Attachment A: Statement of Work, Germanium Wafer Storage and Rotation

STATEMENT OF WORK

Germanium Wafer Storage and Rotation

1. GENERAL INFORMATION

The Defense Logistics Agency (DLA) Strategic Materials, also referred to in this document as the Government, stores unfinished germanium epitaxial ready wafers (unfinished wafers) for use as substrates for photovoltaic solar cells used in National Security Space (NSS) applications at Contractor-owned and Contractor-managed facilities.

The National Defense Stockpile (NDS) previously held 101,939 unfinished 4” (100mm) wafers . The Government upgraded some of the 4-inch wafers to 6-inch wafers and now holds 68,671 unfinished 4 inch (100mm) and 6 inch (150mm) wafers in reserve for release in times of national emergencies as required under the Strategic and Critical Materials Stock Piling Act, 50 U.S.C. 98 et seq. The Government still requires storage of the unfinished wafers at Contractor-owned and Contractor-managed facilities with the option to upgrade the current inventory to better support future needs.

2. BACKGROUND

2.1. The Government will furnish the Contractor(s) with unfinished wafers from the

NDS as Government Furnished Material (GFM).

2.2. The Contractor must provide all labor, supervision, facilities, equipment, material, supplies, and all other necessary services to store Government-owned unfinished wafers beginning on the first day of the period of performance, and in the event of a rotation action if decided by the Government, the Contractor must rotate Government-owned unfinished wafers, such that the held NDS-inventory of unfinished wafers in storage is never less than or more than the awarded GFM quantity.

2.2.1. In the event a rotation is executed from 4” wafers to 6” wafers, the Contractor and DLA must agree upon a new NDS-inventory quantity of unfinished wafers that will result from the rotation process. This quantity must be agreed upon prior to the rotation and must not be less than 51,500 wafers.

2.3. Responses to this Statement of Work (SOW) must comply with the Strategic and

Critical Materials Stock Piling Act (50 U.S.C. 98 et seq.) for rotation, specifically

50 U.S.C. 98e(a) (4), which provides “for the rotation of any material in the stockpile when necessary, to prevent deterioration or technological obsolescence of such material by the replacement of such material with an equivalent quantity of substantially the same or better material” (emphasis added).

2.4. The period of performance is a one-year base period and four one-year option periods.

2.5. A Quality Assurance Specialist (QAS) and other government points of contact will be identified after contract award. The QAS monitors all technical aspects of the contract and assists in contract administration. The QAS is not authorized to change any of the terms and conditions of the resulting order. The QAS is authorized to perform the following functions:

2.5.1. Assure that the Contractor performs the technical requirements of the contract;

2.5.2. Perform inspections necessary in connection with contract performance;

2.5.3. Maintain written and oral communication with the contractor concerning technical aspects of the contract; and

2.5.4. Monitor Contractor’s performance and notifies both the Contracting Officer and the Contractor of any deficiencies.

3. FUNCTIONAL REQUIREMENTS

3.1. DLA Strategic Materials further recommends that at least one rotation be initiated during the delivery period.

3.2. The Contractor, at the direction of the Government or at its discretion with Government approval, may rotate unfinished wafers out of the inventory, to meet commercial or National Security Strategy (NSS) requirements for such wafers. The Contractor must replace unfinished wafers that have been rotated-out of the inventory with 150 mm wafers in such a manner that follows the parameters set forth in section 6.0.

3.3. Unfinished germanium wafers must be stored in environmental conditions capable of minimizing or eliminating corrosion that could inhibit the ability of the wafers to be used in producing solar cells for NSS missions.

3.4. The Contractor must store material in a location such that rotation may be able to be executed within the same premises in order to avoid any delays that may arise due to packaging and transportation of unfinished wafers in the case that material must be quickly processed to meet the needs of the National Defense Stockpile.

4. GOVERNMENT FURNISHED MATERIAL

4.1. The Contractor must accept the unfinished germanium wafers, shipped by the

Government, as Government Furnished Material (GFM). The quantity and properties of the unfinished germanium wafers are described in Exhibit A, “GOVERNMENT FURNISHED GERMANIUM WAFERS.”

4.2. At the end of the contract, the Government reserves the right to direct the

Contractor to ship all Government-owned germanium to a Continental United States (CONUS) facility designated by the Government.

5. STORAGE REQUIREMENTS

5.1. The Contractor must store wafers in a clean, dry, secure area of a warehouse or equivalent structure that is secured under continuous surveillance and protected against loss or damage.

