U.S. Army Research Office and Liquidmetal Technologies Research Contract for Refractory Amorphous Metals and Composites (DAAD19-01-C-0078)

Contract Categories: Business Operations › Services Agreements
Summary

This contract is between the U.S. Army Research Office and Liquidmetal Technologies Inc. for research services related to "Refractory Amorphous Metals and Composites." Liquidmetal Technologies will provide non-personal services and materials as outlined in their proposal, which is incorporated into the contract. The base period of performance is seven months, with an initial funded amount of $249,962 and an option for additional funding. The contract specifies delivery, payment, and administrative terms, and is governed by the attached clauses and requirements.

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EX-10.2 8 g71403ex10-2.txt ARMY RESEARCH OFFICE SEPTEMBER 17, 2001 CONTRACT EXHIBIT 10.2 - ---------------------------------------------------------------------------------------------------------------------------------- AWARD/CONTRACT 1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES UNDER DPAS (15 CFR 350) 1 8 - ---------------------------------------------------------------------------------------------------------------------------------- 2. CONTRACT (Proc. Inst. Ident.) NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQUEST/PROJECT NO. DAAD19-01-C-0078 12 Sep 2001 P-42477-MS-000-01072- - ---------------------------------------------------------------------------------------------------------------------------------- -------------- 5. ISSUED BY CODE DAAD19 6. ADMINISTERED BY (If other than Item 5) CODE ------------------- -------------- U.S. ARMY ROBERT MORRIS ACQUISITION SEE ITEM 5 P.O. BOX 12211 RESEARCH TRIANGLE PARK NC ###-###-#### - ---------------------------------------------------------------------------------------------------------------------------------- 7. NAME AND ADDRESS OF CONTRACTOR (No., street, city, county, state and zip code) 8. DELIVERY [ ] FOB ORIGIN [ X ] OTHER LIQUIDMETAL TECHNOLOGIES INC. (see below) 25800 COMMERCENTRE, # 100 LAKE FOREST CA 92630 - ---------------------------------------------------------------------------------------------------------------------------------- 9. DISCOUNT FOR PROMPT PAYMENT Net 30 Days - ---------------------------------------------------------------------------------------------------------------------------------- 10. SUBMIT INVOICES ITEM (4 copies unless otherwise Block 6 specified) TO THE ADDRESS - ------------------------------------------------------------------------------------- CODE 0XNT1 FACILITY CODE SHOWN IN: - ---------------------------------------------------------------------------------------------------------------------------------- 11. SHIP TO/MARK FOR CODE DAAD19 12. PAYMENT WILL BE MADE BY CODE HQ303 ------------ U.S. ARMY RESEARCH OFFICE DEFENSE FINANCE AND ACCOUNTING SERVICE RECEIVING ROCK ISLAND OPERATING LOCATION P.O. BOX 12211 ATTN: DFAS-RI-FPV RESEARCH TRIANGLE PARK NC ###-###-#### BUILDING 68 ROCK ISLAND IL ###-###-#### - ---------------------------------------------------------------------------------------------------------------------------------- 15A. ITEM NO 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE 15F. AMOUNT - ---------------------------------------------------------------------------------------------------------------------------------- SEE SCHEDULE - ---------------------------------------------------------------------------------------------------------------------------------- 15G. TOTAL AMOUNT OF CONTRACT $249,962.00 - ---------------------------------------------------------------------------------------------------------------------------------- 16. TABLE OF CONTENTS - ---------------------------------------------------------------------------------------------------------------------------------- (X) SEC. 