Exhibit 10.27

 

AWARD / CONTRACT   

1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR 350)

   è   

RATING

DO-C9(T)

  

PAGE  OF  PAGES

1                16

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

 

N00014-02-C-0302

  

3. EFFECTIVE DATE

 

SEE BLCOK 20C

  

4. REQUISITION / PURCHASE REQUEST / PROJECT NO.

 

02PR10530-00

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5. ISSUED BY

   CODE    N00014    6. ADMINISTERED BY (IF OTHER THAN ITEM 5)             
CODE      S1103A

OFFICE OF NAVAL RESEARCH

ONR 251: EVELYON T. FIELDS

(703) 696-4515

BALLSTON TOWERS ONE

800 NORTH QUINCY STREET

ARLINGTON, VA 22217-5660

  

DCM ATLANTA

805 WALKER STREET SUITE 1

MARIETTA, GA 30060-2789

  

SCD-C

         

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

 

CREE INC.

4600 SILICON DRIVE

DURHAM, NC 27703

  

8. DELIVERY

 

¨ FOB Origin        ¨ Other (see below)

 

9. DISCOUNT FOR PROMPT DELIVERY

N.A.

CAGE CODE    OC9J8

        FACILITY CODE   

10. SUBMIT INVOICES

(4 COPIES UNLESS OTHERWISE

SPECIFIED) TO

THE ADDRESS SHOW IN        è

  

ITEM

    See

SECTION G

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11. SHIP TO / MARK FOR

PROGRAM OFFICER

SEE SECTION F – DELIVERIES OR

PERFORMANCE

   CODE    N00014   

12. PAYMENT WILL BE MADE BY

DFAS COLUMBUS CENTER

DFAS CO SOUTH ENTITLEMENT OPERATIONS

PO BOX 182264

COLUMBUS OH 43218-2264

        CODE      HQ0338

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13. AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION

  

14. ACCOUNTING AND APPROPRIATION DATA

See Attached Financial Accounting Data Sheet

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15A. ITEM NO.

  

15B. SUPPLIES/SERVICES

See SECTION B of Schedule

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

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15G. TOTAL AMOUNT OF CONTRACT

   è    $See SECTION B of Schedule

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16. Table of Contents

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     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    Ö    I    CONTRACT CLAUSES   9-16

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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   2-3    Ö    J    LIST OF ATTACHMENTS
  16

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Ö

   D    PACKAGING AND MARKING   3         PART IV – REPRESENTATIONS AND
INSTRUCTIONS    

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Ö

   E    INSPECTION AND ACCEPTANCE   3    Ö    K   

REPRESENTATIONS, CERTIFICATIONS

AND OTHER STATEMENTS OF OFFERORS

  16

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Ö

   F    DELIVERIES’ OR PERFORMANCE   3-4           

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Ö

   G    CONTRACT ADMINISTRATION DATA   4-7         L    INSTRS., CONDS., AND
NOTICES TO    

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Ö

   H    SPECIAL CONTRACT REQUIREMENTS   7-9         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 (Contractor is required to sign this
document

 

and return 2 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.)

  

18. ¨ Award (Contractor is not required to sign this document).

Your offer on solicitation

 

Number             , including the additions or changes made by you which

additions or changes are 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 other, and (b) this award/contract. No further contractual

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

DENISE S. HOLLIDAY

Contracts Manager

  

20A. NAME OF CONTRACTING OFFICER

BONA TILAHUN

Contracting Officer

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19B. Name of Contractor

   19C. Date Signed       

20B. United States of America

 

20C. Date  Signed

  by               /s/Denise S. Holliday

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             6/27/02       

      by                           /s/Bona Tilahun

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            6/28/02

(Signature of person authorized to sign)

                        (Signature of Contracting Officer)    

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NSN 7540-01-152-8069

Previous Editions unusable

ConWrite Version 3.11

  

STANDARD FORM 26 (REV. 4-85)

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

 

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SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS

 

BASE EFFORT

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ITEM

NO.

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SUPPLIES/SERVICES

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ESTIMATED

GOVERNMENT

COST SHARE

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ESTIMATED

CONTRACTOR

COST SHARE

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TOTAL

ESTIMATED

COSTS

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0001

   The Contractor shall furnish the necessary personnel and facilities to
conduct the research effort as described in Section C.1 and C.2.    [***]  
[***]   [***]     

000101: AA

[***]

            

0002

   Deliverables for Quarters 1-6 in accordance with Attachment Number 2         
  NSP

0003

   Reports and Data in accordance with Exhibit A (DD Form 1423)            NSP

 

*Note: [***] out of the estimated contractor’s cost share amount of [***]
represents a [***] discount on the projected price of the [***]. The [***] shall
be used in support of this contract and charged at the current catalog price at
the time of consumption less a [***] discount. Therefore, these items are not
subject to a DCAA incurred cost audit.

 

OPTION EFFORT

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ITEM

NO.

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SUPPLIES/SERVICES

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ESTIMATED

GOVERNMENT

COST SHARE

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ESTIMATED

CONTRACTOR

COST SHARE

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TOTAL

ESTIMATED

COSTS

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0004

   The Contractor shall furnish the necessary personnel and facilities to
conduct the research effort as described in Section C.1 and C.3.    [***]  
[***]   [***]

0005

   Deliverables for Quarters 7-8 in accordance with Attachment Number 2         
  NSP

0006

   Reports and Data in accordance with Exhibit A (DD Form 1423)            NSP

TOTAL ESTIMATED CONTRACT CONSIDERATION:

   [***]   [***]   [***]

 

SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

 

1)   The research effort to be performed hereunder shall be subject to the
requirements and standards contained in Exhibit A and the following
paragraph(s).

 

2)   The Contractor shall conduct the base effort research in accordance with
the base effort tasks on pages 1-2 of Attachment Number 1, entitled “3.A.
Statement of Work First 18 months”. The contractor shall provide the
deliverables described under Quarters 1-6 of Attachment Number 2 of the
contract.

 

Contract Number: N00014-02-C-0302

[***] 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.

 

2

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3)   The Contractor shall condition the option research effort in accordance
with the optional tasks described on pages 3-4 of Attachment Number 1, entitled
“3.A. Statement of Work Optional [***]”. The contractor shall provide the
deliverables described under Quarters 7-8 of Attachment Number 2 of the
contract.

 

SECTION D - PACKAGING AND MARKING

 

Preservation, packaging, packing and marking of all deliverable contract line
items shall conform to normal commercial packing standards to assure safe
delivery at destination.

 

SECTION E - INSPECTION AND ACCEPTANCE

 

Inspection and acceptance of the final delivery under this contract will be
accomplished by the Program Officer designated in Section F of this contract,
who shall have at least thirty (30) days after contractual delivery for
acceptance.

 

SECTION F - DELIVERIES OR PERFORMANCE

 

1)   The research effort performed under this contract shall be conducted during
the period from the effective date (See Block 20C of the Standard Form 26)
through eighteen (18) months thereafter. A final report will be prepared,
submitted, reproduced and distributed by sixty days thereafter unless the
contract is extended, in which case, the final report will be prepared in
accordance with the terms of such extension.

 

a) Item No. 0002 of Section B (Deliverables) shall be delivered within the time
periods stated in Attachment Number 2, F.O.B. Destination.

 

b) Item No. 0003 of Section B (Reports and Data) shall be delivered within the
time periods stated in Exhibit A, F.O.B. Destination.

 

2)   If the Option (OLIN 0004) is exercised, that research effort shall be
conducted during the period from the date the option is exercised through [***]
thereafter. A final report will be prepared, submitted, reproduced and
distributed by sixty days thereafter unless the contract is extended, in which
case, the final report will be prepared in accordance with the terms of such
extension.

 

a) Item No. 0005 of Section B (Deliverables) shall be delivered within the time
periods stated in Attachment Number 2, F.O.B. Destination.

 

b) Item No. 0006 of Section B (Reports and Data) shall be delivered within the
time periods stated in Exhibit A, F.O.B. Destination.

 

3)   Distribution, consignment and marking instructions for Deliverables 2, 3,
13, and 14 under OLIN 0002 and if the option is exercised, OLIN 0005, shall be
in accordance with the following address. In addition, the Data Sheets required
under these CLINS shall also be delivered to the Program Officer stated in
paragraph 5.

 

Tri-Service Correlation Team

Attn: Thomas Jenkins

AFRL/SNDM, Bldg 620, Area B

2241 Avionics Circle, Rm C2G69

Wright-Patterson AFB OH 45433

 

Ref: Contract N00014-02-C-0302

 

Contract Number: N00014-02-C-0302

[***] 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.

 

3

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4)   Distribution, consignment and marking instructions for Deliverables 1 and 4
through 13 under CLIN 0002 and if the option is exercised, CLIN 0005, shall be
in accordance with the following address. In addition, the Data Sheets required
under these CLINS shall also be delivered to the Program Officer stated in
paragraph 5.

 

U.S. Army Research Laboratory

Attn: AMSRL-SE-DP / Scozzie

2800 Powder Mill Road

Adelphi, MD 20783-1197

 

Ref: Contract N00014-02-C-0302

 

5)   Distribution, consignment and marking instructions for CLIN 0003 and if the
option is exercised, CLIN 0006, shall be in accordance with Enclosure Number 1
and the following:

 

Program Officer

Office of Naval Research

Ballston Tower One

800 North Quincy Street

Arlington, Virginia 22217-5660

 

Attn: Dr. Harry Dietrich, Code 312, Telephone (703) 696-0240

Ref: Contract N00014-02-C-0302

 

SECTION G - CONTRACT ADMINISTRATION DATA

 

1.

     NAPS 5252.232-9001    SUBMISSION OF INVOICES (COST REIMBURSEMENT, TIME-AND
MATERIALS, LABOR-HOUR, OR FIXED PRICE INCENTIVE) (JUL 1992)

 

  (a)   “Invoice” as used in this clause includes contractor requests for
interim payments using public vouchers (SF 1034) but does not include contractor
requests for progress payments under fixed price incentive contracts.

 

  (b)   The Contractor shall submit invoices and any necessary supporting
documentation, in an original and 4 copies, to the contract auditor at the
following address:

 

Defense Contract Audit Agency

DCAA/MABO

P.O. Box 891

Arnold, MD 21012-0891

Telephone: (410) 260-5420

Fax: (410) 260-5986

 

unless delivery orders are applicable, in which case invoices will be segregated
by individual order and submitted to the address specified in the order. In
addition, an information copy shall be submitted to the Program Officer
identified in Section F.2a of this contract. Following verification, the
contract auditor* will forward the invoice to the designated payment office for
payment in the amount determined to be owing, in accordance with the applicable
payment (and fee) clause(s) of this contract.

