A03_-_Redacted_Simplified_Acquisition_Sole_Source_Justification_over_ 150K.pdf

[redacted]

Simplified Acquisition Sole Source Justification Review Document

Program/Equipment: Combined Confocal Raman Imaging and Atomic Force Microscope (CRM+AFM) System with Time-resolved and Tip-enhanced Raman Capabilities

Authority: 41 USC 3304(a), implemented by FAR 13.501(a); The property or services needed by the executive agency are available from only one responsible source and no other type of property or services will satisfy the needs of the executive agency.

Amount: [redacted]

Prepared By:

Typed Name: A. Glen Birdwell [redacted]

Title: Physicist Date: July 2, 2015

Procuring Contracting Officer:

Typed Name: Catherine K. Abbott [redacted]

Date Reviewed: December 8, 2015

Technical Representative:

Typed Name: A. Glen Birdwell [redacted]

Title: Physicist Date Reviewed: December 9, 2015

Requirements Representative:

Typed Name: Romeo del Rosario [redacted]

Title: Chief, Electronics Technology Date Reviewed: December 9, 2015

Legal Review: I have reviewed this justification and find it adequate to support other than full and open competition.

DSN:

X

Legal Advisor

Simplified Acquisition Sole Source Justification

1. a. Contracting Agency – Army Contracting Command - APG

Adelphi Contracting Division

CCAP-SCA

2800 Powder Mill Road

Adelphi, MD 20783-1138

1. b. Requiring Agency – U.S. Army Research Laboratory

Sensors and Electron Devices Directorate (SEDD)

Electronics & RF Division

RDRL-SER-E

2800 Powder Mill Road

Adelphi, MD 20783-1138

2. Description of Action: Approval is requested to solicit for a new firm fixed-price type contract in support of the Army Research

Laboratory’s (ARL) Electronics Technology Branch within the Sensor Electron Devices Directorate (SEDD) on the basis of other than full and open competition pursuant to FAR 13.501 (a). The requested contract is for the purchase of a CRM+AFM with Time-resolved and Tip-enhanced Raman Capabilities and associated accessories to include training and installation. The suggested sole source vendor is WITec Instrument Corp., 130 G Market Place Blvd., Knoxville, TN 37922. Fiscal Year (FY) 2015 Research, Development, Test and Evaluation (RDT&E) Mission funds will be utilized for this effort.

3. Description of Supplies/Services:

Quantity (Qty): One (1) Alpha300RA Combined CRM+AFM, including controllers, computer, and software with time-resolved

Raman capabilities (PN: XCK3000-2022)

Qty: One (1) Extension for Raman and AFM at the same position (Tip-enhanced Raman capability) (PN: XSA3104-0020)

Qty: One (1) Raman laser coupler/optics and detector (PN: XMX3022-3030, XMC3022-1200)

Qty: One (1) Microscope and enclosure (PN: XCK3001-0402, XSA3102-0000)

Qty: One (1) Installation & Training and Shipping (PN: XCK3001-0010)

4. Authority Cited:

The statutory authority permitting other than full and open competition is 41 USC 1901, implemented by FAR 13.501(a), using the specific authority selected below:

__X__(1) The property or services needed by the executive agency are available from only one responsible source and no other type of property or services will satisfy the needs of the executive agency;

____(2) The executive agency’s need for the property or services is of such an unusual and compelling urgency that the Federal

Government would be seriously injured unless the executive agency is permitted to limit the number of sources from which it solicits bids or proposals;

____(3) It is necessary to award the contract to a particular source—

____(A) to maintain a facility, producer, manufacturer, or other supplier available for furnishing property or services in case of a national emergency or to achieve industrial mobilization;

____(B) to establish or maintain an essential engineering, research, or development capability to be provided by an educational or other nonprofit institution or a Federally funded research and development center;

____(C) to procure the services of an expert for use, in any litigation or dispute (including any reasonably foreseeable litigation or dispute) involving the Federal Government, in any trial, hearing, or proceeding before a court, administrative tribunal, or agency, whether or not the expert is expected to testify; or

____(D) to procure the services of an expert or neutral for use in any part of an alternative dispute resolution or negotiated rulemaking process, whether or not the expert is expected to testify;

____(4) The terms of an international agreement or treaty between the Federal Government and a foreign government or an international organization, or the written directions of a foreign government reimbursing the executive agency for the cost of the procurement of the property or services for that government, have the effect of requiring the use of procedures other than competitive procedures;

____(5) Subject to section 3105 of this title, a statute expressly authorizes or requires that the procurement be made through another executive agency or from a specified source, or the agency’s need is for a brand-name commercial item for authorized resale;

____(6) The disclosure of the executive agency’s needs would compromise the national security unless the agency is permitted to limit the number of sources from which it solicits bids or proposals; or

____(7) The head of the executive agency (who may not delegate the authority under this paragraph)—

(A) determines that it is necessary in the public interest to use procedures other than competitive procedures in the particular procurement concerned; and

(B) notifies Congress in writing of that determination not less than 30 days before the award of the contract.

