Amendment to Government Contract DASG60-00-C-0016 Between US Army Space and Missile Defense Command and Irvine Sensors Corporation

Summary

This amendment modifies the contract between the US Army Space and Missile Defense Command and Irvine Sensors Corporation, increasing the total funded amount by $499,808 to a new total of $999,808. The contract is now fully funded, and the government will only reimburse the contractor up to the allotted amount. The amendment confirms that the contractor has met the required private sector matching funds and sets the funded period of performance through January 23, 2002. All other terms and conditions of the original contract remain unchanged.

EX-10.5 2 0002.txt CONTRACT DATED 1/24/00 Exhibit 10.5 - ------------------------------------------------------------------------------------------------------------------------------------ AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 1. CONTRACT ID CODE PAGE OF PAGES 0 1 3 - ------------------------------------------------------------------------------------------------------------------------------------ 2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable) P00002 19-Sep-2000 DR9A877600-01 - ------------------------------------------------------------------------------------------------------------------------------------ 6. ISSUED BY CODE W31RPD 7. ADMINISTERED BY (If other than item 6) CODE S0513A US ARMY SPACE AND MISSILE DEFENSE COMMAND DCMC SANTA ANA -------------- SMDC-CM-AK, BAUGH 34 CIVIC CENTER PLAZA ###-###-#### P.O. BOX C 12700 PO BOX 1500 HUNTSVILLE, AL ###-###-#### SANTA ANA, CA ###-###-#### - ------------------------------------------------------------------------------------------------------------------------------------ 8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State and Zip Code) 9A. AMENDMENT OF SOLICITATION NO. ------------------------------------------------- IRVINE SENSORS CORPORATION 9B. DATED (SEE ITEM 11) 3001 REDHILL AVENUE ------------------------------------------------- COSTA MESA CA ###-###-#### X 10A. MOD. OF CONTRACT/ORDER NO. DASG60-00-C-0016 ------------------------------------------------- - -------------------------------------------------------------------------------- 10B. DATED (SEE ITEM 13) CODE 54266 FACILITY CODE X 25-Aug-2000 - ------------------------------------------------------------------------------------------------------------------------------------ 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS - ------------------------------------------------------------------------------------------------------------------------------------ [_] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offer [_] is extended, [_] is not extended Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: (a) By completing Items 8 and 15, and returning ________ copies of the document; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN THE REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. - ------------------------------------------------------------------------------------------------------------------------------------ 12. ACCOUNTING AND APPROPRIATION DATA (If required) See Schedule - ------------------------------------------------------------------------------------------------------------------------------------ 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. - ------------------------------------------------------------------------------------------------------------------------------------ A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A. - ------------------------------------------------------------------------------------------------------------------------------------ B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(B). - ------------------------------------------------------------------------------------------------------------------------------------ C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF: - ------------------------------------------------------------------------------------------------------------------------------------ X D. OTHER (Specify type of modification and authority) UNILATERAL: DFARS ###-###-#### - ------------------------------------------------------------------------------------------------------------------------------------ E. IMPORTANT: Contractor [X] is not, [_] is required to sign this document and return _______ copies to the issuing office. - ------------------------------------------------------------------------------------------------------------------------------------ 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.) WHEREAS, the purpose of this modification is to incrementally fund the contract in the amount of $499,808.00. WHEREAS, the contractor has provided adequate documentation to demonstrate the required private sector matching funds have been met. THEREFORE, the contract is modified as follows: Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect. - ------------------------------------------------------------------------------------------------------------------------------------ 15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print) - ------------------------------------------------------------------------------------------------------------------------------------ 15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED BY /s/ Carolyn G. Wright 19-Sep-2000 ________________________________________ ----------------------------------- (Signature of person authorized to sign) (Signature of Contracting Officer) - ------------------------------------------------------------------------------------------------------------------------------------ EXCEPTION TO SF 30 30-105-04 STANDARD FORM 30 (Rev. 10-83) APPROVED BY OIRM 11-84 Prescribed by GSA FAR (48 CFR) 53.243

DASG60-00-C-0016 PO0002 Page 2 of 3 SECTION SF 30 BLOCK 14 CONTINUATION PAGE SUMMARY OF CHANGES Changes in Section G Summary for the Payment Office As a result of this modification, the total funded amount of the contract is increased by $499,808.00 from $500,000.00 to $999,808.00. Therefore, the contract is fully funded. CLIN :0001 AB: 9790400.2501 36-6011 P20080000000-2552 DR9A877600 SO1021 DR9A877600/9HHA05/H is increased by $499,808.00 from $179,636.00 to $679,444.00. The following full text clauses has been modified as follows: INCREMENTAL FUNDING: This contract is incrementally funded in accordance with - ------------------- the clause DFARS ###-###-####. The Government will not be obligated to reimburse the contractor in excess of the amount allotted to the contract. Additionally allotments of funds will become available only by modification to this contract. The anticipated funding schedule is at subparagraph (i) of the clause DFARS ###-###-####, (set forth in full text in Section I of this contract). a. Funds required for full contract performance: $999,808 b. Funds presently available for payment: $999,808 c. Unfunded Balance: $ 0 d. Funded period of performance: 23 Jan 02 Changes in Section I The following full text clause has been modified as follows: 252 ###-###-#### LIMITATION OF GOVERNMENT'S OBLIGATION (AUG 1993) (a) Contract