Exhibit 10.31

 

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AWARD / CONTRACT   

1. THIS CONTRACT IS A RATED

ORDER

UNDER DPAS (15 CFR 350)

  

RATING

 

 

DO

  

PAGE     OF    

PAGES

1          50

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2. CONTRACT (PROC. INST. IDENT.) NO.

 

DAAD17-02-C-0073

  

3. EFFECTIVE DATE

 

01 Feb 2002

  

4. REQUISITION / PURCHASE REQUEST / PROJECT NO.

 

W71B7J-2030-B325

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5. ISSUED BY

   CODE   

W71B7J

   6. ADMINISTERED BY (IF OTHER THAN ITEM 5)    CODE    S1103A

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC - ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

    

DCM - ATLANTA

805 WALKER STREET

SUITE 1

MARIETTA GA 30060-2789

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7. NAME AND ADDRESS OF CONTRACTOR (NO., STREET, CITY, COUNTY, STATE AND ZIP
CODE)

 

CREE INC.

Charles M. Swoboda

4600 SILICON DRIVE

DURHAM NC 27703

  

8. DELIVERY

 

¨ FOB Origin        x Other (see below)

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9. DISCOUNT FOR PROMPT DELIVERY

NET 30

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CAGE CODE     OC9J8

   FACILITY CODE   

10. SUBMIT INVOICES 8

(4 COPIES UNLESS OTHERWISE    

SPECIFIED) TO

THE ADDRESS SHOW IN:        è

  

ITEM

Section 

G

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11. SHIP TO / MARK FOR

US ARMY RESEARCH LABORATORY

DR PAUL AMIRTHARAJ/AMSRL-SE-EM

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

   CODE    W71B7J   

12. PAYMENT WILL BE MADE BY

DFAS-COLUMBUS CENTER

DFAS-CO/SOUTH ENTITLEMENT OPERATIONS

P O BOX 182264

COLUMBUS OH 43218-2264

   CODE    HQ0338

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13. AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION

¨ 10 U.S.C. 2304(c) ( )    ¨ 41 U.S.C. 253(c)( )

  

14. ACCOUNTING AND APPROPRIATION DATA

See Schedule

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15A. ITEM NO.

  

15B. SUPPLIES/SERVICES

SEE SCHEDULE

   15C. QUANTITY    15D. UNIT    15E. UNIT PRICE    15F. AMOUNT

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15G. TOTAL AMOUNT OF CONTRACT     è

   [***]

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16. Table of Contents

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(X)    SEC    DESCRIPTION   PAGE(S)    (X)   SEC   DESCRIPTION    PAGE(S)

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          PART I – THE SCHEDULE                PART II – CONTRACT CLAUSES     

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Ö

   A    SOLICITATION/CONTRACT FORM   1 - 1    Ö   I   CONTRACT CLAUSES    17

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Ö

   B    SUPPLIES OR SERVICES AND PRICES/COSTS   2   

PART III – LIST OF DOCUMENTS, EXHIBITS & ATTACHMENTS

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Ö

   C    DESCRIPTION/SPECS./WORK STATEMENT   6    Ö   J   LIST OF ATTACHMENTS   
33

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Ö

   D    PACKAGING AND MARKING   9    PART IV – REPRESENTATIONS AND INSTRUCTIONS

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Ö

   E    INSPECTION AND ACCEPTANCE   10    Ö   K  

REPRESENTATIONS, CERTIFICATIONS AND

OTHER STATEMENTS OF OFFERORS

   By ref.

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Ö

   F    DELIVERIES OR PERFORMANCE   11          

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Ö

   G    CONTRACT ADMINISTRATION DATA   12        L   INSTRS., CONDS., AND
NOTICES TO OFFERORS     

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Ö

   H    SPECIAL CONTRACT REQUIREMENTS   14        M   EVALUATION FACTORS FOR
AWARD     

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CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE

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17. x Contractor’s Negotiated Agreement

   18. ¨ Award    (Contractor is not required to sign this document).
(Contractor is required to sign this document and return 1 copies to issuing
office). Contractor agrees to furnish and deliver all items or perform all
services set forth or otherwise identified above and on any continuation sheets
for the consideration stated herein. The rights and obligations of the parties
to this contract shall be subject to and governed by the following documents:
(a) this award/contract, (b) the solicitation, if any, and (c) such provisions,
representations, certifications, and specifications, as are attached or
incorporated by reference herein. (Attachments are listed herein.)    Your offer
on solicitation number      including the additions or changes made by you which
additions or changes set forth in full above, is hereby accepted as to items
listed above and on any continuation sheets. This award consummates the contract
which consists of the following documents: (a) the Government’s solicitation and
your offer, and (b) this award/contract. No further contractual document is
necessary.

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19A. NAME AND TITLE OF SIGNER (TYPE OR PRINT)

 

Charles M. Swoboda

President and CEO

       

20A. NAME AND TITILE OF CONTRACTING OFFICER

 

Theodore Weitzman/Contracting Officer

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19B. Name of Contractor

  

19C. Date Signed

  

20B. United States of America

  

20C. Date Signed

  by            /s/ Charles M. Swoboda.

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(Signature of person authorized to sign)

   18MAR2002   

      by        /s/ Theodore Weitzman

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                (Signature of Contracting Officer)

   20-Mar-2002

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NSN 7540-01-152-8069

Previous Editions unusable

  

26-107

GPO 1985 O-469-794

  

STANDARD FORM 26 (REV. 4-85)

Prescribed by GSA FAR (48 CFR) 53.214(a)

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

CONTRACT NUMBER N00014-02-C-0250    PAGE 1

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DAAD17-02-C-0073        

Page 2 of 50

 

SECTION B Supplies or Services and Prices

 

ITEM NO

--------------------------------------------------------------------------------

  SUPPLIES/SERVICES

--------------------------------------------------------------------------------

  QUANTITY

--------------------------------------------------------------------------------

  UNIT

--------------------------------------------------------------------------------

  UNIT PRICE

--------------------------------------------------------------------------------

  AMOUNT

--------------------------------------------------------------------------------

     

0001

          Lot       $     $         SEMICONDUCTOR UV OPTICAL SOURCES (SUVOS) CS
- BAA
02-03, Technical Area II, UV Emitters: Contractor shall perform
research and development for Semiconductor UV Optical Sources
(SUVOS) in accordance with Section C, Statement of Work.                   See
Sections B and G, [***] [***]. PURCHASE REQUEST
NUMBER W71B7J-2030-B325                               ESTIMATED COST         $ [
***]    

ACRN AA Funded Amount

                $ [ ***]

 

ITEM NO

--------------------------------------------------------------------------------

  SUPPLIES/SERVICES

--------------------------------------------------------------------------------

  QUANTITY

--------------------------------------------------------------------------------

  UNIT

--------------------------------------------------------------------------------

  UNIT PRICE

--------------------------------------------------------------------------------

  AMOUNT

--------------------------------------------------------------------------------

   

0002

          Lot       $     $ NSP     Data IAW DD 1423, Contract Data Requirements
List CS - Data in
accordance with Contract Data Requirements List, DD Form 1423,
Exhibit A to Section J. PURCHASE REQUEST NUMBER
W71B7J-2030-B325                            

ESTIMATED COST

        $  

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073        

Page 3 of 50

 

ITEM NO

--------------------------------------------------------------------------------

  SUPPLIES/SERVICES

--------------------------------------------------------------------------------

  QUANTITY

--------------------------------------------------------------------------------

  UNIT

--------------------------------------------------------------------------------

  UNIT PRICE

--------------------------------------------------------------------------------

  AMOUNT

--------------------------------------------------------------------------------

     

0003

          Lot       $     $         OPTION - SEMICONDUCTOR UV OPTICAL SOURCES
(SUVOS)
CS - BAA 02-03, Technical Area II, UV Emitters: Contractor shall
continue to perform research and development for Semiconductor UV
Optical Sources (SUVOS) in accordance with Section C, Statement of
Work.                  

See Sections B and G, [***].

PURCHASE REQUEST NUMBER W71B7J-2030-B325

                              ESTIMATED COST         $ [ ***]

 

ITEM NO

--------------------------------------------------------------------------------

  SUPPLIES/SERVICES

--------------------------------------------------------------------------------

  QUANTITY

--------------------------------------------------------------------------------

  UNIT

--------------------------------------------------------------------------------

  UNIT PRICE

--------------------------------------------------------------------------------

  AMOUNT

--------------------------------------------------------------------------------

     

0004

          Lot       $     $         OPTION - SEMICONDUCTOR UV OPTICAL SOURCES
(SUVOS)
CS - BAA 02-03, Technical Area II, UV Emitters: Contractor shall
continue to perform research and development for Semiconductor UV
Optical Sources (SUVOS) in accordance with Section C, Statement of
Work.                  

See Sections B and G, [***].

PURCHASE REQUEST NUMBER W71B7J-2030-B325

                              ESTIMATED COST         $ [ ***]

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073

Page 4 of 50

 

CLAUSES INCORPORATED BY FULL TEXT

 

[***]

 

Contract Line

Item #

--------------------------------------------------------------------------------

  Government’s Share

--------------------------------------------------------------------------------

  Contractor’s Share

--------------------------------------------------------------------------------

 

Total Estimated

Contract Cost

--------------------------------------------------------------------------------

CLIN 0001

 

[***]

 

[***]

  [***]

CLIN 0003

 

[***]

 

[***]

  [***]

CLIN 0004

 

[***]

 

[***]

  [***]

TOTAL

  [***]   [***]   [***]

 

Audit Procedures

 

[***]

 

52.004-4401 RMAC POINT OF CONTACT (MAR 2000)

 

The RMAC point of contact for this action is:

 

Contract Specialist: Joyce McDonald

Telephone Number: 301-394-3438

Fax Number: 301-394-2852

Email: jmcdonald@arl.army.mil

 

Contracting Officer: Theodore H. Weitzman

Telephone Number: 301-3165

Fax Number: 301-394-3184

Email: tweitzman@arl.army.mil

 

(End of clause)

 

52.004-4403 CONTRACTING OFFICER’S REPRESENTATIVE (COR) (JUN 2001)

 

The COR appointed to this contract is identified below. See formal letter of
appointment for authorized duties/responsibilities.

 

COR Name: Dr. Paul Amirtharaj

COR Telephone: 301-394-0940

COR Email address: pamirtharaj@arl.army.mil

(End of clause)

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange

Commission. Omitted portions have been filed separately with the Commission.

 

52.016-4407 TYPE OF CONTRACT (SEP 1999)

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DAAD17-02-C-0073        

Page 5 of 50

 

This is a [***] type of contract.

 

(End of clause)

 

52.032-4421 INCREMENTAL FUNDING - PERFORMANCE PERIOD (SEP 1999)

 

This contract is incrementally funded. The amount presently available for
payment and allotted to the contract is $[***]. It is estimated that the
allotted funds will cover all areas of contract performance for the period from
award of contract through 12 months.

 

(End of clause)

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073        

Page 6 of 50

 

SECTION C Descriptions and Specifications

 

Statement of Work

 

C.0 Introduction

 

The development of [***] is of critical importance to the military. [***] have
application in biological agent detection, non-line-of-sight (NLOS) covert
communications, water purification, equipment/personnel decontamination, and
white light generation. It is the goal of the [***] program to exploit the
unique characteristics [***] that can be integrated into modules and subsystems
to address these applications. The Government is interested in novel ideas that
will result in the demonstration of deep [***] sources. This effort focuses on
exploiting the material qualities of the [***] to produce an [***] compatible
with the applications cited above.

 

This program will be conducted in two phases. Phase I (Years 1 and 2) will
concentrate on the development of [***] by exploiting the unique characteristics
of [***]. Emphasis will be placed on materials needed to realize [***] [***].
These materials are considered to be on the materials development critical path
(MDCP). Also included in the Phase I effort is the [***] of innovative [***]
[***] with [***] in the [***]. In Option Phase II (Option Years 3 and 4), the
emphasis shifts to the optimization of [***] and [***] with [***]. It is
expected that the ultimate goal of [***] will be achieved through materials
development and device innovation initially in the [***] portion of the [***] as
part of the Phase I effort. Based on advances in science, materials, and devices
in Phase I, the optimization of devices to meet or exceed Option Phase II goals
will be realized.

 

Year 1

 

C. 1. The Contractor shall develop [***] for [***] of [***] necessary for [***]
and [***] on [***].

 

C.1.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.2. The Contractor shall grow [***] to reduce [***] effects.

 

C.2.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.3. The Contractor shall fabricate [***].

 

C.3.1 The Contractor shall deliver representative devices to the Government.

 

C. 4. The Contractor shall develop optically efficient [***] and [***] comprised
of [***] in the [***] family.

 

C.4.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.4.2 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

C.4.3 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073        

Page 7 of 50

 

C.4.4 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

C.4.5 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

Year 2

 

C.5 The Contractor shall develop [***] and [***] comprised of [***] in the [***]
family,

 

C.5.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.6 The Contractor shall grow of [***] to reduce [***] effects.

 

C.6.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.7 The Contractor shall fabricate [***].

 

C.7.1 The Contractor shall deliver to the Government [***] with [***] and [***]
23 months after the start of the contract.

 

C.8 The Contractor shall develop [***].

 

C.8.1 The Contractor shall deliver to the Government [***] and [***] with
diameter greater than or equal to [***] months after the start of the contract.

 

C.9 The Contractor shall develop [***] including the [***].

 

C.9.1 The Contractor shall deliver to the Government [***] with [***] and [***]
17 months after the start of the contract.

 

Year 3 (Option CLIN 0003)

 

C.10 The Contractor shall develop device design for high [***] and optimize
fabrication process to produce it.

 

C.10.1 The Contractor shall deliver to the Government [***] with [***] and [***]
35 months after the start of the contract.

 

C.11 The Contractor shall develop device design for [***] and optimize
fabrication process to produce it.

 

C.11.1 The Contractor shall deliver to the Government [***] with [***] and [***]
35 months after the start of the contract.

 

C.12 The Contractor shall develop growth of [***].

 

C.12.1 The Contractor shall deliver to the Government [***] and [***] with
diameter greater than or equal to [***] 35 months after the start of the
contract.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073        

Page 8 of 50

 

Year 4 (Option CLIN 0004)

 

C.13 The Contractor shall develop design for [***] and optimize fabrication
process to produce it.

 

C.13.1 The Contractor shall deliver to the Government [***] with [***] and [***]
47 months after the start of the contract.

 

C.13.2 The Contractor shall deliver to the Government [***] with [***] and [***]
41 months after the start of the contract.

 

C.13.3 The Contractor shall deliver to the Government [***] with [***] and [***]
47 months after the start of the contract.

 

C.14 OTHER CONTRACT DELIVERABLES

 

C.14.1 The contractor shall provide copies of all technical reports submitted
for publication (in journals, conference proceedings and other technical
reports) under this contract to the technical POC

 

C.14.2 The Contractor shall complete and submit quarterly and cost expenditure
reports throughout the duration of the contract in accordance with DD Form 1423,
Contract Data Requirements List, Exhibit A to Section J. Reports shall be marked
with the following Distribution Statement:

 

DISTRIBUTION STATEMENT C: Distribution authorized to U.S. Government Agencies
and their contractors, proprietary information, 7 Feb 02. Other requests for
this document shall be referred to U.S. Army Research Laboratory, Attn:
AMSRL-SE-EM, 2800 Powder Mill Road, Adelphi, MD 20783-1197.

 

C14.3 The contractor shall provide a comprehensive Final Report at the close of
the contract. The report shall detail all activities performed under the
contract and provide results and conclusions for each task.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

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DAAD17-02-C-0073        

Page 9 of 50

 

SECTION D Packaging and Marking

 

D.1.   Preservation, Packing and Packaging shall be of a standard commercial
type providing for damage-free shipment to destination.

 

(End of Clause)

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DAAD17-02-C-0073        

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SECTION E Inspection and Acceptance

 

INSPECTION AND ACCEPTANCE TERMS

 

Supplies/services will be inspected/accepted at:

 

CLIN

--------------------------------------------------------------------------------

  INSPECT AT

--------------------------------------------------------------------------------

  INSPECT BY

--------------------------------------------------------------------------------

  ACCEPT AT

--------------------------------------------------------------------------------

  ACCEPT BY

--------------------------------------------------------------------------------

0001

  Destination   Government   Destination   Government

0002

  Destination   Government   Destination   Government

0003

  Destination   Government   Destination   Government

0004

  Destination   Government   Destination   Government

 

CLAUSES INCORPORATED BY REFERENCE:

 

52.246-8 Alt I Inspection Of Research And Development-Cost
                    Reimbursement (May 2001) - Alternate I  

APR 1984

 

CLAUSES INCORPORATED BY FULL TEXT

 

52.046-4400 GOVERNMENT INSPECTION AND ACCEPTANCE (SEP 1999)

 

Government Inspection and Acceptance shall be performed at Army Research
Laboratory by an authorized Government Representative.

 

(End of clause)

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DAAD17-02-C-0073        

Page 11 of 50

 

SECTION F Deliveries or Performance

 

DELIVERY INFORMATION

 

CLINS

--------------------------------------------------------------------------------

  DELIVERY DATE

--------------------------------------------------------------------------------

  UNIT OF ISSUE

--------------------------------------------------------------------------------

  QUANTITY

--------------------------------------------------------------------------------

  FOB

--------------------------------------------------------------------------------

  SHIP TO ADDRESS

--------------------------------------------------------------------------------

0001

  POP 01-FEB-02 TO
31-JAN-04   Lot       Dest.  