5.2. Wafers must be insured against loss or damage by the Contractor.

5.3. Storage temperature of the germanium wafers must be maintained between 5°C and

38°C (40°F – 100°F). To verify compliance, daily temperature readings must be recorded using a calibrated thermometer (thermometer must be accurate to a minimum of ± 0.2°F).

5.4. Relative humidity must not exceed 85% in spaces used to store government materials.

5.5. Unfinished germanium wafers must be clean of all organic material and contaminants such that they are ready to be processed into finished, epitaxial-ready wafers for photovoltaic applications.

5.6. Storage must be maintained in a rack type configuration such that the germanium wafers are off the floor of the warehouse, away from walls and fire suppression discharge hardware.

5.7. Material in storage must be identified by contract and production ingot number as indicated on each cassette-style wafer container. The description of contents must be indicated on a locator card which must be prominently displayed and securely attached to the tier in each multi-tiered rack or stack.

5.8. Inventory must be packaged and positioned; facilities must be capable of pulling, packing and shipping germanium wafers in undamaged condition to any location inside the United States within 24 hours of notification by the Government.

5.9. The Contractor must maintain data records for each cassette of wafers to support the requirements of Section 6. “Inventory Management Requirements”.

5.10. The Government reserves the right to inspect the proposed storage and rotation facilities to determine if the proposed facilities meet the requirements listed within the entirety of the SOW.

6. INVENTORY MANAGEMENT REQUIREMENTS

6.1. During each year of the period of performance, the Government may direct the

Contractor to rotate 50% of the NDS 4” (100mm) unfinished Ge wafer inventory.

6.1.1. When a rotation of unfinished wafers is directed by the government, a new quantity of unfinished wafers in the NDS inventory must be established and agreed upon prior to execution of the rotation. The new quantity of unfinished wafers in the NDS inventory must be no less than 51,500 unfinished wafers.

6.1.2. In the event the total NDS-inventory of unfinished wafers falls below 51,500 unfinished wafers due to a government-directed rotation, the Government will furnish additional raw material for the production of new unfinished wafers in order to maintain the minimum established quantity of 51,500.

6.2. Not more than once per quarter of each year of the period of performance, the

Contractor may propose rotation of stock wafers in storage. The Contractor must propose a rotation action to the Government, via written or electronic correspondence, at least twenty (20) business days prior to the scheduled start of such a rotation action. The Government must approve without modification, approve with modification, or reject the Contractor-proposed rotation action.

6.3. The total wafer quantity of all Contractor-proposed rotation actions, regardless of the quarter in which the Contractor proposes the rotation action, must not exceed 50% of the awarded GFM quantity of unfinished 4” (100mm) wafers; and

6.4. The Contractor must replace any draw-down of the unfinished wafer inventory, such that quantity of unfinished wafers contained in the NDS is never less than or more than the newly agreed-upon NDS-inventory quantity, within sixty (60) business days from the initiation of such a rotation action.

6.5. CONTRACTOR-PROPOSED ROTATION ACTION

6.5.1. For any rotation action of unfinished wafers proposed by the Contractor and accepted by the Government, the Contractor must replace the rotated-out wafer with a new wafer from a manufacturer that—

6.5.1.1. Produces germanium wafers that are Space Qualified by NSS solar cell manufacturers SolAero Technologies Corp., Spectrolab Inc., or any successor organization to those manufacturers, and

6.5.1.2. Produces germanium wafers that have been demonstrated as a component in the qualification process described in American Institute of Aeronautics and Astronautics (AIAA) S-111-2014, Qualification and Quality Requirement for Space Solar Cells.

6.5.2. Further, the Contractor must—

6.5.2.1. Ensure that the new 150mm unfinished wafers meet the requirements listed in Table 1.

Table 1: 150mm Unfinished Ge Wafer Specification Factor 150mm Type Note

Diameter 150mm ± 0.1mm Unfinished thickness

(T) 245 μm ≤ T ≤ 360 μm

Dopant P-Type (gallium)

Resistivity (R) 0.010 Ω-cm ≤ R ≤ 0.035Ω-cm (p-Type)

Resistivity Dispersion <15%

Crystallographic Orientation

6 degrees off <100> toward the nearest <111> plane ±0.5 degrees

Single-crystal

Dislocation Defects

≤300/cm2 with a target of 0/cm2

Measured by 9-point Semiconductor Equipment and materials International (SEMI) standard Etch Pit Density (EPD) method

Flat Orientation <100> ±2.0 degrees Flat Length 45.0 mm ±1.0 mm

Surface Finish

No visible discontinuities, striation, crystallographic anomalies, chips, pits, or other visible defects

6.5.2.2. Ensure that new unfinished wafers will satisfy the requirements of Table 2 after conversion into a finished epi-ready wafer.