line item(s) 0001 through 0002 are incrementally funded. For these ---- ---- item(s), the sum of $999,808 is presently available for payment and allotted to -------- this contract. An allotment schedule is set forth in paragraph (i) of this clause. (b) For items(s) identified in paragraph (a) of this clause, the Contractor agrees to perform up to the point at which the total amount payable by the Government, including reimbursement in the event of termination of those item(s) for the Government's convenience, approximates the total amount currently allotted to the contract. The Contractor will not be obligated to continue work on those item(s) beyond that point. The Government will not be obligated in any event to reimburse the Contractor in excess of the amount allotted to the contract for those item(s) regardless of anything to the contrary in the clause entitled "TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT." As used in this clause, the total amount payable by the Government in the event of termination of applicable contract line item(s) for convenience includes costs, profit and estimated termination settlement costs for those item(s). DASG60-00-C-0016 PO0002 Page 3 of 3 (c) Notwithstanding the dates specified in the allotment schedule in paragraph (i) of this clause, the Contractor will notify the Contracting Officer in writing at least ninety days prior to the date when, in the Contractor's best judgment, the work will reach the point at which the total amount payable by the Government, including any cost for termination for convenience, will approximate 85 percent of the total amount then allotted to the contract for performance of the applicable item(s). The notification will state (1) the estimated date when that point will be reached and (2) an estimate of additional funding, if any, needed to continue performance of applicable line items up to the next scheduled date for allotment of funds identified in paragraph (i) of this clause, or to a mutually agreed upon substitute date. The notification will also advise the Contracting Officer of the estimated amount of additional funds that will be required for the timely performance of the item(s) funded pursuant to this clause, for subsequent period as may be specified in the allotment schedule in paragraph (i) of this clause, or otherwise agreed to by the parties. If after such notification additional funds are not allotted by the date identified in the Contractor's notification, or by an agreed substitute date, the Contracting Officer will terminate any item(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled "TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT". (d) When additional funds are allotted for continued performance of the contract line item(s) identified in paragraph (a) of this clause, the parties will agree as to the period of contract performance which will be covered by the funds. The provisions of paragraph (b) through (d) of this clause will apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be modified accordingly. (e) If, solely by reason of failure of the Government to allot additional funds, by the dates indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in paragraph (a) of this clause, the Contractor incurs additional costs or is delayed in the performance of the work under this contract and if additional funds are allotted, an equitable adjustment will be made in the price or prices (including appropriate target, billing, and ceiling prices where applicable) of the item(s), or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a dispute concerning a question of fact within the meaning of the clause entitled "disputes." (f) The Government may at any time prior to termination allot additional funds for the performance of the contract line item(s) identified in paragraph (a) of this clause. (g) The termination provisions of this clause do not limit the rights of the Government under the clause entitled "DEFAULT." The provisions of this clause are limited to work and allotment of funds for the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the contract if fully funded except with regard to the rights or obligations of the parties concerning equitable adjustments negotiated under paragraphs (d) or (e) of this clause. (h) Nothing in this clause affects the right of the Government to this contract pursuant to the clause of this contract entitled "TERMINATION FOR CONVENIENCE OF THE GOVERNMENT." (i) The parties contemplate that the Government will allot funds to this contract in accordance with the following schedule: On execution of contract. $250,000 FY 00 $749,808 - ------------------------------------------------------------------------------------------------------------------------------------ 1. CONTRACT ID CODE PAGE OF PAGES AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT 0 1 3 - ------------------------------------------------------------------------------------------------------------------------------------ 2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQ. NO. 5. PROJECT NO. (If applicable) P00001 25-Aug-2000 DR9A877600-01 - ------------------------------------------------------------------------------------------------------------------------------------ 6. ISSUED BY CODE W31RPD 7. ADMINISTERED BY (If other than item 6) CODE S0513A --------------------- ---------------------- US ARMY SPACE AND MISSILE DEFENSE COMMAND DCMC SANTA ANA SMDC-CM-AK, BAUGH 34 CIVIC CENTER PLAZA ###-###-#### P.O. BOX C 12700 PO BOX 1500 HUNTSVILLE, AL ###-###-#### SANTA ANA, CA ###-###-#### - ------------------------------------------------------------------------------------------------------------------------------------ 8. NAME AND ADDRESS OF CONTRACTOR (No., Street, Country, State and Zip Code) 9A. AMENDMENT OF SOLICITATION NO. ---------------------------------------------------- IRVINE SENSORS CORPORATION 9B. DATED (SEE ITEM 11) 3001 REDHILL AVENUE COSTA MESA CA ###-###-#### ---------------------------------------------------- X 10A. MOD. OF CONTRACT/ORDER NO. DASG60-00-C-0016 ---------------------------------------------------- 10B. DATED (SEE ITEM 13) - -------------------------------------------------------------------------------- CODE 54266 FACILITY CODE X 25-Aug-2000 - ------------------------------------------------------------------------------------------------------------------------------------ 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS - ------------------------------------------------------------------------------------------------------------------------------------ [_] The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offer [_] is extended, [_] is not extended. Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: (a) By completing Items 8 and 15, and returning ____________ copies of the document; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN THE REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. - ------------------------------------------------------------------------------------------------------------------------------------ 12. ACCOUNTING AND APPROPRIATION DATA (If required) See Schedule - ------------------------------------------------------------------------------------------------------------------------------------ 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. - ------------------------------------------------------------------------------------------------------------------------------------ A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A. - ------------------------------------------------------------------------------------------------------------------------------------ B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(B). - ------------------------------------------------------------------------------------------------------------------------------------ C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF: - ------------------------------------------------------------------------------------------------------------------------------------ X D. OTHER (Specify type of modification and authority) UNILATERAL: DFARS ###-###-#### - ------------------------------------------------------------------------------------------------------------------------------------ E. IMPORTANT: Contractor [X] is not, [_] is required to sign this document and return _________ copies to the issuing office. - ------------------------------------------------------------------------------------------------------------------------------------ 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter when feasible.) WHEREAS, the purpose of this modification is to incrementally fund the contract in the amount of $250,000. WHEREAS, the contractor has provided adequate documentation to demonstrate required private sector matching funds. THEREFORE, the contract is modified as follows: Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect. - ------------------------------------------------------------------------------------------------------------------------------------ 15A. NAME AND TITLE OF SIGNER (Type or print) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print) LARRY G. RIDGEWAY / CONTRACTING OFFICER - ------------------------------------------------------------------------------------------------------------------------------------ 15B. CONTRACTOR/OFFEROR 15C. DATE SIGNED 16B. UNITED STATES OF AMERICA 16C. DATE SIGNED BY /s/ Larry G. Ridgeway 25-Aug-2000 ___________________________________________ ---------------------------------- (Signature of person authorized to sign) (Signature of Contracting Officer) - ------------------------------------------------------------------------------------------------------------------------------------ EXCEPTION TO SF 30 30-105-04 STANDARD FORM 30 (Rev. 10-83) APPROVED BY OIRM 11-84 Prescribed by GSA FAR (48 CFR) 53.243
DASG60-00-C-0016 P00001 Page 2 of 3 SECTION SF 30 BLOCK 14 CONTINUATION PAGE SUMMARY OF CHANGES Changes in Section G Summary for the Payment Office As a result of this modification, the total funded amount of the contract is increased by $250,000.00 from $250,000.00 to $500,000.00 CLIN :0001 AB: 9790400.2501 36-6011 P20080000000-2552 DR9A877600 S01021 DR9A877600/9HHA05/H is increased by $179,636.00 from $0.00 to $179,636.00 The funding ACRN AB has been added. AC: 9700400.2501 36-6011 P20080000000-255Y VH0A8A6000 S01021 VH0A8A6000/0HHA07/H is increased by $70,364.00 from $0.00 to $70,364.00 The funding ACRN AC has been added. The following clauses which are incorporated by full text have been added or modified: INCREMENTAL FUNDING: This contract is incrementally funded in accordance with - -------------------- the clause DFARS ###-###-####. The Government will not be obligated to reimburse the contractor in excess of the amount allotted to the contract. Additionally allotments of funds will become available only by modification to this contract. The anticipated funding schedule is at subparagraph (i) of the clause DFARS ###-###-####, (set forth in full text in Section I of this contract). a. Funds required for full contract performance: $999,808 b. Funds presently available for payment: $500,000 c. Unfunded Balance: $499,808 d. Funded period of performance: 15 Jun 01 Changes in Section I The following clauses which are incorporated by full text have been added or modified: 252 ###-###-#### LIMITATION OF GOVERNMENT'S OBLIGATION (AUG 1993) (a) Contract line item(s) 0001 through 0002 are incrementally funded. For these ---- ---- item(s), the sum of $500.000 of the total price is presently available for ------- payment and allotted to this contract. An allotment schedule is set forth in paragraph (i) of this clause. (b) For items(s) identified in paragraph (a) of this clause, the Contractor agrees to perform up to the point at which the total amount payable by the Government, including reimbursement in the event of termination of those item(s) for the Government's convenience, approximates the total amount currently allotted to the contract. The Contractor will not be obligated to continue work on those item(s) beyond that point. The Government will not be obligated in any event to reimburse the Contractor in excess of the amount allotted to the contract for those item(s) regardless of anything to the contrary in the clause entitled "TERMINATION FOR THE CONVENIENCE OF THE DASG60-00-C-0016 P00001 Page 3 of 3 GOVERNMENT." As used in this clause, the total amount payable by the Government in the event of termination of applicable contract line item(s) for convenience includes costs, profit and estimated termination settlement costs for those item(s). (c) Notwithstanding the dates specified in the allotment schedule in paragraph (i) of this clause, the Contractor will notify the Contracting Officer in writing at least ninety days prior to the date when, in the Contractor's best ------ judgment, the work will reach the point at which the total amount payable by the Government, including any cost for termination for convenience, will approximate 85 percent of the total amount then allotted to the contract for performance of the applicable item(s). The notification will state (1) the estimated date when that point will be reached and (2) an estimate of additional funding, if any, needed to continue performance of applicable line items up to the next scheduled date for allotment of funds identified in paragraph (i) of this clause, or to a mutually agreed upon substitute date. The notification will also advise the Contracting Officer of the estimated amount of additional funds that will be required for the timely performance of the item(s) funded pursuant to this clause, for subsequent period as may be specified in the allotment schedule in paragraph (i) of this clause, or otherwise agreed to by the parties. If after such notification additional funds are not allotted by the date identified in the Contractor's notification, or by an agreed substitute date, the Contracting Officer will terminate any item(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled "TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT." (d) When additional funds are allotted for continued performance of the contract line item(s) identified in paragraph (a) of this clause, the parties