Project Deliverables The project will provide the main deliverables as listed below.

The awardee shall provide a technical report that includes, but is not limited to, the following details:

a. A techno-economic analysis of their commercialization feasibility processes vs.

current CSX capability, including scale-up information for broad distribution.

b. Substantiation of the ability to separate both heavy and light REE.

c. How the processing plant TRLs advanced from the start of the prototype development period to the end.

d. Commercial feasibility of rare earth extraction via AMD operations and technologies.

e. Documentation of all process parameters and equipment used.

5.4.2.5 (24-month ARA) – Final Project Report

The vendor will develop a final detailed report that will document all efforts conducted, completed, and delivered as part of the project. The report content will include, but is not limited to the following:

a. Project objective and scope (including any modifications agreed to during execution)

b. Changes to technical approach, if any, the rationale for these changes, and their impacts on achievement of project objectives and targets

c. Analysis of project results in terms of specified requirements and metrics

d. Milestone and overall OTA price

e. Sustainment approach

f. Key Performance Metrics

g. Details of specific benefits that accrue to the Government and other stakeholders

h. Lessons learned

i. Recommended follow-on efforts

j. Any other pertinent information relevant to the project

5.5 Government Desired Rights in Technical Data and Computer Software The Government requires Government Purpose Rights (GPR) in all technical data (including computer software documentation) and computer software developed under any OT associated with this effort, for, at most, a five-year period. The five-year period, or such other period as may be negotiated, will commence upon execution of the OT that required development of the technical data (including computer software documentation) and computer software. Upon expiration of the five-year (or other negotiated period), the Government desires unlimited rights in the technical data (including computer software documentation) and computer software. Printed deliverable (e.g., printed hardcopies, .doc, web-based html, etc.) will be labeled accordingly and contain all appropriate markings associated with the distribution classification.

All technical data, intellectual property and non-commercial off the shelf (non-COTS) software will be provided with a minimum of GPR.

Any commercial or COTS shall be provided with a transferable license that allows distribution of the software and transfer of the license to any Government agency or DoD vendor for any prototype project related purpose. All software licensing shall include a minimum term of five years of use. All software shall be provided with any available major upgrades, minor updates, security patches and technical support for the entire PoP. When the addition of new software or hardware is proposed for the system or developed under this solicitation with Government funding or partial Government funding, the vendor shall ensure that sufficient rights in technical data to include (software and hardware) are procured to enable the Government to maintain and modify the system using Government personnel and/or third-party vendors. Government approval is required for exceptions to GPR.

In its solution, the vendor for any OT awarded in accordance with this RFS shall analyze feasible non-proprietary solutions and incorporate such solutions into its proposed solution when practicable. This preference for non-proprietary solutions applies to any technical data (including computer software documentation) and computer software developed or delivered under the OT. The vendor shall clearly state all assumptions made during development of its proposal.

The vendor shall provide a data rights assertion table, Attachment 2, for all technical data (including computer software documentation) and computer software to be developed or delivered under the OTA. The data rights assertion table shall identify at the lowest segregable level the technical data (including computer software documentation) and computer software to be developed or delivered under the OT, the vendor’s assertion as to the Government’s rights in each item of technical data (including computer software documentation) and computer software, the basis for such assertion, and the name of the person asserting any restrictions.

For any technical data (including computer software documentation) or computer software in which the vendor asserts the Government will have less than Government purpose rights, the vendor shall provide the open source, commercial, or other license it asserts is applicable. The vendor’s assertions, including any assertions of its sub-vendors or suppliers must be submitted as an attachment to its Solution Paper. The tables must be completed in the format set forth in the attachment, dated and signed by an official authorized to contractually obligate the vendor. If additional space is necessary, additional pages may be included. There is no page limit for the Data Rights Assertions Tables, and they do not count against the proposed technical solution page limitation.

All technical data and information developed under this effort should be marked with the appropriate marking in accordance with DoDI 5320.24, Distribution Statements on Technical Documents. This generally should be marked with “DISTRIBUTION STATEMENT D. Distribution authorized to the DoD and U.S. DoD contractors only (fill in reason) (date DD MM YYYY). Other requests shall be referred to PEO STRI.”

5.5.1 Data Rights License Terms Definitions

For the purpose of this RFS and final award document, the Government will use the data rights and computer software related terms defined in Attachment 4, Data Rights License Terms Definitions.

5.5.2 Data Rights Assertions Tables

Vendors shall complete the Data Rights Assertions Tables using the format provided in Attachment 2, Data Rights Assertions Tables. The vendor’s assertions, including any assertions of its subcontractors or suppliers must be submitted as an attachment to its Solution Paper. The tables must be completed in the format set forth in the attachment, dated and signed by an official authorized to contractually obligate the vendor. If additional space is necessary, additional pages may be included. There is no page limit for the Data Rights Assertions Tables, and they do not count against the proposed technical solution page limitation.