W71B7J

US ARMY RESEARCH
LABORATORY

DR PAUL AMIRTHARAJ /
AMSRL-SE-EM

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

0002

  POP 01-FEB-02 TO
31-JAN-04   Lot       Dest.  

Same as CLIN 0001

0003

  POP 01-FEB-04 TO
31-JAN-05   Lot       Dest.  

Same as CLIN 0001

0004

  POP 01-FEB-05 TO
31-JAN-06   Lot       Dest.  

Same as CLIN 0001

 

CLAUSES INCORPORATED BY REFERENCE:

 

52.242-15 Alt I Stop-Work Order (Aug 1989) - Alternate I            APR 1984

I

   

52.247-34 F.O.B. Destination                                
                              NOV 1991

 

CLAUSES INCORPORATED BY FULL TEXT

 

52.017-4400 EXERCISE OF OPTION (SEP 1999)

 

The Contracting Officer may exercise the option(s) contained at CLIN(s) 0003 and
0004 by written modification to the contract anytime prior to contract
completion.

 

(End of clause)

 

52.027-4400 DELIVERY OF DATA ITEMS (SEP 1999)

 

All technical data shall be delivered in accordance with the DD 1423s attached
to Section J of this contract. Data items which require distribution to DTIC
shall be mailed to the following address:

 

Defense Technical Information Center (DTIC)

8725 John J. Kingman Road, Suite 0944

Ft. Belvoir, VA 22060-6218

 

(End of clause)

 

SECTION G Contract Administration Data

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DAAD17-02-C-0073        

Page 12 of 50

 

ACCOUNTING AND APPROPRIATION DATA

 

AA:

   972040013012RPARGO2H20M891000255YANEM00W71B7J2030B3252NDKGGS18129  
000000000000

AMOUNT:

   [***]    

 

  CLAUSES INCORPORATED BY FULL TEXT

 

Audit Procedures

 

[***]

 

[***]

 

[***]

 

Contract Line

Item #

  Government’s Share  

Contractor’s Share

 

Total Estimated

Contract Cost

 

 

CLIN 0001

 

[***]

 

[***]

  [ ***]

CLIN 0003

 

[***]

 

[***]

  [ ***]

CLIN 0004

 

[***]

 

[***]

  [ ***]

TOTAL

 

[***]

 

[***]

  [ ***]

 

52.032-4405 DISTRIBUTION OF VOUCHERS (JAN 2002)

 

a. In accordance with DCAA Procedures DCAAP 7641.90, paragraph 5-302a., all
vouchers for cost-type contracts must be submitted using the Standard Form (SF)
1034 “Public Voucher for Purchases and Services Other Than Personal”. See
http://www.dcaa.mil Information for Contractors.

 

b. The contractor shall forward vouchers to the addresses below in a
simultaneous mailing. NOTE: All vouchers must identify the CLIN under which
payment is being requested. VOUCHERS WHICH DO NOT IDENTIFY THE PROPER CLIN(s)
WILL BE REJECTED BY THE PAYMENT OFFICE AS IMPROPER.

 

All vouchers must clearly identify the Contractor’s [***] that was incurred
during the billing cycle.

 

(1) The original and six (6) copies to Defense Contract Audit Agency (DCAA)
Office. The cognizant Office address is:

 

Defense Contract Audit Agency

DCAA/MABO

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DAAD17-02-C-0073        

Page 13 of 50

 

P.O. Box 891

Arnold, MD 21012-0891

 

(2) One copy to the Government Technical Representative, addressed to:

 

U.S. Army Research Laboratory

Attn: AMSRL-SE-EM (Paul Amirtharaj)

2800 Powder Mill Rd.

Adelphi, MD 20783

 

c. The contract completion voucher will be forwarded by the DCAA Contract
Auditor to the Defense Contract Management (DCM) Administrative Contracting
Officer (ACO), or to the PCO who signed this contract if no DCM ACO has been
designated, for approval and transmittal to the cognizant disbursing office.

 

(End of clause)

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DAAD17-02-C-0073        

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SECTION H Special Contract Requirements

 

CLAUSES INCORPORATED BY FULL TEXT

 

52.004-4400 FOREIGN NATIONALS PERFORMING UNDER CONTRACT (FEB 2002)

 

In accordance with Title 8 U.S.C. 1324a, local Foreign Disclosure Officers
(FDOs) may approve access by foreign nationals working on unclassified public
domain contracts for the duration of the contract, provided the foreign
nationals have appropriate work authorization documentation.

 

In those instances where foreign nationals are required to perform under any
resultant contract and employment eligibility documentation was not submitted
with an Awardee’s proposal, the employment eligibility documentation specified
at 8 CFR 274a.2 shall be submitted to the Contracting Officer at least two weeks
prior to the foreign national’s performance for review and approval. Awardees
not employing foreign nationals in performance of any resultant contract may
disregard this clause.

 

For further information, please contact:

  

Army Research Laboratory

    

Adelphi Laboratory Center

    

ATTN: AMSRL-CS-IO-FI

    

2800 Powder Mill Road

    

Adelphi, MD 20783-1197

 

(End of clause)

 

52.005-4401 RELEASE OF INFORMATION (AUG 2001)

 

Army Regulations AR530-1 and 360-1 prescribe Department of the Army policies and
clearance procedures with respect to release of any information on Army
contracts. This information can include news stories, articles, sales
literature, advertisements, radio-TV spots, etc., on unclassified contracts as
well as on the classified contracts governed in this respect by DD Form 254.
Army Materiel Command (AMC) Supplement 1 to AR 530-1 requires operations
security (OPSEC) review and approval prior to public release of any information
on AMC contracts.

 

Your organization shall clear with the Information Office any public release of
information on this contract by first completing ARL Form 1-A (JUN 2001) and
forwarding the form and the material to be released to the address shown below.

 

U.S. Army Research Laboratory

 

U.S. Army Robert Morris

Public Affairs Office

 

Acquisition Center

ATTN: AMSRL-CS-PA

 

Adelphi Contracting Division

2800 Powder Mill Road

 

ATTN: AMSSB-ACA-C/T. Weitzman

Adelphi, Maryland 20783-1197

 

Adelphi, Maryland 20783-1197

 

M/F: Contract No.: DAAD17-02-C-0073

 

The contractor shall assure that an acknowledgment of Government support and
disclaimer of Government endorsement as set forth below shall appear on each
publication or presentation of material based on or developed under this
program. These statements shall appear either on the title/first page or the
final page of such documents -

 

“The research reported in this document/presentation was performed in connection
with contract DAAD17-02-C-0073 with the U.S. Army Research Laboratory. The views
and conclusions contained in this document/presentation are those of the authors
and should not be interpreted as presenting the official policies or position,
either expressed or implied, of the U.S. Army Research Laboratory or the U.S.

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DAAD17-02-C-0073        

Page 15 of 50

 

Government unless so designated by other authorized documents. Citation of
manufacturer’s or trade names does not constitute an official endorsement or
approval of the use thereof. The U.S. Government is authorized to reproduce and
distribute reprints for Government purposes notwithstanding any copyright
notation hereon.”

 

(End of clause)

 

52.028-4400 REQUIRED INSURANCE COVERAGE (AUG 1999)

 

Pursuant to the clause entitled “Insurance - Work on a Government Installation”,
FAR 52.228-5, or the clause entitled “Insurance - Liability to Third Persons”,
FAR 52.228-7, the Contractor shall procure and maintain the following kinds of
insurance coverage in the amounts herein indicated, throughout the period of
performance under this contract.

 

(a) The Contractor shall comply with the Workmen’s Compensation statute of the
State(s) where work is to be performed.

(b) Employer’s Liability Insurance $

     100,000.00.     

(c) General Liability Insurance (Comprehensive)

           

(1) Bodily injury

   $ 500,000.00    per accident

(d) Automobile Liability Insurance (Comprehensive)

           

(1) Bodily injury

   $ 200,000.00    per person      $ 500,000.00    per accident

(2) Property damage

   $ 50,000.00    per accident

 

(End of clause)

 

52.031-4400 AUTHORIZATION OF PRECONTRACT COSTS (AUG 1999)

 

Subject to FAR 31.205-32, “Precontract Costs”, the Contractor is authorized
precontract costs, effective 01 Feb 2002.

 

(End of clause)

 

52.032-4400 LIMITATION OF COST/LIMITATION OF FUNDS (AUG 1999)

 

This contract is incrementally funded. The Contract Clauses Section hereof
include both of the FAR clauses at 52.232-20, “Limitation of Cost”, and
52.232-22, “Limitation of Funds”. The latter clause is operative as long as this
contract is incrementally funded. If and when the contract becomes fully funded,
the “Limitation of Cost” clause shall become effective and the “Limitation of
Funds” clause shall cease to be operative.

 

Both of the above cited clauses (52.232-20 and 52.232-22), apply to each CLIN
separately. Costs of performing work set forth in one CLIN shall not be
chargeable or payable under any other CLIN.

 

(End of clause)

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52.039-4402 YEAR 2000 COMPLIANCE—NEW PRODUCTS OR SYSTEMS (OCT 1997)

 

The contractor shall ensure products provided under this contract, to include
hardware, software, firmware, and middleware, whether acting alone or combined
as a system, are Year 2000 compliant as defined in FAR Part 39.

 

(End of clause)

 

52.046-4401 KEY PERSONNEL (FEB 00)

 

The Contractor shall notify the Government in the event of a transition
(replacing or removal) of key personnel (those individuals addressed in the
Contractors proposal) working under this contract. The Government reserves the
right to review the qualifications of any Contractor personnel proposed to
replace existing personnel and accept/reject the individual based on its
judgment that the individual can perform similarly as the transitioned
personnel.

 

(End of clause)

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SECTION I Contract Clauses

 

CLAUSES INCORPORATED BY REFERENCE:

 

52.202-1

   Definitions    MAY 2001

52.203-3

   Gratuities    APR 1984

52.203-5

   Covenant Against Contingent Fees    APR 1984

52.203-6

   Restrictions On Subcontractor Sales To The Government    JUL 1995

52.203-7

   Anti-Kickback Procedures    JUL 1995

52.203-8

   Cancellation, Rescission, and Recovery of Funds for Illegal or Improper
Activity    JAN 1997

52.203-10

   Price Or Fee Adjustment For Illegal Or Improper Activity    JAN 1997

52.203-12

   Limitation On Payments To Influence Certain Federal Transactions    JUN 1997

52.204-4

   Printed or Copied Double-Sided on Recycled Paper    AUG 2000

52.209-6

   Protecting the Government’s Interest When Subcontracting With Contractors
Debarred, Suspended, or Proposed for Debarment    JUL 1995

52.211-15

   Defense Priority And Allocation Requirements    SEP 1990

52.215-2

   Audit and Records—Negotiation    JUN 1999

52.215-8

   Order of Precedence—Uniform Contract Format    OCT 1997

52.215-10

   Price Reduction for Defective Cost or Pricing Data    OCT 1997

52.215-12

   Subcontractor Cost or Pricing Data    OCT 1997

52.215-13

   Subcontractor Cost or Pricing Data—Modifications    OCT 1997

52.215-15

   Pension Adjustments and Asset Reversions    DEC 1998

52.215-18

   Reversion or Adjustment of Plans for Postretirement Benefits (PRB) Other than
Pensions    OCT 1997

52.215-19

   Notification of Ownership Changes    OCT 1997

52.215-20

   Requirements for Cost or Pricing Data or Information Other Than Cost or
Pricing Data    OCT 1997

52.215-21

   Requirements for Cost or Pricing Data or Information Other Than Cost or
Pricing Data—Modifications    OCT 1997

52.216-7

   Allowable Cost And Payment    MAR 2000

52.219-8

   Utilization of Small Business Concerns    OCT 2000

52.219-9

   Small Business Subcontracting Plan    OCT 2000

52.222-3

   Convict Labor    AUG 1996

52.222-21

   Prohibition Of Segregated Facilities    FEB 1999

52.222-26

   Equal Opportunity    FEB 1999

52.222-35

   Affirmative Action For Disabled Veterans And Veterans of the Vietnam Era   
APR 1998

52.222-36

   Affirmative Action For Workers With Disabilities    JUN 1998

52.222-37

   Employment Reports On Disabled Veterans And Veterans Of The Vietnam Era   
JAN 1999

52.223-6

   Drug Free Workplace    MAY 2001

52.223-14

   Toxic Chemical Release Reporting    OCT 2000

52.225-1

   Buy American Act—Balance of Payments Program - Supplies    FEB 2000

52.225-13

   Restrictions on Certain Foreign Purchases    JUL 2000

52.225-16

   Sanctioned European Union Country Services    FEB 2000

52.226-1

   Utilization Of Indian Organizations And Indian-Owned Economic Enterprises   
JUN 2000

52.227-1 Alt I

   Authorization And Consent (Jul 1995) - Alternate I    APR 1984

52.227-2

   Notice And Assistance Regarding Patent And Copyright Infringement    AUG 1996

52.228-7

   Insurance—Liability To Third Persons    MAR 1996

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52.230-2

   Cost Accounting Standards    APR 1998

52.230-6

   Administration of Cost Accounting Standards    NOV 1999

52.232-9

   Limitation On Withholding Of Payments    APR 1984

52.232-17

   Interest    JUN 1996

52.232-20

   Limitation Of Cost    APR 1984

52.232-22

   Limitation Of Funds    APR 1984

52.232-23

   Assignment Of Claims    JAN 1986

52.232-25

   Prompt Payment    MAY 2001

52.232-33

   Payment by Electronic Funds Transfer—Central Contractor Registration    MAY
1999

52.233-1

   Disputes    DEC 1998

52.233-3 Alt I

   Protest After Award (Aug 1996) - Alternate I    JUN 1985

52.237-8

   Restriction on Severance Payments to Foreign Nationals    OCT 1995

52.242-1

   Notice of Intent to Disallow Costs    APR 1984

52.242-3

   Penalties for Unallowable Costs    MAY 2001

52.242-4

   Certification of Final Indirect Costs    JAN 1997

52.242-13

   Bankruptcy    JUL 1995

52.243-2 Alt V

   Changes—Cost-Reimbursement (Aug 1987) - Alternate V    APR 1984

52.244-5

   Competition In Subcontracting    DEC 1996

52.244-6

   Subcontracts for Commercial Items    MAY 2001

52.245-5

   Government Property (Cost-Reimbursement Time-And-Materials, Or Labor Hour
Contracts)    JAN 1986

52.246-23

   Limitation Of Liability    FEB 1997

52.249-6

   Termination (Cost Reimbursement)    SEP 1996

52.249-14

   Excusable Delays    APR 1984

52.253-1

   Computer Generated Forms    JAN 1991

252.201-7000

   Contracting Officer’s Representative    DEC 1991

252.203-7001

   Prohibition On Persons Convicted of Fraud or Other Defense-Contract-Related
Felonies    MAR 1999

252.203-7002

   Display Of DOD Hotline Poster    DEC 1991

252.204-7003

   Control Of Government Personnel Work Product    APR 1992

252.205-7000

   Provisions Of Information To Cooperative Agreement Holders    DEC 1991

252.209-7000

   Acquisition From Subcontractors Subject To On-Site Inspection Under The
Intermediate Range Nuclear Forces (INF) Treaty    NOV 1995

252.209-7004

   Subcontracting With Firms That Are Owned or Controlled By The Government of a
Terrorist Country    MAR 1998

252.215-7000

   Pricing Adjustments    DEC 1991

252.215-7002

   Cost Estimating System Requirements    OCT 1998

252.219-7003

   Small, Small Disadvantaged and Women-Owned Small Business Subcontracting Plan
(DOD Contracts)    APR 1996

252.225-7002

   Qualifying Country Sources As Subcontractors    DEC 1991

252.225-7007

   Buy American Act—Trade Agreements—Balance of Payments Program    SEP 2001

252.225-7012

   Preference For Certain Domestic Commodities    AUG 2000

252.225-7026

   Reporting Of Contract Performance Outside The United States    JUN 2000

252.225-7031

   Secondary Arab Boycott Of Israel    JUN 1992

252.227-7013

   Rights in Technical Data—Noncommercial Items    NOV 1995

252.227-7016

   Rights in Bid or Proposal Information    JUN 1995

252.227-7030

   Technical Data—Withholding Of Payment    MAR 2000

252.227-7034

   Patents—Subcontracts    APR 1984

252.227-7036

   Declaration of Technical Data Conformity    JAN 1997

252.231-7000

   Supplemental Cost Principles    DEC 1991

252.235-7011

   Final Scientific or Technical Report    SEP 1999

252.242-7004

   Material Management And Accounting System    DEC 2000

252.243-7002

   Requests for Equitable Adjustment    MAR 1998

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252.245-7001

   Reports Of Government Property    MAY 1994

252.247-7023

   Transportation of Supplies by Sea    MAR 2000

252.247-7024

   Notification Of Transportation Of Supplies By Sea    MAR 2000

 

CLAUSES INCORPORATED BY FULL TEXT

 

52.216-12 COST-SHARING CONTRACT—NO FEE (APR 1984)

 

(a) The Government shall not pay to the Contractor a fee for performing this
contract.

 

(b) After paying 80 percent of the Government’s share of the total estimated
cost of performance shown in the Schedule, the Contracting Officer may withhold
further payment of allowable cost until a reserve is set aside in an amount that
the Contracting Officer considers necessary to protect the Government’s
interest. This reserve shall not exceed one percent of the Government’s share of
the total estimated cost shown in the Schedule.