will agree as to the period of contract performance which will be covered by the funds. The provisions of paragraph (b) through (d) of this clause will apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be modified accordingly. (e) If, solely by reason of failure of the Government to allot additional funds, by the dates indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in paragraph (a) of this clause, the Contractor incurs additional costs or is delayed in the performance of the work under this contract and if additional funds are allotted, an equitable adjustment will be made in the price or prices (including appropriate target, billing, and ceiling prices where applicable) of the item(s), or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a dispute concerning a question of fact within the meaning of the clause entitled "disputes." (f) The Government may at any time prior to termination allot additional funds for the performance of the contract line item(s) identified in paragraph (a) of this clause. (g) The termination provisions of this clause do not limit the rights of the Government under the clause entitled "DEFAULT." The provisions of this clause are limited to work and allotment of funds for the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the contract if fully funded except with regard to the rights or obligations of the parties concerning equitable adjustments negotiated under paragraphs (d) or (e) of this clause. (h) Nothing in this clause affects the right of the Government to this contract pursuant to the clause of this contract entitled "TERMINATION FOR CONVENIENCE OF THE GOVERNMENT." (i) The parties contemplate that the Government will allot funds to this contract in accordance with the following schedule: On execution of contract. $250,000 FY 01 $500,000 FY 02 $249,808 (End of clause) - ----------------------------------------------------------------------------------------------------------------------------------- AWARD/CONTRACT 1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES UNDER DPAS (15 CFR 350) DX-A2 1 16 - ----------------------------------------------------------------------------------------------------------------------------------- 2. CONTRACT (Proc. Inst. Ident.) NO. 3. EFFECTIVE DATE 4.REQUISITION/PURCHASE REQUEST/PROJECT NO. DASG60-00-C-0016 24 JAN 00 DR9A877600-01 - ----------------------------------------------------------------------------------------------------------------------------------- 5. ISSUED BY CODE W31RPD 6. ADMINISTERED BY (If other than Item 5) CODE S0513A ------- -------- US ARMY SPACE AND MISSILE DEFENSE COMMAND DCMC SANTA ANA SMDC-CM-AK, BAUGH 34 CIVIC CENTER PLAZA PO BOX 1500 P.O. BOX C 12700 HUNTSVILLE, AL ###-###-#### SANTA ANA, CA ###-###-#### - ----------------------------------------------------------------------------------------------------------------------------------- 7. NAME AND ADDRESS OF CONTRACTOR (No., street, city, county, state and zip code) 8. DELIVERY [_] FOB ORIGIN [X] OTHER (See below) 330280334 ----------------------------------------- IRVINE SENSORS CORPORATION 9. DISCOUNT FOR PROMPT PAYMENT 3001 REDHILL AVENUE NET ----------------------------------------- 10. SUBMIT INVOICES ITEM COSTA MESA, CA ###-###-#### (4 copies unless otherwise specified) Section G TO THE ADDRESS - ------------------------------------------------------------------------------------------ CODE 54266 FACILITY CODE SHOWN IN: - ----------------------------------------------------------------------------------------------------------------------------------- 11. SHIP TO/MARK FOR CODE 12. PAYMENT WILL BE MADE BY CODE HQ0339 ----------------------- DFAS-COLUMBUS CENTER -------- DFAS-CO/WEST ENTITLEMENT OPERATION P.O. BOX 182381 SEE SCHEDULE COLUMBUS, OH ###-###-#### - ----------------------------------------------------------------------------------------------------------------------------------- 13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN 14. ACCOUNTING AND APPROPRIATION DATA COMPETITION: [ ] 10 U.S.C. 2304(c) ( ) [ ] 41 U.S.C. 253(c)( ) See Schedule - ----------------------------------------------------------------------------------------------------------------------------------- 15A. ITEM NO. 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE 15F. AMOUNT - ----------------------------------------------------------------------------------------------------------------------------------- SEE SCHEDULE - ----------------------------------------------------------------------------------------------------------------------------------- 15G. TOTAL AMOUNT OF CONTRACT $999,808.00 - ----------------------------------------------------------------------------------------------------------------------------------- 16. TABLE OF CONTENTS - ----------------------------------------------------------------------------------------------------------------------------------- (X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S) - ----------------------------------------------------------------------------------------------------------------------------------- PART I - THE SCHEDULE PART II - CONTRACT CLAUSES - ----------------------------------------------------------------------------------------------------------------------------------- X A SOLICITATION/CONTRACT FORM 1-1 X I CONTRACT CLAUSES 11 - ----------------------------------------------------------------------------------------------------------------------------------- X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS - ----------------------------------------------------------------------------------------------------------------------------------- C DESCRIPTION/SPECS./WORK STATEMENT X J LIST OF ATTACHMENTS 16 - ----------------------------------------------------------------------------------------------------------------------------------- D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS - ----------------------------------------------------------------------------------------------------------------------------------- X E INSPECTION AND ACCEPTANCE 4 REPRESENTATIONS, CERTIFICATIONS AND - --------------------------------------------------------- K X F DELIVERIES OR PERFORMANCE 5 OTHER STATEMENTS OF OFFERORS - ----------------------------------------------------------------------------------------------------------------------------------- X G CONTRACT ADMINISTRATION DATA 6 L INSTRS., CONDS., AND NOTICES TO OFFERORS - ----------------------------------------------------------------------------------------------------------------------------------- X H SPECIAL CONTRACT REQUIREMENTS 8 M EVALUATION FACTORS FOR AWARD - ----------------------------------------------------------------------------------------------------------------------------------- CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE ------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- 17. [X] CONTRACTOR'S NEGOTIATED AGREEMENT Contractor is required 18 [_] AWARD (Contractor is not required to sign this ---------------------- ---------------------------------------------- to sign this document and return 1 copies to