Document:

Sponsored Research Agreement Research Plan

 Exhibit 10.7 
  
 LUMERA CORPORATION 
 SPONSORED RESEARCH AGREEMENT 
 RESEARCH PLAN 
  
 A.     Start Date: March 1, 2001 
  
 B.     University Personnel 
  

	 	1.	Principal Investigator: Dr. Larry Dalton 

  

	 	2.	Other University Personnel: 

  

	 	a.	Dr. Bruce Robinson, Group Leader—Theory 

  

	 	b.	Dr. Alex K. Y. Jen, Group Leader—Materials 

  

	 	c.	Postdoctoral Research Associates (to be named) 

  

	 	d.	Administrative Specialist (to be named) 

  

	 	e.	Graduate Research Assistants (to be named) 

  
 C.     Project Work Description 
  
 Preamble 
  
 It is well known that a number of parameters must be optimized if organic electro-optic (EO) materials are to be used to fabricate prototype EO modulator devices: These include large molecular hyperpolarizability for
chromophores—the active component of such materials, good poling efficiency resulting in a high degree of acentric order for chromophores, high thermal stability of materials used for poling-induced EO activity, good photochemical stability,
low optical loss from either absorption or scattering mechanisms, and compatibility with substrates and cladding materials. Over time, some structure/function relationships have been defined to the point of permitting systematic improvement of
material performance. For example, chromophore hyperpolarizability values of 10 to 44 esu are now routinely obtained. Moreover, new statistical mechanical methods have resulted in a new paradigm for designing chromophores for improved poling
efficiencies. The frequency response of certain organic EO materials now routinely surpasses lithium niobate devices at telecommunication wavelengths. 
  
 Although equilibrium and Monte Carlo statistical mechanical calculations permit a quantitative understanding of chromophore-chromophore intermolecular electrostatic
interactions and the role that these interactions play in attenuating poling efficiency, very little insight currently exists into chromophore/solvent interactions. Slight variations in chromophore structure can lead to significant changes in
solubility which can in turn effect the optical quality of spin cast films. For example, out of nearly 100 chromophores of the CLD type, only a handful led to optical- quality films appropriate for device fabrication. Chromophore aggregation and
phase separation continues to be a problem at the high concentrations (e.g., 20 to 30 wt %) required for large EO activity. Although it is expected that a number of materials characterized by optical loss values of greater than 2 dB/cm will likely
be produced, it will be a challenge to produce materials having the required values of 1 dB/cm or less. Chromophore/solvent and polymer (host)/solvent 
  

 Page 1 of 11 Pages 

 interactions have inhibited the use of fluorination to reduce optical absorption loss at wavelengths of 1.3 microns and
1.55 microns. In general, fluorinated materials do not exhibit good compatibility with traditional spin casting solvents. Optical quality films are obtained only when optimal spin casting conditions are achieved. Those conditions include comparable
solubility of chromophores and host material in the spin casting solvent, high chromophore concentrations, appropriate viscosity, and optimal spin speed. 
  
 Achieving adequate thermal stability of poling-induced EO activity typically has required some form of lattice hardening—most commonly thermally-induced crosslinking
has been employed to improve the thermal stability of EO activity by 40-70°C. Although lattice hardening has been accomplished, typically it has been accompanied by at least some reduction in EO activity. Recent research has shown that this
reduction can vary between an insignificant reduction to 50% or more in poling-induced EO activity [1]. Moreover, the chemical reactivity of chromophores must be considered in choosing the type of lattice hardening chemistry employed [1].

  
 Lattice hardening must also be accomplished without increasing optical loss
due to increased scattering. This means that the lattice hardening process must be extremely homogeneous throughout the material. This typically requires that no significant shrinkage or lattice disruption occur during the hardening process. Side
reactions that disrupt the stoichiometry of lattice hardening chemistry typically prove disastrous by promoting phase separation. Such side reactions include those with atmospheric moisture. Again, considerable trial and error is involved in
defining a successful poling/lattice hardening protocol leading to materials appropriate for device fabrication. In general, the trial and error search for optimum conditions must be repeated for each new chromophore system being considered.

  
 During the past year, photochemical stability has been a significant concern.
A number of studies have shown that photochemical stability strongly depends on the presence of oxygen, depends on the offset of the operational wavelength from the interband charge transfer transition of the EO chromophores, can be reduced by the
introduction of reactive species scavengers, depends on lattice hardness (diffusion of reactive species), and depends on chromophore structure. Studies of materials with simple packaging suggest that photochemical stability may be achieved by
additional attention to material processing and packaging. However, we have noted that molecular oxygen forms a very strong Van der Waals complex with most high μ EO chromophores; thus, it is very difficult to pump off residual oxygen.
Although many routes likely exist for improvement of photochemical stability to levels required for long-term operation of devices, it is not clear what the optimum route is at this point in time. This topic will clearly require more exploratory
research, both theoretical and experimental. 
  
 For EO materials to be practical,
they must be capable of being prepared in large quantities at low cost. Syntheses must be high yield and virtually free of side reactions that would require extensive and time-consuming purification by chromatographic methods. Thus, although bridge
structures based on fused ring thiophenes have shown exceptional optical nonlinearity and thermal stability, these structures have only recently been synthesized in quantities appropriate for device development. 
  
 The integration of active (core waveguide) EO materials with compatible cladding materials is
another issue of growing concern. Cladding materials must in general possess many of the same 
  

 Page 2 of 11 Pages 

 characteristics as the active EO materials. In general, cladding materials must not contribute to optical loss, must not
exhibit photoconductivity, must exhibit appropriate solubility and processability, and must otherwise be fully compatible with the active EO material. In addition, it is desirable for cladding materials to exhibit higher conductivity than the active
core so that poling and drive voltages are dropped across the cladding layer enhancing the effective electric field experience by the active chromophores. 
  
 To date, off-the-shelf materials (UV or thermally-curable epoxies) have largely been used for cladding purposes. Some work on conductive cladding has been carried out by
Dr. James Grote at AFRL and by Dr. Susan Ermer and coworkers at Lockheed Martin Corporation; however, no generally acceptable cladding material exists at this time. Indeed, it is likely that increased attention will have to be given to the issue of
cladding materials, and custom claddings (designed to match active core EO materials) will ultimately have to be identified or developed. 
  
 The foregoing discussion relates only to basic materials issues. There still remain substantial engineering issues to be addressed including the frequency limitations
imposed by electrical connectors and the problem of optical loss associated with mode mismatch in coupling to silica fibers. Positioning passive and active waveguides continues to be an issue. 
  
 Thus, although dramatic advances in organic (polymer [12,17,18] and dendrimer [3] EO
materials have been demonstrated in the past year (suggesting the superiority of these types of EO materials in terms of bandwidth and drive voltage), a substantial effort will be required to realize the potential of these types of materials in the
near future. Theory can provide useful guidance but more sophisticated calculations (e.g., atomistic kinetic Monte Carlo calculations run on supercomputer clusters) will be required to understand macromolecular conformations and interdigitation.
Chromophore/solvent interactions are not likely to be effectively modeled even by these more sophisticated calculations so considerable trial and error will have to be anticipated in producing EO materials amenable to the spin casting of optical
quality films having the required optical loss values of ldB/cm or less. 
  
 It is
now well appreciated that one approach to reduction of optical loss due to vibrational overtone absorption can be achieved by reducing the hydrogen content of EO materials; however, such modification usually affects solubility in traditional spin
casting solvents and generally results in higher optical loss. Trial and error experimentation will likely be required to produce practical organic EO materials with optical loss values approaching that of lithium niobate EO devices. Thus, although
waveguide optical loss values of 0.2 dB/cm have been realized for EO dendrimers, these results can be considered to be little more than proof of concept at this point in time. Thermal and photochemical stability will likely become issues of focus in
the near future. Again, the issue currently appears to be not whether such materials can be obtained as isolated properties but whether they can be optimally realized in conjunction with all other desired properties in a single low cost material
that can be produced in high volume. 
  
 It is important to realize that a great
many properties must be simultaneously optimized in order to produce commercially useful EO materials. Given the limitations in available research resources and time and the inherent uncertainties in the outcome of this type of research, risks must
be taken to achieve a significant advance in the state-of-the-art of organic EO materials. Inevitably, some materials that are produced or approaches that are takenwill be ultimately found to be technically or commercially unacceptable for one
reason or another. 
  

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	1.	Project Summary  

  
 The Project will focus on the development of new and/or improved organic EO materials supporting the Company’s commercialization of organic EO device technology
within the “Field of Use” as defined under the Company’s Exclusive License Agreement effectively dated October 20, 2000 with the University. Specifically, the Project Work will consist of research directed in support of the
Company’s development of a commercial Electro-Optic Modulator (as also defined in said Exclusive License Agreement); principally it will involve development of EO chromophore compounds for use in such a device. Project Work will consist
primarily of efforts to (i) synthesize compounds and (ii) perform certain theoretical analysis in connection therewith. Theoretical analysis efforts will include developing condensed matter theoretical methods that permit guidance in the design of
optimized materials and the exploitation of nanoscale engineering methods (including the utilization of custom-designed dendrimer materials). Compound synthesis efforts will include synthesis of new and/or improved EO chromophores, of host materials
(including dendrimer macromolecular materials), and of compatible cladding materials. The Principal Investigator believes that the exploitation of dendrimer synthetic methods has a reasonable likelihood of resulting in improvement of EO material
activity, transparency, processability, and stability. 
  
 Because a great
diversity of device structures may be of interest and because each device structure may require modification of materials to fulfill specific requirements, a great deal of flexibility is required in the Project. It is the University’s intention
that such flexibility be brought to the Project and that there be a recognition of the need for modifications during the course of the Project, after appropriate consultation with the Company. 
  

	2.	Research Strategy  

  
 The University, under the direction of the Principal Investigator, intends to carry out a systematic research program to exploit and improve upon the theoretical guidance for preparing optimized nanostructured EO
materials and to systematically explore the use of nanoscale dendrimers to achieve improvement in the fabrication and utilization of EO materials. Particular attention will be focused on control of aggregation and molecular relaxation events using
nano-engineering methods and techniques. Specific attention will be given to phase phenomena and nanoscale phase separation defined by molecular shape-dependent intermolecular electrostatic interactions. 
  

	3.	Theoretical Analysis  

  
 The primary focus of the theoretical effort will be upon Monte Carlo (MC) calculations aimed at gaining a detailed understanding of the role of chromophore (and
dendrimer) shape upon ordering under the influence of an electric poling field. Simulations will be run using a to-be- acquired high-speed computer. Calculations will be carried out as functions of chromophore number density, chromophore shape and
electronic structure (dipole moment, polarizability, etc.) of the chromophores. 
  
 The Principal Investigator believes that a particular advantage of MC methods is the opportunity for visualization of transient ordered states. One result of MC calculations appears to be the confirmation of the fundamental correctness of
the Piekara picture of ordering due to long-range, spatially-anisotropic dipole-dipole interactions. MC methods appear to be appropriate for all 
  

 Page 4 of 11 Pages 

 concentration domains (from dilute solutions of chromophores to neat chromophore materials) and the pictures of
transiently ordered phases may be useful in understanding light scattering as a function of chromophore concentration and also for understanding the results of pulsed poling experiments. Such subtle physical insight may prove a useful guide for the
further modification of chromophore shape and electronic properties and for optimizing the protocols for inducing acentric chromophore order. 
  
 A secondary, but nevertheless important, theoretical objective will be to develop improved analytical expressions and computational algorithms that can be executed on
personal computers. Such theoretical results have in the recent past been of value to industrial researchers under certain circumstances. Analytical results appear to have the potential of sufficiently approaching the results of sophisticated
numerical calculations to be used to determine chromophore concentrations leading to optimum EO activity. 
  
 The Principal Investigator also believes that these analytical results may be extended to include repulsive as well as electrostatic interactions. The shape-dependent repulsive molecular interactions appear to be very
important in defining macroscopic order, and control of these interactions by adjustment of molecular shape is an important paradigm for the optimization of EO activity. The Principal Investigator has experimentally and theoretically shown that
spherical and oblate ellipsoidal (discotic) chromophores lead to optimum EO activity. Theory thus can show how the ordering (over nano and mesoscale dimensions) of nanoscale objects (chromophores and chromophore-containing dendrimers) is defined by
the shape of the nanoscale objects as well as by electronic electrostatic interactions. 
  

	4.	Compound Synthesis 

  
 In overview, it is intended that the Project start with the synthesis of new chromophores exploring new donor, bridge, and acceptor segments. The types of chromophores to be explored are numerous and the selection
will depend upon the judgment of University Personnel and the success of the Project Work. Not only will structural possibilities be explored but also preliminary results will be used as a guide to which structural modifications will be explored in
detail and which will be abandoned. Because of different application requirements, it is anticipated that several, rather than only a single class of chromophores will be developed, depending upon the success of the Project Work. 
  
 Certain types of nanoscale dendrimers (multi-chromophore dendrimers, dendrimers containing
cyanurate and fluorinated dendrons, dendrimers based on the trifluorovinyl-ether moieties for crosslinking) may represent a means for control of intermolecular electrostatic interactions by systematic modification of chromophore shape. They
currently appear to be a way of implementing the guidance suggested by theoretical calculations. Such structures may also provide a possible route to control of proton density (and hence optical absorption due to C-H vibrational overtones).

  
 Cyanurate and fluorinated dendrons may also be used to control and
systematically vary the index of refraction of an EO material. Such variation may be useful for matching to silica transmission fibers. Moreover, dendrimers appear to permit control over processability (e.g., solubility in spin casting solvents,
molecular weight and hence solution viscosity, etc.). Certain chromophore-containing dendrimers can be spin cast without the use of a polymer host. 
  

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 Crosslinking functionalities may be able to be placed on the surface of dendrimers and preliminary results of work
already performed suggest that significantly improved stability of poling-induced EO activity is obtained with such materials. 
  
 Preliminary results from earlier work suggest that EO materials based on chromophore-containing dendrimers can exceed the performance characteristics of lithium niobate
materials in certain respects. Moreover, University personnel are only beginning to explore the range of performance characteristics that can be obtained with EO dendrimers and believe that there is potential for considerable future improvements.

  
 As is evident from a consideration of existing compounds, dendrimer structures
must be designed around specific EO chromophore structures. Project Work will include attempts to synthesize a number of new chromophores; paying particular attention to functionalizing such chromophores so that intermolecular interactions are
inhibited (e.g., by incorporation into dendrimer structures). 
  
 Asymmetric and
chiral dendrimers may also be prepared which may aid in the promotion of acentric macroscopic order. Asymmetric crosslinking may also help to selectively stabilize overall acentric macroscopic order. Dendrimers potentially afford a means of
minimizing problems arising from segmental flexibility of conventional chromophore-containing polymer systems. It is intended that this Project explore the use of a variety of dendron ligands to control dendrimer conformation and conformational
flexibility. 
  
 The general prescription will be to prepare a
chromophore-containing or multiple chromophore-containing dendrimer material. Both convergent and divergent dendrimer synthesis schemes will be explored. Electric field induced second harmonic (EFISH) generation and Hyper-Rayleigh scattering (HRS)
measurements may be used to characterize certain properties. EFISH and HRS measurement capabilities are not currently operational at the University; an effort will be made to achieve operational capability. Thermal stability will be assessed by TGA
and DSC methods. Other standard characterization such as NMR and mass spectroscopy may be carried out as required. Thin film samples will be prepared by spin casting with dendrimer structure modified to control processability (solubility and
viscosity). Acentric chromophore order will be induced by electric field poling typically using stepped protocols where temperature and electric field are increased at fixed periods in time. Second harmonic generation may be used for in-situ
monitoring of the induction of acentric order. EO coefficients may be measured by various standard methods and in prototype devices. However, no fixed set of measurements are guaranteed. Indeed, it is anticipated that measurements will be adapted as
research proceeds and benefits from lessons learned. 
  