Table 2: 150mm Finished Ge Wafer Specification

Factor 150mm Type Note Diameter 150 mm ± 0.1 mm

Finished Thickness 225 μm ± 10 μm For 100mm type, the unfinished wafer must be capable of meeting both finished thickness requirements.

Total Thickness Variation (TTV) ≤15.0 μm

Bow Maximum: 25.0 μm Minimum: -25.0 μm

Warp ≤75.0 μm Wafer Break Strength >5lbf

6.6. GOVERNMENT-DIRECTED ROTATION ACTION

6.6.1. For any Government-directed rotation of unfinished wafers, the Contractor must replace the rotated-out wafer with a new wafer from a manufacturer that—

6.6.1.1. Produces germanium wafers that are Space Qualified by NSS solar cell manufacturers SolAero Technologies Corp., Spectrolab Inc., or any successor organization to those manufacturers, and

6.6.1.2. Produces germanium wafers that have been demonstrated as a component in the qualification process described in American Institute of Aeronautics and Astronautics (AIAA) S-111-2014, Qualification and Quality Requirement for Space Solar Cells.

6.6.2. Further, the Contractor must—

6.6.2.1. Ensure that the new 150mm unfinished wafers meet the requirements listed in Table 1, and

6.6.2.2. Ensure that new unfinished wafers will satisfy the requirements of Table 2 after conversion into a finished epi-ready wafer.

7. PACKAGING AND LABELING REQUIREMENTS

7.1. For any rotation action, the Contractor must ensure that the new unfinished wafers are—

7.1.1. Packaged in stackable multi-wafer cassette style containers having a capacity of up to 25 wafers per container. Cassettes may contain less than 25 wafers but must not contain mixed ingots (i.e., wafers from different production lots).

7.1.2. Labeled with plastic laminated cards security affixed or slotted into each container. The following information, at minimum, must be printed clearly and legibly on each card:

a) Ingot/Crystal Number;

b) Number of Wafers;

c) Range of Wafer Numbers Harvested from the Crystal (e.g. 1-24, 25-

49, etc.), with occasional gaps possible due to breakage loss during fabrication;

d) Name of Manufacturer;

e) Manufacturer’s Country of Origin;

f) Net Weight (kilograms);

g) Government Contract Number;

h) American Institute of Aeronautics and Astronautics (AIAA) S-111-2014, “Qualification and Quality Requirement for Space Solar Cells”; and

i) Date of Wafer Manufacture.

7.2. TITLE

7.2.1. The Government must hold title to the unfinished wafers provided as GFM.

7.2.2. Upon removal from the inventory, the Government must not hold title to unfinished germanium wafers rotated out of storage in accordance with the procedures set forth in Section 3.3.

7.2.3. The Government must hold title to the new unfinished wafers replacing any unfinished germanium wafers that have been rotated out of storage.

8. DELIVERABLES

8.1. The Contractor must submit Monthly Progress / Status Reports for the month prior no later than the fifth business day of each calendar month during the period of performance. These Monthly Progress / Status Reports must contain the following, at minimum:

a) A summary, by month, of all material delivered, either as GFM or as part of a rotation action, under contract through the reporting month,

b) A description of any current problems which may impede performance, as well as proposed corrective action(s) for any such problems,

c) A written summary of the work to be performed during the next monthly reporting period,

d) A written record of Government-directed or Contractor-initiated rotation actions, including:

• The date of the Government-directed rotation action or

Contractor-proposed rotation action, whether approved or rejected by the Government,

• The volume of each rotation action, and

• The date at which the replacement unfinished wafer(s) must be delivered.

8.2. The Contractor must submit a Quality Control, Process Surveillance, and Testing Plan (QC Plan) with their proposal. The Contractor’s QC Plan must include independent third party verification by an experienced inspector that will establish and accomplish an auditable process to certify that the Contractor is adhering to their production QC Plan.

9. CONTRACTOR RESPONSIBILITIES

9.1. The Contractor must develop a sample of each lot of new unfinished wafers, acquired as replacement wafers due to a rotation action or breakage.

9.2. The sampling must be achieved in conformance with ASTM E122, Standard

Practice for Calculating Sample Size to Estimate, With Specified Precision, the Average for a Characteristic of a Lot or Process.