issuing office.) document.) Your offer on Solicitation Number - ------------------------------------------------------------- ---------- _______________________________________________________ Contractor agrees to furnish and deliver all items or perform including the additions or changes made by you which all the services set forth or otherwise identified above and additions or changes are set forth in full above, is on any continuation sheets for the consideration stated herein. hereby accepted as to the items listed above and on any The rights and obligations of the parties to this contract shall continuation sheets. This award consummates the contract be subject to and governed by the following documents: (a) this which consists of the following documents: (a) the award/contract, (b) the solicitation, if any, and (c) such Government's solicitation and your offer, and (b) this provisions, representations, certifications, and specifications, award/contract. No further contractual document is as are attached or incorporated by reference herein. necessary. (Attachments are listed herein.) - ------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- 19A. NAME AND TITLE OF SIGNER (Type or print) 20A. NAME AND TITLE OF CONTRACTING OFFICER John J. Stuart, Jr. Sr. Vice President, CFO - ----------------------------------------------------------------------------------------------------------------------------------- 19B. NAME OF CONTRACTOR 19C. DATE SIGNED 20B. UNITED STATES OF AMERICA 20C. DATE SIGNED Irvine Sensors Corporation BY /s/ John J. Stuart, Jr. 21 Jan. 2000 BY /s/ Larry G. Rideway ------------------------------------ ------------------------------- (Signature of person authorized (Signature of Contracting to sign) Officer) - ---------------------------------------------------------------------------------------------------------------------------------- NSN 7540-01-152-8069 26-107 STANDARD FORM 26 (REV. 4-85) PREVIOUS EDITION UNUSABLE GPO 1985 O - 469-794 Prescribed by GSA FAR (48 CFR) 53.214(a)
================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 3 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================
SECTION B Supplies or Services and Prices ITEM NO SUPPLIES/SERVICES AMOUNT 0001 FFP-LOE - Work as set forth in Irvine Sensors Corporation, SBIR Phase II proposal dated 7 Jul 99, title "Self-Aligning Polylithic Opto-Electronic Circuits (SPOC)," pages 6 through 8, incorporated herein as set forth in Section J, hereof. PURCHASE REQUEST NUMBER DR9A877600-01 ----------------- NET AMT $ 999,808.00 CEILING PRICE ACRN AA Funded Amount $ 250,000.00 ITEM NO 0002 CDRLs FFP-LOE - Data to be delivered under this contract shall be cited in Contract Data Requirements List (CDRL), DD Form 1423s consisting of Exhibit Line Item Nos. A001 through A006 incorporated herein and attached as set forth in Section J, hereof. Contractor format for Data Item Description is acceptable. -----------------
CLAUSES INCORPORATED BY FULL TEXT FIRM FIXED PRICE LEVEL OF EFFORT TERM: ================================================================================ OPTIONAL FORM 336A(4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 8 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ Hours (DPPH) identified on this invoice/voucher in accordance with Section B of contract and all other applicable requirements. I further certify that the supplies or services are of the quality specified and conform in all respects with the contract requirements, including specifications, drawings, preservation, packaging, packing, marking requirements, and physical item identification (part number), and are in the quantity shown on this or on the attached acceptance document. Date of Execution:___________________ Signature:___________________________ Title:_______________________________ IDENTIFICATION OF CORRESPONDENCE: All correspondence and data submitted by the - -------------------------------- contractor under this contract shall reference the contract number. CONTRACTING ACTIVITY REPRESENTATIVES: - ------------------------------------
- -------------------------------------------------------------------------------------------------------------- Contractual Matters Technical Matters - -------------------------------------------------------------------------------------------------------------- NAME: Nicole Baugh Stan Smith - -------------------------------------------------------------------------------------------------------------- ORGANIZATION CODE: SMDC-CM-AK SMDC-TC-AP - -------------------------------------------------------------------------------------------------------------- TELEPHONE NUMBERS: 256-955- ###-###-#### COMMERCIAL: - -------------------------------------------------------------------------------------------------------------- DEFENSE SWITCHED NETWORK (DSN): 645 ###-###-#### - -------------------------------------------------------------------------------------------------------------- EMAIL: ***@*** ***@*** -------------------------- ------------------------ - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
INCREMENTAL FUNDING: This contract is incrementally funded in accordance with - ------------------- the clause DFARS ###-###-####. The Government will not be obligated to reimburse the contractor in excess of the amount allotted to the contract. Additionally allotments of funds will become available only by modification of this contract. The anticipated funding schedule is at subparagraph (i) of the clause DFARS ###-###-####, (set forth in full text in Section I of this contract). a. Funds required for full contract performance: $ 999,808 b. Funds presently available for payment $ 250,000 c. Unfunded Balance: $ 749,808 d. Funded period of performance: 15 Jan 01 ================================================================================ OPTIONAL FORM 336A(4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 9 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ SECTION H Special Contract Requirements CLAUSES 1NCORPORATED BY REFERENCE: HO3 Technical Cognizance and Technical Direction APR 1998 CLAUSES INCORPORATED BY FULL TEXT PUBLIC RELEASE OF INFORMATION: - ----------------------------- a. In accordance with DFARS ###-###-####, Disclosure of Information, the U.S. Army Space and Missile Defense Command Public Affairs Officer (SMDC-PA) is responsible for processing clearance of contractor-originated material for public release. This includes forwarding the material to appropriate Department of the Army agencies for actual clearance. b. All material to be cleared shall be sent to: U.S. Army Space and Missile Defense Command ATTN: SMDC-PA P.O. Box 1500 Huntsville, AL ###-###-#### DISTRIBUTION CONTROL OF TECHNICAL INFORMATION: - --------------------------------------------- a. The following terms applicable to this clause are defined as follows: (1) Technical Document. Any recorded information that conveys scientific and technical information or technical data. (2) Scientific and Technical Information. Communicable knowledge or information resulting from or pertaining to conducting and managing a scientific or