 Recently, the Principal
Investigator has had considerable success developing new lattice hardening chemical processes. These in general appear to be more compatible with electric field poling requirements and to have less sensitivity to side reactions. An increased
attention to lattice hardening will one of the themes of the Project Work. Such lattice hardening will be designed not only to improve thermal stability but also to improve photochemical stability by inhibiting the diffusion of chemically reactive
species such as singlet oxygen. 
  
 Efforts to develop improved cladding, as well
as EO materials, will be undertaken. The Principal Investigator has already published on conducting cladding materials; however, a number of 
  

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 concerns exist for such materials including increased optical loss (it has to date been difficult to design cladding
materials that simultaneously exhibit greater electrical conductivity than the EO core material and low optical loss). Recently, a second problem has been observed with cladding materials; namely, photochemical charge injection from the EO core
material. Such charge injection and the corresponding variation of effective voltage seen by the EO material gives rise to an optical power dependent operational halfwave voltage. Other issues can also arise with cladding materials including
photochemical damage. At present, custom development of cladding materials has been relatively unknown. It is also intended that the Project attempt to synthesize cladding materials tailored to particularly EO materials and applications. 

 
 D.    Project Work and Estimated Work Schedule

  
 This program is currently scheduled to occur over a period of 36 months.
At this time, it is planned that Project Work will involve the following research areas (shown are estimated time periods together with material development/synthesis and other results that the University will attempt to achieve): 
  
 Research Area 1 
  

	 	•	Synthesize highly fluorinated PFCB monomers—see attached Exhibit 1. (3/01-8/01, gram quantity) 

  

	 	•	Practice with curing procedure for regular PFCB and establish database. (3/01-8/01) 

  

	 	•	Synthesize highly efficient NLO chromophores with suitable functional groups for the incorporation into PFCB—see attached Exhibit 1. (3/01-12/01, gram quantity)

  

	 	•	Carry out statistical mechanical calculations in support of synthetic efforts. Initially, these will be executed on standard serial processor machines (e.g., IBM compatible PCs). An
attempt will be made to implement Beowulf cluster type machines for more sophisticated computation and modeling. (3/01-12/01) 

  
 Research Area 2 
  

	 	•	Develop advanced PFCB passive materials. Establish structure/property relationships via monomer selection, for multi-layer device fabrication. (6/01-10/01) 

 

	 	•	Evaluate refractive index, optical loss, dielectric breakdown strengths, mechanical properties of PFCB cured at different conditions. (6/01-10/01) 

  

	 	•	Detailed evaluation of curing/poling conditions of PFCB-NLO chromophore candidates (Jen’s group, Dalton’s group, and Lumera) by r33, relaxation, optical loss measurements
and testing their mechanical and thermal properties. (8/01- 2/01) 

  

 Page 7 of 11 Pages 

 Research Area 3 
  

	 	•	Active PFCB process optimization by Lumera and UW. (12/01-3/02) 

  

	 	•	Process evaluation of best candidate by Lumera. (12/01-3/02). 

  

	 	•	Explore new material systems based on the triazole functionality as potential low loss materials. (12/01-6/02) 

  

	 	•	Explore crosslinkable NLO dendrimers. (7/02-7/03) 

  

	 	•	Explore new photo-crosslinking mechanisms for both passive and active materials. (1/02-7/02) 

  
 Research Area 4 
  

	 	•	Advanced chromophore development. (1/02-1/03) 

  

	 	•	Incorporate these chromophores into highly fluorinated polymer or dendrimer material systems. (12/02-12/03) 

  

	 	•	Exploration of mechanisms to “fine-tune” refractive index of single-mode channel waveguide devices by Lumera and UW. (9/02-9/03) 

  

	 	•	Develop rare-earth radio-frequency amplifier system in the waveguides. (12/02-9/03) 

  

	 	•	An effort will be made to develop ever more sophisticated modeling software including software based on Monte Carlo simulation techniques. (1/02-2/04) 

  
 Research Area 5 
  

	 	•	Assistance to Lumera in scale-up and optimization. (12/02-12/03). 

  

	 	•	Final report and wrap-up. (1/04-2/04) 

  
 The EO material system that the University will attempt to develop in this program will include active and passive materials that have matching refractive indices for
fabricating channel waveguides and balanced conductivities for efficient electric field poling. The University will also attempt to develop a general approach in this program that can serve as a prototype for future development of superior EO
material systems. 
  

 Page 8 of 11 Pages 

	E.	Sponsored Research Agreement Budget (subject to revisions and adjustment by University based on actual expenditures and actual research activities) 

 
 Year 1 (3/1/01 to 2/28/02) 
  

				
	 Personnel
	  	 	 
	 Senior Personnel
	  	 	 
	 Larry R. Dalton, Principal Investigator, 12 mo appt, 75%*
	  	$	—  
	 Bruce H. Robinson, co-PI, 9 mo appt, 3 mo 100%
	  	 	21,060
	 Bruce H. Robinson, co-PI, summer, 1 mo 100%
	  	 	7,300
	 Alex K.-Y. Jen, co-PI, summer, 1 mo 100%
	  	 	12,931
	 Other Personnel
	  	 	 
	 Postdoctoral Research Associates, tbn, 6 @ 2,189/mo, 12 mo 100%
	  	 	157,608
	 Administrative Specialist, tbn, 1 @ 3,500/mo, 12 mo 100%
	  	 	42,000
	 Graduate Student Research Associates, tbn, 7 @ 3,170/mo, 12 mo 50%
	  	 	133,140
	 	  	
	

	 Total Salary and Wages
	  	 	374,039
	 Total Fringe Benefits (21.80% Senior and PRA; 24.20% AS; 10.20% GRA)
	  	 	67,104
	 	  	
	

	 Total Salary and Wages and Benefits
	  	 	441,143
	 Operating Fee Portion of Graduate Assistant Tuition
	  	 	53,445
	 Permanent Equipment
	  	 	300,000
	 Travel
	  	 	50,000
	 Alterations and Renovations
	  	 	1,000,000
	 Materials and Supplies
	  	 	592,117
	 Subtotal Direct Costs
	  	 	2,436,705
	 	  	
	

	 Indirect Costs (52% of MTDC of 1,083,260)**
	  	 	563,295
	 	  	
	

	 Total Direct and Indirect Costs
	  	$	3,000,000
	 	  	
	

  
 Year 2 (3/1/02 to 2/28/03)

  

				
	 Personnel
	  	 	 
	 Senior Personnel
	  	 	 
	 Larry R. Dalton, Principal Investigator, 12 mo appt, 75%*
	  	$	—  
	 Bruce H. Robinson, co-PI, 9 mo appt, 3 mo. 100%
	  	 	21,902
	 Bruce H. Robinson, co-PI, summer, 1 mo 100%
	  	 	7,592
	 Alex K.-Y. Jen, co-PI, summer, 1 mo 100%
	  	 	13,448
	 Other Personnel
	  	 	 
	 Postdoctoral Research Associates, tbn, 12 @ 2,277/mo, 12 mo. 100%
	  	 	327,825
	 Administrative Specialist, tbn, 1 @ 3,640/mo., 12 mo 100%
	  	 	43,680
	 Graduate Student Research Associates, tbn, 12 @ 3,281/mo., 12 mo. 50%
	  	 	236,228
	 	  	
	

	 Total Salary and Wages
	  	 	650,675
	 Total Fringe Benefits (21.80% Senior and PRA; 24.20% AS; 10.20% GRA)
	  	 	115,494
	 	  	
	

	 Total Salary and Wages and Benefits
	  	 	766,169
	 Operating Fee Portion of Graduate Assistant Tuition
	  	 	95,304
	 Other Misc.
	  	 	50,000
	 Travel
	  	 	50,000
	 Materials and Supplies
	  	 	1,044,815
	 Subtotal Direct Costs
	  	 	2,006,288
	 	  	
	

	 Indirect Costs (52% of MTDC of 1,910,984)**
	  	 	993,712
	 	  	
	

	 Total Direct and Indirect Costs
	  	$	3,000,000
	 	  	
	

  

 Page 9 of 11 Pages 

 Year 3 (3/1/03 to 2/28/04) 
  

				
	 Personnel
	  	 	 
	 Senior Personnel
	  	 	 
	 Larry R. Dalton, Principal Investigator, 12mo appt, 75%*
	  	$	—  
	 Bruce H. Robinson, co-PI, 9 mo appt, 3 mo 100%
	  	 	22,778
	 Bruce H. Robinson, co-PI, summer, 1 mo 100%
	  	 	7,896
	 Alex K.-Y. Jen, co-PI, summer, 1 mo 100%
	  	 	13,986
	 Other Personnel
	  	 	 
	 Postdoctoral Research Associates, tbn, 12 @ 2,368/mo, 12 mo 100%
	  	 	340,937
	 Administrative Specialist, tbn, 1@ 3,786/mo, 12 mo 100%
	  	 	45,427
	 Graduate Student Research Associates, tbn, 12 @ 3,396/mo, 12 mo 50%
	  	 	244,496
	 	  	
	

	 Total Salary and Wages
	  	 	675,520
	 Total Fringe Benefits (21.80% Senior and PRA; 24.20% AS; 10.20% GRA)
	  	 	119,992
	 	  	
	

	 Total Salary and Wages and Benefits
	  	 	795,512
	 Operating Fee Portion of Graduate Assistant Tuition
	  	 	99,132
	 Other Misc.
	  	 	30,000
	 Travel
	  	 	50,000
	 Materials and Supplies
	  	 	1,032,954
	 Subtotal Direct Costs
	  	 	2,007,598
	 	  	
	

	 Indirect Costs (52% of MTDC of 1,908,466)**
	  	 	992,402
	 	  	
	

	 Total Direct and Indirect Costs
	  	$	3,000,000
	 	  	
	

  
 3-Year Summary (3/1/01 to 2/28/04) 
  

				
	 Personnel
	  	 	 
	 Senior Personnel
	  	 	 
	 Larry R Dalton, Principal Investigator, 12 mo appt, 75%*
	  	$	—  
	 Bruce H. Robinson,co-PI, 9-mo
	  	 	65,740
	 Bruce H. Robinson, co-PI, summer
	  	 	22,788
	 Alex K.-Y. Jen, co-PI, summer
	  	 	40,365
	 Other Personnel
	  	 	 
	 Postdoctoral Research Associates, tbn
	  	 	826,370
	 Administrative Specialist, tbn, 12 mo
	  	 	131,107
	 Graduate Student Research Associates, tbn
	  	 	613,864
	 	  	
	

	 Total Salary and Wages
	  	 	1,571,341
	 Total Fringe Benefits (21.80% Senior and PRA; 24.20% AS; 10.20% GRA)
	  	 	302,590
	 	  	
	

	 Total Salary and Wages and Benefits
	  	 	2,002,824
	 Operating Fee Portion of Graduate Assistant Tuition
	  	 	247,881
	 Other Misc.
	  	 	80,000
	 Permanent Equipment
	  	 	300,000
	 Travel
	  	 	150,000
	 Alterations and Renovations
	  	 	1,000,000
	 Materials and Supplies
	  	 	2,669,886
	 Subtotal Direct Costs
	  	 	6,450,591
	 	  	
	

	 Indirect Costs (52% of MTDC of 4,902,710)**
	  	 	2,549,409
	 	  	
	

	 Total Direct and Indirect Costs
	  	$	9,000,000
	 	  	
	

  

  
 *Based on and assuming financial support by Company to University Chemistry Department of $300,000 per year independent of Sponsored
Research Agreement. 
  
 **Estimate only. Indirect costs will be determined in
accordance with University policies and practices in existence at the time of the expenditure and applicable to privately sponsored on-campus research agreements. Indirect costs will be calculated as a percentage of modified total direct costs
(MTDC), as defined by such policies and practices. Until June 30, 2002, the indirect cost rate will be 52% and is subject to change thereafter. 
  

 Page 10 of 11 Pages 

	F.	Extension Agreement. 

  
 University and Company agree that this Research Plan is entered into pursuant to Section 2.1 of the Sponsored Research Agreement effectively dated October 20, 2000 between University and Company. University and
Company further agree that the period of time for entering into the Research Plan as described in said Section 2.1 is hereby extended to the last date upon which either the University or the Company executes this Research Plan. Unless the context
clearly requires otherwise, all capitalized terms as used in this Research Plan shall have the same meanings as used in said Sponsored Research Agreement. 
  
 Agreed to: 
  

									
	 The University of Washington
	 	 	 	 Lume ACorporation

					
	 By:
	 	 /s/    Carol Zuiches
	 	 	 	 By:
	 	 /s/    Todd R. McIntyre

	 	 	
	 	 	 	 	 	

					
	 Name:
	 	Carol Zuiches, Director	 	 	 	 Name:
	 	Todd R. McIntyre
	 	 	
	 	 	 	 	 	

					
	 Title:
	 	Grant and Contact Services	 	 	 	 Title:
	 	Vice President
	 	 	
	 	 	 	 	 	

					
	 Date:
	 	 February 26, 2001
	 	 	 	 Date:
	 	 February 26, 2001

	 	 	
	 	 	 	 	 	

  
 REVIEWED: 
  

			
		
	By:	 	 /s/    Larry R. Dalton

	 	 	

		
	Name:	 	Dr. Larry Dalton
	 	 	

		
	Title:	 	Principal Investigator
	 	 	

		
	Date:	 	 February 26, 2001

	 	 	

  
  
  
  

 Page 11 of 11 Pages 

 EXHIBIT 1 
  
 PFCB-Perfluorocyclobutanes 
  
 

 
  
  

 Page 1 of 2 Pages 

 EXHIBIT 1 (Continued) 
  
 Improved Highly Fluorinated NLO Dendrimer 
  
 

 
  

 Page 2 of 2 Pages 

 EXHIBIT 2 
 Recent Dalton Group Publications* 
  

	1.	C. Zhang, C. Wang, L. R. Dalton, H. Zhang, and W. H. Steier, “Progress Toward Device-Quality Second-Order Nonlinear Optical Materials. 4.A Tri-Link High μß NLO
Chromophore in Thermoset Polyurethane: A “Guest-Host” Approach to Larger Electro-Optic Coefficients,” Macromolecules, 34, 253-61 (2001). 

  

	2.	C. Zhang, C. Wang, J. Yang, L. R. Dalton, G. Sun, H. Zhang, and W. H. Steier, “Electric-Poling and Relaxation of Thermoset Polyurethane Second-Order Nonlinear Optical
Materials: The Role of Cross-Linking and Monomer Rigidity,” Macromolecules, 34, 235-43 (2001). 

  

	3.	H. Ma, B. Chen, S.Takafumi, L. R. Dalton, and A. K. Y. Jen, “Highly Efficient and Thermally Stable Nonlinear Optical Dendrimer for Electro-Optics,” J. Am. Chem.
Soc,123, in press (2001); available on-line as an ACS ASAP article. 

  

	4.	Chen, V. Chuyanov, F. I. Marti-Carrera. S. M. Garner, W. H. Steier, J. Chen, S. S. Sun, and L. R. Dalton, ‘Vertically Tapered Polymer Waveguide Mode Size Transformer for
Improved Fiber Coupling,” Opt. Eng., 39, 1507-16 (2000). 

  

	5.	L. Sun, J.-H. Kim, C.-H. Jang, J. J. Maki, D. An, Q. Zhou, X. Lu, J. M. Taboada, R. T. Chen, S. Tang, H. Zhang, W. H. Steier, A. S. Ren, and L. R. Dalton, “Beam Deflection With
Electronic-Optic Polymer Waveguide Prism Array,” Proc. SPIE, 3950, 98- 107 (2000). 