5. Reason for Authority Cited: The Electronics Technology Branch within the SEDD at the ARL requires the procurement of a

CRM+AFM with Time-resolved and Tip-enhanced Raman Capabilities to support the branch mission. The Electronics Technology

Branch is actively involved in a combined platform of CRM and AFM and this research is critical to the Government’s mission related to emerging electronic devices. The electronic properties of the materials used in this project are highly dependent upon their chemical and structural properties. Therefore, it is vital to obtain this information in order to make judicial decisions about subsequent steps in the fabrication process of novel nanoscale devices. As such, one needs to obtain high-resolution chemical and atomic-level structural information such as layer crystalline quality, stacking sequence, and number of atomic layers in a nondestructive fashion. The combination of CRM+AFM provides for a nondestructive determination of these crucial properties. Armed with this information, the researcher is better able to predict/explain electronic device performance that is managed by the U.S. Army Research, Development, and Engineering Command (RDECOM).

The Electronics Technology Branch will assess key materials properties prior-to, during, and post-electronic device fabrication. In some cases, fully fabricated electronic devices will be probed during operation in order to elucidate the effects on the material caused by various coupled phenomena. Fundamental structural, topological, and thermal investigations of component electronic materials are required for the development and optimization of electronic devices and sensors enabling new and improved electronics. Generally, the work involves research, development, design, and characterization of emerging electronic materials and devices for Direct Current

(DC) and Radio Frequency (RF) applications that can meet the specialized needs of the Army.

This assessment is the major deliverable to the Emerging Electronic Devices Team within the Electronics Technology Branch of

SEDD and cannot complete this assessment without the Combined Confocal Raman Imaging and Atomic Force Microscope System with Time-resolved and Tip-enhanced Raman Capabilities.

The Government currently has an integrated CRM+AFM system used in the stated research with capability that will be complementary to the system to be acquired. Major requirements and additions in capability are included in the specifications below:

In order to meet mission requirements, the CRM+AFM shall meet the following minimum requirements:

1. Compatible with existing Government-owned WITec system (i.e., components and modules must be interchangeable with current system) as follows:

a. Motorized large area mapping stage

b. Heating stage (room temperature to 200 Celsius operation) meeting piezo scanner weight limit requirements (less than

500 grams)

c. Third-party temperature ramping system capable of operation from less than 5 Kelvin (K) to 475 K (customized to work with item 1a)

d. Fiber coupled lasers (total of three (3) with wavelengths 488, 532, and 633 nanometers (nm))

e. Raman laser coupler (532 nm excitation) for ultra-low wavenumber Raman spectroscopy (greater than 10 relative one

(1)/centimeter (cm)). Suitable for detection of Stokes and Anti-Stokes Raman scattering

f. 600 millimeter (mm) focal length lens-based imaging spectrometer with Fiber-optic Connector (FC)/Angled Physical

Contact (APC) optical fiber entrance

g. Back-illuminated Charged Coupled Device (CCD) chip with 1600 x 200 pixel format, pixel size 16 x 16 micrometer

(μm), Electron Multiplying (EM) technology

h. All microscope objectives: 10,20,50,63, magnified 100 times (x) with differing numerical aperture and working distance for a total of eight (8) microscope objectives

i. Special acoustic-optic driver with specific pulse/delay generation currently customized for Government-owned WITec system. Three (3) operating modes will be available to drive the acoustic-optic (AO) modulator:

i. Multi-pulses: The laser pulses duration and spacing will be adjustable by user by relative steps of one (1) nanosecond (ns) typically (duration 10-25ns, spacing 5-20ns)

ii. Single pulse: Only one (1) Acousto-Optic (AO) pulse will be generated with duration in 10-25ns, and position inside a pre-defined electrical window adjusted by a delay (typical step 5ns)

iii. No acousto-optic pulse or reset mode

j. Fiber pigtailed acousto-optic modulator, rise/fall time nine (9) ns, polarization maintaining fibers, FC/APC connectors currently customized for Government-owned WITec system

2. CRM component of the system shall have a lens-based spectrometer with an effective optical path length greater than 0.5 meters (m).