 

(End of clause)

 

52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990)

 

(a) The use of overtime is authorized under this contract if the overtime
premium cost does not exceed or the overtime premium is paid for work —

 

(1) Necessary to cope with emergencies such as those resulting from accidents,
natural disasters, breakdowns of production equipment, or occasional production
bottlenecks of a sporadic nature;

 

(2) By indirect-labor employees such as those performing duties in connection
with administration, protection, transportation, maintenance, standby plant
protection, operation of utilities, or accounting;

 

(3) To perform tests, industrial processes, laboratory procedures, loading or
unloading of transportation conveyances, and operations in flight or afloat that
are continuous in nature and cannot reasonably be interrupted or completed
otherwise; or

 

(4) That will result in lower overall costs to the Government.

 

(b) Any request for estimated overtime premiums that exceeds the amount
specified above shall include all estimated overtime for contract completion and
shall—

 

(1) Identify the work unit; e.g., department or section in which the requested
overtime will be used, together with present workload, staffing, and other data
of the affected unit sufficient to permit the Contracting Officer to evaluate
the necessity for the overtime;

 

(2) Demonstrate the effect that denial of the request will have on the contract
delivery or performance schedule;

 

(3) Identify the extent to which approval of overtime would affect the
performance or payments in connection with other Government contracts, together
with identification of each affected contract; and

 

(4) Provide reasons why the required work cannot be performed by using
multishift operations or by employing additional personnel.

 

(End of clause)

 

52.225-11 BUY AMERICAN ACT—BALANCE OF PAYMENTS PROGRAM—CONSTRUCTION MATERIALS
UNDER TRADE AGREEMENTS (FEB 2000)

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(a) Definitions. As used in this clause—

 

Component means any article, material, or supply incorporated directly into
construction materials.

 

Construction material means an article, material, or supply brought to the
construction site by the Contractor or subcontractor for incorporation into the
building or work. The term also includes an item brought to the site
preassembled from articles, materials, or supplies. However, emergency life
safety systems, such as emergency lighting, fire alarm, and audio evacuation
systems, that are discrete systems incorporated into a public building or work
and that are produced as complete systems, are evaluated as a single and
distinct construction material regardless of when or how the individual parts or
components of those systems are delivered to the construction site. Materials
purchased directly by the Government are supplies, not construction material.

 

Cost of components means—

 

(1) For components purchased by the Contractor, the acquisition cost, including
transportation costs to the place of incorporation into the end product (whether
or not such costs are paid to a domestic firm), and any applicable duty (whether
or not a duty-free entry certificate is issued); or

 

(2) For components manufactured by the Contractor, all costs associated with the
manufacture of the component, including transportation costs as described in
paragraph (1) of this definition, plus allocable overhead costs, but excluding
profit. Cost of components does not include any costs associated with the
manufacture of the end product.

 

Designated country means any of the following countries: Aruba, Austria,
Bangladesh, Belgium, Benin, Bhutan, Botswana, Burkina Faso, Burundi, Canada,
Cape Verde, Central African Republic, Chad, Comoros, Denmark.

 

Djibouti, Equatorial Guinea, Finland, France, Gambia, Germany, Greece, Guinea,
Guinea-Bissau, Haiti, Hong Kong, Ireland, Israel, Italy, Japan.

 

Kiribati, Korea, Republic of, Lesotho, Liechtenstein, Luxembourg, Malawi,
Maldives, Mali, Mozambique, Nepal, Netherlands, Niger, Norway, Portugal, Rwanda.

 

Sao Tome and Principe, Sierra Leone, Singapore, Somalia, Spain, Sweden,
Switzerland, Tanzania U.R., Togo, Tuvalu, Uganda, United Kingdom, Vanuatu,
Western Samoa, Yemen.

 

Designated country construction material means a construction material that—

 

(1) Is wholly the growth, product, or manufacture of a designated country; or

 

(2) In the case of a construction material that consists in whole or in part of
materials from another country, has been substantially transformed in a
designated country into a new and different construction material distinct from
the materials from which it was transformed.

 

Domestic construction material means—

 

(1) An unmanufactured construction material mined or produced in the United
States; or

 

(2) A construction material manufactured in the United States, if the cost of
its components mined, produced, or manufactured in the United States exceeds 50
percent of the cost of all its components. Components of foreign origin of the
same class or kind for which nonavailability determinations have been made are
treated as domestic.

 

Foreign construction material means a construction material other than a
domestic construction material.

 

North American Free Trade Agreement country means Canada or Mexico.

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North American Free Trade Agreement country construction material means a
construction material that—

 

(1) Is wholly the growth, product, or manufacture of a North American Free Trade
Agreement (NAFTA) country; or

 

(2) In the case of a construction material that consists in whole or in part of
materials from another country, has been substantially transformed in a NAFTA
country into a new and different construction material distinct from the
materials from which it was transformed.

 

United States means the 50 States and the District of Columbia, U.S. territories
and possessions, Puerto Rico, the Northern Mariana Islands, and any other place
subject to U.S. jurisdiction, but does not include leased bases.

 

(b) Construction materials. (1) This clause implements the Buy American Act (41
U.S.C. 10a-10d) and the Balance of Payments Program by providing a preference
for domestic construction material. In addition, the Contracting Officer has
determined that the Trade Agreements Act and the North American Free Trade
Agreement (NAFTA) apply to this acquisition. Therefore, the Buy American Act and
Balance of Payments Program restrictions are waived for designated country and
NAFTA country construction materials.

 

(2) The Contractor shall use only domestic, designated country, or NAFTA country
construction material in performing this contract, except as provided in
paragraphs (b)(3) and (b)(4) of this clause.

 

(3) The requirement in paragraph (b)(2) of this clause does not apply to the
construction materials or components listed by the Government as follows:
[Contracting Officer to list applicable excepted materials or indicate “none”]

 

(4) The Contracting Officer may add other foreign construction material to the
list in paragraph (b)(3) of this clause if the Government determines that—

 

(i) The cost of domestic construction material would be unreasonable. The cost
of a particular domestic construction material subject to the restrictions of
the Buy American Act is unreasonable when the cost of such material exceeds the
cost of foreign material by more than 6 percent. For determination of
unreasonable cost under the Balance of Payments Program, the Contracting Officer
will use a factor of 50 percent;

 

(ii) The application of the restriction of the Buy American Act or Balance of
Payments Program to a particular construction material would be impracticable or
inconsistent with the public interest; or

 

(iii) The construction material is not mined, produced, or manufactured in the
United States in sufficient and reasonably available commercial quantities of a
satisfactory quality.

 

(c) Request for determination of inapplicability of the Buy American Act or
Balance of Payments Program. (1)(i) Any Contractor request to use foreign
construction material in accordance with paragraph (b)(4) of this clause shall
include adequate information for Government evaluation of the request,
including—

 

(A) A description of the foreign and domestic construction materials;

 

(B) Unit of measure;

 

(C) Quantity;

 

(D) Price;

 

(E) Time of delivery or availability;

 

(F) Location of the construction project;

 

(G) Name and address of the proposed supplier; and

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(H) A detailed justification of the reason for use of foreign construction
materials cited in accordance with paragraph (b)(3) of this clause.

 

(ii) A request based on unreasonable cost shall include a reasonable survey of
the market and a completed price comparison table in the format in paragraph (d)
of this clause.

 

(iii) The price of construction material shall include all delivery costs to the
construction site and any applicable duty (whether or not a duty-free
certificate may be issued).

 

(iv) Any Contractor request for a determination submitted after contract award
shall explain why the Contractor could not reasonably foresee the need for such
determination and could not have requested the determination before contract
award. If the Contractor does not submit a satisfactory explanation, the
Contracting Officer need not make a determination.

 

(2) If the Government determines after contract award that an exception to the
Buy American Act or Balance of Payments Program applies and the Contracting
Officer and the Contractor negotiate adequate consideration, the Contracting
Officer will modify the contract to allow use of the foreign construction
material. However, when the basis for the exception is the unreasonable price of
a domestic construction material, adequate consideration is not less than the
differential established in paragraph (b)(4)(i) of this clause.

 

(3) Unless the Government determines that an exception to the Buy American Act
or Balance of Payments Program applies, use of foreign construction material is
noncompliant with the Buy American Act or Balance of Payments Program.

 

(d) Data. To permit evaluation of requests under paragraph (c) of this clause
based on unreasonable cost, the Contractor shall include the following
information and any applicable supporting data based on the survey of suppliers:

 

Foreign and Domestic Construction Materials Price Comparison

 

Construction material description

--------------------------------------------------------------------------------

   Unit of measure

--------------------------------------------------------------------------------

   Quantity

--------------------------------------------------------------------------------

   Price (dollars) \1\

--------------------------------------------------------------------------------

Item 1:

              

Foreign construction material

              

Domestic construction material

              

Item 2:

              

Foreign construction material

              

Domestic construction material

              

--------------------------------------------------------------------------------

\1\   Include all delivery costs to the construction site and any applicable
duty (whether or not a duty-free entry certificate is issued).

List name, address, telephone number, and contact for suppliers surveyed. Attach
copy of response; if oral, attach summary.

Include other applicable supporting information.

 

(End of clause)

 

52.227-12 PATENT RIGHTS—RETENTION BY THE CONTRACTOR (LONG FORM) (JAN 1997)

 

(a) Definitions. “Invention” means any invention or discovery which is or may be
patentable or otherwise protectable under title 35 of the United States Code or
any novel variety of plant that is or may be protectable under the Plant Variety
Protection Act (7 U.S.C. 2321, et seq.).

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“Made” when used in relation to any invention means the conception or first
actual reduction to practice of such invention.

 

“Nonprofit organization” means a domestic university or other institution of
higher education or an organization of the type described in section 501(c)(3)
of the Internal Revenue Code of 1954 (26 U.S.C. 501(c)) and exempt from taxation
under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)) or any
nonprofit scientific or educational organization qualified under a state
nonprofit organization statute.

 

“Practical application” means to manufacture in the case of a composition or
product, to practice in the case of a process or method, or to operate in the
case of a machine or system; and, in each case, under such conditions as to
establish that the invention is being utilized and that its benefits are, to the
extent permitted by law or Government regulations, available to the public on
reasonable terms.

 

“Small business firm” means a small business concern as defined at section 2 of
Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations of the Administrator
of the Small Business Administration. For the purpose of this clause, the size
standards for small business concerns involved in Government procurement and
subcontracting at 13 CFR 121.3-8 and 13 CFR 121.3-12, respectively, will be
used.

 

“Subject invention” means any invention of the Contractor conceived or first
actually reduced to practice in the performance of work under this contract;
provided, that in the case of a variety of plant, the date of determination (as
defined in section 41(d) of the Plant Variety Protection Act, 7 U.S.C. 2401(d))
must also occur during the period of contract performance.

 

(b) Allocation of principal rights. The Contractor may elect to retain the
entire right, title, and interest throughout the world to each subject invention
subject to the provisions of this clause and 35 U.S.C. 203. With respect to any
subject invention in which the Contractor elects to retain title, the Federal
Government shall have a nonexclusive, nontransferable, irrevocable, paid-up
license to practice or have practiced for or on behalf of the United States the
subject invention throughout the world.

 

(c) Invention disclosure, election of title, and filing of patent applications
by Contractor. (1) The Contractor shall disclose each subject invention to the
Contracting Officer within 2 months after the inventor discloses it in writing
to Contractor personnel responsible for patent matters or within 6 months after
the Contractor becomes aware that a subject invention has been made, whichever
is earlier. The disclosure to the Contracting Officer shall be in the form of a
written report and shall identify the contract under which the invention was
made and the inventor(s). It shall be sufficiently complete in technical detail
to convey a clear understanding, to the extent known at the time of the
disclosure, of the nature, purpose, operation, and physical, chemical,
biological, or electrical characteristics of the invention. The disclosure shall
also identify any publication, on sale, or public use of the invention and
whether a manuscript describing the invention has been submitted for publication
and, if so, whether it has been accepted for publication at the time of
disclosure. In addition, after disclosure to the Contracting Officer, the
Contractor shall promptly notify the Contracting Officer of the acceptance of
any manuscript describing the invention for publication or of any on sale or
public use planned by the Contractor.

 

(2) The Contractor shall elect in writing whether or not to retain title to any
such invention by notifying the Federal agency at the time of disclosure or
within 8 months of disclosure, as to those countries (including the United
States) in which the Contractor will retain title; provided, that in any case
where publication, on sale, or public use has initiated the 1-year statutory
period wherein valid patent protection can still be obtained in the United
States, the period of election of title may be shortened by the agency to a date
that is no more than 60 days prior to the end of the statutory period.

 

(3) The Contractor shall file its initial patent application on an elected
invention within 1 year after election or, if earlier, prior to the end of any
statutory period wherein valid patent protection can be obtained in the United
States after a publication, on sale, or public use. The Contractor shall file
patent applications in additional countries (including the European Patent
Office and under the Patent Cooperation Treaty) within either 10 months of the
corresponding initial patent application or 6 months from the date permission is
granted by the Commissioner of

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Patents and Trademarks to file foreign patent applications where such filing has
been prohibited by a Secrecy Order.

 

(4) Requests for extension of the time for disclosure to the Contracting
Officer, election, and filing may, at the discretion of the funding Federal
agency, be granted, and will normally be granted unless the Contracting Officer
has reason to believe that a particular extension would prejudice the
Government’s interest.

 

(d) Conditions when the Government may obtain title. The Contractor shall convey
to the Federal agency, upon written request, title to any subject invention—

 

(1) If the Contractor elects not to retain title to a subject invention;

 

(2) If the Contractor fails to disclose or elect the subject invention within
the times specified in paragraph (c) above (the agency may only request title
within 60 days after learning of the Contractor’s failure to report or elect
within the specified times);

 

(3) In those countries in which the Contractor fails to file patent applications
within the time specified in paragraph (c) above; provided, however, that if the
Contractor has filed a patent application in a country after the times specified
in paragraph (c) above, but prior to its receipt of the written request of the
Federal agency, the Contractor shall continue to retain title in that country;
or

 

(4) In any country in which the Contractor decides not to continue the
prosecution of any application for, to pay the maintenance fees on, or defend in
reexamination or opposition proceeding on, a patent on a subject invention.

 

(e) Minimum rights to Contractor. (1) The Contractor shall retain a
nonexclusive, royalty-free license throughout the world in each subject
invention to which the Government obtains title except if the Contractor fails
to disclose the subject invention within the times specified in paragraph (c)
above. The Contractor’s license extends to its domestic subsidiaries and
affiliates, if any, within the corporate structure of which the Contractor is a
part and includes the right to grant sublicenses of the same scope to the extent
the Contractor was legally obligated to do so at the time the contract was
awarded. The license is transferable only with the approval of the funding
Federal agency except when transferred to the successor of that part of the
Contractor’s business to which the invention pertains.

 

(2) The Contractor’s domestic license may be revoked or modified by the funding
Federal agency to the extent necessary to achieve expeditious practical
application of the subject invention pursuant to an application for an exclusive
license submitted in accordance with applicable provisions in the Federal
Property Management Regulations and agency licensing regulations (if any). This
license shall not be revoked in that field of use or the geographical areas in
which the Contractor has achieved practical application and continues to make
the benefits of the invention reasonably accessible to the public. The license
in any foreign country may be revoked or modified at the discretion of the
funding Federal agency to the extent the Contractor, its licensees, or its
domestic subsidiaries or affiliates have failed to achieve practical application
in that foreign country.

 

(3) Before revocation or modification of the license, the funding Federal agency
shall furnish the Contractor a written notice of its intention to revoke or
modify the license, and the Contractor shall be allowed 30 days (or such other
time as may be authorized by the funding Federal agency for good cause shown by
the Contractor) after the notice to show cause why the license should not be
revoked or modified. The Contractor has the right to appeal, in accordance with
applicable agency licensing regulations and 37 CFR 404 concerning the licensing
of Government-owned inventions, any decision concerning the revocation or
modification of its license.

 

(f) Contractor action to protect the Government’s interest. (1) The Contractor
agrees to execute or to have executed and promptly deliver to the Federal agency
all instruments necessary to (i) establish or confirm the rights the Government
has throughout the world in those subject inventions to which the Contractor
elects to retain title, and (ii) convey title to the Federal agency when
requested under paragraph (d) above and subparagraph (n)(2) below, and to enable
the Government to obtain patent protection throughout the world in that subject
invention.

 

(2) The Contractor agrees to require, by written agreement, its employees, other
than clerical and nontechnical employees, to disclose promptly in writing to
personnel identified as responsible for the administration of patent

--------------------------------------------------------------------------------

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matters and in a format suggested by the Contractor each subject invention made
under contract in order that the Contractor can comply with the disclosure
provisions of paragraph (c) above, and to execute all papers necessary to file
patent applications on subject inventions and to establish the Government’s
rights in the subject inventions. This disclosure format should require, as a
minimum, the information required by subparagraph (c)(1) above. The Contractor
shall instruct such employees through employee agreements or other suitable
educational programs on the importance of reporting inventions in sufficient
time to permit the filing of patent applications prior to U.S. or foreign
statutory bars.

 

(3) The Contractor shall notify the Federal agency of any decision not to
continue the prosecution of a patent application, pay maintenance fees, or
defend in a reexamination or opposition proceeding on a patent, in any country,
not less than 30 days before the expiration of the response period required by
the relevant patent office.