  

	6.	J. S. Grote, J. S. Zetts, J. P. Drummond, R. L. Nelson, F. K. Hopkins, C. H. Zhang, L. R. Dalton, and W. H. Steier, “Effect of Dielectric Constant on Modulation Voltage for
Nonlinear Optic Polymer-Based Optoelectronic Devices,” Proc. SPIE, 3950, 108-116 (2000). 

  

	7.	C. Wang and L. R. Dalton, “A Facile Synthesis of Thienylmethylphosphonates: Direct Conversion From Thiophenes,” Tetrahedron Lett., 41, 617-20 (2000).

  

	8.	Liakatas, C. Cai, M. Bosch, M. Jager, Ch. Bosshard, P. Gunter, C. Zhang, and L. R. Dalton, “Importance of Intermolecular Interactions on the Nonlinear Optical Properties of
Poled Polymers,” Appl. Phys. Lett., 76, 1368-70 (2000). 

  

	9.	D. An, Z. Shi, L. Sun, J. M. Taboada, Q. Zhou, X. Lu, R. T. Chen, S. Tang, H. Zhang, W. H. Steier, A. Ren, and L. R. Dalton, “Polymeric Electro-Optic Modulator Based on 1x2
Y-Fed Directional Coupler,” Appl. Phys. Lett., 76, 1972-4 (2000). 

  

	10.	C. Zhang, A. W. Harper, D. S. Spells, and L. R. Dalton, “A Facile Synthesis of 5-N,N-Bis(2- Hydroxyethyl) amino-2-Thiophenecarboxaldehyde,” Synth. Commun.,
30( 8), 13 59-64 (2000). 

  

	11.	C. Wang, C. Zhang, P. Wang, P. Zhu, C. Ye, and L. R. Dalton, “High Tg Donor-Embedded Polyimides for Second-Order Nonlinear Optical Applications,” Polymer,
41, 2583-90 (2000). 

  

	12.	Y. Shi, C. Zhang, H. Zhang, J. H. Bechtel, L. R. Dalton, B. H. Robinson, and W. H. Steier, “Low (Sub-1 Volt) Halfwave Voltage Polymeric Electrooptic Modulators Achieved by
Control of Chromophore Shape,” Science, 288, 119-122 (2000). 

  

	13.	S. S. Lee, S. M. Gamer, V. Chuyanov, H. Zhang, W. H. Steier, F. Wang, L. R. Dalton, A.H. Udupa, and H, R. Fetterman, “Optical Intensity Modulator Based on a Novel Electrooptic
Polymer Incorporating a High μß Chromophore,” IEEE Journal of Quantum Electronics, 36, 527-32 (2000). 

  

 Page 1 of 2 Pages 

 EXHIBIT 2 (Continued) 
 Recent Dalton Group Publications* 
  

	14.	B. H. Robinson and L. R. Dalton, “Monte Carlo Statistical Mechanical Simulations of the Competition of Intermolecular Electrostatic and Poling Field Interactions in Defining
Macroscopic Electro-Optic Activity for Organic Chromophore/Polymer Materials,” J. Phys. Chem., 104, 4785-4795 (2000). 

  

	15.	D. H. Chang, H. Erlig, M. C. Oh, C. Zhang, W. H. Steier, L. R. Dalton, and H. R. Fetterman, “Time Stretching of 102 GHz Millimeter Waves Using a Novel 1.55 μm Polymer
Electrooptic Modulator, IEEE Photonics Technology Letters, 12, 537-9 (2000). 

  

	16.	D. An, S. Tang, Z. Shi, L. Sun, J. M. Taboada, Q. Zhou, X. Lu, R. T. Chen, H. Zhang, W. H. Steier, A. Ren, and L. R. Dalton, “1x2 Y-Fed Directional Coupler Modulator Based on
Electro-Optic Polymer,” Proc. SPIE, 3950, 90-7 (2000). 

  

	17.	Y. Shi, W. Lin, D. J. Olson, J. H. Bechtel, H. Zhang, W. H. Steier, C. Zhang, and L. R. Dalton, “Electro-Optic Polymer Modulators with 0.8 V Half- Wave Voltage,” Appl.
Phys. Lett., 77, 1-3 (2000). 

  

	18.	M.-C. Oh, H. Zhang, A. Szep, V. Chuyanov, W. H. Steier, C. Zhang, L. R. Dalton, H. Erlig, B. Tsap, and H. R. Fetterman, “Practical Electro-Optic Polymer Modulators for 1.55
μm Wavelength Using Phenyltetraene Bridged Chromophores in Polycarbonate,” Appl. Phys. Lett., 76, 3525-7 (2000). 

  

	19.	C. Zhang, M. Lee, A. Winkleman, H. Northcroft, C. Lindsey, A. K. Y. Jen, T. Londergan, W. H. Steier, and L. R. Dalton, “Realization of Polymeric Electro-Optic Modulators With
Less Than One Volt Drive Voltage Requirement,” Materials Research Society Symposium Proceedings, Vol. 598, Electrical, Optical and Magnetic Properties of Organic Solid State Materials (Materials Research Society, Pittsburgh, 2000)
pp.BB4.2.1-12. 

  

	20.	K. Y. Jen, H. Ma, X. Wu, J. Wu, and L. R. Dalton, “High Performance Side-Chain Aromatic Polyquinones for Electro-Optic (E-O) Devices,” Materials Research Society Symposium
Proceedings, Vol. 598, Electrical, Optical and Magnetic Properties of Organic Solid State Materials (Materials Research Society, Pittsburgh, 2000) pp.BB4.4.1-6. 

  

	21.	G. Grote, J. P. Drummond, J. S. Zetts, R. L. Nelson, F. K. Hopkins, C. Zhang, L. R. Dalton, and W. H. Steier, “Enhanced Electrooptic Activity of NLO Polymers Via the Use of
Conductive Polymers,” Materials Research Society Symposium Proceedings, Vol. 597, Thin Films for Optical Waveguide Devices (Materials Research Society, Pittsburgh, 2000) pp. 109-115. 

  

	22.	Yacoubian, V. Chuyanov, S. M. Garner, W. H. Steier, A. S. Ren, and L. R. Dalton, “EO Polymer-Based Integrated-Optical Acoustic Spectrum Analyzer,” IEEE J. Sel. Topics
in Quantum Electronics, 6, 810-6 (2000). 

  

	*Note:  	Provided as background information only. These references shall not be deemed to be covenants, representations or warranties by University or otherwise be made part of this Research
Plan or the Sponsored Research Agreement. (Only references 1, 3, 12, 17 and 18 are referred to in text.) 

  

 Page 2 of 2 PagesPolymer-Based Linearized EO Modular Agreement

 Exhibit 10.18 
  

									
	AWARD / CONTRACT	  	1. THIS CONTRACT IS A RATED ORDER	  	RATING	  	PAGE of PAGES
	 	  	UNDER DPAS(15 CFR 350) è	  	DO-A7	  	1	  	16
			
	2. CONTRACT (PROC. INST. IDENT.) NO.	  	3. EFFECTIVE DATE	  	4. REQUISITION/
PURCHASE REQUEST/
PROJECT NO.
	F30602-03-C-0119	  	4. Aug 2003	  	See Section G

  

							
	 5. ISSUED BY AFRL/IFKE
 USAF,AFMC
 AIR FORCE RESEARCH LABORATORY
 26 ELECTRONIC PARKWAY
 ROME NY 13441-4514
 GAIL A. PERSON 315 330-7699
 Gail.Person@rl.af.mil
	  	CODE FA8750	  	 6. ADMINISTERED BY (IF OTHER THAN
ITEM 5)
  
 DCMA SEATTLE
 CORPORATE CAMPUS EAST III
 3009 112TH AVE NE SUITE 200
 BELLEVUE WA 98004-8019
  
 SCD: C        PAS: (NONE)
	  	 CODE S4801A
  

																
			
	 7. NAME AND ADDRESS OF CONTRACTOR (NO., STREET, CITY, COUNTY, STATE AND ZIP CODE)
  
 LUMERA CORPORATION
 19910 NORTH CREEK PARKWAY
 BOTHELL WA 98011-8215
 (425) 398-6540
	  	 	  	 8. DELIVERY
  
  ̈ FOB Origin x Other (see
below)
 9. DISCOUNT FOR PROMPT PAYMENT
  
 N

								
	CAGE CODE 1PJCB	  	 	  	 	  	FACILITY CODE	  	 	  	 	  	 10. SUBMIT INVOICES
 (4 COPIES UNLESS
OTHERWISE SPECIFIED) TO
 THE ADDRESS SHOWN IN è
	  	 
 
 	ITEM See Block
12

	 11. SHIP TO / MARK FOR
  
 See Section F
	  	CODE	  	__________	  	 12. PAYMENT WILL BE MADE BY
  
 DFAS-CO/WEST ENTITLEMENT OPER
 P O BOX 182381
 COLUMBUS OH 43218-2381
  
 EFT: T
	  	CODE	  	 	HQ0339
	13. AUTHORITY FOR OTHER THAN FULL AND OPEN COMPETITION	  	 	  	 14. ACCOUNTING AND APPROPRIATION DATA
  
 See Section G
	  	 	  	 	 
	 15A. ITEM NO
 See Section B
	  	15B. SUPPLIES/SERVICES	  	 	  	 	  	15C. QUANTITY	  	15D. UNIT	  	15E.UNIT PRICE	  	 	15F. AMOUNT
	 	  	 	  	 	  	 	  	15G. TOTAL AMOUNT OF CONTRACT	  	è	  	$	497,365.00

  
 16. Table of Contents

  

															
	 	  	 SEC

	  	 DESCRIPTION

	  	 PAGE(S)

	  	 	  	 SEC

	  	 DESCRIPTION

	  	PAGE(S)

	 	  	 	  	PART – THE SCHEDULE	  	 	  	 	  	 	  	PART II – CONTRACT CLAUSES	  	 
	 ü
	  	A	  	SOLICITATION/CONTRACT FORM	  	1	  	ü	  	I	  	CONTRACT CLAUSES	  	12
								
	 ü
	  	B	  	SUPPLIES OR SERVICES AND PRICES/COSTS	  	2	  	 	  	 	  	PART III – LIST OF DOCUMENTS, EXHIBITS & ATTACHMENTS	  	 
								
	 ü
	  	C	  	DESCRIPTION/SPECS/WORK STATEMENT	  	4	  	ü	  	J	  	LIST OF ATTACHMENTS	  	16
								
	 ü
	  	D	  	PACKAGING AND MARKING	  	5	  	 	  	 	  	PART IV – REPRESENTATIONS AND INSTRUCTIONS	  	 
								
	 ü
	  	E	  	INSPECTION AND ACCEPTANCE	  	6	  	 	  	K	  	REPRESENTATIONS, CERTIFICATIONS OTHER STATEMENTS OF OFFERORS	  	 
	 ü
	  	F	  	DELIVERIES OR PERFORMANCE	  	7	  	 	  	 	  	  	 
								
	 ü
	  	G	  	CONTRACT ADMINISTRATION DATA	  	9	  	 	  	L	  	INSTRS., CONDS., AND NOTICES TO	  	 
								
	 ü
	  	H	  	SPECIAL CONTRACT REQUIREMENTS	  	11	  	 	  	M	  	EVALUATION FACTORS FOR AWARD	  	 
	 CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
	  	 

							
	 17. x Contractor’s Negotiated Agreement
 (Contractor is required to sign this document and return 1 copies to issuing office). Contractor agrees to furnish and deliver all items or perform all services set forth
or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b)
the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.)
	 	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 set forth in full above, is hereby accepted as to items listed above and on any continuation sheets. This award consummates the contract which consists of
the following documents: (a) the Government’s solicitation and your offer, and (b) this award/contract. No further contractual document is necessary.
		
	 19A. NAME AND TITLE OF SIGNER (TYPE OR PRINT)
 THOMAS D. MINO CEO
	 	 20A. NAME OF CONTRACTING OFFICER
 ROBERT
E. KLEES

											
	19B. Name of Contractor	 	19C. Date Signed	 	20B. United States of America	 	20C. Date Signed
						
	by:	 	 /s/    THOMAS D.
MINO        
	 	7/28/03	 	by:	 	 /s/    ROBERT E.
KLEES        
	 	4 Aug 2003
	 (signature of person authorized to sign)
	 	 	 	 	 	 (signature of Contracting Officer)
	 	 

					
			
	 NSN 7540-01-152-8069
 Previous Editions
unusable
 ConWrite Version 5.3.7
	 	 	 	 STANDARD FORM 26 (REV 4.55) 8
 Prescribed by GSA FAR (48CFR) 53.214(a)
 Created 25 Jul 2003 9:14 AM

  
 07/28/03 MON 11:45
[TX/RX NO 7653] 
  

 PART I - THE SCHEDULE 
 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS 
  

									
	 ITEM

	  	 SUPPLIES OR SERVICES

	  	 	  	 Qty
Purch Unit

	  	 Unit Price
 Total Item Amount

	 0001
	  	 	  	 	  	1	  	EST $497,365.00
	 	  	 	  	 	  	Lot	  	EST $497,365.00
	 	  	Noun:	  	HARDWARE	  	 	  	 
	 	  	ACRN:	  	9	  	 	  	 
	 	  	NSN:	  	N - Not Applicable	  	 	  	 
	 	  	Contract type:	  	S - COST	  	 	  	 
	 	  	Inspection:	  	DESTINATION	  	 	  	 
	 	  	Acceptance:	  	DESTINATION	  	 	  	 
	 	  	FOB:	  	DESTINATION	  	 	  	 
	 	  	Descriptive Data:	  	 	  	 	  	 
	 	  	A. Hardware in accordance with paragraph 4.0 of Attachment No. 1, Statement of Work entitled “Polymer-Based Linearized EO Modulator” dated 5 Jun 2003.
		
	 	  	B. Payment instructions for the subline items shown below are contained in Section G.
					
	 000101
	  	 	  	 	  	 	  	 
	 	  	Noun:	  	Funding Info Only	  	 	  	 
	 	  	ACRN:	  	AA	  	$100,000.00	  	 
	 	  	Descriptive Data:	  	 	  	 	  	 
	 	  	A. Hardware in accordance with paragraph 4.0 of Attachment No. 1, Statement of Work entitled “Polymer-Based Linearized EO Modulator” dated 5 June 2003.
		
	 	  	B. Payment instructions for the subline items shown below are contained in Section G.
					
	 0002
	  	 	  	 	  	 	  	 
	 	  	Noun:	  	DATA	  	 	  	 
	 	  	Exhibit:	  	A	  	 	  	 
	 	  	NSN:	  	N - Not Applicable	  	 	  	 
	 	  	DD1423 is Exhibit:	  	A	  	 	  	 
	 	  	Descriptive Data:	  	 	  	 	  	 
	 	  	Data in accordance with Exhibit A, Contract Data Requirements List dated 5 Jun 2003. Quantity and delivery schedule shall be as specified on Exhibit A.

  

					
	 	  	 	  	SECTION B F30602-03-C-0119
	 	  	PAGE 2 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS 
  
 NOTICE: The following contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 B050 ALLOWABLE COST AND PAYMENT (COST CONTRACTS (NO FEE)) (SEP 1997) 
  
 Contractor shall be reimbursed for performance of this contract in accordance with the
contract clauses and the following additional terms: 
  
 The total estimated cost
of performance is $497,365.00 
  
 Applicable to following Line Items: ALL

  
 B054 IMPLEMENTATION OF LIMITATION OF FUNDS (FEB 2003) (TAILORED)

  
 (a) The sum allotted to this contract and available for
payment of costs under 0001/0002 through 30 Sep 2003 in accordance with the clause in Section I entitled “Limitation of Funds” is $497,365.00. 
  