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 6-8 - ---------------------------------------------------------------------------------------------------------------------------------- X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS - ---------------------------------------------------------------------------------------------------------------------------------- X C DESCRIPTION/SPECS/WORK STATEMENT 3 J LIST OF ATTACHMENTS - ---------------------------------------------------------------------------------------------------------------------------------- X D PACKAGING AND MARKING 3 PART IV - REPRESENTATIONS AND INSTRUCTIONS - ---------------------------------------------------------------------------------------------------------------------------------- X E INSPECTION AND ACCEPTANCE 3 REPRESENTATIONS, CERTIFICATIONS AND K OTHER STATEMENTS OF OFFERORS - ---------------------------------------------------------------------------------------------------------------------------------- X F DELIVERIES OR PERFORMANCE 3 - ---------------------------------------------------------------------------------------------------------------------------------- X G CONTRACT ADMINISTRATION DATA 4 L INSTRS., CONDS., AND NOTICES TO OFFERORS - ---------------------------------------------------------------------------------------------------------------------------------- X H SPECIAL CONTRACT REQUIREMENTS 4-6 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 ___ copies to issuing office.) document.) Your offer on Solicitation Number Contractor agrees to furnish and deliver all items or perform all _____________________________________________ including the the services set forth or otherwise identified above and on any additions or charges made by you which additions or changes continuation sheets for the consideration stated herein. The are set forth in full above, is hereby accepted as to the rights and obligations of the parties to this contract shall be items listed above and on any continuation sheets. This subject to and governed by the following documents: (a) this award consummates the contract which consists of the award/contract, (b) the solicitation, if any, and (c) such following documents: (a) the Government's solicitation and provisions, representations, certifications, and specifications, (b) this award/contract. No further contractual document is are attached or incorporated by reference herein. your offer, and necessary. (Attachments are listed herein.) - ---------------------------------------------------------------------------------------------------------------------------------- 19A. NAME AND TITLE OF SIGNER (Type or print) 20A. NAME AND TITLE OF CONTRACTING OFFICER /s/ John Grant, VP & General Counsel PATSY S. ASHE/GRANTS/CONTRACTING OFFICER - ---------------------------------------------------------------------------------------------------------------------------------- 19B. NAME OF CONTRACTOR 19C. DATE SIGNED 20B. UNITED STATES OF AMERICA 20C. DATE SIGNED LIQUIDMETAL TECHNOLOGIES BY /s/ Patsy S. Ashe 17-Sep-2001 --------------------------------- (Signature of Contracting Officer) BY: /s/ John Grant - ---------------------------------------- (Signature of person authorized to sign) - ----------------------------------------------------------------------------------------------------------------------------------
DAAD19-01-C-0078 Page 2 of 8 SECTION B Supplies or Services and Prices ITEM NO 0001 SUPPLIES/SERVICES UNIT Dollars, U.S. CONTRACT AWARD COST-Non-personal services and materials to perform research as specified in the proposal (42477-MS) titled "Refractory Amorphous Metals and Composites". The proposal is hereby incorporated by reference into this contract and the performance period is specified in Section F. Base period of performance is seven months. ESTIMATED COST $249,962.00 ACRN AA Funded Amount $249,962.00 ITEM NO 0002 SUPPLIES/SERVICES UNIT Dollars, U.S. OPTION ONE COST ESTIMATED COST $177,977.00 ITEM NO 0003 SUPPLIES/SERVICES UNIT Dollars, U.S. OPTION TWO COST ESTIMATED COST $821,974.00 ITEM NO 0004 SUPPLIES/SERVICES UNIT Dollars, U.S. OPTION THREE COST ESTIMATED COST $749,931.00
B.1 The type of contract is Cost No Fee. B.2 The estimated cost for performance of this contract is as follows: Estimated Cost $249,962 Fee -0- Total Cost and Fee $249,962 The final price of this contract shall be the total of all costs determined reimbursable in accordance with the general provision of the contact entitled "Allowable Cost and Payment" but not exceeding the estimated cost plus the fixed fee, if any, both of which are specified above. DAAD19-01-C-0078 Page 3 of 8 SECTION C Descriptions and Specifications C.1 The research to be performed under this contact will be in accordance with details in the contractor s proposal and modifications thereto, if any, described below. (A copy of the proposal is on file at the Army