 

  (c)   Invoices requesting interim payments shall be submitted no more than
once every two weeks, unless another time period is specified in the Payments
clause of this contract. For indefinite delivery type

 

Contract Number: N00014-02-C-0302

 

4

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contracts, interim payment invoices shall be submitted no more than once every
two weeks for each delivery order. There shall be a lapse of no more than 30
calendar days between performance and submission of an interim payment invoice.

 

  (d)   In addition to the information identified in the Prompt Payment clause
herein, each invoice shall contain the following information, as applicable:

 

(1) Contract line item number (CLIN)

 

(2) Subline item number (SLIN)

 

(3) Accounting Classification Reference Number (ACRN)

 

(4) Payment terms

 

(5) Procuring activity

 

(6) Date supplies provided or services performed

 

(7) Costs incurred and allowable under the contract

 

(8) Vessel (e.g., hip, submarine or other craft) or system for which
supply/service is provided.

 

  (e)   A DD Form 250, “Material Inspection and Receiving Report”,

 

    

¨

   is required with each invoice submittal.     

x

   is required only with the final Invoice.     

¨

   is not required.

 

  (f)   A Certificate of Performance

 

    

¨

   shall be provided with each invoice submittal.     

x

   is not required

 

(g)   The Contractor’s final invoice shall be identified as such, and shall list
all other invoices (if any) previously tendered under this contract.

 

(h)   Costs of performance shall be segregated, accumulated and invoiced to the
appropriate ACRN categories to the extent possible. When such segregation of
costs by ACRN is not possible for invoices submitted with CLINS/SLINS with more
than one ACRN, an allocation ratio shall be established in the same ratio as the
obligations cited in the accounting data so that costs are allocated on a
proportional basis.

 

2.   Submission of Invoices Direct to Payment Office

 

  a)   Pursuant to DFARS 242.803(b)I)(C), if the cognizant Government auditor
has notified the contractor of its authorization to do so, the contractor may
submit interim vouchers under this contract direct to the payment office shown
in Block 12 of SF-26 instead of to the address shown in subparagraph (b) of
section G.1 above.

 

  b)   Such authorization does not extend to the first and final vouchers. The
contractor shall continue to submit first vouchers to the cognizant auditor
shown in subparagraph (b) of section G.1 above. The final voucher shall be
submitted to the Administrative Contracting Officer (SF-26 block 6) with a copy
to the cognizant auditor.

 

Contract Number: N00014-02-C-0302

 

5

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3.   Method of Payment

 

As consideration for the proper performance of the work and services required
under this contract, the Contractor shall be paid as follows:

 

  a)   Costs, as provided for under the contract clause entitled “Allowable Cost
and Payment,” not to exceed the amount set forth as “Estimated Cost” in Section
B, subject to the contract clause entitled “Limitation of Cost” or “Limitation
of Funds” whichever is applicable.

 

4.   Procuring Office Representatives

 

  a)   In order to expedite administration of this contract, the Administrative
Contracting Officer should direct inquiries to the appropriate office listed
below. Please do not direct routine inquiries to the person listed in Item 20A
on Standard Form 26.

 

Contract Negotiator

  

Evelyon T. Fields, ONR 251, (703).696-4515, DSN 426-4515

    

E-Mail Address: fieldse@onr.navy.mil

Inspection and Acceptance -

  

Dr. Harry Dietrich, ONR 312, (703) 696-0240

    

DSN 426-0240, E-Mail Address: dietrih@onr.navy.mil

Security Matters - Ms. Jennifer Ramsey, ONR 43, (703) 696-4618, DSN 426-4618

Patent Matters - Mr. Tom McDonnell, ONR OOCC, (703) 696-4000, DSN 426-4000.

 

  b)   The Administrative Contracting Officer will forward invention disclosures
and reports directly to Corporate Counsel (Code OOCC), Office of Naval Research,
Department of the Navy, Arlington, Virginia 22217-5660. The Corporate Counsel
will return the reports along with a recommendation to the Administrative
Contracting Officer. The Corporate Counsel will represent the Contracting
Officer with regard to invention reporting matters arising under this contract.

 

5.   Allotment of Funds

 

It is hereby understood and agreed that the Government’s share of this contract
will not exceed a total amount of [***]. The total amount presently available
for payment and allotted to this contract is [***]. It is estimated that the
amount allotted of [***]will cover the period from the effective date of the
contract (See date in Block 20C of the Standard Form 26) through eleven (11)
months thereafter.

 

6.   Consent to Subcontract and/or Hire Consultants

 

The services of the following subcontractors have been identified as necessary
for the performance of this contract:

 

Identified
Subcontactor

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Estimated Cost

Base

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

 

Estimated Cost

Option

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Case Western University

     [***]   [***]

Carnegie Mellon University

     [***]   [***]

Purdue University

     [***]   [***]

 

Contract Number: N00014-02-C-0302

[***] 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.

 

6

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The preceding listing shall constitute the written consent of the Contracting
Officer required by Paragraphs (c), (d) and (e) of the contract clause at FAR
52.244-2 entitled “Subcontracts”. The Contracting Officer’s written consent to
subcontract is required for:

 

  (i)   services acquired under a cost-reimbursement, time-and-materials, or
labor-hour type subcontract or agreement;

 

  (ii)   fixed price contracts that exceed the greater of [***] of the total
estimated cost of the contract;

 

This consent is based upon the information submitted by the prime contractor in
accordance with FAR 52.244-2 (f) (1) (i) through (vii).

 

7.   Tvpe of Contract

 

This is a cost sharing (completion) contract.

 

SECTION H - SPECIAL CONTRACT REQUIREMENTS

 

1.   ONR 5252.235-9714 REPORT PREPARATION (FEB 2002)

 

Scientific or technical reports prepared by the Contractor and deliverable under
the terms of this contract will be prepared in accordance with format
requirements contained in ANSI/NISO Z39.18-1995, Scientific and Technical
Reports: Elements, Organization, and Design.

 

[NOTE: All NISO American National Standards are available as free, downloadable
pdf(s) at http://www.niso.org/standards/index.html. NISO standards can also be
purchased in hardcopy form from NISO Press Fulfillment, P. O. Box 451, Annapolis
Junction, MD 20701-0451 USA. Telephone U.S. and Canada: (877) 736-6476; Outside
the U.S. and Canada: 301-362-6904; Fax: 301-206-9789.]

 

2.   ONR 5252.210-9708 METRICATION REQUIREMENTS (DEC 1988)

 

a) All scientific and technical reports delivered pursuant to the terms of this
contract shall identify units of measurement in accordance with the
international System of Units (SI) commonly referred to as the “Metric System”.
Conversion to U.S. customary units may also be given where additional clarity is
deemed necessary. Guidance for application of the metric system is contained in
the American Society of Testing Materials document entitled “Standard Practice
for Use of the International System of Units (The Modernized Metric System)”
(ASTM Designation E 380-89A)

 

b) This provision also applies to journal article preprints, reprints,
commercially published books or chapters of books, theses or dissertations
submitted in lieu of a scientific and/or technical report.

 

3.   Invention Disclosures and Reports

 

The Contractor shall submit all invention disclosures and reports required by
the Patent Rights clause of this contract to the Administrative Contracting
Officer.

 

Contract Number: N00014-02-C-0302

[***] 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.

 

7

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4.   ONR 5252.242-9718 TECHNICAL DIRECTION (FEB 2002)

 

a) Performance of the work hereunder is subject to the technical direction of
the Program Officer/COR designated in this contract, or duly authorized
representative. For the purposes of this clause, technical direction includes
the following:

 

1) Direction to the Contractor which shifts work emphasis between work areas or
tasks, requires pursuit of certain lines of inquiry, fills in details or
otherwise serves to accomplish the objectives described in the statement of
work;

 

2) Guidelines to the Contractor which assist in the interpretation of drawings,
specifications or technical portions of work description.

 

b) Technical direction must be within the general scope of work stated in the
contract. Technical direction may not be used to.

 

1) Assign additional work under the contract;

 

2) Direct a change as defined in the contract clause entitled “Changes”;

 

3) Increase or decrease the estimated contract cost, the fixed fee, or the time
required for contract performance; or

 

4) Change any of the terms, conditions or specifications of the contract.

 

c) The only individual authorized to in any way amend or modify any of the terms
of this contract shall be the Contracting Officer. When, in the opinion of the
Contractor, any technical direction calls for effort outside the scope of the
contract or inconsistent with this special provision, the Contractor shall
notify the Contracting Officer in writing within ten working days after its
receipt. The Contractor shall not proceed with the work affected by the
technical direction until the Contractor is notified by the Contracting Officer
that the technical direction is within the scope of the contract.

 

d) Nothing in the foregoing paragraphs may be construed to excuse the Contractor
from performing that portion of the work statement which is not affected by the
disputed technical direction.

 

5.   ONR 5252.237-9705 Key Personnel (DEC 88)

 

a) The Contractor agrees to assign to the contract tasks those persons whose
resumes were submitted with its proposal and who are necessary to fulfill the
requirements of the contract as “key personnel”. No substitutions may be made
except in accordance with this clause.

 

b) The Contractor understands that during the first ninety (90) days of the
contract performance period, no personnel substitutions will be permitted unless
these substitutions are unavoidable because of the incumbent’s sudden illness,
death or termination of employment. In any of these events, the Contractor shall
promptly notify the Contracting Officer and provide the information described in
paragraph (c) below. After the initial ninety (90) day period the Contractor
must submit to the Contracting Officer all proposed substitutions, in writing,
at least 30 days in advance (60 days if security clearance must be obtained) of
any proposed substitution and provide the information required by paragraph (c)
below.

 

Contract Number: N00014-02-C-0302

 

8

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c) Any request for substitution must include a detailed explanation of the
circumstances necessitating the proposed substitution, a resume for the proposed
substitute, and any other information requested by the Contracting Officer. Any
proposed substitute must have qualifications equal to or superior to the
qualifications of the incumbent. The Contracting Officer or his/her authorized
representative will evaluate such requests and promptly notify the Contractor in
writing of his/her approval or disapproval thereof.