5.6 Anticipated Delivery Schedule

The vendor shall include the anticipated delivery dates with their solution that includes all completion dates for all objectives as described in the RFS. The Government’s desire is to complete the full set of requirements for topic 1 in 12 months and topic 2 in 24 months after award.

5.7 Plan of Action and Milestones (POAM)

A POAM shall be provided. The POAM should be resource loaded with each task including a predecessor (if applicable). Vendors shall include its anticipated delivery milestone schedule to reflect its individual solution. The Government’s desire is to complete all Governments full set of requirements within 12 months after award for topic 1 and 24 months after award for topic 2. The POAM may be attached as an appendix file. The POAM is not included in the total page count and page count is unlimited.

Definition: A Plan of Action and Milestone (POAM) is a document for that “identifies tasks needing to be accomplished. It details resources required to accomplish the elements of the plan, any milestones in meeting the tasks, and scheduled completion dates for the milestones.”

5.8 Price Section (Unlimited Page Count)

The following shall be included within the Price Volume/Section:

Price Breakout Basis of Estimate (BOE) Rough Order of Magnitude (ROM)

5.8.1 Price Breakout

Vendors are advised that the maximum fixed price ceiling budget available for each topic is:

Topic 1: REE Recovery Demonstration Prototype Project = $3M Topic 2: REE Separation Technology Capabilities Prototype Project = $4M

The Government will evaluate the vendors pricing solution to determine if the solution price is within budget.

Vendors shall submit a fixed amount price for its solution, further divided into severable milestones. The Government is not dictating a specific price mechanism. However, proposed payments should be linked to clearly definable, detailed milestones of the prototype project events, referenced in Sections 5.4 and 5.5. They should be clear, with sufficient detail, what is being delivered at each milestone. The vendor’s pricing milestones may vary from the defined decision points, depending on the proposed solution. Milestones should be established and priced in a manner that prohibits milestone efforts from being worked concurrently. Each milestone price should reflect the anticipated value the Government will receive toward accomplishment of the OT agreement goals and objectives at the time the milestone is completed. The price volume/section has no page number limitation.

5.8.2 BOE

Vendors shall provide a BOE for the entire effort, based on the solution of objective(s) submitted by the vendor, shall be provided; pricing data should be provided in a separate document separated by individual phases, objectives, and pricing milestones.

This data can be provided in MS Word, Excel, PDF, or any combination of the identified versions.

5.8.3 ROM

Vendors shall provide a ROM pricing for potential follow-on production activities. Please note, the follow-on ROM will be used for future planning purposes. The follow-on ROM is NOT part of the evaluation.

6 RFS Response Instructions The Government intends to award one or multiple OT agreement as a result of this RFS. More than one award may be made if determined to be in the Government’s best interest.

All questions related to this RFS should be submitted using the Vendor Questions form provided as Attachment 5. Questions must be submitted via email to:

lindsay.r.jaime.civ@army.mil with “Rare Earth Element Initiatives Prototype Project” and the respective topic being submitted for in the subject line.

Questions must be submitted no later than 12:00 PM EST on 23 November 2022.

Questions received after the deadline may not be answered. Questions shall not include proprietary data as the Government reserves the right to post submitted questions and answers, as necessary (and appropriate) to facilitate vendor solutions.

Questions received after the deadline may not be answered. Questions shall not include proprietary data as the Government reserves the right to post submitted questions and answers, as necessary (and appropriate) to facilitate vendor solutions.

The Government reserves the right to post submitted questions and answers, as necessary (and appropriate) to facilitate vendor Solution Paper responses. Submitted questions will be posted without identifying company names.

Solution responses shall be submitted no later than 12:00 PM EST on 13 December 2022. Solution response shall be submitted electronically to lindsay.r.jaime.civ@army.mil, with “REE INITITATIVES (RECOVERY OR SEPARATION) Response” Any submissions received after the deadline may be rejected as late and not considered.

Vendors must clearly state assumptions made within their response. Vendors are encouraged to challenge any Government assumptions or restrictive requirements in its individual solution and should articulate any major discrepancies between the RFS and its technical solution. Should a vendor’s solution require a change in policy and/or statue, the vendor shall outline within their technical volume, and describe why the change is needed to realize the benefit of the vendor’s prototype (and potential production).

Vendor’s solutions shall be valid for at least 180 days after submission.

7 Evaluation and Selection Process Solution responses for both topics will be evaluated with consideration given to the vendor’s ability to provide a clear description of the proposed solution, technical merit of the response, feasibility of implementation, vendor’s experience, and total project risk.

The proposed project price, delivery schedule, and data rights assertions will be considered as aspects of the entire response when weighing risk. The evaluation will include consideration of the following, listed in no particular order of importance:

a. Technical Merit: The thoroughness, innovation, clarity, soundness, and feasibility of the proposed approach in meeting the requirements for all technical objectives as referenced in Sections 5.4 and 5.5.

b. Recent Experience:

Topic 1: The performing vendor’s relevant recent experience (3 example maximum) pertaining to the individual topics with emphasis on REE recovery technologies, processing of REE and CM from feedstocks, and AMD remediation. Projects worked in the last three years from the release of the RFS date are considered recent.