Research Office.) Proposal Title: REFRACTORY AMORPHOUS METALS AND COMPOSITES Proposal No: 42477-MS Proposal/Modification Date(s): 26 October 2000 cost proposals revised 19 March 2001, 30 August 2001 and 5 September 2001 Principal Investigator: Dr. Atakan Peker C.2 The report called for under this contract shall be prepared in accordance with ARO Form 18, U.S. Army Research Office Reporting Instructions, located at: www.aro.army.mil/forms/forms2.htm#fm18. The ARO technical representative requires a brief monthly report on the status of the project. Email is acceptable for these reports and encouraged. The email address is ***@***. Other reports including the final will follow normal ARO requirements. SECTION D Packaging and Marking D.1 Reports delivered under this contract shall be afforded the degree of packaging (preservation and packing) required to prevent damages due to the hazards of shipment and handing. SECTION E Inspection and Acceptance E.1 The contractor will submit all scientific reports to the office specified in ARO Form 18 located at www.aro.army.mil/forms/forms2.htm#fm18 for inspection and acceptance. This contract takes precedence for email address identified in ARO Form 18. SECTION F Deliveries or Performance F.1 Research called for by this contract shall be performed during the period 12 September 2001 - 11 April 2002. This contract also contains three option periods: The first option period is for 5 months, 12 April 2002 - 11 September 2002, and two options for one year periods of 12 September 2002 - 11 September 2003 and 12 September 2003 - 11 September 2004 which the Government may unilaterally exercise (refer to FAR 52.217-8, Section 1). F.2 Reports called for by this contract shall be submitted electronically in PDF format when possible. You may download the electronic form SF298 and SF298 continuation sheet from the ARO's home page at www.aro.army.mil/forms/forms2.htm#fm18. The forms were created in MS Word and MS Word 97. Refer to ARO Form 18 for specific reporting requirements for each type of report. If you are not able to submit reports electronically, you should submit as indicated in ARO Form 18. The use of color in reports is discouraged for both electronic documents and hard copy documents. SECTION G Contract Administration Data G.1 Delegation of Administrative Functions: a. The Army Research Office (ARO) retains all contact administration functions. b. A pre-payment audit is required on the first invoice and/or voucher to test the validation of the accounting system and to assure that the system has been properly implemented. DAAD19-01-C-0078 Page 4 of 8 c. All vouchers, both interim and final, shall be submitted for approval to the following office: Defense Contract Audit Agency Santa Ana Branch Office 3 Hutton Centre Drive, Suite 750 Santa Ana, California 92707-5704 Phone Number:(714) 435-2200 FAX (714) 435-2280 E-mail Address ***@*** G.2 Payment Information and Inquiries: The Contractor should contact the DFAS Office indicated in Block 12 of the SF 26 for information or inquiries regarding payments on this contract. Telephonic inquires may be made on 1-888-332-7742 or electronic inquiries on http://www.dfas.niij/money/vendor/index.htm. In the event DFAS cannot answer the Contractor's inquiry, the Contracting Officer may be contacted for assistance. G.3 Contracting Officer's Representative (COR) Dr. William Mullins 135 Army Research Office 4300 South Miami Boulevard P. O. Box 12211 Research Triangle Park, NC ###-###-#### Voice: (919) 549-4286 FAX: (919) 549-4310 Email: ***@*** G.4 Invoicing. The government shall make payments to the Contractor when requested as work progresses, but not more often that once every 2 weeks, in the amounts determined to be allowable by DCAA in accordance with SubPart 31.2 of the Federal Acquisition Regulation in effect on the date of this contract and terms of the contract. G.5 ACCOUNTING AND APPROPRIATION DATA AA:971040013011RPAROD1Y10L314000255Y1XYR011AR42477MS00001XYR01S18129