 

d) In the event that any of the identified key personnel cease to perform under
the contract and the substitute is disapproved, the contract may be immediately
terminated in accordance with the Termination clause of the contract.

 

Labor Category

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

  

Name of Key Person

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

[***]

  

[***]

[***]

  

[***]

[***]

  

[***]

[***]

  

[***]

[***]

  

[***]

 

6.   Controlled Unclassified Information

 

The parties understand that information and materials provided pursuant to or
resulting from this contract may be export controlled, sensitive, for official
use only, or otherwise protected by law, executive order or regulation. The
Contractor is responsible for compliance with all applicable laws and
regulations. Nothing in this Contract shall be construed to permit any
disclosure in violation of those restrictions.

 

7.   [***]  [***]

 

SECTION I - CONTRACT CLAUSES

 

Cost Sharing     (MAY 2002) (1)

 

Attention: Prime Contractors. If a subaward is made to an educational
institution, Prime Contractors are directed to please refer to the ONR Mode
.Award for appropriate flow-down clauses to universities. See
http://www.onr.navy. mil. click Contracts & Grants Icon. Click Model Awards Link
Click Section I clauses that flowdown to University subcontractors.

 

[***] 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-0302

 

9

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(A) FAR 52.252-02 CLAUSE 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 these addresses:

 

http://www.arnet.gov/far/

http://webl.deskbook.osd.mil/htmlfiles/DBY far.asp

http://web2.deskbook.osd.mil/htmlfiles/DBY dfars.asp

http://farsite.hill.af mil/farsite_script.html

 

For instance, a dollar threshold may trigger the applicability of the clause or
a certain condition of the research may trigger the applicability of the clause.
In order to provide some assistance, as to when a dollar threshold triggers a
clause, we have associated certain symbols with dollar thresholds. The symbols
and their appropriate dollar thresholds are as follows:

 

*

  

Applies when contract action exceeds $10,000

**

  

Applies when contract action exceeds $100,000

+

  

Applies when contract action exceeds $500,000

++

  

Applies when contract action exceeds $500,000 and subcontracting possibilities
exist. Small Business Exempt.

x

  

(DD 250)

xx

  

Not applicable

 

I. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES:

 

    **    

  

FAR 52.202-1

  

Definitions (DEC 2001)

**

  

FAR 52.203-3

  

Gratuities (APR 1984)

**

  

FAR 52.203-5

  

Covenant Against Continent Fees (APR 1984)

**

  

FAR 52.203-6

  

Restrictions on Subcontractor Sales to the Government (JUL 1995)

**

  

FAR 52.203-7

  

Anti-Kickback Procedures (JUL 1995)

**

  

FAR 52.203-8

  

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

**

  

FAR 52.203-10

  

Price or Fee Adjustment for Illegal or Improper Activity (JAN 1997)

**

  

FAR 52.203-12

  

Limitation on Payments to Influence Certain Federal Transactions (JUN 1997)

**

  

FAR 52.204-4

  

Printing/Copying Double-Sided on Recycled Paper (AUG 2000)

    

FAR 52.211-15

  

Defense Priority and Allocation Requirements (SEP 1990)

**

  

FAR 52.215-2

   Audit and Records -Negotiation (JUN 1999) and Alternate II (APR 1998)
(Alternate II is only applicable with cost reimbursement contracts with State
and local Governments, educational institutions, and other non-profit
organizations.)     

FAR 52.215-8

  

Order of Precedence - Uniform Contract Format (OCT 1997)

+

  

FAR 52.215-10

   Price Reduction for the Defective Cost or Pricing Data (OCT 1997) (The clause
is applicable to subcontracts over $550,000.)

+

  

FAR 52.215-.12

  

Subcontractor Cost or Pricing Data (OCT 1997) (Applicable to subcontracts over
$550,000 only)

**

  

FAR 52.215-14

   Integrity of Unit Prices (OCT 1997) and Alternate I (OCT 1997) (Alternate I
is applicable if the action is contracted under Other Than Full and Open
Competition)

+

  

FAR 52.215-15

  

Pension Adjustments and Asset Reversions (DEC 1998)

+

  

FAR 52.215-18

  

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

+

  

FAR 52.215-19

  

Notification of Ownership Changes (OCT 1997) (Applicable when Cost or Pricing
Data is required)

    

FAR 52.216-7

  

Allowable Cost and Payment (FEB 2002)

 

Contract Number: N00014-02-C-0302

 

10

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

    

FAR 52.216-8

  

Mixed Fee (MAR 1997)

    **    

  

FAR 52.219-4

  

Notice of Price Evaluation Preference for HUBzone Small Business Concerns (JAN
1999)

**

  

FAR 52.219-8

  

Utilization of Small Business Concerns (OCT 2000)

++

  

FAR 52.219-9

  

Small Business Subcontracting Plan (JAN 2002)

++

  

FAR 52.219-16

  

Liquidated Damages - Subcontracting Plan (JAN 1999)

    

FAR 52.222-1

  

Notice to the Government of Labor Disputes (FEB 1997)

**

  

FAR 52.222-2

   Payment for Overtime Premiums (JUL 1990) (Note: The word “zero” is inserted
in the blank space indicated by an asterisk)     

FAR 52.222-3

  

Convict Labor (AUG 1996) (Reserved when FAR 52.222-20 Walsh Healy Public
Contracts Act is applicable)

**

  

FAR 52.222-4

  

Contract Work Hours and Safety Standards Act - Overtime Compensation (SEP 2000)

    

FAR 52.222-21

  

Prohibition of Segregated Facilities (FEB 1999)

    

FAR 52.222-26

  

Equal Opportunity (APR 2002)

*

  

FAR 52.222-35

   Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era,
and Other Eligible Veterans (DEC 2001 1998)

*

  

FAR 52.222-36

  

Affirmative Action for Workers with Disabilities (JUN 1998)

*

  

FAR 52.222-37

   Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era,
and Other Eligible Veterans (DEC 2001)

**

  

FAR 52.223-14

  

Toxic Chemical Release Reporting (OCT 2000)

    

FAR 52.225-13

  

Restrictions on Certain Foreign Purchases (JUL 2000)

**

  

FAR 52.227-1

  

Authorization and Consent (JUL 1995) and Alternate I (APR 1984)

**

  

FAR 52.227-2

  

Notice and Assistance Regarding Patent and Copyright Infringement (AUG 1996)

    

FAR 52.228-7

   Insurance Liability to Third Persons (MAR 1996) (Further to paragraph (a)(3),
unless otherwise stated in this contract, types and limits of insurance required
are as stated in FAR 28:307-2)     

FAR 52.232-9

  

Limitation on Withholding of Payments (APR 1984)

**

  

FAR 52.232-17

  

Interest (JUN 1996)

    

FAR 52.232-23

  

Assignment of Claims (JAN 1986) and Alternate I (APR 1984)

    

FAR 52.232-25

   Prompt Payment (FEB 2002) and Alternate I (FEB 2002) (The words “the 30th
day” are inserted in lieu of “the 7th day” at (a)(5)(i). [When Alternate I is
applicable (a)(5)(i) does do not apply] [Alternate I applies when awarding a
cost reimbursement contract for services]     

FAR 52.232-33

  

Payment by Electronic Funds Transfer- Central Contractor Registration (MAY 1999)

    

FAR 52.233-1

  

Disputes (DEC 1998)

    

FAR 52.233-3

  

Protest After Award (AUG 1996) and Alternate I (JUN 1985)

    

FAR 52.242-1

  

Notice of Intent to Disallow Costs (APR 1984)

+

  

FAR 52.242-3

  

Penalties for Unallowable Costs (MAY 2001)

    

FAR 52.242-4

  

Certification of Final Indirect Costs (JAN 1997)

**

  

FAR 52.242-13

  

Bankruptcy (JUL 1995)

    

FAR 52.242-15

  

Stop Work Order (AUG 1989) and Alternate I (APR 1984)

    

FAR 52.244-2

  

Subcontracts (AUG 1998) and Alternate I (AUG 1998)

[Insert in cost-reimbursement contracts, and letter, time-and-material, and
labor- hour contracts exceeding SAP, and fixed price contracts exceeding SAP
where unpriced actions are anticipated. Use Alternate I for cost-reimbursement
contracts]

**

  

FAR 52.244-5

  

Competition in Subcontracting (DEC 1996)

    

FAR 52.244-6

  

Subcontracts for Commercial Items and Commercial Components (APR 2002)

    

FAR 52.245-5

   Government Property (Cost-Reimbursement, Time-and-Materials, or Labor-Hour
Contracts) (JAN 1986) and ALT I (JUL 1985) (As modified by DoD Class Deviation
99-00008 dated 13 July 1999) (ALT I is applicable if the contractor is a
nonprofit organization whose primary purpose is the conduct of scientific
research)

**

  

FAR 52.247-64

  

Preference for Privately Owned U.S. Flag Commercial Vessels (JUN 2000)

 

Contract Number: N00014-02-C-0302

 

11

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

   

FAR 52.249-6

  

Termination (Cost-Reimbursement) (SEP 1996)

   

FAR 52.249-14

  

Excusable Delays (APR 1984)

   

FAR 52.251-1

  

Government Supply Sources (APR 1984)

   

FAR 52.253-1

  

Computer Generated Forms (JAN 1991)

II. DEPARTMENT OF DEFENSE FAR SUPPLEMENTAL (DFARS) (48 CFR CHAPTER 2) CLAUSES:

    **    

  DFARS 252.203-7001   

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

    DFARS 252.204-7003   

Control of Government Work Product (APR 1992)

    DFARS 252.204-7004   

Required Central Contractor Registration (NOV 2001)

**

  DFARS 252.209-7000    Acquisition from Subcontractors subject to On-Site
Inspection under the Intermediate Range Nuclear Forces (INF) Treaty (NOV 1995)

**

  DFARS 252.209-7004    Subcontracting with Firms That Are Owned or Controlled
by the Government of a Terrorist Country (MAR 1998)

+

  DFARS 252.215-7000   

Pricing Adjustments (DEC 1991)

++

  DFARS 252.219-7003    Small, Small Disadvantaged and Women-owned Small
Business Subcontracting Plan (DoD Contracts) (APR 1996)

**

  DFARS 252.225-7012   

Preference for Certain Domestic Commodities (APRIL 2002)

    DFARS 252.225-7031   

Secondary Arab Boycott of Israel (JUN 1992)

    DFARS 252.227-7013   

Rights in Technical Data - Noncommercial Items (NOV 1995), and Alternate I (JUN
1995)