					
	 	  	 	  	SECTION B F30602-03-C-0119
	 	  	PAGE 3 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION C - DESCRIPTION/SPECS./WORK STATEMENT 
  

NOTICE: The following contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 C003 INCORPORATED DOCUMENTS/REQUIREMENTS (APR 1998) 
  

	1.	The following documents, as they may be amended below, are a part of this contract: 

  

	 	(a)	Attachment No. 1, Statement of Work entitled, “Polymer-Based Linearized EO Modulator”, dated 5 Jun 2003. 

  

	 	(b)	Exhibit A entitled “Contract Data Requirements List,” dated 5 Jun 2003. 

  

					
	 	  	 	  	SECTION C F30602-03-C-0119
	 	  	PAGE 4 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION D - PACKAGING AND MARKING 
  
 NOTICE: The following contract clauses pertinent to this section are hereby incorporated by reference: 
  
 AIR FORCE MATERIEL COMMAND FEDERAL ACQUISITION REGULATION SUPPLEMENT CONTRACT
CLAUSES 
  
 5352.247-9008 CONTRACTOR COMMERCIAL PACKAGING (AFMC) (SEP
1998) 
  

					
	 	  	 	  	SECTION D F30602-03-C-0119
	 	  	PAGE 5 OF 16	  	 

 PART I-THE SCHEDULE 
 SECTION E - INSPECTION AND ACCEPTANCE 
  
 I. NOTICE: The following contract clauses pertinent to this section are hereby incorporated by reference: 
  
 A. FEDERAL ACQUISITION REGULATION CONTRACT CLAUSES 
  

			
	52.246-08	  	INSPECTION OF RESEARCH AND DEVELOPMENT— COST-REIMBURSEMENT (MAY 2001) -ALTERNATE I (APR 1984)

  
 B. DEFENSE FEDERAL ACQUISITION
REGULATION SUPPLEMENT CONTRACT CLAUSES 
  

			
	 252.24.6-7000
	  	MATERIAL INSPECTION AND RECEIVING REPORT (MAR 2003)

  
 II. NOTICE: The following
contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 E007 INSPECTION
AND ACCEPTANCE AUTHORITY (APR 1998) 
  
 Inspection and acceptance for all
Contract and Exhibit Lines or Subline Items shall be accomplished by the Program Manager, Air Force Research Laboratory, Rome, NY. 
  

					
	 	  	 	  	SECTION E F30602-03-C-0119
	 	  	PAGE 6 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION F - DELIVERIES OR PERFORMANCE 
  

													
	 ITEM

	  	 SUPPLIES
SCHEDULE
DATA

	  	 QTY

	  	 SHIP
 TO

	  	 MARK
 FOR

	  	 TRANS PRI

	  	 DATE

	 0001
	  	 	  	1	  	FA8750	  	 	  	 	  	ASREQ
	 	  	Noun:	  	HARDWARE	  	 	  	 	  	 	  	 
	 	  	ACRN:	  	9	  	 	  	 	  	 	  	 
	 	  	 Descriptive Data:
 A Kickoff
Meeting shall be Held at the Contractor’s Facility
 within 30 days after contract effective date.
  
 Oral Presentations shall be held as follows every 6 months alternating between
AFRL
 Rome Research Facility and the Contractor’s Facility.
  
 SHIP HARDWARE TO:
  
 ATTN: Transportation Officer, FA8750
 Air Force Research Laboratory/IFOLST
 Marked For: AFRL/SNDP/Brian F McLeaon/7348
 Contract No.:F30602-03-C-0119
 120
Electronic Parkway
 Rome NY 13441-4503

  

					
	 	  	 	  	SECTION F F30602-03-C-0119
	 	  	PAGE 7 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION F - DELIVERIES OR PERFORMANCE 
  
 I. NOTICE: The following contract clauses pertinent to this section are hereby incorporated by reference: 
  
 FEDERAL ACQUISITION REGULATION CONTRACT CLAUSES 
  

	52.242-15	STOP-WORK ORDER (AUG1989) - ALTERNATE I (APR 1984) 

  
 II. NOTICE: The following contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 F005 DELIVERY OF REPORTS (OCT1998) 
  
 (a)All data shall be delivered in accordance with the delivery schedule
shown on the Contract Data Requirements List, attachments, or as incorporated by reference. 
  
 (b)All reports and correspondence submitted under this contract shall include the contract number and project number and be forwarded prepaid. A copy of the letters of transmittal shall be delivered to the Procuring
Contracting Officer (PCO) and Administrative Contracting Officer (ACO). The addresses are set forth on the contract award cover page. All other address(es) and code(s) for consignee(s) are as set forth in the contract or incorporated by reference.

  

					
	 	  	 	  	SECTION F F30602-03-C-0119
	 	  	PAGE 8 OF 16	  	 

 PART I - THE SCHEDULE 
 SECTION G - CONTRACT ADMINISTRATION DATA 
  

											
	 ACRN

	  	 Appropriation/Lmt Subhead/Supplemental Accounting Data

	  	Obligation
Amount

	 AA
	  	 	  	 	  	 	 	  	$	100,000.00
	 	  	57 33600 293 4707 625028 000000 38635 62500F 503000 F03000
	 	  	Funding breakdown:	  	On CLIN 000101:	  	$	100,000.00	  	 	 
	 	  	PR/MIPR:	  	FA8750-03-08635	  	$	100,000.00	  	 	 
	 	  	 Descriptive data:
 Job Order No.:
517DSN02
 Purchase Request No.: D38635
 Funding Document No.:
BA3-1

  

					
	 	  	 	  	SECTION G F30602-03-C-0119
	 	  	PAGE 9 OF 16	  	 

 PART I-THE SCHEDULE 
 SECTION G-CONTRACT ADMINISTRATION DATA 
  
 NOTICE: The following contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 G006 INVOICE AND PAYMENT-COST REIMBURSEMENT (FEB1997) 
  
 Invoices (or public vouchers), supported by a statement of cost for performance under this
contract, shall be submitted to the cognizant Defense Contract Audit Agency (DCAA) office. Under the provisions of DFARS 242.803(b), the DCAA auditor, is designated as the authorized representative of the contracting officer (CO) for examining
vouchers received directly from the contractor. 
  

					
	 	  	 	  	SECTION G F30602-03-C-0119
	 	  	PAGE 10 of 16	  	 

 PART I-THE SCHEDULE 
 SECTION H - SPECIAL CONTRACT REQUIREMENTS 
  
 NOTICE: The following contract clauses pertinent to this section are hereby incorporated in full text: 
  
 OTHER CONTRACT CLAUSES IN FULL TEXT 
  
 H025 INCORPORATION OF SECTION K (OCT 1998) 
  
 Section K of the solicitation is hereby incorporated by reference. 
  
 H055 INSURANCE CLAUSE IMPLEMENTATION (FEB 2003) 
  
 The Contractor shall obtain and maintain the minimum kinds and amounts of insurance during
performance of this contract as specified by FAR 28.307-2, Liability, and contemplated by FAR 52.228-5, Insurance—Work on a Government Installation, and/or 52.228-7, Insurance— Liability to Third Persons. 
  
 IFK-H001 INDIRECT COST LIMITATION (JUL 2003) 
  
 INDIRECT COST RATE LIMITATION 
  
 (a) Notwithstanding any provisions to the contrary, the Contractor shall not be reimbursed for otherwise allowable indirect
costs resulting from the application of indirect cost rates in excess of the following ceiling rates: 
  

			
	 INDIRECT COST CATEGORY

	  	NEGOTIATED CEILING RATE

	 Fringe Benefits
	  	  25.76 percent
	 Labor Overhead
	  	160.00 percent
	 General and Administrative (G&A)
	  	70.00 percent

  
 (b) In the event that
final indirect cost rates, as determined in accordance with the provisions of the clause of this contract entitled “ALLOWABLE COST AND PAYMENT” are lower than the negotiated ceiling rates set forth in subparagraph (a) above, reimbursement
shall be based on the lower final indirect cost rates. 
  
 (c)
Unreimbursed costs resulting from application of the provisions of this clause shall not be charged to any other direct or indirect cost account in such a manner as to result in recoupment of the unreimbursed costs on this or any other Government
contract or assistance agreement. 
  
 (d) If the methodology of
indirect cost allocation changes during performance of this contract, then, subject to such approvals as would otherwise be required for cost accounting changes, the indirect cost rate ceilings set forth in subparagraph (a) above shall be equitably
adjusted to reflect the approved change in methodology. 
  

					
	 	  	 	  	SECTION H F30602-03-C-0119
	 	  	PAGE 11 OF 16	  	 

 PART II - CONTRACT CLAUSES 
 SECTION I - CONTRACT CLAUSES 
  
 Contract Clauses in this section are from the FAR, Defense FAR Sup, Air Force FAR Sup, and the Air Force Materiel Command FAR Sup, and are current through the following
updates: 
  
 Database_Version: 5.3.x.200; Issued: 6/27/2003; Clauses: ; FAR: FAC
2001-14; DFAR: DCN20030620; DL.: DL98-021; Class Deviations: CD 2002o0003; AFFAR: 2002 Edition; AFMCFAR: AFMCAC 02-01; AFAC: AFAC 2003-0501; IPN: 98-009 
  
 I. NOTICE: The following contract clauses pertinent to this section are hereby incorporated by reference: 
  
 A. FEDERAL ACQUISITION REGULATION CONTRACT CLAUSES 
  

			
	 52.202-01
	  	 DEFINITIONS (DEC 2001)

	 52.203-03
	  	 GRATUITIES (APR 1984)

	 52.203-05
	  	 COVENANT AGAINST CONTINGENT FEES (APR 1984)

	 52.203-06
	  	 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1995)

	 52.203-07
	  	 ANTI-KICKBACK PROCEDURES (JUL 1995)

	 52.203-08
	  	 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR ILLEGAL OR IMPROPER ACTIVITY (JAN 1997)

	 52.203-10
	  	 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER ACTIVITY (JAN 1997)

	 52.203-12
	  	 LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (JUN 2003)

	 52.204-04
	  	 PRINTED OR COPIED DOUBLE-SIDED ON RECYCLED PAPER (AUG 2000)

	 52.209-06
	  	 PROTECTING THE GOVERNMENT’S INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (JUL
1995)

	 52.211-05
	  	 MATERIAL REQUIREMENTS (AUG 2000)

	 52.215-02
	  	 AUDIT AND RECORDS — NEGOTIATION (JUN 1999)

	 52.215-08
	  	 ORDER OF PRECEDENCE—UNIFORM CONTRACT FORMAT (OCT 1997)

	 52.215-14
	  	 INTEGRITY OF UNIT PRICES (OCT 1997) - ALTERNATE I (OCT 1997)

	 52.215-15
	  	 PENSION ADJUSTMENTS AND ASSET REVERSIONS (DEC 1998)

	 52.215-17
	  	 WAIVER OF FACILITIES CAPITAL COST OF MONEY (OCT 1997)

	 52.215-18
	  	 REVERSION OR ADJUSTMENT OF PLANS FOR POSTRETIREMENT BENEFITS (PRB) OTHER THAN PENSIONS (OCT 1997)

	 52.215-19
	  	 NOTIFICATION OF OWNERSHIP CHANGES (OCT 1997)

	 52.216-07
	  	 ALLOWABLE COST AND PAYMENT (DEC 2002)

	 52.216-11
	  	 COST CONTRACT—NO FEE (APR 1984)

	 52.219-08
	  	 UTILIZATION OF SMALL BUSINESS CONCERNS (OCT 2000)

	 52.222-02
	  	 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990)

	 	  	 Para (a), Dollar amount is ‘zero’

	 52.222-03
	  	 CONVICT LABOR (JUN 2003)

	 52.222-21
	  	 PROHIBITION OF SEGREGATED FACILITIES (FEB 1999)

	 52.222-26
	  	 EQUAL OPPORTUNITY (APR 2002)

	 52.222-35
	  	 EQUAL OPPORTUNITY FOR SPECIAL DISABLED VETERANS, VETERANS OF THE VIETNAM ERA, AND OTHER ELIGIBLE VETERANS (DEC 2001)

	 52.222-36
	  	 AFFIRMATIVE ACTION FOR WORKERS WITH DISABILITIES (JUN 1998)

	 52.222-37
	  	 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS, VETERANS OF THE VIETNAM ERA, AND OTHER ELIGIBLE VETERANS (DEC 2001)

	 52.223-06
	  	 DRUG-FREE WORKPLACE (MAY 2001)

	 52.223-14
	  	 TOXIC CHEMICAL RELEASE REPORTING (JUN 2003)

	 52.225-13
	  	 RESTRICTIONS ON CERTAIN FOREIGN PURCHASES (JUN 2003)

	 52.227-01
	  	 AUTHORIZATION AND CONSENT (JUL 1995) - ALTERNATE I (APR 1984)

  

					
	 	  	 	  	SECTION I F30602-03-C-0119
	 	  	PAGE 12 OF 16	  	 

 PART II - CONTRACT CLAUSES 
 SECTION I - CONTRACT CLAUSES 
  

			
	 52.227-02
	  	 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT

	 	  	 (AUG 1996)

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

	 	  	 para (1), insert agency instructions for communications ‘All documents and information required

	 	  	 by the patent rights and/or patent reporting clauses set forth in Section I of this contract shall be

	 	  	 submitted to the Administrative Contracting Officer and to Air Force Research Laboratory/IFOJ,

	 	  	 26 Electronic Parkway, Rome NY 13441-4514. The AFRL/IFOJ patent administrator can be

	 	  	 reached at Area Code (315) 330-2087 or DSN 587-2087. This notice also constitutes a request

	 	  	 (see FAR 52.227-12(f)(10) or DFARS 252.227-7039(c), as applicable) for submission of a copy of

	 	  	 the patent application, when filed, along with the patent application serial number, filing date,

	 	  	 subsequent U.S. patent number and issue date, as received.’