 

(4) The Contractor agrees to include, within the specification of any United
States patent application and any patent issuing thereon covering a subject
invention, the following statement: “This invention was made with Government
support under (identify the contract) awarded by (identify the Federal agency).
The Government has certain rights in this invention.”

 

(5) The Contractor shall establish and maintain active and effective procedures
to assure that subject inventions are promptly identified and disclosed to
Contractor personnel responsible for patent matters within 6 months of
conception and/or first actual reduction to practice, whichever occurs first in
performance of work under this contract. These procedures shall include the
maintenance of laboratory notebooks or equivalent records and other records as
are reasonably necessary to document the conception and/or the first actual
reduction to practice of subject inventions, and records that show that the
procedures for identifying and disclosing the inventions are followed. Upon
request, the Contractor shall furnish the Contracting Officer a description of
such procedures for evaluation and for determination as to their effectiveness.

 

(6) The Contractor agrees, when licensing a subject invention, to arrange to
avoid royalty charges on acquisitions involving Government funds, including
funds derived through Military Assistance Program of the Government or otherwise
derived through the Government, to refund any amounts received as royalty
charges on the subject invention in acquisitions for, or on behalf of, the
Government, and to provide for such refund in any instrument transferring rights
in the invention to any party.

 

(7) The Contractor shall furnish the Contracting Officer the following:

 

(i) Interim reports every 12 months (or such longer period as may be specified
by the Contracting Officer) from the date of the contract, listing subject
inventions during that period and stating that all subject inventions have been
disclosed or that there are no such inventions.

 

(ii) A final report, within 3 months after completion of the contracted work,
listing all subject inventions or stating that there were no such inventions,
and listing all subcontracts at any tier containing a patent rights clause or
stating that there were no such subcontracts.

 

(8) The Contractor shall promptly notify the Contracting Officer in writing upon
the award of any subcontract at any tier containing a patent rights clause by
identifying the subcontractor, the applicable patent rights clause, the work to
be performed under the subcontract, and the dates of award and estimated
completion. Upon request of the Contracting Officer, the Contractor shall
furnish a copy of such subcontract, and no more frequently than annually, a
listing of the subcontracts that have been awarded.

 

(9) In the event of a refusal by a prospective subcontractor to accept one of
the clauses in subparagraph (g)(1) or (2) below, the Contractor (i) shall
promptly submit a written notice to the Contracting Officer setting forth the
subcontractor’s reasons for such refusal and other pertinent information that
may expedite disposition of the matter and (ii) shall not proceed with such
subcontracting without the written authorization of the Contracting Officer.

 

(10) The Contractor shall provide, upon request, the filing date, serial number
and title, a copy of the patent application (including an English-language
version if filed in a language other than English), and patent number and

--------------------------------------------------------------------------------

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issue date for any subject invention for which the Contractor has retained
title.

 

(11) Upon request, the Contractor shall furnish the Government an irrevocable
power to inspect and make copies of the patent application file.

 

(g) Subcontracts. (1) The Contractor shall include the clause at 52.227-11 of
the Federal Acquisition Regulation (FAR), suitably modified to identify the
parties, in all subcontracts, regardless of tier, for experimental,
developmental, or research work to be performed by a small business firm or
nonprofit organization. The subcontractor shall retain all rights provided for
the Contractor in this clause, and the Contractor shall not, as part of the
consideration for awarding the subcontract, obtain rights in the subcontractor’s
subject inventions.

 

(2) The Contractor shall include this clause (FAR 52.227-12) in all other
subcontracts, regardless of tier, for experimental, developmental, or research
work.

 

(3) In the case of subcontracts, at any tier, when the prime award with the
Federal agency was a contract (but not a grant or cooperative agreement), the
agency, subcontractor, and the Contractor agree that the mutual obligations of
the parties created by this clause constitute a contract between the
subcontractor and the Federal agency with respect to those matters covered by
this clause.

 

(h) Reporting utilization of subject inventions. The Contractor agrees to submit
on request periodic reports no more frequently than annually on the utilization
of a subject invention or on efforts at obtaining such utilization that are
being made by the Contractor or its licensees or assignees. Such reports shall
include information regarding the status of development, date of first
commercial sale or use, gross royalties received by the Contractor, and such
other data and information as the agency may reasonably specify. The Contractor
also agrees to provide additional reports as may be requested by the agency in
connection with any march-in proceedings undertaken by the agency in accordance
with paragraph (j) of this clause. To the extent data or information supplied
under this paragraph is considered by the Contractor, its licensee or assignee
to be privileged and confidential and is so marked, the agency agrees that, to
the extent permitted by law, it shall not disclose such information to persons
outside the Government. (i) Preference for United States industry.
Notwithstanding any other provision of this clause, the Contractor agrees that
neither it nor any assignee will grant to any person the exclusive right to use
or sell any subject invention in the United States unless such person agrees
that any products embodying the subject invention will be manufactured
substantially in the United States. However, in individual cases, the
requirement for such an agreement may be waived by the Federal agency upon a
showing by the Contractor or its assignee that reasonable but unsuccessful
efforts have been made to grant licenses on similar terms to potential licensees
that would be likely to manufacture substantially in the United States or that
under the circumstances domestic manufacture is not commercially feasible.

 

(j) March-in rights. The Contractor agrees that with respect to any subject
invention in which it has acquired title, the Federal agency has the right in
accordance with the procedures in FAR 27.304-1(g) to require the Contractor, an
assignee, or exclusive licensee of a subject invention to grant a nonexclusive,
partially exclusive, or exclusive license in any field of use to a responsible
applicant or applicants, upon terms that are reasonable under the circumstances,
and if the Contractor, assignee, or exclusive licensee refuses such a request,
the Federal agency has the right to grant such a license itself if the Federal
agency determines that—

 

(1) Such action is necessary because the Contractor or assignee has not taken,
or is not expected to take within a reasonable time, effective steps to achieve
practical application of the subject invention in such field of use;

 

(2) Such action is necessary to alleviate health or safety needs which are not
reasonably satisfied by the Contractor, assignee, or their licensees;

 

(3) Such action is necessary to meet requirements for public use specified by
Federal regulations and such requirements are not reasonably satisfied by the
Contractor, assignee, or licensees; or

 

(4) Such action is necessary because the agreement required by paragraph (i) of
this clause has not been obtained or waived or because a licensee of the
exclusive right to use or sell any subject invention in the United States is in

--------------------------------------------------------------------------------

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breach of such agreement.

 

(k) Special provisions for contracts with nonprofit organizations. [Reserved]

 

(l) Communications.

 

NOT APPLICABLE

 

(m) Other inventions. Nothing contained in this clause shall be deemed to grant
to the Government any rights with respect to any invention other than a subject
invention.

 

(n) Examination of records relating to inventions. (1) The Contracting Officer
or any authorized representative shall, until 3 years after final payment under
this contract, have the right to examine any books (including laboratory
notebooks), records, and documents of the Contractor relating to the conception
or first reduction to practice of inventions in the same field of technology as
the work under this contract to determine whether—

 

(i) Any such inventions are subject inventions;

 

(ii) The Contractor has established and maintains the procedures required by
subparagraphs (f)(2) and (f)(3) of this clause; and

 

(iii) The Contractor and its inventors have complied with the procedures.

 

(2) If the Contracting Officer determines that an inventor has not disclosed a
subject invention to the Contractor in accordance with the procedures required
by subparagraph (f)(5) of this clause, the Contracting Officer may, within 60
days after the determination, request title in accordance with subparagraphs
(d)(2) and (d)(3) of this clause. However, if the Contractor establishes that
the failure to disclose did not result from the Contractor’s fault or
negligence, the Contracting Officer shall not request title.

 

(3) If the Contracting Officer learns of an unreported Contractor invention
which the Contracting Officer believes may be a subject invention, the
Contractor may be required to disclose the invention to the agency for a
determination of ownership rights.

 

(4) Any examination of records under this paragraph shall be subject to
appropriate conditions to protect the confidentiality of the information
involved.

 

(o) Withholding of payment (this paragraph does not apply to subcontracts). (1)
Any time before final payment under this contract, the Contracting Officer may,
in the Government’s interest, withhold payment until a reserve not exceeding
$50,000 or 5 percent of the amount of the contract, whichever is less, shall
have been set aside if, in the Contracting Officer’s opinion, the Contractor
fails to—

 

(i) Establish, maintain, and follow effective procedures for identifying and
disclosing subject inventions pursuant to subparagraph (f)(5) above;

 

(ii) Disclose any subject invention pursuant to subparagraph (c)(1) above;

 

(iii) Deliver acceptable interim reports pursuant to subdivision (f)(7)(i)
above; or

 

(iv) Provide the information regarding subcontracts pursuant to subparagraph
(f)(8) of this clause.

 

(2) Such reserve or balance shall be withheld until the Contracting Officer has
determined that the Contractor has rectified whatever deficiencies exist and has
delivered all reports, disclosures, and other information required by this
clause.

 

(3) Final payment under this contract shall not be made before the Contractor
delivers to the Contracting Officer all

--------------------------------------------------------------------------------

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disclosures of subject inventions required by subparagraph (c)(1) above, an
acceptable final report pursuant to subdivision (f)(7)(ii) above, and all past
due confirmatory instruments.

 

(4) The Contracting Officer may decrease or increase the sums withheld up to the
maximum authorized above. No amount shall be withheld under this paragraph while
the amount specified by this paragraph is being withheld under other provisions
of the contract. The withholding of any amount or the subsequent payment thereof
shall not be construed as a waiver of any Government right.

 

(End of clause)

 

52.244-2 SUBCONTRACTS (AUG 1998) - ALTERNATE II (AUG 1998)

 

(a) Definitions. As used in this clause—

 

Approved purchasing system means a Contractor’s purchasing system that has been
reviewed and approved in accordance with Part 44 of the Federal Acquisition
Regulation (FAR).

 

Consent to subcontract means the Contracting Officer’s written consent for the
Contractor to enter into a particular subcontract.

 

Subcontract means any contract, as defined in FAR Subpart 2.1, entered into by a
subcontractor to furnish supplies or services for performance of the prime
contract or a subcontract. It includes, but is not limited to, purchase orders,
and changes and modifications to purchase orders.

 

(b) This clause does not apply to subcontracts for special test equipment when
the contract contains the clause at FAR 52.245-18, Special Test Equipment.

 

(c) When this clause is included in a fixed-price type contract, consent to
subcontract is required only on unpriced contract actions (including unpriced
modifications or unpriced delivery orders), and only if required in accordance
with paragraph (d) or (e) of this clause.

 

(d) If the Contractor does not have an approved purchasing system, consent to
subcontract is required for any subcontract that—

 

(1) Is of the cost-reimbursement, time-and-materials, or labor-hour type; or

 

(2) Is fixed-price and exceeds—

 

(i) For a contract awarded by the Department of Defense, the Coast Guard, or the
National Aeronautics and Space Administration, the greater of the simplified
acquisition threshold or 5 percent of the total estimated cost of the contract;
or

 

(ii) For a contract awarded by a civilian agency other than the Coast Guard and
the National Aeronautics and Space Administration, either the simplified
acquisition threshold or 5 percent of the total estimated cost of the contract.

 

(e) If the Contractor has an approved purchasing system, the Contractor
nevertheless shall obtain the Contracting Officer’s written consent before
placing the following subcontracts:

 

(f)(1) The Contractor shall notify the Contracting Officer reasonably in advance
of placing any subcontract or modification thereof for which consent is required
under paragraph (c), (d), or (e) of this clause, including the following
information:

 

(i) A description of the supplies or services to be subcontracted.

--------------------------------------------------------------------------------

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(ii) Identification of the type of subcontract to be used.

 

(iii) Identification of the proposed subcontractor.

 

(iv) The proposed subcontract price.

 

(v) The subcontractor’s current, complete, and accurate cost or pricing data and
Certificate of Current Cost or Pricing Data, if required by other contract
provisions.

 

(vi) The subcontractor’s Disclosure Statement or Certificate relating to Cost
Accounting Standards when such data are required by other provisions of this
contract.

 

(vii) A negotiation memorandum reflecting—

 

(A) The principal elements of the subcontract price negotiations;

 

(B) The most significant considerations controlling establishment of initial or
revised prices;

 

(C) The reason cost or pricing data were or were not required;

 

(D) The extent, if any, to which the Contractor did not rely on the
subcontractor’s cost or pricing data in determining the price objective and in
negotiating the final price;

 

(E) The extent to which it was recognized in the negotiation that the
subcontractor’s cost or pricing data were not accurate, complete, or current;
the action taken by the Contractor and the subcontractor; and the effect of any
such defective data on the total price negotiated;

 

(F) The reasons for any significant difference between the Contractor’s price
objective and the price negotiated; and

 

(G) A complete explanation of the incentive fee or profit plan when incentives
are used. The explanation shall identify each critical performance element,
management decisions used to quantify each incentive element, reasons for the
incentives, and a summary of all trade-off possibilities considered.

 

(2) If the Contractor has an approved purchasing system and consent is not
required under paragraph (c), (d), or (e) of this clause, the Contractor
nevertheless shall notify the Contracting Officer reasonably in advance of
entering into any (i) cost-plus-fixed-fee subcontract, or (ii) fixed-price
subcontract that exceeds either the simplified acquisition threshold or 5
percent of the total estimated cost of this contract. The notification shall
include the information required by paragraphs (f)(1)(i) through (f)(1)(iv) of
this clause.

 

(g) Unless the consent or approval specifically provides otherwise, neither
consent by the Contracting Officer to any subcontract nor approval of the
Contractor’s purchasing system shall constitute a determination—

 

(1) Of the acceptability of any subcontract terms or conditions;

 

(2) Of the allowability of any cost under this contract; or

 

(3) To relieve the Contractor of any responsibility for performing this
contract.

 

(h) No subcontract or modification thereof placed under this contract shall
provide for payment on a cost-plus-a-percentage-of-cost basis, and any fee
payable under cost-reimbursement type subcontracts shall not exceed the fee
limitations in FAR 15.404-4(c)(4)(i).

 

(i) The Contractor shall give the Contracting Officer immediate written notice
of any action or suit filed and prompt notice of any claim made against the
Contractor by any subcontractor or vendor that, in the opinion of the

--------------------------------------------------------------------------------

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Contractor, may result in litigation related in any way to this contract, with
respect to which the Contractor may be entitled to reimbursement from the
Government.

 

(j) The Government reserves the right to review the Contractor’s purchasing
system as set forth in FAR Subpart 44.3.

 

(k) Paragraphs (d) and (f) of this clause do not apply to the following
subcontracts, which were evaluated during negotiations:

 

NOT APPLICABLE

 

52.247-1 COMMERCIAL BILL OF LADING NOTATIONS (APR 1984)

 

If the Contracting Officer authorizes supplies to be shipped on a commercial
bill of lading and the Contractor will be reimbursed these transportation costs
as direct allowable costs, the Contractor shall ensure before shipment is made
that the commercial shipping documents are annotated with either of the
following notations, as appropriate:

 

(a) If the Government is shown as the consignor or the consignee, the annotation
shall be:

 

“Transportation is for the U.S. Army Research Laboratory and the actual total
transportation charges paid to the carrier(s) by the consignor or consignee are
assignable to, and shall be reimbursed by, the Government.”

 

(b) If the Government is not shown as the consignor or the consignee, the
annotation shall be:

 

“Transportation is for the U.S. Army Research Laboratory and the actual total
transportation charges paid to the carrier(s) by the consignor or consignee
shall be reimbursed by the Government, pursuant to cost-reimbursement contract
no. DAAD17-02-C-0073. This may be confirmed by contacting the contracting
officer.”

 

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

 

This contract incorporates one or more clauses by reference, with the same force
and effect as if they were given in full text. Upon request, the Contracting
Officer will make their full text available. Also, the full text of a clause may
be accessed electronically at this/these address(es):

 

http://farsite.hill.af.mil/VFDFARa.htm

http://www.arnet.gov/far

 

52.252-6 AUTHORIZED DEVIATIONS IN CLAUSES (APR 1984)

 

(a) The use in this solicitation or contract of any Federal Acquisition
Regulation (48 CFR Chapter 1) clause with an authorized deviation is indicated
by the addition of “(DEVIATION)” after the date of the clause.

 

(b) The use in this solicitation or contract of any DFAR (48 CFR Part 2) clause
with an authorized deviation is indicated by the addition of “(DEVIATION)” after
the name of the regulation.

 

252.235-7010 Acknowledgment of Support and Disclaimer. (MAY 1995)

 

(a) The Contractor shall include an acknowledgment of the Government’s support
in the publication of any material based on or developed under this contract,
stated in the following terms: This material is based upon work supported by the
U.S. ARMY RESEARCH LABORATORY under Contract No. DAAD17-02-C-0073.

 

(b) All material, except scientific articles or papers published in scientific
journals, must, in addition to

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any notices or disclaimers by the Contractor, also contain the following
disclaimer: Any opinions, findings and conclusions or recommendations expressed
in this material are those of the author(s) and do not necessarily reflect the
views of the U.S. ARMY RESEARCH LABORATORY.