    DFARS 252.227-7014    Rights In Noncommercial Computer Software and
Noncommercial Computer Software Documentation (JUN 1995)     DFARS 252.227-7016
  

Rights in Bid or Proposal Information (JUN 1995)

    DFARS 252.227-7019   

Validation of Asserted Restrictions - Computer Software (JUN 1995)

    DFARS 252.227-7025    Limitations on the Use or Disclosure of
Government-Furnished Information Marked with Restrictive Legends (JUN 1995)    
DFARS 252.227-7028   

Technical Data or Computer Software Previously Delivered to the Government (JUN
1995)

    DFARS 252.227-7030   

Technical Data - Withholding of Payment (MAR 2000

    DFARS 252.227-7036   

Declaration of Technical Data Conformity (JAN 1997)

    DFARS 252.227-7037   

Validation of Restrictive Markings on Technical Data (SEP 1999)

    DFARS 252.231-7000    Supplemental Cost Principles (DEC 1991)     DFARS
252.242-7000   

Post-Award Conference (DEC .1991)

**

  DFARS 252.243-7002   

Requests for Equitable Adjustment (MAR 1998)

    DFARS 252.245-7001   

Reports of Government Property (MAY 1994)

X

  DFARS 252.246-7000   

Material Inspection and Receiving Report (DEC 1991)

    DFARS 252.251-7000   

Ordering from Government Supply Sources (MAY 1995)

**

  DFARS 252.247-7023   

Transportation of Supplies by Sea (MAR 2000)

**

  DFARS 252.247-7024    Notification Of Transportation Of Supplies By Sea (MAR
2000) (Applicable when the Contractor has made a negative response to the
inquiry in the representation at DFARS 252.247-7022.)     DFARS 252.251-7000   

Ordering from Government Supply Sources (MAY 1995)

 

(B) ADDITIONAL FAR AND DFARS CLAUSES

 

This contract incorporates one or more clauses by reference as indicated by the
mark of (X), 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 address:
http://www.arnet.gov/far

 

Contract Number: N00014-02-C-0302

 

12

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

    

FAR 52.204-2

   Security Requirements (AUG 1996) (Applicable if contract will generate or
require access to classified information and DD Form 254, Contract Security
Classification Specification, is issued to the contractor)

    X    

  

FAR 52.209-6

   Protecting the Government’s Interest when Subcontracting with Contractors
Debarred, Suspended, or Proposed for Debarment (JUL 1995) (Applicable to
contracts exceeding $25,000 in value.)     

FAR 25.215-17

   Waiver of Facilities Capital Cost of Money (OCT 1997) (Applicable if the
Contractor did not propose facilities capital cost of money in the offer)

X

  

FAR 52.215-20

   Requirements for Cost or Pricing Data or Information Other Than Cost or
Pricing Data (OCT 1997) (Applicable if cost or pricing data or information other
than cost or pricing data are required)

X

  

FAR 52.215-21

   Requirements for Cost or Pricing Data or Information Other Than Cost or
Pricing Data – Modifications (OCT 1997) (Applicable if cost or pricing data or
information other than cost or pricing data will be required for modifications)

X

  

FAR 52.217-9

   Option to Extend the Term of the Contract (MAR 2000) (In paragraph (a),
insert “the period of performance”, and in paragraph (c), insert “24 months”)
(Applicable if contract contains line item(s) for option(s)) (Complete the
spaces in parentheses)     

FAR 52.219-3

  

Notice of Total HUBZone Set-Aside (JAN 1999)

    

FAR 52.219-5

  

Very Small Business Set-Aside (MAR 1999) (For actions between $2,500 and
$50,000)

    

FAR 52.219-6

   Notice of Total Small Business Set-Aside (JUL 1996), and Alternate I (OCT
1995) (Applicable to total small business set-asides, including SBIR)     

FAR 52.219-7

  

Notice of Partial Small Business Set-Aside (JUL 1996) and Alternate I (OCT 1995)

    

FAR 52.219-10

   Incentive Subcontracting Program (OCT 2001) (Applicable at the PCO’s
discretion to contract actions exceeding $500,000 and when subcontracting
possibilities exist. The clause is small business exempt) (In paragraph (b),
insert the appropriate number between 0 and 10 – “N.A.”) (Complete the space in
the parentheses)     

FAR 52.219-25

   Small Disadvantaged Business Participation Program – Disadvantaged Status and
Reporting (OCT 1999) (Applicable if contract includes FAR 52.219-24)     

FAR 52.219-26

   Small Disadvantaged Business Participation Program – Incentive Subcontracting
Program (OCT 2000) (Applicable at the PCO’s discretion to contract actions
exceeding $500,000 and when subcontracting possibilities exist. The clause is
small business exempt) (In paragraph (b), insert the appropriate number between
0 and 10 – “N.A.”) (Complete the space in the parentheses)

X

  

FAR 52.222-20

   Walsh Healy Public Contracts Act (DEC 1996) (Applicable if the contract
includes deliverable materials, supplies, articles or equipment in an amount
that exceeds or may exceed $10,000)     

FAR 52.223-5

   Pollution Prevention and Right-to-Know Information (APR 1998) (Applicable if
contract provides for performance, in whole or in part, on a Federal facility)

X

  

FAR 52.223-6

   Drug-Free Workplace (MAY 2001) (Applies when contract action exceeds $100,000
or at any value when the contract is awarded to an individual)

 

Contract Number: N00014-02-C-0302

 

13

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

    

FAR 52.230-2

   Cost Accounting Standards (APR 1998) (Applicable when contract amount is over
$500,000, if contractor is subject to full CAS coverage, as set forth in 48 CFR
Chapter 99, Subpart 9903.201-2(a) (FAR Appendix B)

    X    

  

FAR 52.230-3

   Disclosure and Consistency of Cost Accounting Practices (APR 1998)
(Applicable when contract amount is over $500,000 but less than $25 million, and
the offeror certifies it is eligible for and elects to use modified CAS coverage
as set forth in 48 CFR Chapter 99, Subpart 9903.201-2 (FAR Appendix B)

X

  

FAR 52.230-6

   Administration of Cost Accounting Standards (NOV 1999) (Applicable if
contract is subject to either clause at FAR 52.230-2, FAR 52.230-3 or FAR
52.230-5)

X

  

FAR 52.232-20

  

Limitation of Cost (APR 1984) (Applicable only when contact action is fully
funded)

X

  

FAR 52.232-22

  

Limitation of Funds (APR 1984) (Applicable only when contract action is
incrementally funded)

    

FAR 52.239-1

   Privacy or Security Safeguards (AUG 1996) (Applicable to contracts for
information technology which require security of information technology, and/or
are for the design, development, or operation of a system of records using
commercial information technology services or support services.)     

FAR 52.245-18

   Special Test Equipment (FEB 1993) Applicable when it is anticipated that the
contractor will acquire or fabricate special test equipment but the exact
identification of the equipment is not know)

X

  

DFARS 252.203-7002

   Display of DoD Hotline Poster (DEC 1991) (Applicable only when contract
action exceeds $5 million or when any modification increases contract amount to
more than $5 million)

X

  

DFARS 252.204-7000

   Disclosure of Information (DEC 1991) (Applies when Contractor will have
access to or generate unclassified information that may be sensitive and
inappropriate for release to the public)     

DFARS 252.204-7005

   Oral Attestation of Security Responsibilities (NOV 2001) (Applicable if FAR
52.204-2, Security Requirements Applies)

X

  

DFARS 252.205-7000

   Provision of Information to Cooperative Agreement Holders (DEC 1991)
(Applicable only when contract action exceeds $500,000 or when any modification
increases total contract amount to more than $500,000)

X

  

DFARS 252.215-7002

   Cost Estimating System requirements (Oct 1998) (Applicable only to contract
actions awarded on the basis of certified cost or pricing data)     

DFARS 252.223-7004

   Drug-Free Work Force (SEP 1988) (Applicable (a) if contract involves access
to classified information: or (b) when the Contracting Officer determines that
the clause is necessary for reasons of national security or for the purpose of
protecting the health or safety of performance of the contract.     

DFARS 252.223-7006

   Prohibition on Storage and Disposal of Toxic and Hazardous Materials (APR
1993) (Applicable if work requires, may require, or permits contractor
performance on a DoD installation)     

DFARS 252.225-7001

   Buy American Act and Balance of Payments Program (MAR 1998) (Applicable if
the contract includes deliverable supplies) (This clause does not apply if an
exception to the Buy American Act or Balance of Payments Program is known or if
using the clause at 252.225-7007, 252.225-7021, or 252.225-7036.)     

DFARS 252.225-7002

   Qualifying Country Sources as Subcontractors (DEC 1991) (Applicable when
clause at DFARS 252.225-7001, 252.227-7007, 252.227-7021, or 252.227-7036
applies)

 

Contract Number: N00014-02-C-0302

 

14

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

    

DFARS 252.225-7007

   Buy American Act – Trade Agreements – Balance of Payments Program (SEP 2001)
(Use instead of FAR 52.225-5, Trade Agreements (Include in contracts valued at
$186,000 or more, if the Trade Agreements Act applies (see 25.401 and 25.403)
and the agency has determined that the restrictions of the Buy American Act or
Balance of Payments Program are not applicable to U.S. – made end products,
unless the acquisition is to be awarded and performed outside the Untied States
in support of a contingency operation or a humanitarian or peacekeeping
operation and does not exceed the increase simplified acquisition threshold of
$200,000.) The clause need not be used where purchase from foreign sources is
restricted (see 225.401 (b)(ii)). The clause may be used where the contracting
officer anticipates a waiver of the restriction.)     

DFARS 252.225-7008

   Supplies to be Accorded Duty-Free Entry (MAR 1998) (Applicable when the
contract provides for duty-free entry and includes FAR 52.225-8 – Duty-Free
Entry)     

DFARS 252.225-7009

   Duty-Free Entry – Qualifying Country Supplies (End Products and Components)
(AUG 2000) (Applicable if contract includes deliverable supplies)     

DFARS 252.225-7010

   Duty-Free Entry – Additional Provisions (AUG 2000) (Applicable when FAR
52.225-8 – Duty-Free Entry is included in the contract.)     