	 52.228-07
	  	 INSURANCE—LIABILITY TO THIRD PERSONS (MAR 1996)

	 52.232-09
	  	 LIMITATION ON WITHHOLDING OF PAYMENTS (APR 1984)

	 52.232-17
	  	 INTEREST (JUN 1996)

	 52.232-22
	  	 LIMITATION OF FUNDS (APR 1984)

	 52.232-23
	  	 ASSIGNMENT OF CLAIMS (JAN 1986) - ALTERNATE I (APR 1984)

	 52.232-25
	  	 PROMPT PAYMENT (FEB 2002)

	 52.232-33
	  	 PAYMENT BY ELECTRONIC FUNDS TRANSFER—CENTRAL CONTRACTOR

	 	  	 REGISTRATION (MAY 1999)

	 52.233-01
	  	 DISPUTES (JUL 2002)

	 52.233-03
	  	 PROTEST AFTER AWARD (AUG 1996) - ALTERNATE I (JUN 1985)

	 52.242-01
	  	 NOTICE OF INTENT TO DISALLOW COSTS (APR 1984)

	 52.242-04
	  	 CERTIFICATION OF FINAL INDIRECT COSTS (JAN 1997)

	 52.242-13
	  	 BANKRUPTCY (JUL 1995)

	 52.243-02
	  	 CHANGES — COST-REIMBURSEMENT (AUG 1987) - ALTERNATE V (APR 1984)

	 52.244-02
	  	 SUBCONTRACTS (AUG 1998) - ALTERNATE I (AUG 1998)

	 	  	 Para (e), Contractor shall obtain the Contracting Officer’s written consent before placing the

	 	  	 following subcontracts: ‘None’

	 	  	 Para (k), Insert subcontracts which were evaluated during negotiations: ‘None’

	 52.244-05
	  	 COMPETITION IN SUBCONTRACTING (DEC 1996)

	 52.245-05
	  	 GOVERNMENT PROPERTY (COST-REIMBURSEMENT, TIME-AND-MATERIAL, OR

	 	  	 LABOR-HOUR CONTRACTS) (JUN 2003)

	 52.246-23
	  	 LIMITATION OF LIABILITY (FEB 1997)

	 52.247-01
	  	 COMMERCIAL BILL OF LADING NOTATIONS (APR 1984)

	 52.247-67
	  	 SUBMISSION OF COMMERCIAL TRANSPORTATION BILLS TO THE GENERAL

	 	  	 SERVICES ADMINISTRATION FOR AUDIT (JUN 1997)

	 52.249-06
	  	 TERMINATION (COST-REIMBURSEMENT) (SEP 1996)

	 52.249-14
	  	 EXCUSABLE DELAYS (APR 1984)

	 52.253-01
	  	 COMPUTER GENERATED FORMS (JAN 1991)

  
 B. DEFENSE FEDERAL ACQUISITION
REGULATION SUPPLEMENT CONTRACT CLAUSES 
  

			
	 252.203-7001
	  	 PROHIBITION ON PERSONS CONVICTED OF FRAUD OR OTHER DEFENSE-

	 	  	 CONTRACT-RELATED FELONIES (MAR 1999)

	 252.204-7003
	  	 CONTROL OF GOVERNMENT PERSONNEL WORK PRODUCT (APR 1992)

	 252.204-7004
	  	 REQUIRED CENTRAL CONTRACTOR REGISTRATION (NOV 2001)

	 252.209-7000
	  	 ACQUISITION FROM SUBCONTRACTORS SUBJECT TO ON-SITE INSPECTION UNDER

	 	  	 THE INTERMEDIATE-RANGE NUCLEAR FORCES (INF) TREATY (NOV 1995)

	 252.209-7004
	  	 SUBCONTRACTING WITH FIRMS THAT ARE OWNED OR CONTROLLED BY THE

	 	  	 GOVERNMENT OF A TERRORIST COUNTRY (MAR 1998)

	 252.225-7012
	  	 PREFERENCE FOR CERTAIN DOMESTIC COMMODITIES (FEB 2003)

	 252.225-7014
	  	 PREFERENCE FOR DOMESTIC SPECIALTY METALS (APR 2003)

	 252.225-7031
	  	 SECONDARY ARAB BOYCOTT OF ISRAEL (APR 2003)

	 252.226-7001
	  	 UTILIZATION OF INDIAN ORGANIZATIONS AND INDIAN-OWNED ECONOMIC

	 	  	 ENTERPRISES-DOD CONTRACTS (SEP 2001)

	 252.227-7013
	  	 RIGHTS IN TECHNICAL DATA—NONCOMMERCIAL ITEMS (NOV 1995)

  

					
	 	  	 	  	SECTION I F30602-03-C-0119
	 	  	PAGE 13 OF 16	  	 

 PART II - CONTRACT CLAUSES 
 SECTION I - CONTRACT CLAUSES 
  

			
	 252.227-7016
	  	 RIGHTS IN BID OR PROPOSAL INFORMATION (JUN 1995)

	 252.227-7030
	  	 TECHNICAL DATA—WITHHOLDING OF PAYMENT (MAR 2000)

	 252.227-7036
	  	 DECLARATION OF TECHNICAL DATA CONFORMITY (JAN 1997)

	 252.227-7037
	  	 VALIDATION OF RESTRICTIVE MARKINGS ON TECHNICAL DATA (SEP 1999)

	 252.231-7000
	  	 SUPPLEMENTAL COST PRINCIPLES (DEC 1991)

	 252.232-7003
	  	 ELECTRONIC SUBMISSION OF PAYMENT REQUESTS (MAR 2003)

	 252.235-7010
	  	 ACKNOWLEDGMENT OF SUPPORT AND DISCLAIMER (MAY 1995)

	 	  	 Para (a), name of contracting agency(ies): ‘Air Force Research Laboratory’

	 	  	 Para (a), contract number(s): ‘F30602-03-C-0119’

	 	  	 Para (b), name of contracting agency(ies): ‘United States Air Force’

	 252.235-7011
	  	 FINAL SCIENTIFIC OR TECHNICAL REPORT (SEP 1999)

	 252.242-7000
	  	 POSTAWARD CONFERENCE (DEC 1991)

	 252.242-7004
	  	 MATERIAL MANAGEMENT AND ACCOUNTING SYSTEM (DEC 2000)

	 252.243-7002
	  	 REQUESTS FOR EQUITABLE ADJUSTMENT (MAR 1998)

	 252.244-7000
	  	 SUBCONTRACTS FOR COMMERCIAL ITEMS AND COMMERCIAL COMPONENTS (DOD CONTRACTS) (MAR 2000)

	 252.247-7023
	  	 TRANSPORTATION OF SUPPLIES BY SEA (MAY 2002)

	 252.247-7024
	  	 NOTIFICATION OF TRANSPORTATION OF SUPPLIES BY SEA (MAR 2000)

  
 II. NOTICE: The following
contract clauses pertinent to this section are hereby incorporated in full text: 
  
 FEDERAL ACQUISITION REGULATION CONTRACT CLAUSES IN FULL TEXT 
  
 52.211-15 DEFENSE PRIORITY AND ALLOCATION REQUIREMENTS (SEP 1990) 
  
 This is a rated order certified for national defense use, and the Contractor shall follow all the requirements of the Defense Priorities and Allocations System regulation (15 CFR 700). 
  
 52.244-06 SUBCONTRACTS FOR COMMERCIAL ITEMS (APR 2003) 
  
 (a) Definitions. As used in this clause— 
  
 “Commercial item” has the meaning contained in the clause at 52.202-1, Definitions.

  
 “Subcontract” includes a transfer of commercial items between
divisions, subsidiaries, or affiliates of the Contractor or subcontractor at any tier. 
  
 (b) To the maximum extent practicable, the Contractor shall incorporate, and require its subcontractors at all tiers to incorporate, commercial items or nondevelopmental items as components of items to be supplied
under this contract. 
  
 (c) (1) The Contractor shall insert the
following clauses in subcontracts for commercial items: 
  
 (i) 52.219-8, Utilization of Small Business Concerns (Oct 200) (15 U.S.C. 637(d)(2)(3)), in all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business
concerns) exceed $500,000 ($1,000,000 for construction of any public facility), the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities. 
  
 (ii) 52.222-26, Equal Opportunity (Apr 2002) (E.O.11246).

  
 (iii) 52.222-35, Equal Opportunity for
Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Dec 2001) (38 U.S.C. 4212(a)). 
  

					
	 	  	 	  	SECTION I F30602-03-C-0119
	 	  	PAGE 14 OF 16	  	 

 PART II - CONTRACT CLAUSES 
 SECTION I - CONTRACT CLAUSES 
  
 (iv) 52.222-36, Affirmative Action for Workers with Disabilities (Jun 1998) (29 U.S.C. 793). 
  
 (v) 52.247-64, Preference for Privately Owned U.S.-Flag
Commercial Vessels (Apr 2003) (46 U.S.C. Appx 1241 and 10 U.S.C. 2631) (flow down required in accordance with paragraph (d) of FAR clause 52.247-64). 
  
 (2) While not required, the Contractor may flow down to subcontracts for commercial items a minimal number of additional clauses necessary
to satisfy its contractual obligations. 
  
 (d) The Contractor
shall include the terms of this clause, including this paragraph (d), in subcontracts awarded under this contract. 
  
 52.252-02 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) 
  
 This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will
make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es): http://farsite.hill.af.mil/ 
  
 52.252-06 AUTHORIZED DEVIATIONS IN CLAUSES (APR 1984) 
  
 (a) The use in this solicitation or contract of any Federal Acquisition Regulation (48 CFR Chapter 1) clause with an authorized deviation is indicated by
the addition of “(DEVIATION)” after the date of the clause. 
  
 (b) The use in this solicitation or contract of any Defense Federal Acquisition Regulation Supplement (48 CFR Chapter 2) clause with an authorized deviation is indicated by the addition of “(DEVIATION)” after the name of the
regulation. 
  

					
	 	  	 	  	SECTION I F30602-03-C-0119
	 	  	PAGE 15 OF 16	  	 

 PART III - LIST OF DOCUMENTS, EXHIBITS & ATTACHMENTS 
 SECTION J - LIST OF ATTACHMENTS 
  

							
	 DOCUMENT

	  	PGS

	  	DATE

	  	 TITLE

	 EXHIBIT A
	  	3	  	05 JUN 2003	  	Contract Data Requirements List (CDRL)
				
	 ATTACHMENT 1
	  	7	  	05 JUN 2003	  	STATEMENT OF WORK ENTITLED POLYMER- BASED LINEARIZED EO MODULATOR
				
	 ATTACHMENT 2
	  	1	  	01 JUN 1998	  	Identification and Assertion of Restrictions on the Government’s Use, Release, or Disclosure of Technical Data or Computer Software

  

					
	 	  	 	  	SECTION J F30602-03-C-0119
	 	  	PAGE 16 OF 16	  	 

															
	 CONTRACT DATA REQUIREMENTS LIST
 (1 Data Item)
	  	 Form Approved
 OMB No. 0704-0188

															
	Public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing
this burden, to Department of Defense, Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork
Reduction Project (0704-0188), Washington, DC 20503. Please DO NOT RETURN your form to either of these addresses. Send completed form to the Government issuing Contracting Officer for the Contract/PR No. listed in Block E.

					
			
	 A.     CONTRACT LINE ITEM NO.
	  	 B.     EXHIBIT
	  	 C.     CATEGORY

			
	 CLIN 0002
	  	 A
	  	 TDP ___ TM- ___ OTHER MGMT

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

			
	 POLYMER-BASED LINEARIZED EO
	  	 F30602-03-C-0119
	  	 D-3-8635

					
			
	 1. DATA ITEM NO.
 A001
	  	 2. TITLE OF DATA ITEM
 CONTRACTOR’S PROGRESS, STATUS AND
 MANAGEMENT REPORT
	  	 3. SUBTITLE
 AFRL PROGRAM MANAGEMENT REPORT

					
			
	 4. AUTHORITY (Data Acquisition Document No.)
 DI-MGMT-80227/T
	  	 5. CONTRACT REFERENCE
 PARAGRAPH 4.1.4.1 OF THE SOW
	  	 6. REQUIRING OFFICE
 AFRL/SNDP

															
							
	 7. DD250 REQ
  

SEE BLOCK 16
	  	9. DIST
STATEMENT
REQUIRED	  	 10. FREQUENCY
 MONTHLY
	  	 12. DATE OF FIRST
 SUBMISSION
 SEE BLOCK 16
	  	14.   DISTRIBUTION
b.      COPIES	  	 	  	 
	 8. APP CODE
	  	N/A	  	11. AS OF DATE	  	 13. DATE OF SUBSEQUENT SUBMISSION
	  	 	  	 
	N	  	  	 0
	  	 SEE BLOCK 16
	  	a. ADDRESSEE	  	Draft	  	Final
	 	  	 	  	  	  	 	  	 	  	Reg	  	Repro
	 16.REMARKS
	  	SEE BLOCK 16	  	 	  	 	  	 
					
	REFERENCE ITEM 2 AND 4, TAILORING. DELETE REQUIREMENTS CITED IN 10.2, 10.3.a, 10.3.i, 10.3.k, AND 10.3.o.	  	 	  	 	  	 	  	 
					
	FOR THE REQUIREMENT AT 10.3.g, DOCUMENT THE ACTUAL COST FOR THE REPORTING PERIOD AND PROJECTED COST FOR THE NEXT FOLLOWING QUARTERLY PERIOD.	  	 	  	 	  	 	  	 
					
	THE CONTRACTOR SHALL UTILIZE THE AFRL PROGRAM MANAGEMENT SYSTEM (KNOWN AS JIFFY) TO INPUT THE REQUIRED DATA AND ENTER THE FIRST REPORT WITHIN FORTY (40) DAYS AFTER CONTRACT AWARD AND
MONTHLY THEREAFTER FOR THE LIFE OF THE CONTRACT.	  	 	  	 	  	 	  	 
					
	THE REQUIRING OFFICE WILL PROVIDE INSTRUCTIONS FOR GAINING AUTHORIZATION TO ACCESS JIFFY, RESIDING AT THE FOLLOWING UNIFORM RESOURCE LOCATOR.	  	 	  	 	  	 	  	 
					
	 https://jiffy.rl.af.mil/
	  	 	  	 	  	 	  	 
					
	DO NOT INPUT DATA THAT IS CLASSIFIED OR SUBJECT TO EXPORT CONTROL TO JIFFY. SUBMIT SUCH DATA AS HARD COPY OR VIA THE SIPRNET AS COORDINATED WITH THE REQUIRING OFFICE.	  	 	  	 	  	 	  	 
					
	INCLUDE THE FOLLOWING DISTRIBUTION IN JIFFY.	  	 	  	 	  	 	  	 
					
	 GOVERNMENT TECHNICAL POINT OF CONTACT
 GOVERNMENT BUYER
 ADMINISTRATIVE CONTRACTING POINT OF CONTACT
 OTHER RECIPIENTS AS COORDINATED WITH THE REQUIRING OFFICE
	  	 	  	 	  	 	  	 
					
	LIST THIS ITEM ON THE FINAL DD FORM 250.	  	 	  	 	  	 	  	 
	 	  	15. TOTAL	  	 	  	 	  	 

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

	 DONALD R. LUBECKI
	  	 05 JUN 2003
	  	 BRIAN F. MCKEON
	  	 05 JUN 2003

  

					
	 DD Form 1423-1, SEP 97 (EG) (Computer Generated)
	  	PREVIOUS EDITIONS ARE OBSOLETE	  	Page 1 of 3 Pages

  

					
	 	  	 	  	 
	 	  	 	  	 

			
	 CONTRACT DATA REQUIREMENTS LIST
 (1 Data Item)
	  	Form Approved
OMB No. 0704-0188
	
	Public reporting burden for this collection of information is estimated to average 110 hours per response, including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing
this burden, to Department of Defense, Washington Headquarters Services, Directorate for information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork
Reduction Project (0704-0188), Washington, DC 20503. Please DO NOT RETURN your form to either of these addresses. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E.