--------------------------------------------------------------------------------

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SECTION J List of Documents, Exhibits and Other Attachments

 

Section J Table Of Contents

 

DOCUMENT TYPE

--------------------------------------------------------------------------------

  DESCRIPTION

--------------------------------------------------------------------------------

  PAGES

--------------------------------------------------------------------------------

  DATE

--------------------------------------------------------------------------------

Exhibit A

 

CLIN 0002 CDRL(s)

  4  

FEB-07-2002

Attachment 1

 

Approved Subcontracting Plan

  13  

MAR-09-2002

Attachment 2

 

Evidence of Bilateral Award

  1  

FEB-28-2002

--------------------------------------------------------------------------------

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Exhibit A

 

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

  

Form Approved

OMB No. 0704-0188

     Public reporting burden for this collection of information is estimated to
average 200 hour per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding
this burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to Department of Defense,
Washington Headquarters Services, Directorate for Information Operations and
Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and
to the Office of Management and Budget, Paperwork Reduction Project (0704-0188),
Washington, DC 20503. Please DO NOT RETURN your form to either of these
addresses. Send completed form to the Government Issuing Contracting Officer for
the Contract/PR No. listed in Block E.      A. CONTRACT LINE ITEM NO.    B.
EXHIBIT           0002        

TOP

     D. SYSTEM/ITEM    E. CONTRACT/PR NO.    F. CONTRACTOR     

Data IAW DD 1423, Contract Data

  

W71B7J-2030-B325

          1. DATA ITEM NO.    2. TITLE OF DATA ITEM    3. SUBTITLE    17. PRICE
GROUP A001   

STATUS REPORT

  

TECH & COST EXPENDITURE REPORT

     4. AUTHORITY (Date Acquisition Document No.)   

5. CONTRACT REFERENCE

   6. REQUIRING OFFICE   

18. ESTIMATED

TOTAL PRICE

DI-MGMT-80368

  

SOW C.14.2

  

AMSRL-SE-EM

    

7. DD 260 REQ

LT

  

9. DIST
STATEMENT

REQUIRED

C

  

10. FREQUENCY

QRTLY

  

12. DATE OF
FIRST
SUBMISSION

105 DAYS ACA

            

14.      DISTRIBUTION

                                      b. COPIES     

8. APP CODE

 

N/A

       

11. AS OF DATE

 

NA

  

13. DATE OF

SUBSEQUENT

SUBMISSION

SEE BLK 16

            

a. ADDRESSEE

   Draft    Final                                                    Reg   
Repro      16.REMARKS   

AMSSB-ACA-P

   0    0    0     

BLK D: SEMI CONDUCTOR UV OPTICAL SOURCES (SUVOS)

  

COPY OF LTR

   0    0    0                                   

AMSRL-SE-EM

   0    1    0     

 

BLK 4: EACH REPORT SHALL BE DELIVERED ELECTRONICALLY AS AN EMAIL ATTACHMENT MS
WORD COMPATIBLE DOCUMENT. REPORT SHALL CONSIST OF NO MORE THAN TEN (10) PAGES.
EMAIL ADDRESSES ARE AS FOLLOWS: PAMIRTHARAJ@ARL.ARMY.MIL AND jcarrano@da.pa.mil

 

BLK 9: DISTRIBUTION STATEMENT C. DISTRIBUTION AUTHORIZED TO U.S. GOVERNMENT
AGENCIES AND THEIR AUTHORIZED CONTRACTORS. FURTHER DISTRIBUTION ONLY AS
AUTHORIZED BY ARL FORM 1A.

 

BLK 13: SUBSEQUENT SUBMISSIONS SHALL BE MADE NLT THE 10TH DAY OF THE MONTH
FOLLOWING THE PERIOD OF PERFORMANCE REPORTING ON.

  

DARPA/MTO

   0    1    0                                   

15. TOTAL

   0    2    0      G. PREPARED BY    H. DATE    I. APPROVED BY            J.
DATE     

DR PAUL AMIRTHARAJ

  

07-Feb-2002

  

NORMAN LEKANG

               07-Feb-2002      DD Form 1423-1, AUG 96 (EG)    Previous editions
are obsolete                    

--------------------------------------------------------------------------------

DAAD17-02-C-0073    

Page 34 of 50

CONTRACT DATA REQUIREMENTS LIST

(1 Data Item)

  

Form Approved

OMB No. 0704-0188

     Public reporting burden for this collection of information is estimated to
average 200 hour per response, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding
this burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to Department of Defense,
Washington Headquarters Services, Directorate for Information Operations and
Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and
to the Office of Management and Budget, Paperwork Reduction Project (0704-0188),
Washington, DC 20503. Please DO NOT RETURN your form to either of these
addresses. Send completed form to the Government Issuing Contracting Officer for
the Contract/PR No. listed in Block E. A. CONTRACT LINE ITEM NO.    B. EXHIBIT
          0002                  

                TOP

          D. SYSTEM/ITEM    E. CONTRACT/PR NO.    F. CONTRACTOR     

Data IAW DD 1423, Contract Data

  

W71B7J-2030-B325

          1. DATA ITEM NO.    2. TITLE OF DATA ITEM    3. SUBTITLE    17. PRICE
GROUP A001   

STATUS REPORT

  

TECH & COST EXPENDITURE

REPORT

    

4. AUTHORITY (Date Acquisition

Document No.)

  

5. CONTRACT REFERENCE

   6. REQUIRING OFFICE   

18. ESTIMATED

TOTAL PRICE

DI-MGMT-80368

  

SOW C.14.2

  

AMSRL-SE-EM

    

7. DD 260 REQ

LT

  

9. DIST
STATEMENT

REQUIRED

 

C

  

10. FREQUENCY

QRTLY

  

12. DATE OF FIRST
SUBMISSION

105 DAYS ACA

            

14.      DISTRIBUTION

                                      b. COPIES     

8. APP CODE

 

N/A

       

11. AS OF DATE

 

NA

  

13. DATE OF

SUBSEQUENT

  SUBMISSION

SEE BLK 16

            

a. ADDRESSEE

   Draft    Final                                                    Reg   
Repro      16.REMARKS   

AMSSB-ACA-P

   0    1    0     

 

BLK D: SEMI CONDUCTOR UV OPTICAL SOURCES (SUVOS)

  

COPY OF LTR

   0    1    0                                   

AMSRL-SE-EM

   1    2    0     

BLK 4: EACH REPORT SHALL BE DELIVERED ELECTRONICALLY AS AN EMAIL ATTACHMENT MS
WORD COMPATIBLE DOCUMENT. REPORT SHALL CONSIST OF NO MORE THAN TEN (10) PAGES.
EMAIL ADDRESSES ARE AS FOLLOWS: PAMIRTHARAJ@ARL.ARMY.MIL AND jcarrano@da.pa.mil

 

BLK 9: DISTRIBUTION STATEMENT C. DISTRIBUTION AUTHORIZED TO U.S. GOVERNMENT
AGENCIES AND THEIR AUTHORIZED CONTRACTORS. FURTHER DISTRIBUTION ONLY AS
AUTHORIZED BY ARL FORM 1A.

 

BLK 13: SUBSEQUENT SUBMISSIONS SHALL BE MADE NLT THE 10TH DAY OF THE MONTH
FOLLOWING THE PERIOD OF PERFORMANCE REPORTING ON.

  

DARPA/MTO

   0    1    1                                   

15. TOTAL

   0    2    0      G. PREPARED BY    H. DATE    I. APPROVED BY            J.
DATE     

DR PAUL AMIRTHARAJ

  

07-Feb-2002

  

NORMAN LEKANG

   07-Feb-2002      DD Form 1423-1, AUG 96 (EG)    Previous editions are
obsolete                    

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

Page 35 of 50

 

ATTACHMENT 1

 

ARMY RESEARCH LABORATORY

 

Report Title Goes Here

Any Subtitles Go Here

 

By Some Author and Another Author

 

--------------------------------------------------------------------------------

ARL-CR-XXX

  Month XXXX

 

Prepared by

 

Whatever Technology Corporation

0000 Research Drive

Anywhere, ST 20006-1000

 

Under contract

 

DAAD17-XX-C-XXXX

 

DISTRIBUTION STATEMENT GOES HERE

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DAAD17-02-C-0073        

Page 36 of 50

 

ATTACHMENT 2

 

The findings in this report are not to be construed as an official Department of
the Army position unless so designated by other authorized documents.

 

Citation of manufacturer’s or trade names does not constitute an official
endorsement or approval of the use thereof.

 

DESTRUCTION NOTICE: For classified documents, follow the procedures in DoD
2500.22-M, Industrial Security Manual, Section 11-19 or DoD 5200.1-R,
Information Security Program Regulation, Chapter IX. For unclassified, limited
documents, destroy by any method that will prevent disclosure of contents or
reconstruction of the document.

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DAAD17-02-C-0073        

Page 37 of 50

 

CREE, INC.

 

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

FOR THE DEPARTMENT OF DEFENSE CONTRACTS AND

MAJOR SUBCONTRACTS

 

Small Business Concerns/Veteran Owned Small Business Concerns and
Service-Disabled Veteran-Owned Small Business/Hubzone Small Business
Concerns/Small Business Concerns Owned and Controlled By Socially and
Economically Disadvantaged Individuals/Small Business Concerns Owned and
Controlled By Women

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DAAD17-02-C-0073        

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

Contractor    Cree,Inc.(Cree)

 

Address:        4600 Silicon Drive

     Durham, NC 27703-8475

 

This is a Master Small Business Subcontracting Plan. This Plan contains all the
required elements of an individual contract plan except individual goals
established for each Government contract or major subcontract. In addition, Cree
shall submit a contract specific Plan to the contracting officer/buyer for final
negotiation and approval. The contract specific plan will include goals based on
the planned subcontracting for that contract.

 

STATEMENT OF POLICY:

 

It is the policy of Cree that small business concerns, veteran-owned small
business concerns and service-disabled veteran-owned small business concerns,
HUBZone small business concerns, small business concerns owned and controlled by
socially and economically disadvantaged individuals, and small business concerns
owned and controlled by women shall have the maximum practicable opportunity to
participate in subcontracting at Cree. Cree hereby agrees to carry out this
policy in awarding of subcontracts to the fullest extent, consistent with the
efficient performance of Government contracts and subcontracts. Cree further
agrees to cooperate in any studies or surveys as may be conducted by the Small
Business Administration, or the awarding agency/department of the United States
as any be necessary to determine the extent of compliance with Federal
Acquisition Regulation (FAR) 52.219-8 clause titled, “Utilization pf Small
Business Concerns (UCT 2000 Oct 1999).”

 

1. CONTRACT SPECIFIC GOALS

 

Cree shall submit proposed contract specific subcontracting goals for the term
of each Government contractor major subcontract. The Contract Specific Plan
submittal shall include goals for small business concerns (SB), veteran-owned
small business concerns (VOSB) small business concerns owned and controlled by
socially and economically disadvantaged individuals (BD8). HUBZone small
business concerns (HUB), and small business concerns owned and controlled by
women (WOSB). Service-disabled veteran-owned small business concerns meet the
definition of veteran-owned small business concerns, and they will be included
within the subcontracting plan goal for veteran-owned small business concerns.
The negotiated and established goals of the Contract Specific Plan will be
incorporated into this Master Plan by this reference, upon signature of the
parties, and will not require contract modification.

 

The proposed goals shall be based upon an established percentage of estimated
commercial purchases, which will be derived from the current fiscal year budget.
Goals for the utilization of SB, VOSB, SDB, HUB, and WOSB subcontractors shall
be expressed in both dollars and percentages for total planned dollars to be
subcontracted; total dollars planned to be subcontracted to SB; total dollars
planned to be subcontracted to VOSB, total dollars planned to be subcontracted
to HUB; total dollars to be subcontracted to SDB; and total dollars planned to

 

Page 1 of 7

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DAAD17-02-C-0073        

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

be subcontracted to WOSB concerns, unless otherwise required by the Contracting
Officer/buyer.

 

Cree’s subcontracting goals shall be set at a level that the parties reasonably
expect can result expending good faith efforts to use SB, VOSB, SDB, HUB and
WOSB subcontractors.

 

2.   DESCRIPTION OF SUPPLIERS AND SERVICES

 

The principal products and/or services to be subcontracted for the Contract
Specific Plan, and the types of businesses supplying them shall be identified in
an Attachment A to the Contract Specific Plan.

 

3.   METHODOLOGY – GOALS

 

  a)   The type of products/services typically needed by Cree is reviewed
periodically to establish additional materials and services that are likely to
be performed by a concern other than Cree.

 

  b)   The Scope of Work for each Contract/subcontract is reviewed to establish
potential material and services that could likely be performed by a concern
other than Cree.

 

  c)   From the total estimate of potential subcontracted items, a list of those
items that are candidates for small businesses is established.

 

  d)   From the total estimate of potential subcontracted items to small
businesses, a list of those items that could be subcontracted to veteran-owned
small business concerns is established

 

  e)   From the total estimate of potential subcontracted items to small
businesses, a list of those items that could be subcontracted to small
disadvantaged business concerns is established.

 

  f)   From the total estimate of potential subcontracted items, a list of those
items that are candidates for HUBZone small business concerns is established.

 

  g)   From the total estimate of potential subcontracted items to small
business, a list of those items that could be subcontracted to women-owned small
business concerns is established.

 

4.   METHODOLOGY—POTENTIAL SOURCES

 

In the establishment of potential SB/V0SB/SDB/HUB/V0SB sources for solicitation
purposes, the following resources are used:

 

  a)   Cree Company Approved Supplier List:

 

Page 2 of 7

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DAAD17-02-C-0073        

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

  b)   the Small Business Administration’s (SBA)Pro-Net system,
(http://pro-net.sba.gov/);

 

  c)   the National Minority Business Council Vendor Information Service,
(http://www.nmbc.org/)

 

  d)   the Minority Business Development Administration’s Phoenix database,
(http://www.mbda.gov/vendors.html);

 

  e)   the HUBZone data base in the Pro-Net system, (http://pro-net.sba.gov/):

 

  f)   the 8(a)search database available through Pro-Net
(http://pro-net.sba.gov/);

 

  g)   the Woman-Owned Small business database available through Pro-Net
(http://pro-net.sba.gov/)

 

  h)   the Information Division of the Minority Business Development Agency in
the Department of Commerce

 

  i)   the local Industrial Services Directory:

 

  j)   other small and minority business associations, and

 

  k)   Networking opportunities with the local Chamber of Commerce.

 

  1)   Office of Veterans Business Development (http://www.sba.govNETS/)

 

5.   INDIRECT COSTS

 

In accordance with FAR 52.219-9(OCT2000) (Cree has decided not to include
indirect costs in the goals specified for its individual contracts, however, for
reporting purposes on the SF295 we will allocate a portion of indirect cost in
accordance with the portion of DOD sales versus total company sales.

 

6.   RESPONSIBILITIES FOR IMPLEMENTATION

 

This Master Subcontracting Plan and Contract Specific Plan there under, are to
be administered by Cree to assure that the provisions of applicable Law and the
plan are implemented and performed. Any change in the name of the administrator
will be communicated without delay to the Contracting Officer/buyer by letter
and will not require a contract modification.

 

The following individual will administer the subcontracting program:

 

Name:

 

Carmen L. Hayes

Title:

 

Contract Administrator Small Business Utilization Specialist

Address:

 

4600 Silicon Drive

   

Durham, NC 27703

Telephone:

 

919-313-5644

Email:

 

Carmen_hayes@cree.com

 

This individual’s specific duties as they relate to this Subcontracting Program
shall include, but are not limited to

 

  a)   Oversee compliance with the content of this Plan:

 

Page 3 of 7

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DAAD17-02-C-0073        

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

  b)   Ensure that all Government subcontracts placed contain the latest
provisions regarding small business and small disadvantaged business
subcontracting and that the requirements of FAR 52.219-9 as implemented by this
Plan are being fulfilled by Cree’s large business subcontractors;

 

  c)   Assure inclusion of SB, VOSB, SDB, HUB, WOSB concerns in all
solicitations for products or services which they are capable of providing;

 

  d)   Review solicitations to remove statements, clauses, etc. which may tend
to restrict or prohibit SB, VOSB, SDB, HUB, WOSB participants;

 

  e)   Participate in Business Opportunity Workshops, Minority Business
Enterprise, Seminars, Trade Fairs, etc., to assist SB, VOSB, SDB, HUB and WOSB
concerns, and to discuss subcontracting opportunities with them. Plan to attend
one DOD southeast council meeting per year;

 

  f)   Perform periodic audit of sub-tier subcontracting plans to measure
progress of goals and monitor attainment of goals under each Contract Specific
Plan:

 

  g)   Prepare and submit periodic subcontracting reports including SF 294/295,
and cooperate in studies and surveys as required;

 

  h)   Assist in developing and maintaining bidders list of SB, VOSB, SDB, HUB
and WOSB concerns from all possible sources;

 

  i)   Participate in procuring, planning and selection of potential sources to
ensure that SB, VOSB, SDB, HUB and WOSB concerns are offered every opportunity
to participate in the program;

 

  j)   Coordinate and participate with the SBA small business utilization
specialist, and other groups to locate capable firms.

 

  k)   Facilitate the use of SB/VOSB/SBD/HUB/WOSB by ensuring that adequate time
is allowed for preparation of bids and that solicitation quantities,
specifications, and delivery schedule facilitate the participating by such
concerns.

 

  l)   Counsel and discuss subcontracting opportunities with representatives of
SB/VOSB/SDB/HUB/WOSB firms.

 

  m)   Provide notice of subcontractors concerning penalties and remedies for
misrepresentations of business size status as SB/VOSB/B/SDB/HUB/WOSB for the
purpose of obtaining a subcontract that is to be included as part or all of a
goal.