9.3. Acceptable quality level (AQL) currently required by NSS solar cell manufacturers must be used for each lot in accordance with ANSI Z1.4, Sampling Procedures and Tables for Inspection by Attributes.

9.4. The Contractor must complete the following tests on the sample developed under

Section 9.1:

9.4.1. Determine unfinished wafer diameter by SEMI MF2074-0912, Standard Guide for Measuring Diameter of Silicon and Other Semiconductor Wafers;

9.4.2. Determine unfinished wafer thickness by SEMI MF533-0310, Test Methods for Thickness and Thickness Variation of Silicon Wafers; and

9.4.3. Determine resistivity of unfinished wafer by SEMI MF673-0317, Test Methods for Measuring Resistivity of Semiconductor Wafers or Sheet Resistance of Semiconductor Films with a Noncontact Eddy-Current Gauge.

10. GOVERNMENT RESPONSIBILITIES

10.1. The Government will oversee and certify that the contractor has accomplished and satisfied all provisions of their accepted QC Plan.

10.2. The Government will provide the Contractor with a schedule of planned onsite inspection visits. The QAS will inspect all aspects of the contractor’s performance under its QC Plan. The QAS will observe and may ask the Contractor to repeat materials tests to verify product performance at no cost to the Government.

10.3. The QAS will monitor inventory management. Inspections will include visual verification and review or observation of materials storage conditions including:

10.4. Inspection visits usually will be scheduled, the Government reserves the right to inspect all aspects of the storage process randomly, with forty-eight (48) hours advance notification.

11. DELIVERY SCHEDULE

11.1. The period of performance must commence on the date of contract award.

11.2. The Government will deliver the GFM to the Contractor’s storage facility within thirty (30) calendar days from contract award.

11.3. Contractor services must commence upon delivery of the GFM unfinished germanium wafers.

12. EXIT STRATEGY

12.1. In the event of termination of the contract, the Government reserves the right to direct the Contractor to ship all Government-owned Germanium to a facility designated by the Government.

12.2. Packaging Requirements for Transportation - In the event of transfer, the 4” wafers must be packed as follows to minimize the probability of breakage:

12.2.1. Boats of wafers must be set into a 4” thick foam liner with four (4) evenly spaced cut-out sections that allow for each boat to be individually inserted.

12.2.2. A 2” foam liner must be placed at the bottom of an 18”x18”x18” box, and the 4” thick foam liner containing the wafer boats must be set on top of the 2” liner.

12.2.3. The above must be repeated until a total of three (3) 4” thick foam inserts have been place in a box. Boxes must have no more than 12 wafer boats per box. An additional 2” liner must be placed on top with a packaging slip that provides details regarding the wafers and boats contained within the box.

12.2.4. Boxes must be marked as fragile and be taped shut at all openings.

12.2.5. Boxes must stacked in a manner that no more than 16 boxes to be stacked onto a 48”x48” pallet that meets the following pallet design.

12.3. Pallet design.

12.3.1. All pallets must be 48” deep (front to back) and 48” wide (side to side) in size.

12.3.2. All pallets must contain four full-length solid stringers. One stringer must be located at each edge (side) and two stringers must be located in the interior of all pallets. Interior stringers must be spaced 18.5” (on center) from the outside of each edge (side). Stringers must be 1 5/8” in width and 3.5” in height. Segmented, composite, and/or block stringers are not allowable.

12.3.3. All pallets must have flush sides (e.g., no wings).

12.3.4. All pallets must contain “top decking” and “bottom decking” boards. All decking boards must be 6” in width with no more than 1” between boards.

All decking boards must be ¾” in thickness and be solid.

12.3.5. All pallets must have a “two-way entry” configuration.

12.3.6. Pallets may be reversible in design.

12.3.7. All pallets must have a minimum rated load capacity of 750 pounds per square foot.

12.4. Pallet construction.

12.4.1. All pallets must satisfy the requirements listed in ASTM D6199-18a.

12.4.2. All pallets must be constructed entirely (except fasteners) of high-density hardwood meeting the requirements of paragraph 6 of ASTM D6199-18a.

Only high-density hardwood species categorized in “Group IV” of ASTM D6199-18a are allowable for pallet construction. The only allowable high density hardwood species used for pallet construction are beech, birch, hackberry, hard maple, hickory, oak (eastern), pecan, rock elm, American elm, white oak, and green oak. Pallets may be constructed by mixing together or using different high density hardwood species listed above interchangeably.