engineering research effort. (3) Technical Data. Recorded information related to experimental, developmental, or engineering works that can be used to define an engineering or manufacturing process or to design, procure, produce, support, maintain, operate, repair, or overhaul material. The data may be graphic or pictorial delineations in media such as drawings or photographs, text in specifications or related performance or design type documents, or computer printouts. Examples of technical data include research and engineering data, engineering drawings, and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog-item identifications, and related information and computer software documentation. ================================================================================ OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 10 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ b. Except as may otherwise be set forth in the Contract Data Requirements List (CDRL), DD Form 1423, (i) the distribution of any technical document prepared under this contract, in any stage of development or completion, is prohibited without the approval of the Contracting Officer and (ii) all technical documents prepared under this contract shall initially be marked with the following distribution statement, warning, and destruction notice: (1) DISTRIBUTION STATEMENT F - Further dissemination only as directed by SMDC-IM-PA or higher DOD authority. (2) WARNING - This document contains technical data whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Set 2751 et seq.) or the Export Administration Act of 1979, as amended, Title 50, U.S.C., app 2401 et. seq. Violation of these export laws are subject to severe criminal ------- penalties. Disseminate in accordance with provisions of DOD Directive 5230.25. (3) DESTRUCTION NOTICE - For classified documents, follow the procedures in DOD 5200.22-M, National Industrial Security Program Operating Manual (NISPOM), Chapter 5, Section 7, or DOD 5200.1-R, Information Security Program Regulation, Chapter IX. For unclassified, limited documents, destroy by any method that will prevent disclosure of contents or reconstruction of the document. c. As a part of the review of preliminary or working draft technical documents, the Government will determine if a distribution statement less restrictive than Statement F specified above would provide adequate protection. If so, the Government's approval/comments will provide specific instructions on the distribution statement to be marked on the final technical documents before primary distribution. CONTRACT SECURITY CLASSIFICATION: - --------------------------------- a. This contract is unclassified and does not contain security requirements or a Contract Security Classification Specification, DD Form 254. b. In accordance with restrictions required by Executive Order 12470, the Arms Export Control Act (Title 22, USC) (Set 275), the International Traffic in Arms Regulation (ITAR), or DOD Directive 5230.25, Withholding of Unclassified Technical Data from Public Disclosure, no foreign nationals will be permitted to work on a contract without the express permission of the Contracting Officer. c. Should the government determine that the technology has developed to a point where the information warrants protection under Executive Order 12958, Classified National Security Information, a DD Form 254 and an approved classification guide will be issued to the contractor and appropriate steps will be taken under the contract to protect the material. SPECIAL FUNDING PROVISION BEYOND $250.000: - ------------------------------------------ a. With regard to the planned incremental funding schedule set forth in DFARs ###-###-####, Section I of the contract, the Government will not fund this contract beyond $ 250,000 until the contractor provides a commitment that will match Government funding on a 1:2 ratio (Government to contractor) for the subsequent $250,000 and on a I:3 ratio (Government to contractor) for the next $250,000 and on a 1:4 ratio (Government to contractor for the subsequent $249,808. ================================================================================ OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMNENT BEING PAGE CONTINUED DASG60-00-C-0016 11 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ b. The private sector funding and the support/effort that it provides shall be external to the contract, however, the contractor must submit compelling evidence that such private sector funding has been provided. C. This clause does not waive, relax or alter the provisions of DFARs ###-###-####. MATERIAL/EQUIPMENT: The contracting officer reserves the right to take delivery - ------------------ of the 3D WDM switch demonstration article at the end of the contract. DESCRIPTION - ----------- 3D WDM switch demonstration article. ENVIRONMENTAL: The contractor agrees to the following: - ------------- a. All activities performed under this contract shall be conducted in accordance with Federal, State, and local environmental laws and regulations. b. Any facility to be used in the performance of this contract shall be in compliance with all Federal, State, and local environmental laws and regulations for its intended use. SAFETY HAZARDS: The contractor shall identify, control, and document the hazards - -------------- associated with this effort and the control methods necessary to eliminate or control the hazards. Significant items shall be addressed in status meetings and included in the final report. METRIC AND PRODUCT ASSURANCE REQUIREMENTS: The contractor shall assure that all - ----------------------------------------- deliverables under this contract shall meet industry standards of quality and, where practical, metric measurements. KEY PERSONNEL: Key personnel (e.g., Principal Investigator, Principal Engineer, - ------------- or equivalent) must be employed with the firm at the time of award and shall be maintained, to the maximum extent possible, throughout this program. The Principal Investigator must spend more than one-half of his/her time with the firm. Should changes be necessary, the contractor shall notify the Government in writing of the proposed substitutes and their qualifications. Implementation of the changes shall be subject to Government approval. YEAR 2000 COMPLIANCE: - -------------------- The Contractor shall ensure products provided under this contract, to include hardware, software, firmware, and middleware, whether acting alone or combined as a system, are Year 2000 compliant as defined in FAR Part 39. ================================================================================ NSN 7540-0l-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMNENT BEING PAGE CONTINUED DASG60-00-C-0016 12 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ SECTION I Contract Clauses CLAUSES INCORPORATED BY REFERENCE: 52.202-1 Definitions OCT 1995 52.203-3 Gratuities APR 1984 52.203-5 Covenant Against Contingent Fees APR 1984 52.203-6 Restrictions On Subcontractor Sales To The Government JUL 1995 52.203-7 Anti-Kickback Procedures JUL 1995 52.203-8 Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity JAN 1997 52.203-10 Price Or Fee Adjustment For Illegal or Improper Activity JAN 1997 52.203-12 Limitation On Payments To Influence Certain Federal Transactions JUN 1997 52.204-4 Printing/Copying-Double-Sided on Recycled Paper JUN 1997 52.209-6 Protecting the Government's Interest When Subcontracting With JUL 1995 Contractors Debarred, Suspended, or Proposed for Debarment 52.211-11 Liquidated Damages--Supplies, Services, or Research and APR 1994 Development 52.211-15 Defense Priority And Allocation Requirements SEP 1990 52.215-2 Audit and Records--Negotiation JUN 1999 52.215-8 Order of Precedence--Uniform Contract Format OCT 1997 52.215-10 Price Reduction for Defective Cost or Pricing Data OCT 1997 52.215-12 Subcontractor Cost or Pricing Data OCT 1997 52.215-13 Subcontractor Cost or Pricing Data--Modifications OCT 1997 52.215-14 Integrity of Unit Prices OCT 1997 52.215-17 Waiver of Facilities Capital Cost of Money OCT 1997 52.219-6 Notice Of Total Small Business Set-Aside JUL 1996 52.219-8 Utilization of Small Business Concerns OCT 1999 52.219-14 Limitations On Subcontracting DEC 1996 52.222-3 Convict Labor AUG 1996 52.222-26 Equal Opportunity FEB 1999 52.222-35 Affirmative Action For Disabled Veterans And Veterans of the APR 1998 Vietnam Era 52.222-36 Affirmative Action For Workers With Disabilities JUN 1998 52.222-37 Employment Reports On Disabled Veterans And Veterans Of The JAN 1999 Vietnam Era 52.223-2 Clean Air And Water APR 1984 52.223-6 Drug Free Workplace JAN 1997 52.223-14 Toxic Chemical Release Reporting OCT 1996 52.225-11 Restrictions On Certain Foreign Purchases AUG 1998 52.227-1 Authorization and Consent JUL 1995 52.227-2 Notice And Assistance Regarding Patent And Copyright AUG 1996 Infringement 52.227-11 Patent Rights--Retention By The Contractor (Short Form) JUN 1997 52.229-3 Federal, State And Local Taxes JAN 1991

================================================================================ NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMNENT BEING PAGE CONTINUED DASG60-00-C-0016 13 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ 52.232-2 Payments Under Fixed-Price Research And Development Contracts APR 1984 52.232-9 Limitation On Withholding Of Payments APR 1984 52.232-16 Progress Payments JUL 1991 52.232-17 Interest JUN 1996 52.232-23 Alt I Assignment of Claims (Jan 1986) - Alternate I APR 1984 52.232-25 Prompt Payment JUN 1997 52.232-33 Payment by Electronic Funds Transfer--Central Contractor MAY 1999 Registration 52.233-1 Disputes DEC 1998 52.233-3 Protest After Award AUG 1996 52.242-13 Bankruptcy JUL 1995 52.242-17 Government Delay Of Work APR 1984 52.243-1 Alt V Changes--Fixed-Price (Aug 1987) - Alternate V APR 1984 52.244-5 Competition In Subcontracting DEC 1996 52.245-2 Government Property (Fixed Price Contracts) DEC 1989 52.246-7 Inspection Of Research And Development Fixed Price AUG 1996 52.246-25 Limitation Of Liability--Services FEB 1997 52.249-2 Termination For Convenience Of The Government (Fixed-Price) SEP 1996 52.249-9 Default (Fixed-Priced Research And Development) APR 1984 52.253-1 Computer Generated Forms JAN 1991 ###-###-#### Prohibition On Persons Convicted of Fraud or Other Defense- MAR 1999 Contract-Related Felonies ###-###-#### Disclosure Of Information DEC 1991 ###-###-#### Control Of Government Personnel Work Product APR 1992 ###-###-#### Required Central Contractor Registration MAR 1998 ###-###-#### Provisions Of Information To Cooperative Agreement Holders DEC 1991 ###-###-#### Acquisition From Subcontractors Subject To On-Site Inspection NOV 1995 Under The Intermediate Range Nuclear Forces (INF) Treaty ###-###-#### Subcontracting With Firms That Are Owned or Controlled By The MAR 1998 Government of a Terrorist Country ###-###-#### Pricing Adjustments DEC 1991 ###-###-#### Preference For Certain Domestic Commodities MAY 1999 ###-###-#### Reporting Of Contract Performance Outside The United States MAR 1998 ###-###-#### Secondary Arab Boycott Of Israel JUN 1992 ###-###-#### Rights in Bid or Proposal Information JUN 1995 ###-###-#### Identification and Assertion of Use, Release, or Disclosure JUN 1995 Restrictions ###-###-#### Rights in Noncommercial Technical Data and Computer Software-- JUN 1995 Small Business Innovation Research (SBIR) Program ###-###-#### Validation of Asserted Restrictions--Computer Software JUN 1995 ###-###-#### Technical Data--Withholding Of Payment OCT 1988 ###-###-#### Patents--Subcontracts APR 1984 ###-###-#### Validation of Restrictive Markings on Technical Data SEP 1999 ###-###-#### Patents--Reporting Of Subject Inventions APR 1990 ###-###-#### Final Scientific or Technical Report SEP 1999 ###-###-#### Postaward Conference DEC 1991 ###-###-#### Transportation of Supplies by Sea NOV 1995 ###-###-#### Notification Of Transportation Of Supplies By Sea NOV 1995

============================================================================= NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMNENT BEING PAGE CONTINUED DASG60-00-C-0016 14 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ CLAUSES INCORPORATED BY FULL TEXT 52.244-6 SUBCONTRACTS FOR COMMERCIAL ITEMS AND COMMERCIAL COMPONENTS (OCT 1998) (a) Definitions. "Commercial item", as used in this clause, has the meaning contained in the clause at 52.202-1, Definitions. "Subcontract", as used in this clause, 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) Notwithstanding any other clause of this contract, the Contractor is not required to include any FAR provision or clause, other than those listed below to the extent they are applicable and as may be required to establish the reasonableness of prices under Part 15, in a subcontract at any tier for commercial items or commercial components: (1) 52.222-26, Equal Opportunity (E.O. 11246); (2) 52.222-35, Affirmative Action for Disabled Veterans and Veterans of the Vietnam Era (38 U.S.C. 4212(a)); (3) 52.222-36, Affirmative Action for Workers with Disabilities (29 U.S.C. 793); and (4) 52.247-64, Preference for Privately-Owned U.S.-Flagged Commercial Vessels (46 U.S.C. 1241)(flow down not required for subcontracts awarded beginning May 1, 1996). (d) The Contractor shall include the terms of this clause, including this paragraph (d), in subcontracts awarded under this contract. 