AMOUNT: $249,962.00 SECTION H Special Contract Requirements H.1 Acknowledgment of Sponsorship a. The contractor agrees that in the release of information relating to this contract, such release shall include a statement to the effect that the project or effort depicted was or is sponsored by the U.S. Army Research Office, and that the content of the information does not necessarily reflect the position or the policy of the Government, and no official endorsement should be inferred. b. For the purpose of this provision, "information" includes news releases, articles, manuscripts, brochures, advertisements, still and motion pictures, speeches, trade association proceedings, symposia, etc. c. The contractor further agrees to include this provision if any subcontract awarded as a result of this contract. DAAD19-01-C-0078 Page 5 of 8 H.2 Publications Publication of results of the research project in appropriate professional journals is encouraged as an important method of recording and reporting scientific information. One copy of each paper planned for publication will be submitted to the Contracting Officer's Representative simultaneously with its submission for publication. Following publication, copies of published papers shall be submitted to the Contacting Officer's representative, or to the other addresses in quantities publication. Following publication, copies of published papers shall be submitted to the Contracting Officer's Representative, or to the other addressees in quantities as may be directed by the Contracting Officer. H.3 The contractor is to note acknowledgements in publications or other media that support is from DARPA as well as technical/contact support from ARO. H.4 Research Responsibility a. The contractor shall bear responsibility for the conduct of the research specified in the contractor's proposal identified in the contract. The contractor will exercise judgment in obtaining the stated research objectives within the limits of the terms and conditions of the contract; provided, however, that the contractor will obtain the contracting officer's approval to change the Statement of Work. Consistent with the foregoing the contractor shall conduct the work as set forth in his proposal and accepted by the contract award. b. The principal investigator identified in the proposal shall be continuously responsible for the conduct of the research project, and shall be closely involved with the research efforts. c. The contractor shall advise the contacting officer if the principal investigator(s) identified in the contract plan to devote less effort to the work than set forth in the proposal. d. The contractor shall obtain the contacting officer's approval prior to changing the principal investigator's identified in the proposal. H.5 Restriction on Printing The Government authorizes the reproduction of reports, data or other written material, if required, provided the material produced does not exceed 5,000 production units of any page, and items consisting of multiple pages do not exceed 25,000 production units in the aggregate. The contractor shall obtain the express prior written authorization of the contracting officer to reproduce material in excess of the quantities cited above. H.6 Approved Accounting System The contractor shall, as a condition of this contract, establish and have in place an approved accounting system prior to the end this seven months performance period. As a minimum, the system shall be considered adequate for determining, allocating and accumulating costs applicable to this cost reimbursement contract. DAAD19-01-C-0078 Page 6 of 8 PART II GENERAL PROVISIONS SECTION I - Contract Clauses I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES FAR 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 address: http://farsite.hill.af.mil/vffar1.htm. The DFARS is available electronically via the World Wide Web at http://www.acq.osd.mil/dp/dfars.htm1. CLAUSES INCORPORATED BY REFERENCE: 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 JAN 1997 Improper Activity 52.203-10 Price Or Fee Adjustment For Illegal Or Improper Activity JAN 1997 52.230-12 Limitation On Payments To Influence Certain Federal Transactions JUN 1997 52.204-4 Printing/Copying Double-Sided on Recycled Paper JUN 1996 52.209-6 Protecting the Government's Interest When Subcontracting With JUL 1995 Contractors Debarred, Suspended, or Proposed for Debarment 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 52.215-14 Integrity of Unit Prices 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) OCT 1997 Other than Pensions 52.215-19 Notification of Ownership Changes OCT 1997 52.215-21 Requirements for Cost or Pricing Data or Information Other Than OCT 1997 Cost or Pricing Data--Modifications 52.216-7 Allowable Cost And Payment MAR 2000 52.216-11 