DFARS 252.225-7016

   Restriction On Acquisition Of Ball And Roller Bearings (DEC 2000) (Applicable
if contract includes deliverable supplies, unless Contracting Officer knows that
items being acquired do not contain ball or roller bearings)

    X    

  

DFARS 252.225-7026

   Reporting of Contract Performance Outside the United States (JUN 2000)
(Applicable only when contract value exceeds $500,000 or when any modification
increases contract value to more than $500,000)     

DFARS 252.226-7001

   Utilization of Indian Organizations and Indian-Owned Economic Enterprises
(SEP 2001) [(Applicable if FAR Part 12 not used, and for supplies and services
expected to exceed SAP thresholds) (This Interim Rule replaces FAR 52.226-1 (JUN
2000) via DFARS Chg Ntc 200110911]     

DFARS 252.227-7018

   Rights in Noncommercial Technical Data and Computer Software – Small Business
Innovation Research (SBIR) Program (JUN 1995) (Applicable when technical data or
compute software will be generated during performance of contracts under the
SBIR Program)

X

  

DFARS 252.242-7004

   Material Management and Accounting System (DEC 2000) (Applicable to contract
actions exceeding $100,000) (Not applicable to contracts set aside for exclusive
participation by small business and small disadvantaged business concerns) C.
COST SHARING -NO FEE RESEARCH AND DEVELOPMENT CLAUSFS The following FAR and
DFARS clauses apply to Cost Sharing - No Fee Research and Development Contracts
and are either required
by regulation or are required when the circumstances of the contract warrant
that they apply. The FAR and DFARS clauses for Cost-
Sharing Research and Development Contracts only apply when specifically marked
with an (X).:     

FAR 52.216-11

   Cost Contract – No Fee (APR 1984) and Alternate I (APR 1984) Replace
52.216-8) [This clause may be modified by substituting “$10,000” in lieu of
“$100,000” as the maximum reserve in paragraph (b) if the Contractor is a
nonprofit organization.]

    X    

  

FAR 52.216-12

  

Cost Sharing Contract – No Fee (APR 1984)

 

Contract Number: N00014-02-C-0302

 

15

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

    

FAR 52.227-10

   Filing of Patent Applications – Classified Subject Matter (APR 1984)
(Applicable if contract is subject to FAR clause 52.204-02 and either 52.227-11
or 52.227-12)     

FAR 52.227-11

   Patent Rights – Retention by the Contractor (Short Form) (JUN 1997)
(Applicable if contractor is a small business or non profit organization)     

OR

    

    X    

  

FAR 52.227-12

   Patent Rights – Retention by the Contractor (Long Form) (JAN 1997)
(Applicable if contractor is a large business)

X

  

FAR 52.246-9

  

Inspection of Research and Development (Short Form) (Apr 1984)

    

FAR 52.247-63

  

Preference for U.S.-Flag Air Carriers (JAN 1997)

    

DFARS 252.227-7034

  

Patents – Subcontracts (APR 1984) (Applicable when FAR 52.227-11 applies)

    

DFARS 252.227-7039

  

Patents – Reporting of Subject Inventions (APR 1990) (Applicable when FAR
52.227-11 applies)

X

  

DFARS 252.235-7011

  

Final Scientific Or Technical Report (Sep 1999)

 

SECTION J - LIST OF ATTACHMENTS

 

1)   EXHIBIT A entitled, “Contract Data Requirements List” (DD Form 1423) - 1
page with Enclosure Number 1 entitled, “Contract Data Requirements List -
Instructions for Distribution” - 3 pages.

 

2)   Attachment Number 1 entitled, “Statement of Work” - 6 pages.

 

3)   Attachment Number 2 entitled, “Deliverables” - 1 page.

 

4)   Attachment Number 3 entitled, “Master Small Business Subcontracting Plan,”
and “Contract Specific Subcontracting Plan” - 13 pages.

 

5)   Attachment Number 4 entitled, “Financial Accounting Data Sheet,” I page.

 

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFEROR

 

The Contractor’s Representations and Certifications, dated 03 APR 2002, are
hereby incorporated into this contract by reference.

 

Contract Number: N00014-02-C-0302

 

16

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

CONTRACT DATA REQUIREMENTS LIST

                 

Form Approved

OMB No. 0704-0188

              

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

Public reporting burden for this collection of information is estimated to
average 440 hours per response, including the time for reviewing instructions,
searching existing data source, 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 or information,
including suggestions for reducing this burden, to Washington Headquarters
Services Directorate for information Operations and Reports, 1215 Jefferson
Davis Highway, Suite 1204, Arlington, VA 22202-4302.

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

A. CONTRACT LINE ITEM NO.

         B. CONTRACT LINE ITEM NO.           C. CATEGORY                        
           

0003 (and Option CLIN 0006 if exercised)

                         A               TOP           TM    OTHER    x        

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

D. SYSTEM/ITEM

[***]

 

E. CONTRACT/PR NO.

N00014-02-0302

                    

F. CONTRACTOR

CREE INC.

.

                   

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

1. DATA ITEM NO.

A001

  

2. TITLE OF DATA ITEM

Monthly Status Reports*

                   3. SUBTITLE

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

4. AUTHORITY (Data Acquisition Document No.)

  

5. CONTRACT REFERENCE

Section H.1 of Schedule

                

6. REQUIRING OFFICE

See Section F.4

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

7. DD 250 REQ

LT*

   9. DIST STATEMENT REQUIRED   

10. FREQUENCY

Monthly

    

12. DATE OF FIRST SUBMISSION

30 days after the effective date of the
Contract

  

14.                 DISTRIBUTION

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

      ADDRESSEE                 b. COPIES

                                                                   

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

   

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

   

8. APP CODE

       

11. AS OF DATE

See Blk 12,

    

13. DATE OF SUBSEQUENT
SUBMISSION

Every 30 days thereafter

            

Draft

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

                    REQ

 

Final

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

    REPRO

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

16. REMARKS

* These monthly reports shall contain the following major accomplishments,
issues, problems, monthly dollar expenditures on a comprehensive/cumulative
basis as well as a comparison of projected versus actual expenditures, and plans
for next month and next 3 months. The reports may be submitted electronically,
may be approximately two pages in length, and can be in contractor format.

  

See Enclosure Number 1

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

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

15. TOTAL

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

1. DATA ITEM NO.

A002

  

2. TITLE OF DATA ITEM

Presentation Materials*

  3. SUBTITLE

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

4. AUTHORITY (Data Acquisition Document No.)

    

5. CONTRACT REFERENCE

Section H.1 of Schedule

 

6. REQUIRING OFFICE

See Section F.4

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

7. DD 250 REQ

LT*

   9. DIST STATEMENT REQUIRED   

10. FREQUENCY

As Required

    

12. DATE OF FIRST SUBMISSION

*

  

14. DISTRIBUTION

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

      ADDRESSEE        b. COPIES

                                                                   

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

   

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

   

8. APP CODE

       

11. AS OF DATE

*

    

13. DATE OF SUBSEQUENT
SUBMISSION

*

            

Draft

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

            REQ

 

Final

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

    REPRO

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

16. REMARKS

* The presentation materials will be on an as-required basis in a format to be
requested by the Program Officer.

  

See Enclosure Number 1

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

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

15. TOTAL

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

1. DATA ITEM NO.

A003

  

2. TITLE OF DATA ITEM

Final Report*

  3. SUBTITLE

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

4. AUTHORITY (Data Acquisition Document No.)

    

5. CONTRACT REFERENCE

Section H.1 of Schedule

 

6. REQUIRING OFFICE

See Section F.4

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

7. DD 250 REQ

DD

   9. DIST STATEMENT REQUIRED   

10. FREQUENCY

ONE/R

    

12. DATE OF FIRST SUBMISSION

See Section F

  

14. DISTRIBUTION

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

      ADDRESSEE    b. COPIES

                                                                   

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

   

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

   

8. APP CODE

        11. AS OF DATE      13. DATE OF SUBSEQUENT
SUBMISSION             

Draft

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

            REQ

 

Final

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

    REPRO

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

16. REMARKS

* DD 250 required only for acceptance by the Program Officer designated in
Section F.2. Information copies of this report shall be distributed in
accordance with Enclosure Number 1.

  

See Enclosure Number 1

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

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

15. TOTAL

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

1. DATA ITEM NO.

A004

  

2. TITLE OF DATA ITEM

Semi-Annual Progress Report*

  3. SUBTITLE

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

4. AUTHORITY (Data Acquisition Document No.)

    

5. CONTRACT REFERENCE

Section H.1 of Schedule

 

6. REQUIRING OFFICE

See Section F.4

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

7. DD 250 REQ

LT*

   9. DIST STATEMENT REQUIRED   

10. FREQUENCY

Semi-Annual

    

12. DATE OF FIRST SUBMISSION

6 Months after contract effective date

  

14. DISTRIBUTION

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

        ADDRESSEE            b. COPIES

                                                                   

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

   

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

   

8. APP CODE

        11. AS OF DATE     

13. DATE OF SUBSEQUENT
SUBMISSION

Every 6 months thereafter

            

Draft

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

            REQ

 

Final

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

    REPRO

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

16. REMARKS

* DD 250 required only for acceptance by the Program Officer designated in
Section F.2. Information copies of this report shall be distributed in
accordance with Enclosure Number 1.

  

See Enclosure Number 1

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

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

15. TOTAL

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

G. PREPARED BY

            Evelyon T. Fields, ONR 251

  

H. DATE

Presentation Materials*

  

I. APPROVED BY

ONR 251

                     

J. DATE

26-Jun-02

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

DD Form 1423-2, JUN 90

OVERPRINT (1-91)

   Previous editions are obsolete        

Page 1 of 1 NAVOCNR

 

[***] 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 17

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

ENCLOSURE NUMBER I

CONTRACT DATA REQUIREMENTS LIST

INSTRUCTIONS FOR DISTRIBUTION

 

DISTRIBUTION OF MONTHLY STATUS REPORTS PRESENTATION MATERIALS AND CONTRACT FUNDS
STATUS REPORTS

 

The minimum distribution for monthly reports, presentation materials, and
contract funds status reports is as follows:

 

            NUMBER OF COPIES

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

ADDRESSEE

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

  

DODAAD

CODE

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

    

UNCLASSIFIED/

UNLIMITED

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

    

UNCLASSIFIED/

LIMITED AND

CLASSIFIED

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

Program Officer

E-Mail: dietrih@onr.navy.mil

   N00014      1      1

Administrative Contracting Officer*

   S1103A      1      1

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

*   Send only a copy of the transmittal letter to the Administrative Contracting
Officer; do not send actual reports to the Administrative Contracting Officer.