  

					
	A. CONTRACT LINE ITEM NO.	 	B. EXHIBIT	 	C. CATEGORY
			
	CLIN 0002	 	A	 	TDP             TM-             OTHER
ADMN
			
	D. SYSTEM/ITEM	 	E. CONTRACT/PR NO.	 	F. CONTRACTOR
			
	POLYMER-BASED LINEARIZED EO	 	F30602-03-C-0119	 	D-3-8635
			
	 1. DATA ITEM NO.
 A002
	 	 2. TITLE OF DATA ITEM
 PRESENTATION
MATERIAL
	 	3. SUBTITLE

  

															
	 4. AUTHORITY (Data Acquisition Document No.)
 DI-ADMN-81373
	  	 5. CONTRACT REFERENCE
 PARAGRAPH
4.1.4.3 OF THE SOW
	 	6. REQUIRING OFFICE
AFRL/SNDP
					
	 7. DD250 REQ
	  	9. DIST STATEMENT REQUIRED	  	10. FREQUENCY	  	12. DATE OF FIRST SUBMISSION	 	14.    DISTRIBUTION
	SEE BLOCK 16	  	  	SEE BLOCK 16	  	SEE BLOCK 16	 	 	  	b. COPIES
							
	8. APP CODE	  	 TBD
	  	 11. AS OF DATE
  
	  	 13.    DATE OF SUBSEQUENT SUBMISSION
	 	a. ADDRESSEE	  	Draft	 	Final
								
	N	  	 	  	SEE BLOCK 16	  	SEE BLOCK 16	 	 	  	 	 	Reg	  	Repro
								
	16. REMARKS	  	 	  	 	  	 	 	AFRL/SNDP	  	1	 	1	  	0
					
	BLOCK 2 AND 4, REFERENCE DD FORM 1664 OR FACSIMILE, TAILORING: WHEN DIRECTED BY THE GOVERNMENT, PROVIDE 8 X 10 INCH GLOSSY PRINT OF GOVERNMENT SELECTED VIEWGRAPHS PREPARED UNDER
PARAGRAPH 10.1	 	 	  	 	 	 	  	 
					
	THE CONTRACTOR SHALL SUBMIT DRAFT PRESENTATION MATERIAL WITHIN THREE (3) DAYS PRIOR TO EACH PRESENTATION VIA E-MAIL.	 	 	  	 	 	 	  	 
					
	COORDINATE THE NUMBER OF COPIES AND DELIVERY MEDIA REQUIRED FOR EACH PRESENTATION WITH THE REQUIRING OFFICE.	 	 	  	 	 	 	  	 
					
	LIST THIS ITEM ON THE FINAL DD FORM 250.	 	 	  	 	 	 	  	 
								
	 	  	 	  	 	  	 	 	15. TOTAL	  	1	 	1	  	0
					
	G. PREPARED BY	  	H. DATE	  	I. APPROVED BY	 	 	  	J. DATE

  
 PREVIOUS EDITIONS
ARE OBSOLETE 
  

					
	 	  	Page 2 of 3 Pages	  	 

			
	 CONTRACT DATA REQUIREMENTS LIST
 (1 Data Item)
	  	Form Approved
OMB No. 0704-0188

  
 Public reporting burden for this
collection of information is estimated to average 110 hours per response, Including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Department of Defense, Washington Headquarters Services, Directorate for Information
Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188), Washington, DC 20503. Please DO NOT RETURN your form to either of these
addresses. Send completed form to the Government Issuing Contracting Officer for the Contract/PR No. listed in Block E. 
  

																	
	A. CONTRACT LINE ITEM NO.	  	 B. EXHIBIT
	  	 	  	 C. CATEGORY

				
	 CLIN 0002
	  	 A
	  	 	  	 TDP ____ TM-_____ OTHER MISC

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

				
	 POLYMER-BASED LINEARIZED EO
	  	 F30602-03-C-0119
	  	 	  	 D-3-8635

				
	 1. DATA ITEM NO.
	  	2. TITLE OF DATA ITEM	  	 	  	 3. SUBTITLE

				
	 A003
	  	SCIENTIFIC AND TECHNICAL REPORTS	  	 	  	 FINAL TECHNICAL REPORT

				
	 4. AUTHORITY (Data Acquisition Document No.)
	  	5. CONTRACT REFERENCE	  	 	  	 6. REQUIRING OFFICE

				
	 DI-MISC-80711A/T
	  	PARAGRAPH 4.1.4.2 OF THE SOW	  	 	  	 AFRL/SNDP

															
					
	7. DD250 REQ	  	9. DIST STATEMENT REQUIRED	  	10. FREQUENCY	  	12. DATE OF FIRST SUBMISSION	  	 14.   DISTRIBUTION

	DD	  	  	ONE/R	  	SEE BLOCK 16	  	 	  	b. COPIES
							
	8. APP CODE	  	 TBD
	  	11. AS OF DATE	  	13. DATE OF SUBSEQUENT SUBMISSION	  	a. ADDRESSEE	  	Draft	  	Final
	A	  	 	  	0	  	SEE BLOCK 16	  	  	  	Reg	  	Repro
	16. REMARKS	  	 	  	AFRL/IFOIP	  	0	  	2	  	1
					
	REFERENCE ANSI Z39.18-1995: PAGE 3, TABLE 1; AND PAGE 18 – 20, PARAGRAPHS 5.3 – 5.4	  	SEE ALSO	  	 	  	 	  	 
	INCLUDE A COVER AND REPORT DOCUMENTATION PAGE.	  	 	  	 	  	 	  	 
					
	PREPARE REPORT FOR PRINTING ON WHITE 8 1⁄2” X 11” BOND PAPER. MARGIN REQUIREMENTS ARE 1” TOP, 1 1⁄2” BOTTOM, AND A MINIMUM OF 1” RIGHT AND
LEFT.	  	BLOCK 16	  	 	  	 	  	 
					
	INCLUDE PAGE NUMBERS CENTERED AT THE BOTTOM OF EACH PAGE.	  	 	  	 	  	 	  	 
					
	FOR CLASSIFIED REPORTS, BOTTOM OF UPPER CLASSIFICATION MARKING WILL BE 3⁄4” FROM TOP OF PAGE; BOTTOM OF LOWER CLASSIFICATION MARKING WILL BE 1⁄2” FROM BOTTOM OF
PAGE.	  	 	  	 	  	 	  	 
					
	THE CONTRACTOR SHALL SUBMIT TWO (2) HARD COPIES AND ONE (1) MICROSOFT WORD FORMAT FILE ON EITHER IBM PERSONAL COMPUTER COMPATIBLE FORMAT 3 1⁄2” FLOPPY DISK, COMPACT DISK
– READ ONLY MEMORY (CD-ROM), OR ZIP DISK FOR FINAL REVIEW BY THE AFRL PROJECT ENGINEER WITHIN THIRTY (30) DAYS AFTER COMPLETION OF CLIN 0001 TO:	  	 	  	 	  	 	  	 
					
	AFRL/IFOIP (STINFO)	  	 	  	 	  	 	  	 
	26 ELECTRONIC PARKWAY	  	 	  	 	  	 	  	 
	ROME NY 13441-4514	  	 	  	 	  	 	  	 
					
	THE GOVERNMENT WILL PROVIDE THE REPORT NUMBER AND DISTRIBUTION STATEMENT AFTER SUBMISSION OF THE REPORT. WITHIN THIRTY (30) DAYS AFTER RECEIPT THEREOF, AFRL/IFOIP WILL FORWARD ONE
(1) CORRECTED (MARKED-UP) COPY (OR WRITTEN DIRECTIONS FOR REQUIRED CORRECTIONS) TO THE CONTRACTOR FOR CORRECTIONS. WITHIN THIRTY (30) DAYS AFTER RECEIPT, THE CONTRACTOR SHALL ACCOMPLISH THE CORRECTIONS AND RETURN ONE (1) CORRECTED DISK AND THE
ORIGINAL MARKED-UP COPY TO AFRL/IFOIP.	  	 	  	 	  	 	  	 
					
	REPRODUCTION AND DISTRIBUTION CONTROL OF THIS DOCUMENT WILL BE THE RESPONSIBILITY OF THE PROCURING ACTIVITY. OTHER MARKINGS WILL BE APPLIED AFTER RECEIPT OF THE DELIVERABLE DATA BY
AFRL. SUBMISSION OF THE FINAL UPDATED REPORT TO AFRL/IFOIP SATISFIES THE REQUIREMENT AT DFARS 252.235-7011 TO SUBMIT FINAL REPORTS TO DTIC	  	15. TOTAL	  	0	  	2	  	1
					
	G. PREPARED BY	  	H. DATE	  	I. APPROVED BY	  	 	  	J. DATE

  

					
	DD Form 1423-1, SEP 97 (EG) (Computer Generated)	  	PREVIOUS EDITIONS ARE OBSOLETE	  	 

  

					
	 	  	 	  	 
	 	  	Page 3 of 3 pages	  	 

 AIR FORCE RESEARCH LABORATORY 
 ROME RESEARCH SITE 
 ROME, NEW YORK 
  
 STATEMENT OF WORK 
  
 FOR 
  
 POLYMER-BASED LINEARIZED EO MODULATOR 
  
 D-3-8635 
  
 05 JUN 2003

  
 (F30602-03-C-0119) 
  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 TABLE OF CONTENT 
  

					
	1.0	  	OBJECTIVE	  	3
			
	2.0	  	SCOPE	  	3
			
	3.0	  	BACKGROUND	  	3
			
	4.0	  	TECHNICAL REQUIREMENTS	  	5

  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 1.0 OBJECTIVE: 
  
 1.1 The objective of this effort is develop ultra-linear optical waveguide modulator technology for use in wideband high dynamic range microwave photonics systems using
polymer-based materials, and also test and characterize the performance of the resultant devices for incorporation in low dispersion optical fiber links. 
  
 2.0 SCOPE: 
  
 2.1 The scope of this effort is to investigate (a) fabrication and testing of polymer directional coupler modulators, (b) increase the linearity of directional coupler
modulators with pre-bias and post-bias electrodes, and (c) correlate theoretical and empirical data on sensitivities and properties of the directional coupler modulators. 
  
 3.0 BACKGROUND: 
  

3.1 Photonic microwave-to-optical modulators (which convert electrical RF signals to optical signals for transmission over fiber optics) will be important to the
success of future Air Force radar sensor systems, especially air- and space-based systems. Further advances must be made in the linear, distortion-free performance of these devices so that they will operate over a very large dynamic range of input
signal levels. 
  
 3.2 While most modulators to date are based on
LiNbO3, a body of work also exists in polymer waveguides. One of the advantages of the polymer waveguide modulator
is that the optical and electrical modulating signal velocities are nearly equal, and therefore obtaining devices with responses at high frequencies, for example 110GHz modulating signal, may be simpler. 
  
 3.3 The transfer function of the directional coupler electro-optic external modulator is
nonlinear, taking the approximate form of the sinc2
function. But by using multiple electrodes, one can change the functional form of the input voltage versus optical power output of the coupler to be more linear. 
  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 3.4 Multiple electrode directional coupler modulators have shown promise but remain undeveloped, especially in the polymeric based
electro-optic materials. The integration of design concepts and novel electro-optic materials and fabrication techniques will be based on polymeric systems. 
  
 3.5 The target specifications for a future deployable modulator are: 
  

	 	•	Sext> 0.75 per Volt 

 

	 	•	Switching Voltage, Vsw < 1 Volt

  

	 	•	Optical fiber-fiber loss < 3 dB 

  

	 	•	SFDR > 130 dB in 1-Hz bandwidth 

  

	 	•	Bandwidth 2 - 20 GHz 

  
 The definition of the spur free dynamic range (SFDR) is the range of input power of a two tone modulation applied to the input of an optical link that is recoverable undistorted at the link output. 
  
 3.6 This development program consists of four phases, an on-going analysis phase plus three
iterations of device fabrication. The analysis consists of theoretical modeling of a battery of test structures including passive directional couplers and their effective coupling lengths, single electrode active directional couplers, and three
electrode active directional couplers. The results of the analysis will set a baseline for the fabrication processes in the other phases. Mask sets will be generated carrying a range of directional coupler widths and separations, centered on the
theoretical device design center. 
  
 3.7 The remaining three phases will take an
iterative approach to designing, fabricating, and testing three-electrode directional coupler modulators consisting of pre-bias and post-bias electrodes and a central signal electrode with direct current bias and containing an electro-optic polymer
core. Test results and lesson learned from earlier phases will be used to iterate the design and improve fabrication processes. Although early phases may consist mostly of test structures, some complete device structures may also be included using
best-guess parameters from the analysis phase. 
  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 4.0 TECHNICAL REQUIREMENTS: 
  
 4.1 The contractor shall accomplish the following: 
  
 4.1.1 Fabricate and model passive polymer directional couplers. 
  
 4.1.2 Fabricate and model single electrode polymer directional coupler modulators. 
  
 4.1.3 Design, fabricate, and test directional coupler modulator for operation at 1310 or 1550 nanometer wavelength using polymer materials.

  
 4.1.3.1 Design directional coupler test structures and optical modulators.

  
 4.1.3.1.1 Design high frequency electrode structure for RF modulation of light

  
 4.1.3.1.2 Design efficient optical waveguide to fiber interface. 

 
 4.1.3.1.3 Design photomasks to fabricate coupler test structures and modulator devices.

  
 4.1.3.2 Fabricate directional coupler test structures and optical modulators.

  
 4.1.3.2.1 Develop process sequence for fabricating the complete modulator
device. 
  
 4.1.3.2.2 Fabricate test structures and directional coupler modulators
including high-speed traveling wave electrodes. 
  
 4.1.3.2.3 Polish waveguide
end-faces for chip level tests. 
  
 4.1.3.2.4 Fabricate optical fiber pigtails for
testing and device assembly. 
  
 4.1.3.2.5 Fabricate metal enclosures for device
assembly. 
  
 4.1.3.2.6 Attach optical fibers to the modulator device. 

 
 4.1.3.2.7 Assemble modulator device in a package. 
  
 4.1.3.3 Test directional coupler test structures and optical modulators. 
  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 4.1.3.3.1 Develop test procedures for testing optical waveguides, directional coupling coefficients, optical loss and modulation
characteristics of the modulator devices. 
  
 4.1.3.3.1.1 Measure optical loss of
the waveguide and the directional coupler. 
  
 4.1.3.3.1.2 Measure coupling ratio
for the various coupler test structures. 
  
 4.1.3.3.1.3 Measure device transfer
characteristics. 
  
 4.1.3.3.1.4 Measure the switching voltage of the modulators.

  
 4.1.3.3.1.5 Measure linearity and dynamic range of the modulators. 

 
 4.1.3.3.1.6 Characterize the electro-optical performance of the modulator from DC to
20GHz. 
  
 4.1.3.3.2 Compare device performance to design and make recommendations
for future work. 
  
 4.1.4 Program Management 
  
 4.1.4.1 Continually determine the status of the effort and report progress toward
accomplishment of Contract requirements. (see CDRL A001). 
  
 4.1.4.2 Document all
technical work accomplished and information gained during the performance of this acquisition. This shall include all pertinent observations, nature of problems, positive as well as negative results, and design criteria established, where
applicable: also procedures followed, processes developed, “Lessons Learned”, etc. The details of all technical work shall be documented to permit full understanding of the techniques and procedures used in evolving technology of processes
developed. (see CDRL A003). 
  
 4.1.4.3 Conduct oral presentations at such times
and places as designated in the contact schedule. These presentations shall provide the status of the technical progress made to 

  

					
	 	  	 	  	 
	 	  	 	  	 

 D-3-8635 
  
 date in the performance of the Contract. The presentations will be attended by approximately ten (10) Government personnel and shall not
exceed four (4) hours, each. (see CDRL, A002). 
  
 4.1.5 Deliver to the Government
samples of devices fabricated in this effort as specified in the contract schedule. 
  

					
	 	  	 	  	 
	 	  	 	  	 

 Identification and Assertion of Restrictions on the Government’s Use, Release, or 

Disclosure of Technical Data or Computer Software. 
  
 The Offeror asserts for itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data or computer
software should be restricted: 
  

							
	 Technical Data or Computer Software
to be Furnished With Restrictions

	  	 Basis for Assertion

	  	 Asserted Rights
 Category

	  	 Name of Person Asserting
Restrictions

	 Technical Data
	  	Developed at Private Expense	  	Limited	  	Lumera Corporation

  
 Technical data to be delivered under
this contract may include data pertaining to the following components, materials and processes: Nonlinear optical chromophores and polymers; electro-optic polymers including guest-host composites, crosslinkable guest-host systems, and chromophore
side chain polymers; processes and chemicals for promoting adhesion between polymer layers; passive polymers used for electro-optic device cladding including organically modified sol gels and ultraviolet curable acrylates; Mach-Zehnder device
designs including a lower polymer buffer layer, a lower polymer clad, an electro-optic polymer core, an upper polymer clad, and an upper polymer buffer clad; methods for fabricating waveguide cores including the use of hardmasks; and methods for
removing etch vells from waveguides. 
  