 

  n)   Coordinate and participate in annual program review.

 

  o)   Maintain vendor certification.

 

Page 4 of 7

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

7.   DESCRIPTION OF EFFORTS

 

In the establishment of the SB, VOSB, SDB, HUB, WOSB goals, the following
resources are used: the Company Approved Supplier List; the Small Business
Administration’s Pro-Net system, (http://pro-net.sba.gov/); the National
Minority Purchasing Council Vendor Information Service; the Minority Business
Development Administration’s Phoenix database,
(http://www.mbda.gov/vendors.html); the Research and Information Division of the
Minority Business Development Agency in the Department of Commerce, and other
small and minority business associations.

 

Outreach efforts include:

 

  a)   Assignment by name of specific individuals to carry out the requirements
of company policies and procedures;

 

  b)   Provision of technical and management assistance to small business, small
disadvantaged business concerns and women-owned business concerns to ensure
complete understanding of requirements;

 

  c)   Assuring that Cree will consider small business concerns in all
“make-or-buy decisions-’ and maintain records of these processes;

 

  d)   Institute a program to recognize purchasing personnel who excel in
administering the Cree subcontracting program,

 

  e)   Participation in local Small Business Opportunity Fairs;

 

  f)   Institute a program that recognizes small business participation in the
success of performing Government contracts and major subcontracts: and

 

  g)   Where additional bidders are required, the following publications will be
used to search for capable firms:

 

  a.   Minority Business Enterprise published by the Defense Logistics Agency.

 

  b.   Diversity Information Resources, National Business Campaign, 1201 12th
Ave, N, Minneapolis, MN 55411, (http://www.tryusdir.com)

 

  c.   The Regional Minority Purchasing Council’s listings.

 

  d.   The Women-Owned Business directory.

 

  e.   National Minority Council mailing list.

 

  f.   An outreach effort will be made to solicit the assistance of local,
state, and federal officers, trade and manufacturing associations, and labor
organizations in identifying qualified firms.

 

Page 5 of 7

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DAAD17-02-C-0073        

Page 43 of 50

 

CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

8.   COMPLIANCE WITH FEDERAL ACQUISITION REGULATIONS (FAR)

 

Cree will include the FAR clause 52.219-8, titled “Utilization of Small Business
Concerns, (OCT 2000), in all subcontracts supporting Government contracts that
offer further subcontracting opportunities, except contracts for personal
services or subcontracts to be performed outside any territory or possession of
the United States. Cree will require all subcontractors (except small business
concerns) who support Government contracts and who receive subcontracts of
$500,000 or in the case of a subcontract for the construction of any public
facility, $1,000,000, and which offer further subcontracting possibilities to
adopt and submit a plan similar to the Cree Plan, and one that complies with the
requirements of the stated FAR clause.

 

9.   REPORTING

 

Cree give assurance of:

 

  a)   Cooperation in any studies or surveys that may be required by the
contracting agency, or the SBA.

 

  b)   Submission, of periodic reports that show compliance with the
subcontracting plan. Cree may utilize the GSA “Formfill” web site
http://fillform.gsa.gov/            to            complete and submit required
reports,

 

  c)   Submission of Standard Form (SF) 284 “Subcontracting Report for
Individual. Contracts,” and SF-295, ‘Summary Subcontract Report,” in accordance
with the instructions on the forms.

 

  d)   Ensuring that large business subcontractors with subcontracting plans
agree to submit Standard Forms 294 and 295.

 

Reporting Period

--------------------------------------------------------------------------------

  

Report Due

--------------------------------------------------------------------------------

   Due Date

--------------------------------------------------------------------------------

Oct 1 – Mar 31

   SF 294    April 30

Apr 1 – Sep 30

   SF 294    October 30

Oct 1 – Mar 31

   SF 295    April 30 (DoD only)

Oct 1 – Sep 30

   SF 295    October 30

Subcontractor Closeout

   SF 294    Subcontract Completion

 

10.   RECORDS

 

Cree agrees to maintain at least the following types of records to document
compliance with this Subcontracting Plan:

 

  a)   Source lists, guides, and other data identifying SB, VOSB, SDB, HUB and
WOSBV concerns;

 

  b)   Organizations contacted in an attempt to locate sources that are SB,
VOSB, SDB, HUB and WOSB concerns;

 

Page 6 of 7

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DAAD17-02-C-0073        

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CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

  c)   On a subcontract-by-subcontract basis, records on all subcontract
solicitations over $100,000; indicating on each solicitation whether any SB,
VOSB, SDB, HUB, and WOSB concerns were solicited, and if not, why not;

 

  d)   On a subcontract-by-subcontract basis, records indicating the reason an
award was not made to SB, VOSB, SDB, HUB and WOSB concern;

 

  e)   Records to support other outreach efforts; contacts with minority and
small business trade associations, contacts with business development
organizations, attendance at small and minority business procurement conferences
and trade fairs to locate SB, VOSB, SDB, HUB, and WOSB concerns;

 

  f)   Records to support internal activities to guide and encourage buyers
through workshops, seminars, training programs and monitoring performance
activities to evaluate compliance; and

 

  g)   Records to support award data, including the name, address, and business
size of each subcontractor.

 

Cree hereby submits a request for approval of this Master Subcontracting Plan.
This Plan shall be effective for three years after approval, or for the life of
any contract/major subcontract that incorporates this Master Subcontracting
Plan.

 

PLAN SUBMITTED BY:

           

/s/ Cynthia Merrell

--------------------------------------------------------------------------------

     

Date

  12/8/00

NAME

       

PLAN CONCURRED BY

       

/s/ Carmen Hayes

--------------------------------------------------------------------------------

     

Date

  11/21/00

Small Business Utilization Specialist

       

PLAN ACCEPTED BY

       

/s/ Margerie HocKstetler

--------------------------------------------------------------------------------

     

Date

  1/8/01

Contracting Officer

       

 

Page 7 of 7

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DAAD17-02-C-0073        

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CREE, INC.

 

Contract/Major Subcontract

Specific

 

SB/HUB/SBD/WOB/VOSB

SUBCONTRACTING PLAN

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DAAD17-02-C-0073        

Page 46 of 50

 

CREE, INC.

SB/HUB/SDB/WOB

SUBCONTRACTING PLAN

FOR

CONTRACT/SUBCONTRACT NO: DARPA BAA 02-03

 

Contractor: Cree, Inc. (Cree)

Address: 4600 Silicon Drive

    Durham, NC 27703

Contract Value:

  $ [***]

 

1. GOALS-PERCENTAGE

 

This Contract Specific Plan relates specifically to the scope of work to be
performed under this contract/major subcontract, including support services.
Subcontracting opportunities have been found to exist in the scope of work as
noted below. Further, Cree will continue to expand subcontracting opportunities
for small business concerns, HUBZone small business concerns, small business
concerns owned and controlled by socially and economically disadvantaged
individuals, and small business concerns owned and controlled by women, as they
become known to Cree.

 

This Contract Specific Plan, hereby incorporated into the tree Master
Subcontracting Plan are the following goals:

 

Small Business (SB)

 

[***]%

HUBZone Business

 

[***]%

Small Disadvantaged Business (SDB)

 

[***]%

Woman-Owned Small Business (WOSB)

 

[***]%

Veteran-Owned Small/ Business(VOSB)

 

[***]%

 

2. GOALS-DOLLAR

 

Total dollars planned to be subcontracted is $[***] Total dollars planned to be
subcontracted to small business concerns is $ [***]. Total dollars planned to be
subcontracted to HUBZone’s is $[***]. Total dollars planned to be subcontracted
to small disadvantaged business concerns is $ [***]. Total dollars planned to be
subcontracted to woman-owned small business is $[***]. Total dollars planned to
be subcontracted to veteran-owned small business is $ [***].

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

Page 2 of 4

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DAAD17-02-C-0073        

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CREE, INC.

SB/HUB/SDB/WOB

SUBCONTRACTING PLAN

 

2. DESCRIPTION OF SUBCONTRACTING OPPORTUNITIES

 

The principal products and/or services to be subcontracted and the types of
businesses to be utilized are included in Attachment 1.

 

Page 3 of 4

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DAAD17-02-C-0073        

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CREE INC.

SB/HUB/WOB

SUBCONTRACTING PLAN

 

For

CONTRACT/SUBCONTRACT NO.: DARPA BAA 02-03

 

Approved:

       

/s/ Carmen Hayes

--------------------------------------------------------------------------------

                  2-1-02

Small Business Utilization Specialist, Cree, Inc.

     

Date

 

 

--------------------------------------------------------------------------------

     

 

--------------------------------------------------------------------------------

Contracting Officer/Buyer

     

Date

                                       

 

Page 4 of 4

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DAAD17-02-C-0073        

Page 49 of 50

 

Attachment 1

 

Product

--------------------------------------------------------------------------------

     Quantity

--------------------------------------------------------------------------------

     $ Amount

--------------------------------------------------------------------------------

     Total

--------------------------------------------------------------------------------

     Vendor

--------------------------------------------------------------------------------

    

Business

Type

--------------------------------------------------------------------------------

   Comments

--------------------------------------------------------------------------------

[***]

     228      3.36      766.08      [***]      W    Women owned 3%

[***]

     228      90.94      20,734.32      [***]      S    Small Business-33%

[***]

     36      375.00      13,500.00      [***]      S    Large Business-64%

[***]

     41      1,600.00      65,600.00      [***]      L     

[***]

     4      500.00      2,000.00      [***]      W                          

--------------------------------------------------------------------------------

                                        102,600.40                   

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

  

1.  CONTRACT ID CODE

U

       

PAGE 1 OF 6

--------------------------------------------------------------------------------

2. AMENDMENT/MODIFICATION NO.

            P00001

  

3. EFFECTIVE DATE

24-Sep-2003

  

4. REQUISITION/PURCHASE REQ. NO.

W71B7J-2030-B325

  

5. PROJECT NO. (If applicable)

--------------------------------------------------------------------------------

6. ISSUED BY                                                     CODE

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC – ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

  

W71B7J

  

7. ADMINISTERED BY (If other than Item 6)

DCMC - ATLANTA

805 WALKER STREET

SUITE 1

MARIETTA GA 30060-2789

   CODE         S1103A

--------------------------------------------------------------------------------

 

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)

 

CREE, INC.

CHARLES M. SWOBODA

4600 SILICON DRIVE

DURHAM NC 27703

       

9A. AMENDMENT OF SOLICITATION NO.

          9B. DATED (SEE ITEM 11)          

X

  

10A. MODIFICATION OF CONTRACT/ORDER NO.

DAAD17-02-C-0073

CODE     OC9J8

  

FACILITY CODE

  

X

  

10B. DATED (SEE ITEM 13)

01-Feb-2002

--------------------------------------------------------------------------------

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

--------------------------------------------------------------------------------

¨ The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers         ¨ is extended,        

¨ is not extended.

 

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning      copies of the amendment;
(b) By acknowledging receipt of this amendment on each copy of the offer
submitted; or (c) By separate letter or telegram which includes a reference to
the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO
BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR
AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER.  If by virtue of this
amendment your desire to change an offer already submitted, such change may be
made by telegram or letter, provided each telegram or letter makes reference to
the solicitation and this amendment, and is received prior to the opening hour
and date specified.

 

12.   ACCOUNTING AND APPROPRIATION DATA (If required)

 

    

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

 

       A.   THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE
CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. ITEM 10A.

 

       B.   THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE
ADMINISTRATIVE CHANGES

(such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM
14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b)

 

       C.   THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY
OF:

 

X    D.   OTHER (Specify type of modification and authority)

 

Unilateral Modification pursuant to 10 USC 2304 and Contractor’s e-mail dated 24
SEP 2002.

 

E. IMPORTANT; Contractor x is not, ¨ is required to sign this document and
return          copies to the issuing office.

 

    14.   DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)

 

The purpose of this modification is threefold:

A. 52.005-4401 RELEASE OF INFORMATION (AUG 2001) is deleted and replaced with
52.005-4401 RELEASE OF INFORMATION (JUL 2002) and 52.004-4400

FOREIGN NATIONALS PERFORMING UNDER CONTRACT – ALTERNATE I (AUG 1999) is
incorporated to apply to Educational Institutions only.

B. The USARMAC Contracting Point of Contact has changed from Joyce McDonald to
Robin Stoltz.

C. In addition, this modification also contains administrative changes to comply
with automated contracting system requirements and in no way impacts any of the

terms and conditions of the contract.

D. All other terms and conditions of the contract remain unchanged.

 

Except as provided herein, all terms and conditions of the document referenced
in Item 9A or 10A, as heretofore changed, remains unchanged and in full force
and effect.

 

--------------------------------------------------------------------------------

15A. NAME AND TITLE OF SIGNER (Type or print)

  

16A. NAME AND TITLE OF SIGNER (Type or print)

THEODORE WEITZMAN/CONTRACTING OFFICER

--------------------------------------------------------------------------------

15B. CONTRACTOR/OFFEROR             

 

--------------------------------------------------------------------------------

(Signature of person authorized to sign)

  

15C. DATE SIGNED

 

  

16B. UNITED STATES OF AMERICA    

 

By: /s/ Theodore Weitzman                                   

--------------------------------------------------------------------------------

(Signature of Contracting Officer)

  

16C.   DATE SIGNED

24-Sep-2002

--------------------------------------------------------------------------------

NSN 7540-01-152-8070

PREVIOUS EDITION UNUSABLE

ConWrite Version 4.1.4

Created 06 Sep 2001 9:31 AM

       

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR) 53.243

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00001

Page 2 of 6

 

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

 

SUMMARY OF CHANGES

 

Changes in Solicitation/Contract/Order Form

 

The discount terms has changed from NET 30 to Net 30 Days

 

Changes in Section B

 

CLIN 0001

 

The acceptance terms number of days has increased from 0 by 7 to 7

 

CLIN 0002

 

The acceptance terms number of days has increased from 0 by 7 to 7

 

CLIN 0003

 

The acceptance terms number of days has increased from 0 by 7 to 7

 

CLIN 0004

 

The acceptance terms number of days has increased from 0 by 7 to 7

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00001

Page 3 of 6

 

Changes in Section B

 

The following clauses which are incorporated by full text have been added or
modified:

 

52.004-4401 RMAC POINT OF CONTACT (MAR 2000)

 

The RMAC point of contact for this action is:

 

Contract Specialist: Robin Stoltz

Telephone Number: 301-394-3381

Fax Number: 301-394-2852

Email: rstoltz@arl.army.mil

 

(End of clause)

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00001

Page 4 of 6

 

Changes in Section G

 

Summary for the Payment Office

 

The total funded amount of the contract remains unchanged.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00001

Page 5 of 6

 

Changes in Section H

 

The following clauses which are incorporated by full text have been added or
modified:

 

52.004-4400 FOREIGN NATIONALS PERFORMING UNDER CONTRACT - ALTERNATE I

                      (AUG 1999) (APPLIES TO EDUCATIONAL INSTITUTIONS ONLY)

 

In accordance with 8 USC 1324a, it is unlawful to hire for employment in the US
an individual without verifying that individual’s employment authorization. 8
CFR 274a.2 VERIFICATION OF EMPLOYMENT ELIGIBILITY identifies the official
documents that establish employment eligibility.

 

Prior to performance of work by a foreign national as a result of this contract,
the employer shall provide the Contracting Officer the name of the foreign
national and identify the type of form (s) produced for verification of
employment status. Should the foreign national’s performance require access to
DoD facilities, the employer shall coordinate with the sponsor providing access,
in order to submit the following:

 

1. Individual’s Name

2. Citizenship

3. Date and Location of the Visit

4. Purpose of the Visit

5. Passport Number

6. Employer’s Verification of Work Authorization

 

(End of clause)

 

52.005-4401 RELEASE OF INFORMATION (JUL 2002)

 

Army Regulations (AR) 530-1 and AR 360-1 prescribe Department of the Army
policies for operations security (OPSEC) review prior to public release. These
include:

 

(1) Procurement instruments and solicitations (including grants, cooperative
agreements, etc.), abstracts, papers, technical reports, articles, point papers,
news releases, short items to be included in other publications, academic papers
on work-related subject matter, speeches, briefings, media presentations,
training materials, munitions cases, environmental impact statements, and other
forms of information, including film, audio tapes and video cassettes which
could divulge non-releasable, unclassified information

 

(2) Information posted on electronic bulletin boards, passed over unsecured
electronic mail systems, or posted in a manner to the World Wide Web

 

These policies are applicable to unclassified contracts/instruments as well as
the classified contracts/instruments governed in this respect by DD Form 254.

 

Army policy is to make available to the public the maximum accurate information
on Army contract/instrument relationships, industry/academic accomplishments,
and scientific achievements. In furtherance of this policy, each party agrees to
confer and consult with each other prior to publication or any other disclosure
of information relating to efforts under this contract/instrument. Prior to any
public publication or disclosure, each party will offer the other

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00001

Page 6 of 6

 

party ample opportunity to review the proposed publication or disclosure, to
submit objections, and to file application letters for patents in a timely
manner. The contractor shall allow 60 days for completion of this process.

 

Your organization will provide the Public Affairs Office any public release of
information on this contract/instrument by forwarding the material to be
released and a transmittal letter identifying the contract/instrument number the
specific information to be released, the medium to be used, the purpose of the
release, the cognizant Science Officer, Technical Monitor, or Contracting
Officer’s Representative to the addresses shown below.