Cost Contract-No Fee APR 1984 52.217-8 Option to Extend Services NOV 1999 52-217-9 Option to Extend the Term of the Contract NOV 1999 52.219-8 Utilization of small Business Concerns OCT 1999 52.222-2 Payment for Overtime Premiums (Insert "0") JULY 1999 52.222-3 Convict Labor AUG 1996 52.222-21 Prohibition Of Segregated Facilities FEB 1999 52.222-26 Equal Opportunity FEB 1999 52.222-29 Notification Of Visa Denial FEB 1999 52.222-35 Affirmative Action For Disabled Veterans And Veterans of the JUN 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 52.223-3 Hazardous Material Identification and Material Safety Data JAN 1997 52.223-6 Drug Free Workplace JAN 1997 52.223-14 Toxic Chemical Release Reporting OCT 2000 52.227-1 Alt I Authorization And Consent (Jul 1995) - Alternate I APR 1984
DAAD19-01-C-0078 Page 7 of 8 52.227-2 Notice And Assistance Regarding Patent And Copyright Infringement AUG 1996 52.227-11 Patent Rights-Retention by the Contractor (Short Form) JUN 1997 52.228-7 Insurance--Liability To Third Persons MAR 1996 52.232-9 Limitation On Withholding Of Payments APR 1984 52.232-20 Limitation Of Cost APR 1984 52.232-23 Assignment Of Claims JAN 1986 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 I Protest After Award (AUG 1996) Alternate I JUN 1985 52.242-1 Notice of Intent to Disallow Costs APR 1984 52.242-3 Penalties for Unallowable Costs OCT 1995 52.242-13 Bankruptcy JUL 1995 52.243-2 Alt V Changes--Cost-Reimbursement (Aug 1987) - Alternate V APR 1984 52.244-2 Alt I Subcontracts (Aug 1998) - Alternate I AUG 1998 52.244-5 Competition In Subcontracting DEC 1996 52.244-6 Subcontractors for Commercial Items MAY 2001 52.245-5 Government Property (Cost-Reimbursement Time-And-Materials, Or JAN 1986 Labor Hour Contracts) 52.246-8 Inspection Of Research And Development Cost Reimbursement APR 1984 52.246-25 Limitation Of Liability--Services FEB 1997 52.247-1 Commercial Bill Of Lading Notations APR 1984 52.247-63 Preference for U.S. Flag Air Carriers JAN 1997 52.249-6 Termination (Cost Reimbursement) SEP 1996 ###-###-#### Contracting Officer's Representative MAR 1999 ###-###-#### Prohibition On Persons Convicted of Fraud or Other MAR 1999 Defense-Contract-Related Felonies ###-###-#### Disclosure of Information DEC 1991 ###-###-#### Control of Government Personnel Work Product APR 1992 ###-###-#### Required Central Contractor Registration MAR 2000 ###-###-#### 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 ###-###-#### Compliance with Veterans' Employment Reporting Requirements MAR 1998 ###-###-#### Subcontracting With Firms That Are Owned or Controlled By The MAR 1998 Government of a Terrorist Country ###-###-#### Pricing Adjustments DEC 1991 ###-###-#### Cost Estimating System Requirements OCT 1998 ###-###-#### Small, Small Disadvantage Business an Women-Owned Small Business APR 1996 Subcontracting Plan (DoD Contracts) 252 ###-###-#### Buy American Act And Balance Of Payments Program MAR 1998 ###-###-#### Duty-Free Entry--Qualifying Country Supplies (End Products and MAR 1998 Components) 252 ###-###-#### Preference for Certain Domestic Commodities AUG 2000 ###-###-#### Reporting of Contract Performance Outside the United States JUN 2000 ###-###-#### Secondary Arab Boycott Of Israel JUN 1992 ###-###-#### Rights in Technical Data--Noncommercial Items NOV 1995 ###-###-#### Rights in Bid or Proposal Information JUN 1995 ###-###-#### Technical Data--Withholding Of Payment MAR 2000 ###-###-#### Patents--Subcontracts APR 1984 ###-###-#### Declaration of Technical Data Conformity JAN 1997 ###-###-#### Validation of Restrictive Markings on Technical Data SEP 1999 ###-###-#### Patents-- Reporting Of Subject Inventions APR 1990
DAAD19-01-C-0078 Page 8 of 8 252 ###-###-#### Supplemental Cost Principles DEC 1991 ###-###-#### Options to Extend the Term of the Contract DEC 1991 ###-###-#### Acknowledgment of Support and Disclaimer MAY 1995 ###-###-#### Material Management And Accounting System SEP 1996 ###-###-#### Requests for Equitable Adjustment MAR 1998 ###-###-#### Reports Of Government Property MAY 1994 ###-###-#### Transportation of Supplies by Sea MAR 2000 ###-###-#### Postaward Conference DEC 1991
**** A FINAL PATENT REPORT (DD FORM 882) IS REQUIRED TO BE SUBMITTED WITHIN SIXTY (60) DAYS AFTER COMPLETION OF THE CONTRACT.**** Corporate Status: Corporation incorporated under the laws of the state of CA Taxpayer Identification Number: 33-0264467