Topic 2: The performing vendor’s relevant recent experience (3 example maximum) pertaining to the individual projects with emphasis on recent and relevant previous experiences focused on REE separation technologies, processing of heavy and light REE and CM from feedstocks, and existing REE separation processing plant details including achieved TRLs. Projects worked in the last three years from the release of the RFS date are considered recent.

c. Project Management and Capabilities: Team composition/personnel and sub-vendor involvement, including description of sub-vendor tasks and experience, manufacturing capabilities, and facilities.

d. Feasibility of Implementation: Clear, concise, and well-developed solutions with streamlined approaches.

e. Delivery Schedule: A POAM with critical path efforts, milestones, and deliverables for the entire effort that also highlights any long-lead items. Long-lead items will not be used to negatively impact a Vendor’s solution. Long lead items are being requested for planning purposes.

f. Data Rights: The vendor’s technical response will require that they clearly outline the appropriate assertion right in technical data, computer software and software documentation that will be delivered with the solutions. The final data rights approach will be determined during SOW negotiations.

g. Price: Each Vendor shall submit a fixed price amount price for its solution, further divided into severable milestones. The Government will evaluate the vendors pricing solution to determine if the solution price is within budget. This will also support determining the level of associated risk.

The Government anticipates awarding to the vendor(s) that propose a solution that best satisfies the Government’s objectives when considering the comparison to the evaluation criteria. The evaluations will be conducted utilizing a Qualitative Workbook which addresses the Technical Objective and topics presented above. Evaluations will be conducted by Government personnel.

If more than one vendor submits highly rated solutions, the Government may down select the number of vendors during the solution(s) evaluation process to those with the most technically feasible proposed solutions in order to hold expanded conversations on the proposed solution(s).

The Government will award to the vendor(s) whose response will be most advantageous to the Government with price and other factors considered. In making the final decision it may become necessary to compare the solutions of each vendor against the other, but the Government anticipates that its decision is more likely to be made based on each vendor’s submittal as evaluated against the criteria described and a determination of which solution(s) is/are deemed most promising to satisfy the Government’s need.

Prior to award, the Government and vendor(s) will negotiate the final Agreement to the respondent(s) whose solution(s) clearly demonstrates that it is most advantageous to the Government. One or more OT agreements may be awarded to satisfy the prototype requirements. The Government reserves the right to award to a respondent that does not meet all the requirements, but provides attributes or partial solutions of value, of the Request for Solutions.

8. Additional Information

8.1 Export controls

Research findings and technology developments arising from the resulting project may constitute a significant enhancement to the national defense and to the economic vitality of the United States. As such, in the conduct of all work related to this effort, the recipient will comply strictly with the International Traffic in Arms Regulation (22 C.F.R.

§§ 120-130), the National Industrial Security Program Operating Manual (DoD 5220.22- M) and the Department of Commerce Export Regulation (15 C.F.R. §§ 730-774).

Interaction and/or Disclosure with Foreign Country/Foreign National Personnel The contractor should comply with foreign disclosure processes IAW Army Regulation 380-10, Foreign Disclosure and Contacts with Foreign Representatives; the Department of the Navy Foreign Disclosure Manual, SECNAV M-5510.34, as of June 2017; DoD Directive (DoDD) 5230.11, Disclosure of Classified Military Information to Foreign Governments and International Organizations; and DoDD 5230.20, Visits and Assignments of Foreign Nationals.

8.2 Classification

All submissions shall be unclassified.

Submissions containing data that is not to be disclosed to the public for any purpose or used by the Government except for evaluation purposes shall include the following sentences on the cover page:

“This submission includes data that shall not be disclosed outside the Government, except to non-Government personnel for evaluation purposes, and shall not be duplicated, used, or disclosed -- in whole or in part -- for any purpose other than to evaluate this submission. If, however, an agreement is awarded to this Company as a result of -- or in connection with – the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent agreed upon by both parties in the resulting agreement. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets].”

Each restricted data sheet should be marked as follows:

“Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this submission.”

9 Follow-On Production Pursuant to 10 U.S.C. 4022, if competitive procedures were used for the selection of parties for participation in the transaction for a prototype pilot and the participants in the transaction successfully completed the prototype project, production OTs are authorized and offer a streamlined method for transitioning into follow-on production without competition. Potential follow-on production contracts may be either sole source, based on successful completion of the prototype project within the scope of this document, or competed at the discretion of the Government.

It is anticipated that upon successful completion of the prototype, a follow-on production OT agreement or FAR based contract may be issued to the vendor without the use of competitive procedures. Successful completion will occur when the prototype has been validated and is accepted by the Government. Successful completion will be defined in the negotiated SOW for this prototype project. If GFE has been issued for the development of the prototype, the GFE may remain at the vendor’s facility. Data rights for all deliverables shall be in accordance with the Government Desired Rights in Technical Data and Computer Software Section in Section 5.6.

Further, the Government…