 

SEMI-ANNUAL REPORTS

 

The minimum distribution of semi-annual reports is as follows:

 

            NUMBER OF COPIES

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

ADDRESSEE

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

  

DODAAD

CODE

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

    

UNCLASSIFIED

/ UNLIMITED

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

    

UNCLASSIFIED/

LIMITED AND

CLASSIFIED

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

Program Officer

E-Mail: dietrih@onr.navy.mil

   N00014      3      3

Administrative Contracting Officer*

   S1103A      1      1

Director, Naval Research Lab

Attn: Code 5227

4555 Overlook Avenue, SW

Washington, D.C. 20375-5320

E-Mail: reports@library.nrl.navy.mil

   N00173      1      1

Defense Technical Information Center

8725 John J. Kingman Road

STE 0944

Ft. Belvoir, VA 22060-6218

E-mail: tr@dtic.mil

   S47031      2      2

Dr. Edgar J. Martinez

Defense Advanced Research Projects Agency

Microsystems Technology Office

3701 Fairfax Drive

Arlington, VA 22203

   MDA972      1      1

Thomas Jenkins

AFRL/SNDM

2241 Avionics Circle RM C2G69

Wright-Patterson AFB, OH 45433-7322

   F33615      1      1

 

CONTRACT NUMBER: N00014-02-C-0302

ATTACHMENT NUMBER 3

   PAGE 1

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

Daniel Judy

Army Research Laboratory

2800 Powder Mill Road

AMSRL-SE-RE

Adelphi, MD 20783-1197

  

DAAD17

   1    1

Evan Glaser

Naval Research Laboratory

4555 Overlook Avenue SW

Code 6877

Washington, DC 20375-5347

  

N00173

   1    1

Dr. John C. Zolper

Defense Advanced Research Projects Agency

Microsystems Technology Office

3701 Fairfax Drive

Arlington, VA 22203

  

MDA972

   1    1

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

*   Send only a copy of the transmittal letter to the Administrative Contracting
Officer, do not send actual reports to the Administrative Contracting Officer.

 

FINAL REPORT DISTRIBUTION

 

The minimum distribution of the final report submitted in connection with this
contract is as follows:

 

            NUMBER OF COPIES

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

ADDRESSEE

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

  

DODAAD

CODE

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

    

UNCLASSIFIED

/ UNLIMITED

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

    

UNCLASSIFIED/

LIMITED AND

CLASSIFIED

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

Program Officer

E-Mail: dietrih@onr.navy.mil

  

N00014

     5      5

Administrative Contracting Officer*

  

S1103A

     1      1

Director, Naval Research Lab

Attn: Code 5227

4555 Overlook Avenue, SW

Washington, D.C. 20375-5320

E-Mail: reports@library.nrl.navy.mil

  

N00173

     1      1

Defense Technical Information Center

8725 John J. Kingman Road

STE 0944

Ft. Belvoir, VA 22060-6218

E-mail: tr@dtic.mil

  

S47031

     2      2

Dr. Edgar J. Martinez

Defense Advanced Research Projects Agency

Microsystems Technology Office

3701 Fairfax Drive

Arlington, VA 22203

  

MDA972

     1      1

Thomas Jenkins

AFRL/SNDM

2241 Avionics Circle RM C2G69

Wright-Patterson AFB, OH 45433-7322

  

F33615

     1      1

Robert Kemerley

AFRL/SND

2241 Avionics Circle, Bldg. 620

Wright-Patterson AFB, OH 45433-7322

  

F33615

     1      1

 

CONTRACT NUMBER: N00014-02-C-0302

ATTACHMENT NO. 3

   PAGE 2

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

Daniel Judy

Army Research Laboratory

2800 Powder Mill Road

AMSRL-SE-RE

Adelphi, MD 20783-1197

  

DAAD17

  

1

  

1

H. Bruce Wallace

Army Research Laboratory

2800 Powder Mill Road

AMSRL-SE-R

Adelphi, MD 20783-1197

  

DAAD17

  

1

  

1

Dr. John C. Zolper

Defense Advanced Research Projects Agency

Microsystems Technology Office

3701 Fairfax Drive

Arlington, VA 22203

  

MDA972

  

1

  

1

Gerald Borsuk

Naval Research Laboratory

4555 Overlook Avenue SW

Code 6800

Washington, DC 20375

  

N00173

  

1

  

1

C. J. (Skip) Scozzie

US Army Research Laboratory

AMSRL-SE-DP

2800 Powder Mill Road

Adelphi, MD 20783-1197

  

DAAD17

  

1

  

1

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

*   Send only a copy of the transmittal letter to the Administrative Contracting
Officer; do not send actual reports to the Administrative Contracting Officer.

 

ELECTRONIC SUBMISSIONS OF TECHNICAL REPORTS IS PREFERRED AND ENCOURAGED.
ELECTRONIC SUBMISSION SHOULD BE SENT TO THE E-MAIL ADDRESSES PROVIDED IN THE
ABOVE TABLE, HOWEVER PLEASE NOTE THE FOLLOWING:

 

  •   Only Unlimited/Unclassified document copies may be submitted by e-mail.

 

  •   Unclassified/Limited has restricted distribution and a classified document
(whether in its entirety or partially) is to be distributed in accordance with
classified material handling procedures.

 

  •   Electronic submission to DIRECTOR, NAVAL RESEARCH LAB, shall be
unclassified/unlimited reports and 30 pages or less. If unclassified and more
than 30 pages, hardcopies of reports must be mailed.

 

  •   Electronic submission to DTIC shall be unclassified/unlimited reports. If
submission is for limited documents, please send them in on a disk or sign up
for DTIC’s web-based document submission system at
http://www.dtic.mil/dtic/submittingelec_subm.html.

 

If the Program Officer directs, the Contractor shall make additional
distribution of technical reports in accordance with a supplemental distribution
list provided by the Program Officer.

 

CONTRACT NUMBER: N00014-02-C-0302

ATTACHMENT NO. 3

   PAGE 3

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

CONTRACT NUMBER N00014-02-C-0302

ATTACHMENT NUMBER 1

 

STATEMENT OF WORK

(4 pages)

 

3.A. STATEMENT OF WORK First 18 months

 

Task Area 1. [***]

 

Cree will develop [***] to meet the high demands of [***]. The primary 18-month
goal is to reduce the [***] in [***].

 

TASK 1.1: Ultra High Quality [***] for [***]

 

Cree will develop [***] material with [***] material.

 

Subtask 1.1.1 We will improve the [***] to allow [***]. In addition, in this
sub-task Cree will also [***].

 

Subtask 1.1.2 Methods of [***] will be developed.

 

Task 1.2. [***]

 

Cree will generate [***]. [***] order of [***] lower than our typical [***]
material will be demonstrated.

 

Subtask 1.2.1 We will design a system that will enable [***], subsequently we
will [***].

 

Subtask 1.2.2 Cree will develop a [***] for [***] that will permit [***] and
[***].

 

Task Area 2. [***]

 

Cree will develop [***] to [***] on [***] suitable for [***] production. This
will be accomplished via the following tasks.

 

TASK 2.1: [***]

 

We will increase the [***] and [***] rate of the [***] while
maintaining/improving the [***].

 

Subtask 2.1.1. We will design and commission [***] to minimize [***] and permit
growth of [***] rates. [***] goal for both [***] and [***] is [***] variation.

 

Subtask 2.1.2. The [***] process will be [***] and [***] processes will also be
evaluated to accelerate the [***] and improve [***].

 

TASK 2.2: [***]

 

We will improve the [***] of the [***]. We will also investigate methods to
minimize the [***] during operation.

 

[***] 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.

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

Subtask 2.2.1. [***] will be evaluated for [***] and [***].

 

Subtask 2.2.2. We will [***] to [***]. [***] on [***] will be evaluated for
[***] including [***] and [***].

 

Task Area 3. [***]

 

Cree will develop [***] and fabricate [***] structures

 

Task 3.1 [***] Development

 

We will carry out [***] and [***] studies on both the [***] and the [***] with
an objective of improving the [***] in an [***] in order to obtain an [***] in
the range [***].

 

Task 3.2 [***]

 

Cree will develop [***] with a [***]. The size of these devices will be [***]
with a reasonable [***].

 

Subtask 3.2.1[***]: Purdue will: (1) use computer simulations to investigate
[***], (2) propose and investigate [***], (3) explore a [***] process for [***]
and [***], and (4) act as liaison with the Purdue/Auburn/Vanderbilt program
investigating [***] related to [***].

 

Task 3.3. [***]

 

Cree will fabricate a total of [***]. These [***] will utilize the [***] grown
to reduce [***]. The [***] will be sized to carry [***] so that the [***] can be
established [***]. The [***] will be packaged in a package which is suitable for
[***] and will be [***].

 

Table 1 Goals for SOW

 

Task/Goal

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

    1.1  

[***]

1.2  

[***]

2.2  

[***]

3.2  

[***]

3.3  

[***]

 

[***] 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.

 

2

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

3.A. STATEMENT OF WORK Optional [***]

 

“The optional tasks stated below represent a continuation of the base program
required to meet the overall goals of the Phase I DARPA Thust lI WBG program. As
such, the task descriptions are, broadly stated, similar to the base program.
The overall goals of the option are more strigent then those for the base effort
and focus on across the board improvements in: [***].”

 

Task Area 1. [***]

 

Cree will develop [***] to meet the high demands of [***]. The primary goal is
to reduce [***] in [***].

 

TASK 1.1: Ultra High Quality [***]

 

Cree will develop [***] material with [***] material.

 

Subtask 1.1.1 We will improve the [***] to allow [***]. In addition, in this
sub-task Cree will also [***].

 

Subtask 1.1.2 Methods of [***] will be optimized.

 

Task 1.2. [***].

 

Cree will generate [***]. [***] orders of [***] lower than our present [***]
material will be demonstrated.

 

Subtask 1.2.1 We will develop [***] in a system that will enable [***].

 

Subtask 1.2.2 Cree will optimize [***] for [***] that will permit [***] and
[***].

 

Task Area 2. [***]

 

Cree will develop [***] to [***] or [***] suitable for [***] production. This
will be accomplished via the following tasks.

 

TASK 2.1: [***]

 

We will increase [***] and [***] while maintaining/improving the [***].

 

Subtask 2.1.1. We will design and commission [***] to minimize [***] and permit
[***] rates [***] goal for both [***] and [***] variation.