			
	 (01 JUL 1998)
	 	Attachment No. 2

  

	
	 
	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 I. NOTICE: The following solicitation provisions pertinent to this section are hereby
incorporated by reference: 
  
 A. FEDERAL ACQUISITION REGULATION
SOLICITATION PROVISIONS 
  

			
	52.222-38	  	COMPLIANCE WITH VETERANS’ EMPLOYMENT REPORTING REQUIREMENTS (DEC 2001)

  
 B. DEFENSE FEDERAL ACQUISITION
REGULATION SUPPLEMENT SOLICITATION PROVISIONS 
  

			
	252.209-7001	  	DISCLOSURE OF OWNERSHIP OR CONTROL BY THE GOVERNMENT OF A TERRORIST COUNTRY (MAR 1998)

  
 II. NOTICE: The following
solicitation provisions pertinent to this section are hereby incorporated in full text: 
  
 A. FEDERAL ACQUISITION REGULATION SOLICITATION PROVISIONS IN FULL TEXT 
  
 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (DEVIATION) (APR 1991) 
  
 (Applicable only to this instant procurement, not to ‘any’ contract, and only if proposal or resultant contract is in excess of
$100,000). 
  
 (a) The definitions and prohibitions contained in
the clause, at FAR 52.203-12, Limitation on Payments to Influence Certain Federal Transactions, included in this solicitation, are hereby incorporated by reference in paragraph (b) of this certification. 
  
 (b) The offeror, by signing its offer, hereby certifies to the best of his or
her knowledge and belief that on or after December 23, 1989 — 
  
 (1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement; 
  
 (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been
paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection
with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting Officer; and 
  
 (3) He or she will include the language of this certification in all subcontract awards at any tier and
require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly. 
  
 (c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United
States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more
than $100,000, for each such failure. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 1 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 52.204-05 WOMEN-OWNED BUSINESS (OTHER THAN SMALL BUSINESS) (MAY 1999) 
  
 (a) Definition. “Women-owned business concern,” as used in this
provision, means a concern that is at least 51 percent owned by one or more women; or in the case of any publicly owned business, at least 51 percent of its stock is owned by one or more women; and whose management and daily business operations are
controlled by one or more women. 
  
 (b) Representation. (Complete
only if the offeror is a women-owned business concern and has not represented itself as a small business concern in paragraph (b)(I) of FAR 52.219-1, Small Business Program Representation, of this solicitation.) The offeror represents that it
 ̈ is, x is not a women-owned business concern. 
  
 52.209-05 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (DEC 2001) 

 
 (a) 
  
 (1) The Offeror certifies, to the best of its knowledge and belief, that — 
  
 (i) The Offeror and/or any of its Principals —

  
 (A) Are  ̈ are not x presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency;

  
 (B) Have  ̈ have not x, within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for:
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of
offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; and 
  
 (C) Are  ̈ are not x presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in paragraph (a)(1)(i)(B) of this provision.

  
 (ii) The offeror has  ̈ has not x within a three-year period preceding this officer, had one or more contracts terminated for default by any
Federal agency. 
  
 (2) “Principals,”
for the purposes of this certification, means officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a subsidiary,
division, or business segment, and similar positions). 
  
 This Certification
Concerns a Matter Within the Jurisdiction of an Agency of the United States and the Making of a False, Fictitious, or Fraudulent Certification May Render the Maker Subject to Prosecution Under Section 1001, Title 18, United States Code. 

 
 (b) The Offeror shall provide immediate written notice to the Contracting
Officer if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 
  
 (c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in
withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Offeror’s responsibility. Failure of the Offeror to furnish a certification or provide such additional
information as requested by the Contracting Officer may render the Offeror nonresponsible. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 2 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 (d) Nothing contained in the foregoing shall be construed to require
establishment of a system of records in, order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings. 
  
 (e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Offeror knowingly rendered an erroneous certification, in
addition to other remedies available to the Government, the Contracting Officer may terminate the contract resulting from this solicitation for default. 
  
 52.215-06 PLACE OF PERFORMANCE (OCT 1997) 
  
 (a) The offeror or respondent, in the performance of any contract resulting from this solicitation,  ̈ intends, x does not intend [check applicable block] to use one or more plants or facilities located at a different address from the address of the
offeror or respondent as indicated in this proposal or response to request for information. 
  
 (b) If the offeror or respondent checks “intends” in paragraph (a) of this provision, it shall insert in the following spaces the required information: 
  

					
	 Place of performance
 (street address, city,
 state, county, zip code)

	  	 Name and Address of Owner
 and Operator of the Plant
 or Facility if Other Than
 Offeror or Respondent

	  	 
	_________________________	  	_____________________________________	  	 

  
 52.219-01 SMALL BUSINESS PROGRAM
REPRESENTATIONS (APR 2002) - ALTERNATE I (APR 2002) 
  
 (a)

  
 (1) The North American Industry
Classification System (NAICS) code for this acquisition is 541710. 
  
 (2) The small business size standard is 500 employees. 
  
 (3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service
contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees. 
  
 (b) Representations. 
  
 (1) The offeror represents as part of its offer that it x is,  ̈ is not a small business concern. 
  
 (2) (Complete only if the offeror represented itself as a small business concern in paragraph (b)(1) of this provision.) The offeror
represents, for general statistical purposes, that it  ̈ is, x is not, a small disadvantaged business concern
as defined in 13 CFR 124.1002. 
  
 (3) (Complete
only if the offeror represented itself as a small business concern in paragraph (b)(l) of this provision.) The offeror represents as part of its offer that it  ̈ is, x is not a women-owned small business concern. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 3 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K-REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 (4) (Complete only if the offeror represented itself as a small business concern in paragraph (b)(1), of
this provision.) The offeror represents as part of its offer that it  ̈ is, x is not a veteran-owned small
business concern. 
  
 (5) (Complete only if the
offeror represented itself as a veteran-owned small business concern in paragraph (b)(4) of this provision.) The offeror represents as part of its offer that it  ̈ is,  ̈ is not a service-disabled veteran-owned small business concern. 
  
 (6) (Complete only if the offeror represented itself as a
small business concern in paragraph (b)(1) of this provision.) The offeror represents, as part of its offer, that– 
  
 (i) It  ̈ is, x is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material change in
ownership and control, principal office, or HUBZone employee percentage has occurred since it was certified by the Small Business Administration in accordance with 13 CFR part 126; and 
  
 (ii) It  ̈ is, x is not a joint venture that complies with the requirements of 13 CFR part 126, and the representation in paragraph (b)(6)(i) of this provision is accurate of the HUBZone small business concern or
concerns that are participating in the joint venture. [The offeror shall enter the name or names of the HUBZone small business concern or concerns that are participating in the joint venture:     .] Each HUBZone small business
concern participating in the joint venture shall submit a separate signed copy of the HUBZone representation. 
  
 (c) Definitions. As used in this provision– 
  
 “Service-disabled veteran-owned small business concern”- 
  
 (1) Means a small business concern- 
  
 (i) Not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned business,
not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and 
  
 (ii) The management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a
veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. 
  
 (2) Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is service-connected, as defined in
38 U.S.C. 101(16). 
  
 “Small business concern,” means a concern,
including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard
in paragraph (a) of this provision. 
  
 “Veteran-owned small business
concern” means a small business concern- 
  
 (1) Not less than 51 percent of which is owned by one or more veterans (as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and

  
 (2) The management and daily business
operations of which are controlled by one or more veterans. 
  
 “Women-owned
small business concern,” means a small business concern – 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 4 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 (1) That is at least 51 percent owned by one or more women;
or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and 
  
 (2) Whose management and daily business operations are controlled by one or more women. 
  
 (d) Notice. 
  
 (1) If this solicitation is for supplies and has been set aside, in whole or in part, for small business
concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be furnished. 
  
 (2) Under 15 U.S.C. 645(d), any person who misrepresents a firm’s status as a small, HUBZone small, small disadvantaged, or
women-owned small business concern in order to obtain a contract to be awarded under the preference programs established pursuant to section 8(a), 8(d), 9, or 15 of the Small Business Act or any other provision of Federal law that specifically
references section 8(d) for a definition of program eligibility, shall – 
  
 (i) Be punished by imposition of fine, imprisonment, or both; 
  
 (ii) Be subject to administrative remedies, including suspension and debarment; and 
  
 (iii) Be ineligible for participation in programs conducted
under the authority of the Act. 
  
 Alternate I (Apr 2002). As prescribed in
19.307(a)(2), add the following paragraph (b) (7) to the basic provision: 
  
 (7) [Complete if offeror represented itself as disadvantaged in paragraph (b)(2) of this provision.] The offeror shall check the category in which its ownership falls: 
  
  ̈ Black American. 
  
  ̈ Hispanic American. 

 
  ̈ Native American (American Indians, Eskimos, Aleuts, or Native Hawaiians). 
  
  ̈ Asian-Pacific American (persons
with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic of the Marshall
Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru). 
  
  ̈
Subcontinent Asian (Asian-Indian) American (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal). 
  
  ̈ Individual/concern, other than
one of the preceding. 
  
 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT
1999) 
  
 (a) General. This provision is used to assess an
offeror’s small disadvantaged business status for the purpose of obtaining a benefit on this solicitation. Status as a small business and status as a small disadvantaged business for general statistical purposes is covered by the provision at
FAR 52.219-1, Small Business Program Representation. 
  
 (b)
Representations. 
  
 (1) General. The offeror
represents, as part of its offer, that it is a small business under the size standard applicable to this acquisition; and either- 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 5 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
  ̈ (i) It has received certification by the Small Business Administration as a small disadvantaged business concern consistent with 13 CFR 124, Subpart B; and 
  
 (A)No material change in disadvantaged ownership and control
has occurred since its certification; and 
  
 (B)Where the concern is owned by one or more disadvantaged individuals, the net worth of each individual upon whom the certification is based does not exceed $750,000 after taking into account the applicable exclusions set forth at 13 CFR
124.104(c)(2); and 
  
 (C) It is identified, on
the date of its representation, as a certified small disadvantaged business concern in the database maintained by the Small Business Administration (PRO-Net); or 
  
  ̈ (ii) It has
submitted a completed application to the Small Business Administration or a Private Certifier to be certified as a small disadvantaged business concern in accordance with 13 CFR124, Subpart B, and a decision on that application is pending, and that
no material change in disadvantaged ownership and control has occurred since its application was submitted. 
  
 (2)  ̈ For Joint Ventures. The offeror represents,
as part of its offer; that it is a joint venture that complies with the requirements at 13 CFR 124.1002(f) and that the representation in paragraph (b)(l) of this provision is accurate for the small disadvantaged business concern that is
participating in the joint venture. [The offeror shall enter the name of the small disadvantaged business concern that is participating in the joint venture:  ̈.] 
  
 (c) Penalties and Remedies.
Anyone who misrepresents any aspects of the disadvantaged status of a concern for the purposes of securing a contract or subcontract shall: 
  
 (1)Be punished by imposition of a fine, imprisonment, or both; 
  
 (2)Be subject to administrative remedies, including suspension and debarment; and 
  
 (3)Be ineligible for participation in programs conducted
under the authority of the Small Business Act. 
  
 52.222-22 PREVIOUS CONTRACTS
AND COMPLIANCE REPORTS (FEB1999) 
  
 The offeror represents that–

  
 (a)It x has,  ̈ has not participated in a previous contract or subcontract subject to the Equal Opportunity clause of this solicitation; 
  
 (b)It x has,  ̈ has not, filed all required compliance reports; and 
  
 (c)Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards.

  
 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) 
  
 The offeror represents that 
  
 (a) It x has developed and has on file,  ̈ has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and
60-2), or 
  
 (b) It  ̈ has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 6 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 52.223-13 CERTIFICATION OF TOXIC CHEMICAL RELEASE REPORTING (OCT 2000) 
  
 (a) Submission of this certification is a prerequisite for making or
entering into this contract imposed by Executive Order 12969, August 8, 1995.- 
  
 (b) By signing this offer, the offeror certifies that— 
  
 (1) As the owner or operator of facilities that will be used in the performance of this contract that are subject to the filing and
reporting requirements described in section 313 of the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA) (42 U.S.C. 11023) and section 6607 of the Pollution Prevention Act of 1990 (PPA) (42 U.S.C. 13106), the offeror will file and
continue to file for such facilities for the life of the contract the Toxic Chemical Release Inventory Form (Form R) as described in sections 313(a) and (g) of EPCRA and section 6607 of PPA; or– 
  
 (2) None of its owned or operated facilities to be used in
the performance of this contract is subject to the Form R filing and reporting requirements because each such facility is exempt for at least one of the following reasons: (Check each block that is applicable.)- 
  
  ̈ (i) The facility does not manufacture, process, or otherwise use any toxic chemicals listed under section 313(c) of EPCRA, 42 U.S.C. 11023(c);- 
  
  ̈ (ii) The facility does not have 10 or more full-time employees as specified in section 313(b)(1)(A) of EPCRA, 42 U.S.C. 11023(b)(1)(A);- 
  
 x (iii) The facility does
not meet the reporting thresholds of toxic chemicals established under section 313(f) of EPCRA, 42 U.S.C. 11023(f) (including the alternate thresholds at 40 CFR 372.27, provided an appropriate certification form has been filed with EPA); 

 
  ̈ (iv) The facility does not fall within Standard Industrial Classification Code (SIC) major groups 20 through 39 or their corresponding North American Industry Classification System
(NAICS) sectors 31 through 33; or 
  
  ̈ (v) The facility is not located within any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico,
Guam, American Samoa, the United States Virgin Islands, the Northern Mariana Islands, or any other territory or possession over which the United States has jurisdiction. 
  
 52.226-02 HISTORICALLY BLACK COLLEGE OR UNIVERSITY AND MINORITY INSTITUTION REPRESENTATION (MAY 2001) 
  
 (a) Definitions. As used in this provision – 
  
 “Historically Black College or University” means an institution determined by the
Secretary of Education to meet the requirements of 34 CFR 608.2. For the Department of Defense, the National Aeronautics and Space Administration, and the Coast Guard, the term also includes any nonprofit research institution that was an integral
part of such a college or university before November 14, 1986. 
  
 “Minority
Institution” means an institution of higher education meeting the requirements of Section 1046(3) of the Higher Education Act of 1965 (20 U.S.C. 1067k, including a Hispanic-serving institution of higher education, as defined in Section
316(b)(1) of the Act (20 U.S.C. 1101a)). 
  
 (b) Representation.
The offeror represents that it– 
  
  ̈ is x is not a historically black college or university; 
  
  ̈ is x is not a minority institution. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 7 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 52.227-06 ROYALTY INFORMATION (APR 1984) 
  
 (a) Cost or charges for royalties. When the response to this solicitation
contains costs or charges for royalties totaling more than $250, the following information shall be included in the response relating to each separate item of royalty or license fee: 
  
 (1) Name and address of licensor. 
  
 (2) Date of license agreement. 
  
 (3) Patent numbers, patent application serial numbers, or other basis on which the royalty is payable.

  
 (4) Brief description, including any part or
model numbers of each contract item or component on which the royalty is payable. 
  
 (5) Percentage or dollar rate of royalty per unit. 
  
 (6) Unit price of contract item. 
  
 (7) Number of units. 
  
 (8) Total dollar amount of royalties. 
  