12.4.3. All pallets must satisfy the requirements listed in International Standards for Phytosanitary Measures (ISPM) 15 (e.g., heat treated etc.).

12.4.4. Only driven nails that are “helically” threaded, “annularly” threaded or “fluted” are allowable for use in pallet construction. The fastener length must be sufficient to provide a minimum penetration of 1.25” into the stringer.

12.5. The boxes must be plastic wrapped into one unit in order to prevent individual boxes from moving.

12.6. The stack of boxes must be banded to the pallet with two plastic bands connected to opposite sides of the pallet for a total of 4 plastic bands per pallet. Additional bands must be used to secure the boxes if necessary.

12.7. The above requirements shall be followed for the 6” wafers with changes as follows:

12.7.1. Wafer boats must be packaged in 6” foam inserts in the same manner as the 4” wafers with up to two (2) foam inserts per box, totaling 8 wafer boats per box.

12.7.2. Boxes shall be 20”x20”x19” in size.

12.8. Boxes of 4” wafers and 6” wafers must not be mixed. Pallets must hold only boxes containing 4” wafers or boxes containing only 6” wafers.

13. Invoice Instruction: Wide Area Work Flow (WAWF) Payment

Instructions.

13.1. 252.232-7006 WIDE AREA WORKFLOW PAYMENT INSTRUCTIONS (DEC

2018) DFARS

13.2. As prescribed in 232.7004(b), use the following clause:

13.3. Definitions. As used in this clause—

13.3.1. “Department of Defense Activity Address Code (DoDAAC)” is a six-position code that uniquely identifies a unit, activity, or organization.

13.3.2. “Document type” means the type of payment request or receiving report available for creation in Wide Area Work Flow (WAWF). “Local processing office (LPO)” is the office responsible for payment certification when payment certification is done external to the entitlement system. “Payment request” and “receiving report” are defined in the clause at 252.232-7003, Electronic Submission of Payment Requests and Receiving Reports.

13.3.3. Electronic invoicing. The WAWF system provides the method to electronically process vendor payment requests and receiving reports, as authorized by Defense Federal Acquisition Regulation Supplement (DFARS) 252.232-7003, Electronic Submission of Payment Requests and Receiving Reports.

13.3.4. WAWF access. To access WAWF, the Contractor must have an account in

System for Award Management (SAM) at https://www.sam.gov; and be registered to use WAWF at https://wawf.eb.mil/ following the step-by-step procedures for self-registration available at this web site.

13.3.5. WAWF training. The Contractor should follow the training instructions of the WAWF Web- Based Training Course and use the Practice Training Site before submitting payment requests through WAWF. Both can be accessed by selecting the “Web Based Training” link on the WAWF home page at https://wawf.eb.mil/

13.3.6. WAWF methods of document submission. Document submissions may be via web entry, Electronic Data Interchange, or File Transfer Protocol.

13.3.7. WAWF payment instructions. The Contractor must use the following information when submitting payment requests and receiving reports in WAWF for this contract or task or delivery order:

a) Document type. The Contractor must submit payment requests using the following document type(s): Invoice 2in1

b) Fast Pay requests are only permitted when Federal Acquisition

Regulation (FAR) 52.213-1is included in the contract. Not Applicable.

c) Document routing. The Contractor must use the information in the

Routing Data Table below only to fill in applicable fields in WAWF when creating payment requests and receiving reports in the system.

TABLE TWO ROUTING DATA

1 Pay Official DoDAAC SL4701 2 Issued by DoDAAC SP8000 3 Admin. DoDAAC SP8000 4 Inspected by SB0844 http://www.sam.gov/

5 Ship To Code 6 Ship From Code 7 Mark For Code 8 Service Approver SB0844 9 Service Acceptor SB0844 10 Accept at Other 11 LPO DoDAAC 12 DCAA Auditor DoDAAC 13 Other DoDAACs

d) Payment request and supporting documentation. The Contractor must ensure a payment request includes appropriate contract line item and subline item descriptions of the work performed or supplies delivered, unit price/cost per unit, fee (if applicable), and all relevant back-up documentation, as defined in DFARS Appendix F, (e.g., timesheets) in support of each payment request.

e) WAWF email notifications. The Contractor must enter the e-mail address identified below in the “Send Additional Email Notifications” field of WAWF once a document is submitted in the system. WAWF point of contact.

f) The Contractor may obtain clarification regarding invoicing in WAWF from the following: contracting activity’s WAWF point of contact. 571- 767-6500. For technical WAWF help, contact the WAWF helpdesk at 866-618-5988.

(End of clause)