 

Subtask 2.1.2. The [***] process will be [***] and [***] processes will also be
evaluated to accelerate the [***] and improve [***].

 

TASK 2.2: [***]

 

We will improve the [***] of the [***]. We will also investigate methods to
minimize the [***] during operation.

 

[***] 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.

 

3

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

Subtask 2.2.1. [***] will be evaluated for [***] and [***].

 

Subtask 2.2.2. We will [***]. [***] on [***] will be evaluated for [***]
including [***]and [***].

 

Task Area 3. [***]

 

Cree will develop [***] and fabricate [***] structures

 

Task 3.1 [***] Development

 

We will carry out [***] and [***] studies on both the [***] and the [***] with
an objective of improving the [***] in an [***] in order to obtain an [***] in
the range [***].

 

Task 3.2 [***]

 

Cree will develop [***] with a [***]. The size of these devices will be [***]
with a [***].

 

Subtask 3.2.1[***]: Purdue will: (1) use computer simulations to investigate
[***], (2) propose and investigate [***], (3) explore [***] process for [***]
and [***], and (4) act as liaison with the Purdue/Auburn/Vanderbilt program
investigating [***] related to [***].

 

Task 3.3. [***]

 

Cree will fabricate a total of [***]. These [***] utilize the [***] grown to
reduce [***]. The [***] will be sized to carry a [***] so that the [***] can be
established [***]. The [***] will be packaged in a package which is suitable for
[***] and will be [***].

 

Table 1A. Task Goals for SOW

 

Task/Goal

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

    1.1  

[***]

1.2  

[***]

2.2  

[***]

3.2  

[***]

3.3  

[***]

 

[***] 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.

 

4

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

CONTRACT N00014-02-C-0302

ATTACHMENT NUMBER 2

 

DELIVERABLES

 

         

Quantity

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

   (Base Effort, Q1-6)

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

   (Option Effort, Q7-8)

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

              Q1

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

   Q2

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

   Q3

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

   Q4

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

   Q5

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

   Q6

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

   Q7

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

   Q8

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

   Comment

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

    

Deliverable

                                                 

1

  

[***]

        X                                       5

2

  

[***]

   5    X    X    X    X                        1

3

  

[***]

   5                        X    X    X    X    1

4

  

[***]

   5         X    X    X    X    X    X    X    1

5

  

[***]

   5         X    X    X    X    X    X    X    Best Effort

6

  

[***]

   1         X    X    X    X    X    X    X    Best Effort

7

  

[***]

   5         X    X    X    X    X    X    X     

8

  

[***]

   10         X                                  Best Effort

9

  

[***]

   5                   X         X         X    Best Effort

10

  

[***]

   5                   X         X         X    2

11

  

[***]

   1         X         X         X         X     

12

  

[***]

   1         X         X         X         X     

13

  

[***]

        X    X    X    X    X    X    X    X    3

14

  

[***]

   5         X         X         X         X    1,4

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

1.   Deliverables must demonstrate that the goals called out in Table 1, Task
Goals for SOW, has been met.

2.   Deliverables must meet specs called out in SOW of Optional Task document,
submitted 6 March 2002

3.   The contractor shall deliver data summaries for all tests run on the
deliverables and/or representative companion [***] and devices that were tested.

4.   At least one of these [***] is to be a companion [***] to those used for
PIN deliverables.

5.   This design must be submitted no later than one month after the effective
date 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.

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

CONTRACT NUMBER N00014-02-C-0302

ATTACHMENT NUMBER 3- (13 pages)

 

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

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

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 may be necessary to determine the extent of compliance with Federal
Acquisition Regulation (FAR) 52.219-8 clause titled, “Utilization of Small
Business Concerns (OCT 2000 Oct 1999).”

 

1. CONTRACT SPECIFIC GOALS

 

Cree shall submit proposed contract specific subcontracting goals for the term
of each Government contract or 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 (SDB), 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
be subcontracted to WOSB concerns, unless otherwise required by the Contracting
Officer buyer.

 

Page 1 of 7

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

CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

Cree’s subcontracting goals shall be set at a level that the parties reasonably
expect can result from 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 HUSZone 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 SBVOSB/SDB/HUB/WOSB sources for solicitation
purposes, the following resources are used:

 

  a)   Cree Company Approved Supplier List;

 

Page 2 of 7

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

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.orq);

 

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

 

  e)   the HUBZone database in the Pro-Net system, http://prp-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 (httpa1www.sba.govJVETSI)

 

5. INDIRECT COSTS

 

In accordance with FAR 52.219-9 (OCT 2000) 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

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

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 to the program; and,

 

  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 /SDB/HUB/WOSB by ensuring that adequate
time is allowed for preparation of bids and that solicitation quantities,
specifications, and delivery schedules facilitate the participation by such
concerns.

 

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

 

  m)   Provide notice to subcontractors concerning penalties and remedies for
misrepresentations of business size status as SB/VOSB/ 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

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

CREE, INC.

MASTER SMALL BUSINESS

SUBCONTRACTING PLAN

 

7. DESCRIPTION OF EFFORTS

 

In the establishment of the SB, VOSB, SDB, HUB and 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 polities 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.   University 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

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

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 gives 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) 294, “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 Subcontract 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
WOSB concerns;

 

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

 

Page 6 of 7

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

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 a 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:        Cynthia Merrell

                     Chief Financial Officer             

PLAN CONCURRED BY:

            

/s/ Carmen Hayes

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

 

Date    11/21/00

        

Small Business Utilization Specialist

            

PLAN ACCEPTED BY:

            

/s/ Marjorie Hockstetler

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

  Date    1/8/01         

Contracting Officer

            

 

Page 7 of 7

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

CREE, INC.

 

CONTRACT/MAJOR SUBCONTRACT

SPECIFIC

 

SB/HUB/SDB/WOB/VOSB

SUBCONTRACTING PLAN

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

CREE, INC.

SB/HUB/SDB/WOB

SUBCONTRACTING PLAN

FOR

 

CONTRACT/SUBCONTRACT NO.: BAA 01-35, Entitled: Development of [***]  

 

Contractor:    Cree, Inc. (Cree) Address:    4600 Silicon Drive      Durham, NC
27703

 

Product:

 

Contract Estimated 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 Cree Master
Subcontracting Plan are the following goals:

 

     Base

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

 

Option

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

    

Small Business (SB)

   [***]%   [***]% [***]     

HUBZone Business

   [***]%         

Small Disadvantaged Business (SDB)

   [***]%         

Woman-Owned Small Business (WOSB)

   [***]%   [***]% [***]     

Veteran-Owned Small Businss(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

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

CREE, INC.

SB/VOSB/ SDB/HUB/WOSB

SUBCONTRACTING PLAN

 

3. 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:

 

Due to the specialized types of materials and supplies Cree purchases, we have
been unable to locate vendors with the SDB status to meet our needs. We have
sent a needs assessment to the Small Business & Technology Development Center in
Raleigh as well as other agencies to aide us in locating these types of business
as well as others. Additionally, on the internal front, our Small Business
Liaison Officer and Purchasing department continue to review our needs and
search for SDBs as well as other networking opportunities that might help us
locate SDBs.

 

Page 3 of 4

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

CREE, INC.

SB/HUB/SDB/WOB

SUBCONTRACTING PLAN

 

For

 

CONTRACT/SUBCONTRACT NO: BAA 01-35, Entitled [***]

 

Approved:

           

/s/ Carmen Hayes

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

     

6/25/02

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

   

Small Business Utilization

Specialist, Cree, Inc

     

Date

   

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

     

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

   

Contracting Officer/Buyer

     

Date

   

 

[***] 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 4 of 4

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

Item No.

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

 

Product

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

    

Quantity

Total

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

    

Price

$ Amount

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

    

Total

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

 

Attachment 1

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

 

Business

Type

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

                

Vendor

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

 

1a

  [***]      78.00      1,673.00      130,494.00   [***]   Large    

1

  [***]      220.00      1,870.00      411,400.00   [***]   Large    

2

  [***]      22.00      1,200.00      26,400.00   [***]   Large    

3

  [***]      16.00      17.90      286.40   [***]   Large    

4

  [***]      13.00      75.00      975.00   [***]   Large    

8

  [***]      25,078.00      0.25      6,269.50   [***]   Large    

9

  [***]      2.00      28,300.00      56,600.00   [***]   large    

12

  [***]      8.00      7,400.00      59,200.00   [***]   Large    

13

  [***]      693.00      1.17      810.81   [***]   Large    

15

  [***]      39.00      426.85      16,647.15   [***]   Large    

16

  [***]      670.00      1.94      1,299.80   [***]   Large    

19

  [***]      10.00      655.00      6,550.00   [***]   Large    

11

  [***]      1,580.00      71.41      112,827.80   [***]   Non Profit    

5

  [***]      21.00      66.00      1,386.00   [***]   small    

6

  [***]      18.00      47.00      846.00   [***]   small    

7

  [***]      27,268.00      0.19      5,180.92   [***]   small    

10

  [***]      62.00      375.00      23,250.00   [***]   small    

14

  [***]      11.00      211.50      2,326.50   [***]   Small    

17

  [***]      652.00      38.56      25,141.12   [***]   Small    

18

  [***]      3.00      4,250.00      12,750.00   [***]   Small         Travel
                   108,490.00       WOSB                             
1,009,131.00   [***]       [***]    [***]     Travel                   
(108,490.00)   [***]       [***]    [***]     [***] Cost- Deduct                
   (541,894.00)   [***]       [***]    [***]     Non Profit-NCSU            
(112,827.80 )        [***]       [***]    [***]     Total-Subcontracted       
            [***]   [***]       [***]    [***]

 

[***] 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.

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

FINANCIAL ACCOUNTING DATA SHEET - NAVY

 

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

1. CONTRACT NUMBER (CRITICAL)

N0001402C0302

  2. SPIN (CRITICAL)   3. MOD (CRITICAL)  

4. PR NUMBER

02PR10530-00

      Page 1 OF 1

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

CLIN/

SLIN

  6. LINE OF ACCOUNTING  

7.

 

       

A.

ACRN

(CRITICAL)

 

B.

APPROPRIATION

(CRITICAL)

 

C.

SUBHEAD

(CRITICAL)

 

D.

OBJ

CLA

 

E.

PARM

 

F.

RFM

 

G.

SA

 

H.

AAA

(CRITICAL)

 

I.

IT

 

J.

PAA

 

K.