 (b) Copies of current licenses. In addition, if specifically requested by the Contracting Officer before execution of the
contract, the offeror shall furnish a copy of the current license agreement and an identification of applicable claims of specific patents. 
  
 52.230-01 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (JUN 2000) 
  

Note: This notice does not apply to small businesses or foreign governments. This notice is in three parts, identified by Roman numerals I through III. 
  
 Offerors shall examine each part and provide the requested information in order to determine
Cost Accounting Standards (CAS) requirements applicable to any resultant contract. 
  
 If the offeror is an educational institution, Part II does not apply unless the contemplated contract will be subject to full or modified CAS coverage pursuant to 48 CFR 9903.201-2(c)(5) or 9903.201-2(c)(6), respectively. 
  
 I. DISCLOSURE STATEMENT–COST ACCOUNTING PRACTICES AND CERTIFICATION 
  
 (a) Any contract in excess of $500,000 resulting from this solicitation will
be subject to the requirements of the Cost Accounting Standards Board (48 CFR Chapter 99), except for those contracts which are exempt as specified in 48 CFR 9903.201-1. 
  
 (b) Any offeror submitting a proposal which, if accepted, will result in a contract subject to the requirements of 48 CFR
Chapter 99 must, as a condition of contracting, submit a Disclosure Statement as required by 48 CFR 9903.202. When required, the Disclosure Statement must be submitted as a part of the offeror’s proposal under this solicitation unless the
offeror has already submitted a Disclosure Statement disclosing the practices used in connection with the pricing of this proposal. If an applicable Disclosure Statement has already been submitted, the offeror may satisfy the requirement for
submission by providing the information requested in paragraph (c) of Part I of this provision. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 8 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 CAUTION: In the absence of specific regulations or agreement, a practice disclosed in a
Disclosure Statement shall not, by virtue of such disclosure, be deemed to be a proper, approved, or agreed-to practice for pricing proposals or accumulating and reporting contract performance cost data. 
  
 (c) Check the appropriate box below: 
  
  ̈ (1) Certificate of Concurrent Submission of Disclosure Statement. 
  
 The offeror hereby certifies that, as a part of the offer, copies of the Disclosure Statement have been submitted as follows: (i) original and one copy to the cognizant Administrative Contracting Officer (ACO) or
cognizant Federal agency official authorized to act in that capacity (Federal official), as applicable, and (ii) one copy to the cognizant Federal auditor. 
  
 (Disclosure must be on Form No. CASB DS-1 or CASB DS-2, as applicable. Forms may be obtained from the cognizant ACO or Federal official and/or from the loose-leaf version
of the Federal Acquisition Regulation.) 
  
 Date of Disclosure Statement:
________________________ 
 Name and Address of Cognizant ACO or Federal Official Where Filed: 
 _________________________________ 
  
 The offeror
further certifies that the practices used in estimating costs in pricing this proposal are consistent with the cost accounting practices disclosed in the Disclosure Statement. 
  
  ̈ (2) Certificate
of Previously Submitted Disclosure Statement. 
  
 The offeror hereby certifies
that the required Disclosure Statement was filed as follows: 
  
 Date of
Disclosure Statement: _________________________ Name and Address of Cognizant ACO or Federal 
 Official Where Filed: ____________________________ 

 
 The offeror further certifies that the practices used in estimating costs in pricing this
proposal are consistent with the cost accounting practices disclosed in the applicable Disclosure Statement. 
  
  ̈ (3) Certificate of Monetary Exemption.

  
 The offeror hereby certifies that the offeror, together with all divisions,
subsidiaries, and affiliates under common control, did not receive net awards of negotiated prime contracts and subcontracts subject to CAS totaling $50 million or more in the cost accounting period immediately preceding the period in which this
proposal was submitted. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Contracting Officer immediately. 
  
  ̈ (4) Certificate of Interim Exemption. 
  
 The
offeror hereby certifies that (i) the offeror first exceeded the monetary exemption for disclosure, as defined in (3) of this subsection, in the cost accounting period immediately preceding the period in which this offer was submitted and (ii) in
accordance with 48 CFR 9903.202-1, the offeror is not yet required to submit a Disclosure Statement. The offeror further certifies that if an award resulting from this proposal has not been made within 90 days after the end of that period, the
offeror will immediately submit a revised certificate to the Contracting Officer, in the form specified under subparagraph (c)(1) or (c)(2) of Part I of this provision, as appropriate, to verify submission of a completed Disclosure Statement.

  
 CAUTION: Offerors currently required to disclose because they were awarded a
CAS-covered prime contract or subcontract of $50 million or more in the current cost accounting period may not claim this exemption (4). Further, the exemption applies only in connection with proposals submitted before expiration of the 90-day
period following the cost accounting period in which the monetary exemption was exceeded. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 9 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 II. COST ACCOUNTING STANDARDS-ELIGIBILITY FOR MODIFIED
CONTRACT COVERAGE 
  
 If the offeror is eligible to use the modified provisions
of 48 CFR 9903.201-2(b) and elects to do so, the offeror shall indicate by checking the box below. Checking the box below shall mean that the resultant contract is subject to the Disclosure and Consistency of Cost Accounting Practices clause in lieu
of the Cost Accounting Standards clause. 
  
  ̈ The offeror hereby claims an exemption from the Cost Accounting Standards clause under the provisions of 48 CFR 9903.201-2(b) and certifies that the
offeror is eligible for use of the Disclosure and Consistency of Cost Accounting Practices clause because during the cost accounting period immediately preceding the period in which this proposal was submitted, the offeror received less than $50
million in awards of CAS-covered prime contracts and subcontracts. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Contracting Officer immediately. 
  
 Caution: An offeror may not claim the above eligibility for modified contract coverage if
this proposal is expected to result in the award of a CAS-covered contract of $50 million or more or if, during its current cost accounting period, the offeror has been awarded a single CAS-covered prime contract or subcontract of $50 million or
more. 
  
 III. ADDITIONAL COST ACCOUNTING
STANDARDS APPLICABLE TO EXISTING CONTRACTS 
  
 The offeror shall indicate below
whether award of the contemplated contract would, in accordance with subparagraph (a)(3) of the Cost Accounting Standards clause, require a change in established cost accounting practices affecting existing contracts and subcontracts. 
  
  ̈ YES  ̈ NO 
  
 B. DEFENSE FAR SUPP SOLICITATION PROVISIONS IN FULL TEXT 
  
 252.227-7017 IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE 
 RESTRICTIONS (JUN 1995) 
  
 (a) The terms used in
this provision are defined in following clause or clauses contained in this solicitation— 
  
 (1) If a successful offeror will be required to deliver technical data, the Rights in Technical Data—Noncommercial Items clause, or,
if this solicitation contemplates a contract under the Small Business Innovative Research Program, the Rights in Noncommercial Technical Data and Computer Software—Small Business Innovative Research (SBIR) Program clause. 
  
 (2) If a successful offeror will not be required to deliver
technical data, the Rights in Noncommercial Computer Software and Noncommercial Computer Software Documentation clause, or, if this solicitation contemplates a contract under the Small Business Innovative Research Program, the Rights in
Noncommercial Technical Data and Computer Software—Small Business Innovative Research (SBIR) Program clause. 
  
 (b) The identification and assertion requirements in this provision apply only to technical data, including computer software documentation, or computer
software to be delivered with other than unlimited rights. For contracts to be awarded under the Small Business Innovative Research Program, the notification and identification requirements do not apply to technical data or computer software that
will be generated under the resulting contract. Notification and identification is not required for restrictions based solely on copyright. 
  
 (c) Offers submitted in response to this solicitation shall identify, to the extent known at the time an offer is submitted to the Government, the
technical data or computer software that the Offeror, its subcontractors or suppliers, or potential subcontractors or suppliers, assert should be furnished to the Government with restrictions on use, release, or disclosure. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 10 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 (d) The Offeror’s assertions, including the assertions of its
subcontractors or suppliers or potential subcontractors or suppliers shall be submitted as an attachment to its offer in the following format, dated and signed by an official authorized to contractually obligate the Offeror: 
  
 Identification and Assertion of Restrictions on the Government’s Use, Release, or
Disclosure of Technical Data or Computer Software. 
  
 The Offeror asserts for
itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data or computer software should be restricted: 
  

							
	 Technical Data or
 Computer Software
 to be Furnished
 With Restrictions*
	 	 Basis for
 Assertion**
	 	 Asserted
 Rights
 Category***
	 	 Name of Person
 Asserting
 Restrictions****

  

	*	For technical data (other than computer software documentation) pertaining to items, components, or processes developed at private expense, identify both the deliverable technical
data and each such item, component, or process. For computer software or computer software documentation identify the software or documentation. 

  

	**	Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions. For technical data, other than computer software
documentation, development refers to development of the item, component, or process to which the data pertain. The Government’s rights in computer software documentation generally may not be restricted. For computer software, development refers
to the software. Indicate whether development was accomplished exclusively or partially at private expense. If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting
restrictions. 

  

	***	Enter asserted rights category (e.g., government purpose license rights from a prior contract, rights in SBIR data generated under another contract, limited, restricted, or
government purpose rights under this or a prior contract, or specially negotiated licenses). 

  

	****	Corporation, individual, or other person, as appropriate. 

  

	*****	Enter “none” when all data or software will be submitted without restrictions. 

  

			
	Date	 	 6/19/03

		
	Printed Name and Title	 	 Thomas D. Mino

			
		
	Signature	 	/s/ Thomas D. Mino
		
	 	 	 
	
	 (End of identification and assertion)

  
 (e) An offeror’s
failure to submit, complete, or sign the notification and identification required by paragraph (d) of this provision with its offer may render the offer ineligible for award. 
  
 (f) If the Offeror is awarded a contract, the assertions identified in paragraph (d) of this provision shall be listed in an
attachment to that contract. Upon request by the Contracting Officer, the Offeror shall provide sufficient information to enable the Contracting Officer to evaluate any listed assertion. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 11 of 12	  	 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 
 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 
  
 252.247-7022 REPRESENTATION OF EXTENT OF TRANSPORTATION BY SEA (AUG 1992) 

 
 (a) The Offeror shall indicate by checking the appropriate blank in
paragraph (b) of this provision whether transportation of supplies by sea is anticipated under the resultant contract. The term “supplies” is defined in the Transportation of Supplies by Sea clause of this solicitation. 
  
 (b) Representation. The Offeror represents that it— 
  
  ̈ Does anticipate that supplies will be transported by sea in the performance of any contract or subcontract resulting from this solicitation. 
  
 x Does not anticipate that supplies will be transported by sea in the performance of any
contract or subcontract resulting from this solicitation. 
  
 (c)
Any contract resulting from this solicitation will include the Transportation of Supplies by Sea clause. If the Offeror represents that it will not use ocean transportation, the resulting contract will also include the Defense FAR Supplement clause
at 252.247-7024, Notification of Transportation of Supplies by Sea. 
  

					
	 	  	 	  	SECTION K F30602-03-C-0119
	 	  	PAGE K - 12 of 12	  	 

 DFARS 252.227-7017 IDENTIFICATION AND ASSERTION OF USE, RELEASE, OR DISCLOSURE RESTRICTIONS (JUN 1995) 

 
 (a) The terms used in this provision are defined in following clause or
clauses contained in this solicitation- 
  
 (1)
If a successful offeror will be required to deliver technical data, the Rights in Technical Data-Noncommercial Items clause, or, if this solicitation contemplates a contract under the Small Business Innovation Research Program, the Rights in
Noncommercial Technical Data and Computer Software-Small Business Innovation Research (SBIR) Program clause. 
  
 (2) If a successful offeror will not be required to deliver technical data, the Rights in Noncommercial Computer Software and
Noncommercial Computer Software Documentation clause, or, if this solicitation contemplates a contract under the Small Business Innovation Research Program, the Rights in Noncommercial Technical Data and Computer Software-Small Business Innovation
Research (SBIR) Program clause. 
  
 (b) The identification and
assertion requirements in this provision apply only to technical data, including computer software documents, or computer software to be delivered with other than unlimited rights. For contracts to be awarded under the Small Business Innovative
Research Program, the notification requirements do not apply to technical data or computer software that will be generated under the resulting contract. Notification and identification is not required for restrictions based solely on copyright.

  
 (c) Offers submitted in response to this solicitation shall
identify, to the extent known at the time an offer is submitted to the Government, the technical data or computer software that the Offeror, its subcontractors or suppliers, or potential subcontractors or suppliers, assert should be furnished to the
Government with restrictions on use, release, or disclosure. 
  
 (d) The Offeror’s assertions, including the assertions of its subcontractors or suppliers or potential subcontractors or suppliers shall be submitted as an attachment to its offer in the following format, dated and signed by an
official authorized to contractually obligate the Offeror: 
  
 Identification and
Assertion of Restrictions on the Government’s Use, Release, or Disclosure of Technical Data or Computer Software. 
  
 The Offeror asserts for itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data or computer
software should be restricted: 
  

							
	 Technical Data or Computer Software to be
 Furnished With Restrictions*

	  	 Basis for Assertion**

	  	Asserted Rights
Category***

	 	 Name of Person Asserting Restrictions
 ****

	 (List)*****
	  	(List)	  	(List)	 	(List)

  

	*	For technical data (other than computer software documentation) pertaining to items, component, or processes developed at private expense, identify both the deliverable technical
data and each such items, component, or process. For computer software or computer software documentation identify the software or documentation. 

  

	**	Generally, development at private expense, either exclusively or partially, is the only basis for asserting restrictions. For technical data, other than computer software
documentation, development refers to development of the item, component, or process to which the data pertain. The Government’s rights in computer software documentation generally may not be restricted. For computer software, development refers
to the software. Indicate whether development was accomplished exclusively or partially at private expense. If development was not accomplished at private expense, or for computer software documentation, enter the specific basis for asserting
restrictions. 

  

	***	Enter asserted rights category (e.g., government purpose license rights from a prior contract, rights in SBIR data generated under another contract, limited, restricted, or
government purpose rights under this or a prior contract, or specially negotiated licenses). 

  

	****	Corporation, individual, or other person, as appropriate. 

  

	***** 	Enter “none” when all data or software will be submitted without restrictions. 

  

					
	 	  	 	  	 
	 	  	 	  	 

 Date 6/19/03 
  

			
	 Printed Name and Title
	 	 THOMAS MINO CEO

			
		
	Signature	 	 /s/ Thomas D. Mino

	
	 (End of identification and assertion)

  
 (e) An offeror’s
failure to submit, complete, or sign the notification and identification required by paragraph (d) of this provision with its offer may render the offer ineligible for award. 
  
 (f) If the Offeror is awarded a contract, the assertions identified in paragraph (d) of this provision shall be listed in an
attachment to that contract. Upon request by the Contracting Officer, the Offeror shall provide sufficient information to enable the Contracting Officer to evaluate any listed assertion. 
  

					
	 	  	 	  	 
	 	  	 	  	 

 DFARS 252.227-7028 TECHNICAL DATA OR COMPUTER SOFTWARE PREVIOUSLY DELIVERED TO THE GOVERNMENT (JUN 1995)

  
 The Offeror shall attach to its offer an identification
of all documents or other media incorporating technical data or computer software it intends to deliver under this contract with other than unlimited rights that are identical or substantially similar to documents or other media that the Offeror has
produced for, delivered to, or is obligated to deliver to the Government under any contract or subcontract. The attachment shall identify: 
  
 (a) The contract number under which the data or software were produced; 
  
 (b) The contract number under which, and the name and address of the organization to whom, the data or software were most
recently delivered or will be delivered; and 
  
 (c) Any
limitations on the Government’s rights to use or disclose the data or software, including, when applicable, identification of the earliest date the limitations expire.

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