3. Be able to achieve optical throughput values greater than 50 percent (%).

4. Perform tip-enhanced Raman imaging and both contact and acoustic Alternating Current (AC) AFM modes.

5. Capable of both Stokes and anti-Stokes measurements in both standard and tip-enhanced modes within 20 cm-1 of the

Rayleigh line.

6. Capable of polarization control of incident and scattered light in both standard and tip-enhanced modes.

7. Support simultaneous collection of Raman spectra, surface topography data, and electrical-based measurements, e.g., scanning Kelvin probe.

8. The system is contained in a Class one (1) laser safety enclosure.

9. All major components of the combined system are designed and manufactured by a single manufacturer (WITec Instrument

Corporation) to allow for system compatibility.

Key to the above specification list is the requirement for the system to be compatible with the existing Government-owned system

(i.e., modifications and modules shall be interchangeable with current system). As explained in 10(7) b below, the existing system was acquired from WITec Instrument Corporation under contract W911QX-11-P-0128. Due to the proprietary nature of the several components that the Government requires, they need to be interchangeable between both systems, and the system to be acquired is only available from WITec Instrument Corporation.

Market research concluded that although there are a number of Raman microscope vendors who have experience coupling their systems to AFMs from various manufacturers, very few can offer a combined system with Raman, AFM, and TERS integrated on the same platform. Truly integrated systems are offered by WITec Instrument Corporation Nanonics Imaging Ltd, and NT-MDT

Company. Merged platforms are offered by Bruker+Renishaw plc and AIST-NT+HORIBA Scientific. When conjoining the aforementioned requirements, WITec Instrument Corporation is the sole manufacturer that can produce (and has consistently fielded) an integrated confocal Raman-AFM-TERS instrument that we require to achieve required mission goals. In addition, the new system must be compatible with a “sister system” used in our research currently. This means that components must be interchangeable between the systems, and this includes many items that are patented by the manufacturer of the sister system, i.e., WITec Instrument

Corporation. In order to compete this requirement, the Government would have to reprocure the presently owned system at a cost of approximately [redacted] which would still not alleviate another sole source requirement to the successful contractor for the supplies and services, and additional training required to operate that system. The cost of [redacted] is considered to be a substantial duplication of cost that could not be recovered through competition.

Due to the proprietary nature (patents) of critical components (e.g., spectrometer, digital controller, optics for Stokes and anti-Stokes

CRM measurements, etc.) it is not practical to generate technical data packages, specifications, engineering descriptions, statements of work or purchase descriptions suitable for full and open competition. Due to the aforementioned, only one (1) suitable vendor, WITec

Instrument Corp can meet the minimum requirements of the Government.

6. Efforts to Obtain Competition: A. Glen Birdwell (Physicist) in the Emerging Electronic Devices Team performed extensive research, which is detailed in paragraph 8, which concluded that WITec Instrument Corp.’s CRM+AFM is the only product that meets the needs of the U.S. Government. The instant procurement of an combined CRM+AFM imaging system with time-resolved and tip-enhanced Raman capabilities will satisfy the current need for a minimum of seven (7) years. Although an assessment has taken place in order to stay abreast of current technology in this field, it is not relevant to this procurement since the Government requires the system to be acquired to be fully compatible with the current Government owned system, however, the Government will continue to monitor the market for other vendors with the capability of duplicating a similar product thus allowing for a competitive procurement to take place in the future.

7. Actions to Increase Competition: The specifications for the CRM + AFM imaging system were designed to make the system robust and expandable for potential future needs. However, advancements in CRM + AFM are continuously improving for these methods. Any future acquisitions of a CRM+AFM system cannot take place without a renewed assessment of the market. As such, the market will continue to be assessed to see if there are other products available that will better fulfill our mission.

8. Market Research:

Market Research was conducted from 15 January 2015 through 15 June 2015 by A. Glen Birdwell (Physicist) of the Emerging

Electronic Devices Team in the Electronics Technology Branch within SEDD. Market Research included conducting internet surveys, research using existing Raman microscopes and AFM instruments at ARL, and discussions with Subject Matter Experts (SME’s) within the Government and private industry. Market research concluded that while there are a number of Raman microscope vendors who have experience coupling their systems to AFMs from various manufacturers, very few can offer a combined system with

Raman, AFM, and TERS integrated on the same platform. The market research results determined that truly integrated CRM+AFM systems are offered by WITec Instrument Corporation, Nanonics Imaging Ltd, and NT-MDT Company and merged platforms are offered by Bruker+Renishaw plc and AIST-NT+HORIBA Scientific. The system to be acquired must be fully compatible with a

“sister system” used in our research, meaning that the components must be interchangeable between these systems, including many items that are patented by the manufacturer of the sister system, i.e., WITec Instrument Corporation. Consequently, only WITec

Instrument Corporation can meet the Governments minimum requirements.

9. Interested Sources: In accordance with FAR 5.201, an intent to sole source synopsis was posted to FBO.gov for ten (10) days with a response/closing date of 01 November 2015. On 31 October 2015, [redacted] of Horiba Instruments Inc. responded to the posting stating the proposed acquisition does not warrant a sole source procurement based on their ability to provide an integrated system for co-localised AFM/Raman and TERS. Dr. Witters claimed Horiba’s Raman microscope systems (Labram-HR Evolution and XplorRA-

Plus) could not only meet but rather exceed the Government’s minimum requirements based on their ability to provide the highest degree of spatial resolution in which the lasers are direct coupled with reflective optics rather than fiber coupled as in the WITec system. After further discussion and research, it was concluded that Horiba’s Raman microscopes systems do not offer fiber coupling, which is an absolute, non-negotiable requirement of the ARL. In addition, the components and modules required must be interchangeable with the existing Government owned WITec system, a feature that Horiba cannot provide based on the proprietary nature of products from WITec Instrument Corporation. Thus, Horiba’s interest has been withdrawn.To date, no other sources outside of Horiba Instruments Inc. have written to express an interest.

10. Other Facts:

a. Procurement history.

(1) Contract numbers and dates of the last several awards.

W911QX-11-P-0128 awarded on 11 February 2011

W911QX-12-P-0282 awarded on 18 July 2012

W911QX-12-P-0299 awarded on 8 August 2012

(2) Competitive status of these actions.

W911QX-11-P-0128 awarded on other than full and open competition

W911QX-12-P-0282 awarded on other than full and open competition

W911QX-12-P-0299 awarded on other than full and open competition

(3) Authority previously used for less than full and open competition.

W911QX-11-P-0128: FAR 6.302-1, “Only One Responsible Source and no Other Supplies or Services Will Satisfy Agency

Requirements”

W911QX-12-P-0282: FAR 6.302-1, “Only One Responsible Source and no Other Supplies or Services Will Satisfy Agency

Requirements”

W911QX-12-P-0299: FAR 6.302-1, “Only One Responsible Source and no Other Supplies or Services Will Satisfy Agency

Requirements”

(4) If a justification was prepared to support the procurement made before this one, a summary of the contents of paragraph 7 of the justification for that procurement and an explanation of the results.

W911QX-11-P-0128 was awarded as a sole source action to WITec Instrument Corporation based on the need for an integrated

CRM+AFM microscope system that met or exceeded a defined set of specifications. In addition, it was also determined that a high optical throughput system that is lens-based (versus mirror-based) was best suited to meet the mission requirements. In summary, it was determined that WITec Instrument Corporation was the only source that met the Government’s performance specifications and had the ability to supply a truly combined platform for CRM + AFM with their Alpha300RA CFM+AFM model. The Government found that while there are a number of Raman microscope vendors who have experience coupling their systems to AFMs from various manufacturers, very few could offer a combined system with both components integrated on the same platform, thereby supporting simultaneous scanning and imaging. When conjoining the two (2) requirements, WITec Instrument Corporation was found to be the sole manufacturer that could produce an integrated CRM+AFM instrument required to achieve stated mission goals.

W911QX-12-P-0282 was awarded as a sole source action to WITec Instrument Corporation based on the need to procure a heating stage which met all of the required performance specifications as well as software licenses in order to process WITec project files.

WITec Instrument Corporation was found to be the sole manufacturer that could meet the Government’s minimum requirements.

W911QX-12-P-0299 was awarded as a sole source action to WITec Instrument Corporation based on the need to procure a Diode-

Pumped Solid-State laser, coupler upgrade and spectral calibration light source. The aforementioned items were required to upgrade and extend the capabilities of the Government-owned Alpha 300 RA in order to meet an energy range of 488 nanometers. Based on system compatibility and warranties, WITec Instrument Corporation was found to be the sole manufacturer that could meet the

Government’s minimum requirements.

(5) If any prior award was accomplished by full and open competition, a detailed explanation of the changed circumstances.

Previous procurement history of like items were executed as sole source actions, therefore there has not been a change in circumstances.

(6) An explanation of any unusual patterns which may be revealed by the history; e.g., several consecutive, urgent buys.

Procurement history reveals consecutive buys from WITec Instrument Corporation. The reasons for the original sole-source procurement for the integrated CRM+AFM microscope system (Contract W911QX-11-P-0128) is explained in the J&A discussed in

(7) below. The other contracts listed were sole-source due to the add-on character of these purchases. For example, sole source justifications were warranted due to patented parts that are only available from the manufacturer of the primary instrument.

Additionally, compatibility of the equipment were critical in upholding the warranties provided by the manufacturer (reference (4) above).

(7) If a justification was prepared to support the procurement made before this one, include a copy of the previous J&A as part of this approval package, and briefly describe the circumstances justifying the buy and whether there have been any significant changes

(the previous J&A just needs to be easily available to the reviewers/approvers. It does not have to become a material part of this J&A.

Also, it should not be part of this J&A when it gets redacted and posted publically).

The previous procurement (reference W911QX-12-P-0299) was awarded as a sole source action to WITec Instrument Corporation based on the need of a combined platform for CRM and AFM critical to the Government’s mission related to graphene research.

During this time, it was critical to obtain high-resolution chemical and atomic-level structural information such as layer crystalline quality, stacking sequence, and number of atomic layers of graphene in a nondestructive fashion. The combination of CRM+AFM provided for a nondestructive determination of these crucial properties. WITec Instrument Corporation was found to be the only source that met the Government’s performance specifications due to their ability to supply a truly combined platform for CRM+AFM coupled to a lens-based spectrometer with their Alpha300RA model. There has been significant changes in the available CFM+AFM technology, however, the aforementioned state-of-affairs still stands.

Also describe the Section 7 Actions to Increase Competition that were planned in the previous J&A, and discuss whether or not those actions were taken for this current procurement. If the Section 7 actions from the previous J&A were not taken with this procurement, the J&A must be approved at one level above the previous J&A approver.

As mentioned in the previous J&A, advancements in CRM and AFM technology were and are continuously improving these methods.

In addition, it was stated that any future acquisitions of a CRM+AFM system should not take place without a renewed assessment of the market. Even though this assessment has taken place in order to stay abreast of current technology, it is not relevant to this procurement since the Government requires the new system to be fully compatible with the current system.

b. Other Facts.

Acquisition Data Availability – Acquisition of adequate information to develop an alternate source is not cost effective. As detailed above, the system components and modules required must be interchangeable with the existing Government owned WITec system.

Based on the proprietary nature of products from WITec Instrument Corporation and the need for interchangeability with the current

Government owned system, WITec Instrument Corporation is the only vendor capable of meeting the Governments minimum requirement. Based on the aforementioned, the equipment required by the Government is not available from another source and therefore, full and open competition does not apply in this situation.

Unusual and Compelling Urgency – Not applicable, as FAR 13.501(a) will be cited for this action.

Subcontracting Competition – This procurement effort intends to procure the equipment directly from the manufacturer, therefore it is anticipated that there will be no subcontracting competition available. If it should be later determined, however, that the contractor intends to subcontract any portion of this acquisition, the clause found at FAR 52.244-2 – Subcontracts will be included and will require that the contractor receive written consent from the Contracting Officer before placing any possible subcontracting opportunities.

Follow-on Contracts - The original system was acquired from WITec Instrument Corporation under contract W911QX-11-P-0128.

Due to the proprietary nature of the several components that the Government requires to be interchangeable between both current and new system to be acquired, and the supplies and services required to operate, maintain, and upgrade both systems; the system to be acquired is available only from WITec Instrument Corporation. In order to compete this requirement, the Government would have to reprocure the presently owned system at a cost of approximately [redacted] which would still not alleviate another sole source requirement to the successful contractor for the supplies and services required to operate that system. The cost of [redacted] is considered to be a substantial duplication of cost that could not be recovered through competition.

11. Technical Certification:

I certify that the supporting data under my cognizance which are included in the justification are accurate and complete to the best of my knowledge and belief.

Signer’s Title: Physicist

12. Requirements Certification:

Technical Certifier

I certify that the supporting data under my cognizance which are included in the justification are accurate and complete to the best of my knowledge and belief.

Signer’s Title: Chief, Electronics Technology

13. Fair and Reasonable Cost Determination:

I hereby determine that the anticipated cost to the Government for this contract action will be fair and reasonable.

14. Procuring Contracting Officer Certification:

I certify that this justification is accurate and complete to the best of my knowledge and belief.

Contracting Officer (KO)

APPROVAL

Based on the foregoing justification, I hereby approve the procurement of the Combined Confocal Raman Imaging and Atomic Force

Microscope System with Time-resolved and Tip-enhanced Raman Capabilities on an other than full and open competition basis pursuant to the authority of 10 U.S.C. 3304(a), implemented by FAR 13.501(a), subject to availability of funds, and provided that the services and property herein described have otherwise been authorized for acquisition.

Requirements Certifier