COST CODE

 

AMOUNT

(CRITICAL)

 

NAVY INTERNAL USE
ONLY

REF DOC/ACRN
    

                                           

PROJ

UNIT

  MCC  

PDLI

& SUF

       

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

   

AA

 

9720400

 

1304

 

255

 

RA

 

313

 

0

 

068342

 

2D

 

000000

 

R2Y10

 

000

 

N132

 

[***]

 

PR#02PR10530-00 FRC:A124

                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                               

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

                                                PAGE TOTAL  

[***]

                                                    GRAND TOTAL  

[***]

   

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

PREPARED/AUTHORIZED BY:

 

DATE:

 

COMPTROLLER APPROVAL:

FOR FISCAL DATA AND SIGNATURE

BY                                               for COMPTROLLER, ONR CONTRACT
REVIEWED

DATE:

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

 

[***] 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.

ONR AWARD FORM (2/00) – version 1.1

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

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT   

1.  CONTRACT ID CODE

 

D0-C9(T)

 

PAGE OF PAGES

 

    1                    1

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

2.  AMENDMENT/MODIFICATION NO.

P00001

       

3.  EFFECTIVE DATE

SEE BLK 16C

  

4.  REQUISITION/PURCHASE REQ. NO.

02PR10530-01/20 SEP 2002

  

5.  PROJECT NO. (if applicable)  

N.A.

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

6.  ISSUED BY

   CODE    N00014   

7.  ADMINISTERED BY (if other than Item 6)

  

CODE                S1103A            

OFFICE OF NAVAL RESEARCH, ONR 251, EVELYON

FIELDS (703) 696-4515, E-MAIL: FIELDSE@ONR.NAVY.MIL

BALLSTON TOWER ONE, 800 NORTH QUINCY STREET

ARLINGTON, VA 22217-5660

  

DCM ATLANTA

805 WALKER STREET, SUITE 1

MARIETTA, GA 30060-2789

    

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

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

(Ö)    

  

9A.  AMENDMENT OF SOLICITATION NO:

 

N.A.

     

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

CREE INC.

4600 SILICON DRIVE

DURHAM, NC 27703

       

9B.  DATED (SEE ITEM 11)

 

     

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

         

X    

  

10A.  MODIFICATION OF CONTRACT/ORDER NO.      

 

N00014-02-C-0302

         

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

CODE         0C9J8

  

FACILITY CODE

       

10B.  DATED (SEE ITEM 11)

 

28 JUN 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 included 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 you 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)

N.A.

         

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

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

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

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

(Ö)   

A.

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

AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION

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

X    D.   

OTHER (Specify type of modification and authority)

FAR 43.103(B), MUTUAL AGREEMENT OF PARTIES, AND CONTRACTORS E-MAIL DATED 20 SEP
2002

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

     E.   

IMPORTANT: Contractor ¨ is not, x is required to sign this document and return
    2     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 delete the mandatory flow down of DFARs
clause 252.204-7000 to any subaward to Carnegie Mellon University, Purdue
University, and Case Western University under N00014-02-C-0302. Under any
subaward, Carnegie Mellon University, Purdue University, and Case Western
University would still be required to submit their papers and other public
releases to the government for review prior to release.

 

This modification makes no change to the total estimated costs of this contract.
All other terms and conditions of this 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)

 

John W. Palmour

Director of Advanced Devices

  

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

 

Evelyon T. Fields

Contracting Officer

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

15B.  CONTRACTOR/OFFEROR

  

15C.  DATE SIGNED

9/20/02

  

16B.  UNITED STATES OF AMERICA

  

16C.  DATE SIGNED

9/20/02

/s/ John W. Palmour

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

            

BY

  

    /s/ Evelyon T. Fields      

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

     (Signature of person authorized to sign)                   (Signature of
Contracting Officer)     

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

NSN 7540-01-152-8070

PREVIOUS EDITION UNUSABLE

 

30-105

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR 53.243)

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

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT   

1.  CONTRACT ID CODE

 

D0-C9(T)

 

PAGE OF PAGES

 

    1                    3

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

2.  AMENDMENT/MODIFICATION NO.

P00002

       

3.  EFFECTIVE DATE

SEE BLK 16C

  

4.  REQUISITION/PURCHASE REQ. NO.

03PR06340-00/30 DEC 2002

  

5.  PROJECT NO. (if applicable)  

N.A.

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

6.  ISSUED BY

   CODE    N00014   

7.  ADMINISTERED BY (if other than Item 6)

  

CODE                S1103A            

OFFICE OF NAVAL RESEARCH, ONR 251, EVELYON

FIELDS (703) 696-4515, E-MAIL: FIELDSE@ONR.NAVY.MIL

BALLSTON TOWER ONE, 800 NORTH QUINCY STREET

ARLINGTON, VA 22217-5660

  

DCM ATLANTA

805 WALKER STREET, SUITE 1

MARIETTA, GA 30060-2789

    

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

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

(Ö)    

  

9A.  AMENDMENT OF SOLICITATION NO:

 

N.A.

     

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

CREE INC.

4600 SILICON DRIVE

DURHAM, NC 27703

       

9B.  DATED (SEE ITEM 11)

 

     

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

         

X    

  

10A.  MODIFICATION OF CONTRACT/ORDER NO.      

 

N00014-02-C-0302

         

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

CODE         0C9J8

  

FACILITY CODE

       

10B.  DATED (SEE ITEM 13)

 

28 JUN 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 included 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 you 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)

N.A.

         

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

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

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

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

(Ö)   

A.

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

AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION

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

X    D.   

OTHER (Specify type of modification and authority)

LIMITATION OF FUNDS CLAUSE

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

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.)

SEE PAGE 2

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)

 

Susan M. Sutherland, Contracting Officer

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

15B.  CONTRACTOR/OFFEROR

   15C.  DATE SIGNED   

16B.  UNITED STATES OF AMERICA

  

16C.  DATE SIGNED

1/2/03

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

            

BY

  

    /s/    Susan M. Sutherland      

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

     (Signature of person authorized to sign)                   (Signature of
Contracting Officer)     

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

NSN 7540-01-152-8070

PREVIOUS EDITION UNUSABLE

 

30-105

 

STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA

FAR (48 CFR 53.243)

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

The purpose of this Modification is to revise Section B and provide the final
increment of funding under Contract N00014-02-C-0302. Effective as of the date
of this Modification:

 

1. The funds available for performance of this contract are increased by the
amount set forth in the attached Financial Accounting Data Sheet.

 

2. Section B entitled “Supplies or Services and Prices/Costs” is revised to
read:

 

BASE EFFORT

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

ITEM

NO.

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

  

SUPPLIES/SERVICES

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

  

ESTIMATED

GOVERNMENT

COST SHARE

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

  

ESTIMATED

CONTRACTOR

COST SHARE

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

  

TOTAL

ESTIMATED

COSTS

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

0001    The Contractor shall furnish the necessary personnel and facilities to
conduct the research effort as described in Section C.1 and C.2.    [***]   
[***]    [***]     

000101: AA

[***]

                   

000102: AB

[***]

               0002    Deliverables for Quarters 1-6 in accordance with
Attachment Number 2              NSP 0003    Reports and Data in accordance with
Exhibit A (DD Form 1423)              NSP

* Note: [***] our of the estimated contractor’s cost share amount of [***]
represents a [***] discount on the projected price of the [***]. The [***] shall
be used in support of this contract and charged at the current catalog price at
the time of consumption less a [***] discount. Therefore, these items are not
subject to a DCAA incurred cost audit.

 

OPTION EFFORT

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

ITEM

NO.

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

  

SUPPLIES/SERVICES

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

  

ESTIMATED

GOVERNMENT

COST SHARE

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

 

ESTIMATED

CONTRACTOR

COST SHARE

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

 

TOTAL

ESTIMATED

COSTS

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

0004

   The Contractor shall furnish the necessary personnel and facilities to
conduct the research effort as described in Section C.1 and C.3.    [***]  
[***]   [***]

0005

   Deliverables for Quarters 7-8 in accordance with Attachment Number 2         
  NSP

0006

   Reports and Data in accordance with Exhibit A (DD Form 1423)            NSP
TOTAL ESTIMATED CONTRACT CONSIDERATION:    [***]   [***]   [***]

 

[***] 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-0302/-00002    Page 2

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

3. In Section G entitled “Contract Administration Data, Paragraph 5 entitled
“Allotment of Funds” is deleted in its entirety.

 

This Modification has no effect on the total estimated cost of the Contract. All
other terms and conditions of the Contract remain unchanged.

 

CONTRACT NUMBER: N00014-02-C-0302/-00002    Page 3

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

FINANCIAL ACCOUNTING DATA SHEET - NAVY

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

1. CONTRACT NUMBER (CRITICAL)

N0001402C0302

  2. SPIN (CRITICAL)  

3. MOD (CRITICAL)

P00002

 

4. PR NUMBER

03PR06340-00

      Page 1 OF 1

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

CLIN/SLIN   6. LINE OF ACCOUNTING  

7.

 

AMOUNT

(CRITICAL)

  NAVY INTERNAL USE ONLY REF DOC/ACRN  

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

       

A.

ACRN

(CRITICAL)

 

B.

APPROPRIATION

(CRITICAL)

 

C.

SUBHEAD

(CRITICAL)

  

D.

OBJ

CLA

 

E.

PARM

 

F.

  RFM

 

G.

  SA

 

H.

AAA

(CRITICAL)

 

I.

  IT

 

J.

PAA

 

K.

COST CODE

                       

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

                            

PROJ

UNIT

  MCC  

PDLI

& SUF

   

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

   

AB

 

9730400

 

1304

  

255

 

RA

 

313

 

0

 

068342

 

2D

 

000000

 

R3Y10

 

000

 

N132

 

[***]

     

PR#03PR06340-00

FRC:A105

                                                                                
                                                                               
                                                                                
                                                                                
                                                                                
                                                                              
                                                                               
                                                                                
                                                                                
                                                                                
                                                                

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

                                                 PAGE
TOTAL  

[***]

                                                         GRAND
TOTAL  

[***]

       

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

PREPARED/AUTHORIZED BY:

 

DATE:

 

COMPTROLLER APPROVAL:

FOR FISCAL DATA AND SIGNATURE

BY                                          for COMPTROLLER, ONR CONTRACT
REVIEWED

DATE:

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

 

[***] 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.

ONR AWARD FORM (2/00) - version 1.1