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es): www.arnet.gov ###-###-#### DECLARATION OF TECHNICAL DATA CONFORMITY (JAN 1997) All technical data delivered under this contract shall be accompanied by the following written declaration: =============================================================================== NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 15 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ The Contractor, ____________________, hereby declares that, to the best of its knowledge and belief, the technical data delivered herewith under Contract No. __________________ is complete, accurate, and complies with all requirements of the contract. Date ____________________________________ Name and Title of Authorized Official _____________________ (End of clause) 252 ###-###-#### LIMITATION OF GOVERNMENT'S OBLIGATION (AUG 1993) (a) Contract line item(s) 0001 through 0002 are incrementally funded, For these ---- ---- item(s), the sum of $250,000 of the total price is presently available for -------- payment and allotted to this contract. An allotment schedule is set forth in paragraph (i) of this clause. (b) For items(s) identified in paragraph (a) of this clause, the Contractor agrees to perform up to the point at which the total amount payable by the Government, including reimbursement in the event of termination of those item(s) for the Government's convenience, approximates the total amount currently allotted to the contract. The Contractor will not be obligated to continue work on those item(s) beyond that point. The Government will not be obligated in any event to reimburse the Contractor in excess of the amount allotted to the contract for those item(s) regardless of anything to the contrary in the clause entitled "TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT." As used in this clause, the total amount payable by the Government in the event of termination of applicable contract line item(s) for convenience includes costs, profit and estimated termination settlement costs for those item(s). (c) Notwithstanding the dates specified in the allotment schedule in paragraph (i) of this clause, the Contractor will notify the Contracting Officer in writing at least ninety days prior to the date when, in the Contractor's best ------ judgment, the work will reach the point at which the total amount payable by the Government, including any cost for termination for convenience, will approximate 85 percent of the total amount then allotted to the contract for performance of the applicable item(s). The notification will state (1) the estimated date when that point will be reached and (2) an estimate of additional funding, if any, needed to continue performance of applicable line items up to the next scheduled date for allotment of funds identified in paragraph (i) of this clause, or to a mutually agreed upon substitute date. The notification will also advise the Contracting Officer of the estimated amount of additional funds that will be required for the timely performance of the item(s) funded pursuant to this clause, for subsequent period as may be specified in the allotment schedule in paragraph (i) of this clause, or otherwise agreed to by the parties. If after such notification additional funds are not allotted by the date identified in the Contractor's notification, or by an agreed substitute date, the Contracting Officer will terminate any item(s) for which additional funds have not been allotted, pursuant to the clause of this contract entitled "TERMINATION FOR THE CONVENIENCE OF THE GOVERNMENT". (d) When additional funds are allotted for continued performance of the contract line item(s) identified in paragraph (a) of this clause, the parties will agree as to the period of contract performance which will be covered by the funds. The provisions of paragraph (b) through (d) of this clause will apply in like manner to the additional allotted funds and agreed substitute date, and the contract will be modified accordingly. (e) If, solely by reason of failure of the Government to allot additional funds, by the dates indicated below, in amounts sufficient for timely performance of the contract line item(s) identified in paragraph (a) of this clause, the ================================================================================ NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 16 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ Contractor incurs additional costs or is delayed in the performance of the work under this contract and if additional funds are allotted, an equitable adjustment will be made in the price or prices (including appropriate target, billing, and ceiling prices where applicable) of the item(s), or in the time of delivery, or both. Failure to agree to any such equitable adjustment hereunder will be a dispute concerning a question of fact within the meaning of the clause entitled "disputes." (o) The Government may at any time prior to termination allot additional funds for the performance of the contract line item(s) identified in paragraph (a) of this clause. (g) The termination provisions of this clause do not limit the rights of the Government under the clause entitled "DEFAULT." The provisions of this clause are limited to work and allotment of funds for the contract line item(s) set forth in paragraph (a) of this clause. This clause no longer applies once the contract if fully funded except with regard to the rights or obligations of the parties concerning equitable adjustments negotiated under paragraphs (d) or (e) of this clause. (h) Nothing in this clause affects the right of the Government to this contract pursuant to the clause of this contract entitled "TERMINATION FOR CONVENIENCE OF THE GOVERNMENT." (i) The parties contemplate that the Government will allot funds to this contract in accordance with the following schedule: On execution of contract. $250,000 FY 01 $500,000 FY 02 $249,808 (End of clause) ================================================================================ NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86) Sponsored by GSA FAR (48 CFR) 53.110 ================================================================================ CONTINUATION SHEET REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE DASG60-00-C-0016 17 OF 17 ================================================================================ NAME OF OFFEROR OR CONTRACTOR IRVINE SENSORS CORPORATION ================================================================================ SECTION J List of Documents, Exhibits and Other Attachments Section J Table Of Contents DOCUMENT TYPE DESCRIPTION PAGES DATE CLAUSES INCORPORATED BY FULL TEXT PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS -------------------------------------------------------------- SECTION J - LIST OF ATTACHMENTS ------------------------------- TITLE DATE # OF PAGES - ------------------------------- ---- ---------- Small Business Innovation Research Program Proposal 07 Ju1 99 3 titled "Self-Aligning Polylithic Opto-Electrical Circuits (SPOC)," pages 6 through 8, incorporated herein and made of this contract. Contract Data Requirements List (DD Form 25 Oct 99 6 1423) Exhibit A with Distribution List. The following applicable Data Item Descriptions (DIDs) are available on The USASMDC web site at http://www.smdc. ---------------- army.mil: DI-MISC-80048, DI-MISC-80406, -------- DI-MISC-80407, and DI-MGMT-80368. Click on Business Opportunities; click on ---------------------- Solicitations; click on Small Business ------------- -------------- Innovative Research (SBIR). -------------------------- Contractor's Representations and Certifications are incorporated herein by reference. Public Voucher for Purchases and Services NA 1 Other than Personal/Standard Form 1034 (sample) ================================================================================ NSN 7540-01-152-8057 50336-101 OPTIONAL FORM 336A (4-86 Sponsored by GSA FAR (48 CFR) 53.110