 

U.S. Army Research Laboratory

   U.S. Army Robert Morris Acquisition Center

Public Affairs Office

   Adelphi Contracting Division

ATTN: AMSRL-CS-PA

   ATTN: AMSSB-ACA-C

2800 Powder Mill Road

   2800 Powder Mill Road

Adelphi, Maryland 20783-1197

   Adelphi, Maryland 20783-1197

 

M/F: Contract No.: DAAD17-02-C-0073

 

The contractor shall assure that an acknowledgment of Government support and
disclaimer of Government endorsement as set forth below shall appear on each
publication or presentation of material based on or developed under this
program. These statements shall appear either on the title/first page or the
final page of such documents -

 

“The research reported in this document/presentation was performed in connection
with contract/instrument DAAD17-02-C-0073 with the U.S. Army Research
Laboratory. The views and conclusions contained in this document/presentation
are those of the authors and should not be interpreted as presenting the
official policies or position, either expressed or implied, of the U.S. Army
Research Laboratory or the U.S. Government unless so designated by other
authorized documents. Citation of manufacturer’s or trade names does not
constitute an official endorsement or approval of the use thereof. The U.S.
Government is authorized to reproduce and distribute reprints for Government
purposes notwithstanding any copyright notation hereon.”

 

(End of clause)

--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

AMENDMENT OF SOLICITATION//MODIFICATION OF CONTRACT

  

1.  CONTRACT ID CODE

T

  

PAGE 1 OF 3

--------------------------------------------------------------------------------

2. AMENDMENT/MODIFICATION NO.

            P00002

  

3. EFFECTIVE DATE

16-Dec-2002

  

4. REQUISITION/PURCHASE REQ. NO.

SEE SCHEDULE

  

5. PROJECT NO. (If applicable)

--------------------------------------------------------------------------------

6. ISSUED BY                                                     CODE

 

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC – ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

  

W71B7J

       

7. ADMINISTERED BY (If other than Item 6)

DCMC - ATLANTA

805 WALKER STREET, SUITE 1

MARIETTA, GA 30060-2789

  

CODE S1103A

--------------------------------------------------------------------------------

 

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)

 

CREE INC.

CHARLES M. SWOBOA

4600 SILICON DRIVE

DURHAM, NC 27703

       

9A. AMENDMENT OF SOLICITATION NO.

               9B. DATED (SEE ITEM 11)               

(X)

  

10A. MODIFICATION OF CONTRACT/ORDER NO

DAAD17-02-C-0073

CODE 0C9J8

  

FACILITY CODE

       

(X)

  

10B. DATED (SEE ITEM 13)

20-MAR-2002

--------------------------------------------------------------------------------

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

--------------------------------------------------------------------------------

¨   The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers                                    ¨ is
extended,

¨   is not extended.

 

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

 

(a) By completing items 8 and 15, and returning          copies of the
amendment; (b) By acknowledging receipt of this amendment on each copy of the
offer submitted; or (c) By separate letter or telegram which includes a
reference to the solicitation and amendment numbers. FAILURE OF YOUR
ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS
PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER.

 

If by virtue of this amendment your desire to change an offer already submitted,
such change may be made by telegram or letter, provided each telegram or letter
makes reference to the solicitation and this amendment, and is received prior to
the opening hour and date specified.

 

12.   ACCOUNTING AND APPROPRIATION DATA (If required)

        See Schedule

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED ITEM 14.

 

 A.   THIS CHANGE ORDER IS ISSUED PURSUANT TO (Specify authority) THE CHANGES
SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. ITEM 10A.

 

B.   THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE
CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH
IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

 

 C.   THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 

D.   OTHER (Specify type of modification and authority)

Unilateral Modification pursuant to 10 USC 2304 and Contractor’s e-mail dated 24
SEP 2002.

 

E.   IMPORTANT; Contractor x is not, ¨ is required to sign this document and
return      copies to the issuing office.

 

14.   DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings,
including solicitation/contract subject matter where feasible.)

 

The purpose of this modification is to add an increment of funds in the amount
of $ [***], as follows:

 

Except as provided herein, all terms and conditions of the document referenced
in Item 9A or 10A, as heretofore changed, remains unchanged and in full force
and effect.

 

--------------------------------------------------------------------------------

15A. NAME AND TITLE OF SIGNER (Type or print)

 

16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

THEODORE WEITZMAN/CONTRACTING OFFICER

TEL: 301-394-3165    EMAIL: tweitzman@arl.army.mil

--------------------------------------------------------------------------------

15B. CONTRACTOR/OFFEROR              15C. DATE SIGNED

/s/                                                     

(Signature of person authorized to sign)

 

16B. UNITED STATES OF AMERICA    16C.   DATE SIGNED

By: /s/ Theodore Weitzman                                  24-Sep-2002

(Signature of Contracting Officer)

--------------------------------------------------------------------------------

EXCEPTION TO SF 30                                         30-105-04

APPROVED BY FORM 11-84

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR) 53.243

 

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the

 

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00002

Page 2 of 3

 

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

 

SUMMARY OF CHANGES

 

SECTION B - SUPPLIES OR SERVICES AND PRICES

 

CLIN 0002

The test type No Test has been added.

 

SUBCLIN 000101 is added as follows:

 

ITEM NO

--------------------------------------------------------------------------------

  

SUPPLIES/SERVICES

--------------------------------------------------------------------------------

   QUANTITY

--------------------------------------------------------------------------------

   UNIT

--------------------------------------------------------------------------------

   UNIT PRICE

--------------------------------------------------------------------------------

   AMOUNT

--------------------------------------------------------------------------------

000101

                             

Incremental Funding for CLIN 0001

                        

CS

                         PURCHASE REQUEST NUMBER: W71B7J-2347-B321             
                          

ESTIMATED COST
SHARE RATIO

   [***]     

ACRN AC Funded Amount

                  [***]

 

FOB: Destination

 

SECTION E - INSPECTION AND ACCEPTANCE

 

The following Acceptance/Inspection Schedule was added for SUBCLIN 000101:

 

INSPECT AT

--------------------------------------------------------------------------------

  

INSPECT BY

--------------------------------------------------------------------------------

  

ACCEPT AT

--------------------------------------------------------------------------------

  

ACCEPT BY

--------------------------------------------------------------------------------

N/A

   N/A    N/A    Government

 

SECTION G - CONTRACT ADMINISTRATION DATA

 

Accounting and Appropriation

 

Summary for the Payment Office

 

As a result of this modification, the total funded amount for this document was
increased by $[***] from $[***] to $[***].

 

SUBCLIN 000101:

Funding on SUBCLIN 000101 is initiated as follows:

 

ACRN: AC

 

Acctng Data:

973040013010RPARGO3H20M891000255YANEM00W71B7J2347B3213N17GGS18129

 

Increase: $[***]

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00002

Page 3 of 3

 

Total: $[***]

 

(End of Summary of Changes)

 

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT   

1.  CONTRACT ID CODE

T

  

PAGE 1 OF 8

--------------------------------------------------------------------------------

2. AMENDMENT/MODIFICATION NO.

            P00003

  

3. EFFECTIVE DATE

05-May-2003

  

4. REQUISITION/PURCHASE REQ. NO.

SEE SCHEDULE

  

5. PROJECT NO. (If applicable)

--------------------------------------------------------------------------------

6. ISSUED BY    

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC – ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

  

CODE W71B7J

       

7. ADMINISTERED BY (If other than Item 6)

DCMC - ATLANTA

805 WALKER STREET

SUITE 1

MARIETTA GA 30060-2789

  

CODE S1103A

--------------------------------------------------------------------------------

 

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)

 

CREE, INC.

CHARLES M. SWOBODA

4600 SILICON DRIVE

DURHAM NC 27703

       

9A. AMENDMENT OF SOLICITATION NO.

               9B. DATED (SEE ITEM 11)               

X

  

10A. MODIFICATION OF CONTRACT/ORDER NO

DAAD17-02-C-0073

CODE OC9J8

  

FACILITY CODE

       

X

  

10B. DATED (SEE ITEM 13)

20-Mar-2002

--------------------------------------------------------------------------------

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

--------------------------------------------------------------------------------

¨ The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers            ¨ is extended,

¨ is not extended.

 

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning      copies of the amendment;
(b) By acknowledging receipt of this amendment on each copy of the offer
submitted; or (c) By separate letter or telegram which includes a reference to
the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE
RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND
DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER.

If by virtue of this amendment your desire to change an offer already submitted,
such change may be made by telegram or letter, provided each telegram or letter
makes reference to the solicitation and this amendment, and is received prior to
the opening hour and date specified.

 

12.   ACCOUNTING AND APPROPRIATION DATA (If required)

 See Schedule

 

    

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

 

   X  A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE
CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT

ORDER NO. ITEM 10A.

 

FAR 52.243-2 Changes Alt V (AUG 1987)

 

  B.   THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE
ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date,
etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b)

 

  C.   THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 

  D.   OTHER (Specify type of modification and authority)

 

E. IMPORTANT; Contractor x is not, ¨ is required to sign this document and
return          copies to the issuing office.

 

14.   DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings,
including solicitation/contract subject matter where feasible.)

 

The purpose of this modification is as follows:

(Note: This modification may contain extraneous administrative changes as a
result of the Government’s automated contracting system. These extraneous
changes do not affect the terms and conditions of the contract.)

Except as provided herein, all terms and conditions of the document referenced
in Item 9A or 10A, as heretofore changed, remains unchanged and in full force
and effect.

 

--------------------------------------------------------------------------------

15A. NAME AND TITLE OF SIGNER (Type or print)

 

16A. NAME AND TITLE OF SIGNER (Type or print)

THEODORE WEITZMAN/CONTRACTING OFFICER

TEL: 301-394-3165        EMAIL: tweitzman@arl.army.mil

--------------------------------------------------------------------------------

15B. CONTRACTOR/OFFEROR              15C. DATE SIGNED

(Signature of person authorized to sign)

 

16B. UNITED STATES OF AMERICA    16C.   DATE SIGNED

By: /s/ Theodore Weitzman                                   05-May-2003

(Signature of Contracting Officer)

--------------------------------------------------------------------------------

EXCEPTION TO SF 30                                30-105-04

APPROVED BY OIRM 11-84

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR) 53.243

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 2 of 8

 

SUMMARY OF CHANGES

 

SECTION SF 30 - BLOCK 14 CONTINUATION PAGE

 

The following have been added by full text:

MODIFICATION TEXT

A. The purpose of this modification is to fully fund the Government’s share of
CLIN 0001, to correct a typographical error in Section B, Cost-Share
Explanation, and to issue a Change Order to the Statement of Work, Section C.7.

 

B. The Contractor has 30 days to submit a cost and schedule impact proposal as a
result of the Change Order. The Contractor is advised that unless the estimated
cost of this contract is increased in accordance with the provisions of the
Limitation of Cost clause or by subsequent written supplemental agreement, any
cost incurred by the Contractor in excess of the present cost or funding limit
shall be at the Contractor’s sole risk.

 

SECTION A - SOLICITATION/CONTRACT FORM

The ‘issued by’ organization has changed from

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC - ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

to

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC - ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACC-AC

ADELPHI MD 20783-1197

 

The ‘Payment will be made by’ organization has changed from

DFAS - COLUMBUS CENTER

DFAS-CO/SOUTH ENTITLEMENT OPERATIONS

P.O. BOX 182264

COLUMBUS OH 43218-2264

to

DFAS - COLUMBUS

SOUTH ENTITLEMENTS OPERATIONS

P.O. BOX 182264

COLUMBUS OH 43218-2264

 

SECTION B - SUPPLIES OR SERVICES AND PRICES

 

SUBCLIN 000102 is added as follows:

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 3 of 8

AMOUNT

 

ITEM NO

--------------------------------------------------------------------------------

  

SUPPLIES/SERVICES

--------------------------------------------------------------------------------

   QUANTITY

--------------------------------------------------------------------------------

   UNIT

--------------------------------------------------------------------------------

   UNIT PRICE

--------------------------------------------------------------------------------

   AMOUNT

--------------------------------------------------------------------------------

000102

                             

Incremental Funding for CLIN 0001

                        

CS

                        

Incremental Funding for CLIN 0001

                        

PURCHASE REQUEST NUMBER: W71B7J-3122-B321

                                       

ESTIMATED COST
SHARE RATIO

   [***]     

ACRN AD Funded Amount

                  [***]

 

FOB: Destination

 

The following have been modified:

[***]

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 4 of 8

 

[***]

 

Contract Line

--------------------------------------------------------------------------------

  

Government’s Share

--------------------------------------------------------------------------------

  

Contractor’s Share

--------------------------------------------------------------------------------

  

Total Estimated
Item # Contract Cost

--------------------------------------------------------------------------------

                

CLIN 0001

   [***]    [***]    [***]

CLIN 0003

   [***]    [***]    [***]

CLIN 0004

   [***]    [***]    [***]

TOTAL

   [***]    [***]    [***]

 

52.032-4421 INCREMENTAL FUNDING—PERFORMANCE PERIOD (SEP 1999)

 

This contract is incrementally funded. The amount presently available for
payment and allotted to the contract is $ [***]. It is estimated that the
allotted funds will cover all areas of contract performance for the period from
award of contract through completion of CLIN 0001.

 

(End of clause)

 

SECTION C—DESCRIPTIONS AND SPECIFICATIONS

 

The following have been modified:

STATEMENT OF WORK

 

Statement of Work

 

C.0 Introduction

 

The development of [***] is of critical importance to the military. [***] have
application in biological agent detection, non-line-of-sight (NLOS) covert
communications, water purification, equipment/personnel decontamination, and
white light generation. It is the goal of the [***] program to exploit the
unique characteristics of [***]that can be integrated into modules and
subsystems to address these applications. The Government is interested in novel
ideas that will result in the demonstration of deep [***]. This effort focuses
on exploiting the material qualities of the [***] to produce an [***] compatible
with the applications cited above.

 

This program will be conducted in two phases. Phase I (Years 1 and 2) will
concentrate on the development of [***] by exploiting the unique characteristics
of [***]. Emphasis will be placed on materials needed to realize [***] and
[***]. These materials are considered to be on the materials development
critical path (MDCP). Also included in the Phase I effort is the [***] of
innovative [***] with [***] the [***]. In Option Phase II (Option Years 3 and
4), the emphasis shifts to the optimization of [***] and [***] with [***]. It is
expected that the ultimate goal of [***]

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 5 of 8

 

will be achieved through materials development and device innovation initially
in the near UV portion of the [***] as part of the Phase I effort. Based on
advances in science, materials, and devices in Phase I, the optimization of
devices to meet or exceed Option Phase II goals will be realized.

 

Year 1

 

C. 1. The Contractor shall develop [***] for [***] necessary for [***] and [***]
on [***].

 

C.1.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.2. The Contractor shall grow [***] to reduce [***].

 

C.2.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.3. The Contractor shall fabricate [***].

 

C.3.1 The Contractor shall deliver representative devices to the Government.

 

C. 4. The Contractor shall develop optically efficient [***] and [***] comprised
of [***] family.

 

C.4.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.4.2 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

C.4.3 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

C.4.4 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

C.4.5 The Contractor shall deliver to the Government [***] with [***] and [***]
nine (9) months after the start of the contract.

 

Year 2

 

C.5 The Contractor shall develop [***] and [***] comprised of [***] family,

 

C.5.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

C.6 The Contractor shall grow of III-nitrides on [***] to reduce [***].

 

C.6.1 The Contractor shall deliver representative [***] on the MDCP to the
Government.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

C.7 The contractor shall substantially improve the reliability and lifetimes of
[***].

 

C.7.1 The contractor shall deliver [***] after the start of the contract.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 6 of 8

 

C.7.2 The contractor shall deliver 20 packaged laser diodes (LDs) with peak
output wavelength of 360 nm under CW operation and with lifetimes of at least
300 hrs 23 months after the start of the contract.

 

C.7.3 The contractor shall fabricate and deliver [***] 23 months after the start
of the contract.

 

C.8 The Contractor shall develop [***].

 

C.8.1 The Contractor shall deliver to the Government [***] with [***] 23 months
after the start of the contract.

 

C.9 The Contractor shall develop [***] including the [***].

 

C.9.1 The Contractor shall deliver to the Government [***] and [***] 17 months
after the start of the contract.

 

Year 3 (Option CLIN 0003)

 

C.10 The Contractor shall develop device design for [***] and optimize
fabrication process to produce it.

 

C.10.1 The Contractor shall deliver to the Government [***] and [***] 35 months
after the start of the contract.

 

C.11 The Contractor shall develop device design for [***] and optimize
fabrication process to produce it.

 

C.11.1 The Contractor shall deliver to the Government [***] and [***] 35 months
after the start of the contract.

 

C.12 The Contractor shall develop growth of [***].

 

C.12.1 The Contractor shall deliver to the Government [***] and [***] with [***]
35 months after the start of the contract.

 

Year 4 (Option CLIN 0004)

 

C.13 The Contractor shall develop design for [***] and optimize fabrication
process to produce it.

 

C.13.1 The Contractor shall deliver to the Government [***] and [***] 47 months
after the start of the contract.

 

C.13.2 The Contractor shall deliver to the Government [***] and [***] 41 months
after the start of the contract.

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

C.13.3 The Contractor shall deliver to the Government [***] and [***] 47 months
after the start of the contract.

 

C.14 OTHER CONTRACT DELIVERABLES

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

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Page 7 of 8

 

C.14.1 The contractor shall provide copies of all technical reports submitted
for publication (in journals, conference proceedings and other technical
reports) under this contract to the technical POC

 

C.14.2 The Contractor shall complete and submit quarterly and cost expenditure
reports throughout the duration of the contract in accordance with DD Form 1423,
Contract Data Requirements List, Exhibit A to Section J. Reports shall be marked
with the following Distribution Statement:

 

DISTRIBUTION STATEMENT C: Distribution authorized to U.S. Government Agencies
and their contractors, proprietary information, 7 Feb 02. Other requests for
this document shall be referred to U.S. Army Research Laboratory, Attn:
AMSRL-SE-EM, 2800 Powder Mill Road, Adelphi, MD 20783-1197.

 

C14.3 The contractor shall provide a comprehensive Final Report at the close of
the contract. The report shall detail all activities performed under the
contract and provide results and conclusions for each task.

 

SECTION E—INSPECTION AND ACCEPTANCE

 

The Acceptance/Inspection Schedule for SUBCLIN 000101 has been changed from:

 

INSPECT AT

--------------------------------------------------------------------------------

  

INSPECT BY

--------------------------------------------------------------------------------

  

ACCEPT AT

--------------------------------------------------------------------------------

  

ACCEPT BY

--------------------------------------------------------------------------------

N/A

   N/A    N/A    Government

 

To:

 

INSPECT AT

--------------------------------------------------------------------------------

  

INSPECT BY

--------------------------------------------------------------------------------

  

ACCEPT AT

--------------------------------------------------------------------------------

  

ACCEPT BY

--------------------------------------------------------------------------------

Destination

   Government    Destination    Government

 

The following Acceptance/Inspection Schedule was added for SUBCLIN 000102:

 

INSPECT AT

--------------------------------------------------------------------------------

  

INSPECT BY

--------------------------------------------------------------------------------

  

ACCEPT AT

--------------------------------------------------------------------------------

  

ACCEPT BY

--------------------------------------------------------------------------------

Destination

   Government    Destination    Government

 

SECTION F - DELIVERIES OR PERFORMANCE

 

The following Delivery Schedule item has been added to SUBCLIN 000101:

 

DELIVERY DATE

--------------------------------------------------------------------------------

   QUANTITY

--------------------------------------------------------------------------------

   SHIP TO ADDRESS

--------------------------------------------------------------------------------

   UIC

--------------------------------------------------------------------------------

31-JAN-2004

       

US ARMY RESEARCH LABORATORY

DR PAUL AMIRTHARAJ

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

301-394-0940

FOB: Destination

   W71B7J

 

[***] Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

The following Delivery Schedule item has been added to SUBCLIN 000102:

 

DELIVERY DATE

--------------------------------------------------------------------------------

   QUANTITY

--------------------------------------------------------------------------------

  

SHIP TO ADDRESS

--------------------------------------------------------------------------------

   UIC

--------------------------------------------------------------------------------

31-JAN-2004

        US ARMY RESEARCH LABORATORY    W71B7J

 

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00003

Page 8 of 8

 

DR PAUL AMIRTHARAJ

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

301-394-0940

FOB: Destination

 

SECTION G - CONTRACT ADMINISTRATION DATA

 

Accounting and Appropriation

 

Summary for the Payment Office

 

As a result of this modification, the total funded amount for this document was
increased by $ [***] from $[***] to $ [***].

 

SUBCLIN 000102:

Funding on SUBCLIN 000102 is initiated as follows:

 

ACRN: AD

 

Acctng Data:

973040013010RPARGO3H20M891000255YANEM00W71B7J3122B3213N17GGS18129

 

Increase: $ [***]

 

Total: $ [***]

 

(End of Summary of Changes)

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

  

1.  CONTRACT ID CODE

 

U

  

PAGE 1 OF 8

--------------------------------------------------------------------------------

2. AMENDMENT/MODIFICATION NO.

            P00004

  

3. EFFECTIVE DATE

01-Jul-2003

  

4. REQUISITION/PURCHASE REQ. NO.

SEE SCHEDULE

 

5. PROJECT NO. (If applicable)

--------------------------------------------------------------------------------

6. ISSUED BY                                                         CODE

  

W71B7J

   7. ADMINISTERED BY (If other than Item 6)   CODE   S1103A  

--------------------------------------------------------------------------------

       

--------------------------------------------------------------------------------

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC – ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

 

  

DCMC - ATLANTA

805 WALKER STREET

SUITE 1

MARIETTA GA 30060-2789

       

--------------------------------------------------------------------------------

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)   
9A. AMENDMENT OF SOLICITATION NO.

CREE, INC.

CHARLES M. SWOBODA

4600 SILICON DRIVE

DURHAM NC 27703

             

--------------------------------------------------------------------------------

       

9B. DATED (SEE ITEM 11)

 

     

--------------------------------------------------------------------------------

  

X

  

10A. MODIFICATION OF CONTRACT/ORDER NO.

DAAD17-02-C-0073

--------------------------------------------------------------------------------

   

--------------------------------------------------------------------------------

CODE        OC9J8

  

FACILITY CODE

  

X

  

10B. DATED (SEE ITEM 13)

20-Mar-2002

 

--------------------------------------------------------------------------------

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

--------------------------------------------------------------------------------

¨ The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers                         ¨ is extended,

¨ is not extended.

 

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning      copies of the amendment;
(b) By acknowledging receipt of this amendment on each copy of the offer
submitted; or (c) By separate letter or telegram which includes a reference to
the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE
RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND
DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER.

If by virtue of this amendment your desire to change an offer already submitted,
such change may be made by telegram or letter, provided each telegram or letter
makes reference to the solicitation and this amendment, and is received prior to
the opening hour and date specified.

 

12. ACCOUNTING AND APPROPRIATION DATA (If required)

See Schedule

--------------------------------------------------------------------------------

    

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

--------------------------------------------------------------------------------

        A.   THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE
CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. ITEM 10A.

--------------------------------------------------------------------------------

        B.   THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE
ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date,
etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b)

--------------------------------------------------------------------------------

       

C.

 

 

THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 

--------------------------------------------------------------------------------

   

X

  D.  

OTHER (Specify type of modification and authority)

DFAR 252.217-7027 CONTRACT DEFINITIZATION OCT 1998)

--------------------------------------------------------------------------------

    E. IMPORTANT; Contractor ¨ is not, x is required to sign this document and
return     1     copies to the issuing office.

--------------------------------------------------------------------------------

   

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings,
including solicitation/contract subject matter where feasible.)

 

The purpose of this modification is to definitize the change order issued in
Modification P00003 as follows:

--------------------------------------------------------------------------------

Except as provided herein, all terms and conditions of the document referenced
in Item 9A or 10A, as heretofore changed, remains unchanged and in full force
and effect.

--------------------------------------------------------------------------------

15A. NAME AND TITLE OF SIGNER (Type or print)

Denise S. Holliday

Contracts Manager

 

16A. NAME AND TITLE OF SIGNER (Type or print)

THEODORE WEITZMAN/CONTRACTING OFFICER

TEL: 301-394-3165        EMAIL: tweitzman@arl.army.mil

--------------------------------------------------------------------------------

15B. CONTRACTOR/OFFEROR              15C. DATE SIGNED

/s/ Denise S. Holliday                                         6/30/03

(Signature of person authorized to sign)

 

16B. UNITED STATES OF AMERICA    16C.   DATE SIGNED

By: /s/ Theodore Weitzman                                   01-Jul-2003

(Signature of Contracting Officer)

--------------------------------------------------------------------------------

EXCEPTION TO SF 30                                30-105-04

APPROVED BY OIRM 11-84

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR) 53.243

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00004

Page 2 of 6

 

SECTION SF 30 BLOCK 14 CONTINUATION PAGE

 

SUMMARY OF CHANGES

 

SECTION A - SOLICITATION/CONTRACT FORM

 

The total cost of this contract was increased by $ [***] from $ [***] to $
[***].

 

SECTION B—SUPPLIES OR SERVICES AND PRICES

 

CLIN 0001

The estimated/max cost has increased by $ [***] from $[***] to $[***].

The total cost of this line item has increased by $[***] from $[***] to $[***].

 

SUBCLIN 000103 is added as follows:

 

ITEM NO

--------------------------------------------------------------------------------

  

SUPPLIES/SERVICES

--------------------------------------------------------------------------------

   QUANTITY

--------------------------------------------------------------------------------

   UNIT

--------------------------------------------------------------------------------

  

UNIT PRICE

--------------------------------------------------------------------------------

   AMOUNT

--------------------------------------------------------------------------------

 

000103

                               

Funding for Change Order

                          

CS

                          

Funding for Change Order

                                         

ESTIMATED COST SHARE RATIO

   [ ***]     

ACRN AE Funded Amount

                  [ ***]

 

FOB: Destination

 

The following have been modified:

 

[***]

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00004

Page 3 of 6

 

[***]

 

Contract Line

Item #

--------------------------------------------------------------------------------

 

Government’s Share

--------------------------------------------------------------------------------

 

Contractor’s Share

--------------------------------------------------------------------------------

  

Total Estimated

Contract Cost

--------------------------------------------------------------------------------

                  

CLIN 0001

 

[***]

 

[***]

   [ ***]

CLIN 0003

 

[***]

 

[***]

   [ ***]

CLIN 0004

 

[***]

 

[***]

   [ ***]

TOTAL

  [***]   [***]    [ ***]

 

52.032-4421 INCREMENTAL FUNDING—PERFORMANCE PERIOD (SEP 1999)

 

This contract is incrementally funded. The amount presently available for
payment and allotted to the contract is $ [***]. It is estimated that the
allotted funds will cover all areas of contract performance for the period from
award of contract through completion of CLIN 0001.

 

(End of clause)

 

SECTION E—INSPECTION AND ACCEPTANCE

 

The following Technical Office was added for SUBCLIN 000102:

US ARMY RESEARCH LABORATORY

DR PAUL AMIRTHARAJ

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

 

The following Acceptance/Inspection Schedule was added for SUBCLIN 000103:

 

INSPECT AT

--------------------------------------------------------------------------------

  

INSPECT BY

--------------------------------------------------------------------------------

  

ACCEPT AT

--------------------------------------------------------------------------------

  

ACCEPT BY

--------------------------------------------------------------------------------

Destination

   Government    Destination    Government

 

The following Technical Office was added for SUBCLIN 000103:

US ARMY RESEARCH LABORATORY

DR PAUL AMIRTHARAJ

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

 

SECTION F - DELIVERIES OR PERFORMANCE

 

The following Delivery Schedule item for CLIN 0001 has been changed from:

 

DELIVERY DATE   QUANTITY   SHIP TO ADDRESS    UIC

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

 

POP 01-FEB-2002 TO

31-JAN-2004

 

N/A

 

US ARMY RESEARCH LABORATORY

DR PAUL AMIRTHARAJ

  

W71B7J

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00004

Page 4 of 6

 

       

2800 POWDER MILL ROAD

ADELPHI MD 20783-1197

301-394-0940

FOB: Destination

    

 

To:

 

DELIVERY DATE

--------------------------------------------------------------------------------

 

QUANTITY

--------------------------------------------------------------------------------

 

SHIP TO ADDRESS

--------------------------------------------------------------------------------

   UIC

--------------------------------------------------------------------------------

POP 01-FEB-2002 TO 31-JAN-
2004   N/A  

US ARMY RESEARCH
LABORATORY

DR PAUL AMIRTHARAJ
2800 POWDER MILL ROAD
ADELPHI MD 20783-1197
301-394-0940
FOB: Destination

   W71B7J

 

The following Delivery Schedule item has been added to SUBCLIN 000103:

 

DELIVERY DATE

--------------------------------------------------------------------------------

 

QUANTITY

--------------------------------------------------------------------------------

 

SHIP TO ADDRESS

--------------------------------------------------------------------------------

   UIC

--------------------------------------------------------------------------------

31-JAN-2004      

US ARMY RESEARCH
LABORATORY

DR PAUL AMIRTHARAJ
2800 POWDER MILL ROAD
ADELPHI MD 20783-1197
301-394-0940
FOB: Destination

   W71B7J

 

SECTION G - CONTRACT ADMINISTRATION DATA

 

Accounting and Appropriation

 

Summary for the Payment Office

 

As a result of this modification, the total funded amount for this document was
increased by $[***] from $[***] to $[***].

 

SUBCLIN 000103:

Funding on SUBCLIN 000103 is initiated as follows:

 

ACRN: AE

 

Acctng Data: 973040013010RPARGO3H20M891000255YANEM00W71B7J3122B3223N17GGS18129

 

Increase: $ [***]

 

Total: $ [***]

 

SECTION J—LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

--------------------------------------------------------------------------------

[***]   Confidential treatment requested pursuant to a request for confidential
treatment filed with the Securities and Exchange Commission. Omitted portions
have been filed separately with the Commission.

--------------------------------------------------------------------------------

DAAD17-02-C-0073        

P00004

Page 5 of 6

 

Exhibit/Attachment Table of Contents

 

DOCUMENT TYPE

--------------------------------------------------------------------------------

  

DESCRIPTION

--------------------------------------------------------------------------------

   PAGES

--------------------------------------------------------------------------------

   DATE

--------------------------------------------------------------------------------

Attachment 1

  

Evidence of Bilateral

Award

        30-JUN-2003

 

The following have been added by full text:

EVIDENCE OF BILATERAL AWARD

 

(End of Summary of Changes)

--------------------------------------------------------------------------------

DAAD17-02-C-0073    

P00004

Page 6 of 6

 

--------------------------------------------------------------------------------

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT   

1.  CONTRACT ID CODE

U

  

PAGE 1 OF 4

--------------------------------------------------------------------------------

2. AMENDMENT/MODIFICATION NO.

            P00004

  

3. EFFECTIVE DATE

01-Jul-2003

  

4. REQUISITION/PURCHASE REQ. NO.

SEE SCHEDULE

  

5. PROJECT NO. (If applicable)

--------------------------------------------------------------------------------

6. ISSUED BY    

US ARMY ROBERT MORRIS ACQUISITION CENTER

RMAC – ADELPHI

2800 POWDER MILL ROAD

AMSSB-ACA

ADELPHI MD 20783-1197

  

CODE W71B7J

       

7. ADMINISTERED BY (If other than Item 6)

DCMC - ATLANTA

805 WALKER STREET

SUITE 1

MARIETTA GA 30060-2789

  

CODE S1103A

--------------------------------------------------------------------------------

 

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and Zip Code)

 

CREE, INC.

CHARLES M. SWOBODA

4600 SILICON DRIVE

DURHAM NC 27703

       

9A. AMENDMENT OF SOLICITATION NO.

               9B. DATED (SEE ITEM 11)               

X

  

10A. MODIFICATION OF CONTRACT/ORDER NO

DAAD17-02-C-0073

CODE OC9J8

  

FACILITY CODE

       

X

  

10B. DATED (SEE ITEM 13)

20-Mar-2002

--------------------------------------------------------------------------------

11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

--------------------------------------------------------------------------------

¨ The above numbered solicitation is amended as set forth in Item 14. The hour
and date specified for receipt of Offers             ¨ is extended,

¨ is not extended.

 

Offers must acknowledge receipt of this amendment prior to the hour and date
specified in the solicitation or as amended, by one of the following methods:

(a) By completing items 8 and 15, and returning          copies of the
amendment; (b) By acknowledging receipt of this amendment on each copy of the
offer submitted; or (c) By separate letter or telegram which includes a
reference to the solicitation and amendment numbers. FAILURE OF YOUR
ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS
PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER.

If by virtue of this amendment your desire to change an offer already submitted,
such change may be made by telegram or letter, provided each telegram or letter
makes reference to the solicitation and this amendment, and is received prior to
the opening hour and date specified.

 

12.   ACCOUNTING AND APPROPRIATION DATA (If required)

 See Schedule

 

    

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

 

  A.   THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES
SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. ITEM 10A.

 

  B.   THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE
ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date,
etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b)

 

  C.   THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 

   X  D.   OTHER (Specify type of modification and authority) DFAR 252.217-7027
CONTRACT DEFINITIZATION OCT 1998)

 

E. IMPORTANT; Contractor ¨ is not, x is required to sign this document and
return     1     copies to the issuing office.

 

14.   DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings,
including solicitation/contract subject matter where feasible.)

 

The purpose of this modification is to definitize the change order issued in
Modification P00003 as follows:

Except as provided herein, all terms and conditions of the document referenced
in Item 9A or 10A, as heretofore changed, remains unchanged and in full force
and effect.

 

--------------------------------------------------------------------------------

15A. NAME AND TITLE OF SIGNER (Type or print)

Denise S. Holliday

Contracts Manager

 

16A. NAME AND TITLE OF SIGNER (Type or print)

THEODORE WEITZMAN/CONTRACTING OFFICER

TEL: 301-394-3165        EMAIL: tweitzman@arl.army.mil

--------------------------------------------------------------------------------

15B. CONTRACTOR/OFFEROR              15C. DATE SIGNED

/s/ Denise S. Holliday                                         6/30/03

(Signature of person authorized to sign)

 

16B. UNITED STATES OF AMERICA    16C.   DATE SIGNED

By: /s/ Theodore Weitzman                                   01-Jul-2003

(Signature of Contracting Officer)

--------------------------------------------------------------------------------

EXCEPTION TO SF 30                                30-105-04

APPROVED BY OIRM 11-84

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA