altair_10k-ex1030.htm


    Exhibit
10.30

     

    

    
      Award/Contract  2.
CONTRACT N00014-08-C-0093  3. EFFECTIVE DATE - See Block
20.C  4. REQUISITION/PURCHASE REQUEST/PROJECT NO.
07PR09068-00  5. ISSUED
BY                                               CODE
N00014  OFFICE OF NAVAL RESEARCH  ONR 254 Joseph F.
Pletscher (703) 588-2435  E-mail: joseph.
pletscher.ctr@navy.mil  875 North Randolph St.  Arlington VA
22203-1995  6. ADMINISTERED
BY                                 CODE
S0507A  DCMA N. CALIFORNIA  P.O. BOX 232, 700 EAST ROTH
ROAD, BLDG 330  FRENCH CAMP, CA 95231-0232  7. NAME AND
ADDRESS OF CONTRACTOR   ALTAIRNANO, INC.  204 EDISON
WAY  RENO, NV 89502-2306  8. N/A  9. DISCOUNT FOR
PROMPT PAYMENT - N.A.  10. N/A  CODE 4BW32  11.
SHOP TO/MARK
FOR                                CODE
N00014  OFFICE OF NAVAL RESEARCH  ATTN: DR. MICHELE
ANDERSON, CODE 332  875 NORTH RANDOLPH ST.  ARLINGTON, VA
22203-1995  Ref. CONTRACT N00014-08-C-0093  12. PAYMENT WILL
BE MADE
BY                              CODE
HQ339  DFAS COLUMBUS WEST ENTITLEMENT  PO BOX
182381  COLUMBUS, OH 43218-2381  16. TABLE OF CONTENTS PART
I - THE SCHEDULE A SOLICITATION/CONTRACT FORM - 1 B SUPPLIES OR SERVICES AND
PRICES/COSTS - 2 C DESCRIPTION/SPECS/WORK STATEMENT - 2 D PACKAGING AND MARKING
- 2 F DELIVERIES OR PERFORMANCE - 2 G CONTRACT ADMINISTRATION DATA - 3 H SPECIAL
CONTRACT REQUIREMENTS - 5 PART II - CONTRACT CLAUSES I CONTRACT CLAUSES - 8 PART
III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH J LIST OF ATTACHMENTS - 15
PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND
OTHER STATEMENTS OF OFFERORS - 15  17. [X] CONTRACTOR'S NEGOTIATED
AGREEMENT (Contactor is required to sign this document and return 2 copies to
issuing office.) Contractor agrees to furnish and deliver all items or perform
all the services set forth or otherwise identified above and on any continuation
sheets for the consideration stated herein. The rights and obligations of the
parties to this contract shall be subject to and governed by the following
documents: (a) this award/contract, (b) the solicitation, if any, and (c) such
provisions, representations, certifications, and specifications, as are attached
or incorporated by reference herein. (Attachments are listed
herein.)  19A. NAME AND TITLE OF SIGNER   Alan J.
Gotcher  President and Chief Executive Officer  19B. NAME OF
CONTRACTOR /s/ Alan Gatcher  19C. DATE SIGNED  January 29,
2008  20A. NAME OF CONTRACTING OFFICER  Wade
Wargo  Contracting Officer  20B. UNITED STATES OF
AMERICA  /s/ Wade Wargo  20C. DATE
SIGNED  1/29/2008



    
      
        
        

      

      
        1

        
          

        

      

      
        
        

      

    

    SECTION
B - SUPPLIES OR SERVICES AND PRICES/COSTS

     

    


    
      	
              ITEM
      NO.

            	
              SUPPLIES/SERVICES

            	
              ESTIMATED

              COST

            
	
              0001

            	
              The
      Contractor shall furnish the necessary personnel and facilities to conduct
      the research effort as described in Section

              C
      and provide reports and data in accordance with Exhibit A.

            	
              $2,488,858

            
	 
      	
              000101
      ACRN AA: $2,488,858

            	 
      
	
              0002

            	
              Deliverables
      in Accordance with Tasks 1.4, 1.5, 3.7

            	
              NSP

            
	
              0003

            	
              (2)
      Proof of concept 50 to 82 kW 82V sub-packs (1) Sub pack rack mount power
      distribution unit

            	
              NSP

            
	
              TOTAL
      ESTIMATED CONTRACT CONSIDERATION:

            	
              $2,488,858

            


    

    


     

    SECTION
C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

     

    1. The
research effort to be performed hereunder shall be subject to the requirements
and standards

     

    contained
in Exhibit A and the following paragraph(s).

     

    2. The
Contractor shall conduct the research effort under CLIN 0001 in accordance with
Attachment

    Number 1,
entitled "Statement of Work".

     

    SECTION
D - PACKAGING AND MARKING

     

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

     

    SECTION
E - INSPECTION AND ACCEPTANCE

     

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

     

    SECTION
F - DELIVERIES OR PERFORMANCE

     

    1.The
research effort performed under CLIN 0001 shall be conducted from date of
contract award

     

    through
31 November 2008.

     

    a. Item
Number 0002 of Section B ((2) Proof of concept 50 to 82 kW 82V sub-packs)
shall

     

    be
delivered on or before 31 November 2008, F.O.B. Destination, to the person
designated in Section F.2 of the contract.

     

    b. Item
Number 0003 of Section B ((1) Sub pack rack mount power distribution unit)
shall

     

    be
delivered on or before 31 November 2008, F.O.B. Destination, to the person
designated in Section F.2 of the contract.

     

    2.Prior
to the expiration of the contract, the 2 sub packs and sub pack rack mount
developed under

     

     

    
      
        
        

      

      
        2

        
          

        

      

      
        
        

      

    

    


    CLINs
0002 and 0003 shall be delivered to the following:

    NSWC-CARDEROCK

    Electricalchemical
Power Sources

    R&D
Group, Power Systems Branch

    9500
MacArthur Blvd

    Attn: Dr.
Patricia H. Smith

    Bethesda,
MD 20817

    Ref.
Contract N00014-08-C-0093

     

    3.    
Distribution, consignment and marking instructions for all reports/data shall be
F.O.B. destination in
accordance with Enclosure Number 1 of Exhibit A. The address for the cognizant
Program Officer is as follows:

     

    Office of
Naval Research

    875 North
Randolph St.

    Attn: Dr.
Michele Anderson, Code 332

    Arlington,
Virginia 22203-1995

    Ref:
Contract N00014-08-C-0093

     

    SECTION
G - CONTRACT ADMINISTRATION DATA (2/14/05)

     

    
      	
               
      1.

            	
               PAYMENT
      AND INVOICE INSTRUCTIONS (COST
REIMBURSEMENT)

            


    

     

    1.1
Submission of
Invoices

     

    PAYMENT
AND INVOICE INSTRUCTIONS (COST TYPE)

    The
Office of Naval Research will utilize the new DoD Wide Area Workflow Receipt and
Acceptance (WAWF) system. This web based system located at https://wawf.eb.mil  provides the
technology for government contractors and authorized Department of Defense (DoD)
personnel to generate, capture and process receipt and payment-related
documentation in a paperless environment. Invoices for supplies/services
rendered under this contract shall be submitted electronically through WAWF.
Submission of hard copy DD250/InvoicelPublic Vouchers (SF1034) will no longer be
accepted for payment.

     

    It is
recommended that the person in your company designated as the Central Contractor
Registration (CCR) Electronic Business (EB) Point of Contact and anyone
responsible for the submission of invoices, use the online training system for
WAWF at http://wawftraining.com. The Vendor, Group
Administrator (GAM), and sections marked with an asterisk in the training system
should be reviewed. Vendor Quick Reference Guides are also available at littp://www.acquisition.navy.inil/navyaos/content/view/full/3521/).
The most useful guides are "Getting Started for Vendors", "WAWF Vendor Guide",
and "Creating a Cost Voucher Invoice."

     

    The
designated CCR EB point of contact is responsible for activating the company's
CAGE code on WAWF by calling 1-866-618-5988. Once the company is activated, the
CCR EB will self-register on the WAWF and follow the instructions for a group
administrator. After the company is set-up on WAWF, any additional persons
responsible for submitting invoices must self-register at the WAWF https://wawf.eb.mil.

     

    The
following required information should automatically fill-in via WAWF; if it does
not fill-in,
include the following:

     

     

    
      
        
        

      

      
        3

        
          

        

      

      
        
        

      

    

     

    Issue By
DODAAC: N00014 Admin
DODAAC: [Use the 6 character "ADMINISTERED BY" CODE as listed on page one
of the award document]

    Pay
DODAAC: [Use the 6 character "PAYMENT WILL BE MADE BY" CODE as listed on
page one of the award document]

     

    Fill-in
the following additional information:

     

    DCAA
Auditor DODAAC: [Look up via the AUDIT OFFICE LOCATOR at http://www.dcaa.mil. If
you encounter any problems finding your cognizant audit office, write to dcaaweb@dcaa.mil
or call ONR's DCAA liaison at (703)696-2603]

     

    Service
Approver DODAAC: N00014

     

    The
following additional information may need to be filled in;

    LPO
DODAAC: N00014 (Note - this
line is required only when the the "PAYMENT WILL BE MADE BY" DODAAC begins with an
'N')

    After
self-registering and logging on to the WAWF system, click on the plus sign next
to the word "Vendor" and then click on the "Create New Document" link. Enter the
contract number, cage code, and Pay DODAAC (above) and hit submit. Select the
"Cost Voucher" invoice type within WAWF-RA. This type of invoice fulfills any
requirement for submission of the Material Inspection and Receiving Report, DD
Form 250. Back up documentation, 5MB limit, can be included and attached to the
invoice in WAWF under the "Mist Info" tab. Fill-in all applicable information
under each tab.

     

    Take
special care when you enter Line Item information - the Line Item tab is where
you will detail your request for payment and material/services that were
provided based upon the contract. Be sure to fill in the following two
informational items exactly as they appear in the contract:

     

    Item
Number: If the contract schedule has more than one ACRN listed as sub items
under the applicable Contract Line Item Number (CLIN), use the 6 character
separately identified Sub Line Item Number (SLIN) (e.g. — 0001AA) or
Informational SLIN (e.g. — 000101), otherwise use the 4 character CLIN (e.g. —
0001).

     

    ACRN:
Fill-in the applicable 2 alpha character ACRN that is associated with the SLIN
or CLIN. (Note — DO NOT INVOICE FOR MORE THAN IS STILL AVAILABLE UNDER ANY
ACRN).

     

    Special
Payment Instructions for CLIN/SLINs with Multiple ACRNs/Lines of Accounting:
(Note - since WAWF does not accept the use of multiple ACRNs for any single CHIN
or SLIN on one invoice; multiple invoices may have to be used - use the WAWF
"Line Item" "Description" area to note the the use of multiple invoices). For
all invoices submitted against CLINs with multiple Accounting Classification
Reference Numbers (ACRNs), the billing shall be paid from the earliest Fiscal
Year (FY) appropriation first.
Fiscal Year is determined from the 3 character in the "Appropriation (Critical)"
part (Block 6B) of the Line of Accounting on the Financial Accounting Data Sheet
of the contract (e.g., 1741319 for FY 2004 and 1751319 for FY 2005). In the
event there are multiple ACRNs with the same FY of appropriation, billings shall
be proportionally billed to all ACRNs for that FY in the same ratio that the
ACRNs are obligated.

     

    After all
required information is included, click on the "Submit" button under the
"Header" tab. Helpful Note: Shipment Number format should be three alpha and 4
numeric (e.g., SER0001).

    Note: The
contractor shall submit invoices for payment per contract terms and the
Government shall process invoices for payment per contract terms.

     

    
      
        
        

      

      
        4

        
          

        

      

      
        
        

      

    

     

     

    If you have any questions regarding the
WAWF, please contact the DoN WAWF Assistance
Line at 1-866-618-5988.

     

    1.2 Payment of Allowable
Costs

     

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

     

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

     

    2. PROCURING
OFFICE REPRESENTATIVES

     

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

     

    Contract
Negotiator — Mr. Joseph F. Pletscher, ONR 0254, (703) 588-2435, E-Mail Address:
Joseph.Pletscher.ctr@navy.miI

     

    Inspection
and Acceptance — Dr. Michele Anderson, ONR Code 332 (703) 696-1938, E-Mail
Address: Michele.Anderson1@navy.mil

     

    Security
Matters Ms. Sheila Neal, ONR 43, (703) 696-8177, DSN 426-8177, E-Mail Address:
Sheila_Neal@onr.navy.mil

     

    Patent
Matters - Mr. James Bechtel, ONR 00CC, (703) 696-4007, DSN 426-4007, Email
Address: James_Beehtel@onr.navy.mil

     

    (b) The
Administrative Contracting Officer will forward invention disclosures and
reports directly to Corporate Counsel (Code 00CC), Office of Naval Research,
Department of the Navy, 875 North Randolph St., Arlington, VA 2203-1995, The
Corporate Counsel will return the reports along with a recommendation to the
Administrative Contracting Officer. The Corporate Counsel will represent the
Contracting Officer with regard to invention reporting matters arising under
this contract.

     

    3. TYPE
OF CONTRACT

     

    This is a
Cost-Reimbursement Completion Contract

     

    SECTION
H - SPECIAL CONTRACT REQUIREMENTS

     

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

     

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

     

    
      
        
        

      

      
        5

        
          

        

      

      
        
        

      

    

     

     

    [NOTE:
All NISO American National Standards are available as free, downloadable pdf(s)
at http://www,niso.org/standards/index.html.
NISO standards can also be purchased in hardcopy form from NISO Press
Fulfillment, P. 0. Box 451, Annapolis Junction, MD 20701-0451 USA. Telephone
U.S. and Canada: (877) 736-6476; Outside the U.S. and Canada:
301-362-6904

    Fax:
301-206-97891

     

    2.             Invention Disclosures and
Reports

     

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

     

    3.           
ONR
5252.237-9705 Key Personnel (DEC 88)

     

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

     

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

     

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

     

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

     

    The
following are identified as key personnel:

     

    


    
      	
              Labor
      Category

            	
              First/M/Last
      Name

            
	
              Principal
      Investigator

            	
              Dr.
      V. Evan House

            


    

     

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

     

    (a)
Performance of the work hereunder is subject to the technical direction of the
Program

    Officer/COR
designated in this contract, or duly authorized representative. For the purposes
of this clause, technical direction includes the following:

     

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

     

    
      
        
        

      

      
        6

        
          

        

      

      
        
        

      

    

     

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

     

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

     

    (1) Assign
additional work under the contract;

     

    (2) Direct a
change as defined in the contract clause entitled "Changes";

     

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

     

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

     

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

     

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

     

    5.     CONSENT TO
SUBCONTRACT

     

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

     

    


    
      	
              Identified
      Subcontractor

            	
              Estimated
      Cost

            
	
              TAWAS
      Industries

            	
              $100,000

            


    

     

    


    The
preceding listing shall constitute the written consent of the Contracting
Officer required by Paragraphs (c), (d) and (e) of the contract clause at FAR
51244-2 entitled "Subcontracts". The Contracting Officer's written consent to
subcontract is required for:

     

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

     

    (ii) fixed
price contracts that exceed the greater of $100,000 or 5 percent of the total
estimated cost of
the contract;

     

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

     

    
      
        
        

      

      
        7

        
          

        

      

      
        
        

      

    

    
SECTION
I - CONTRACT CLAUSES (December, 17 2007)

     

    COST
REIMBUSEMENT (NO FEE)

     

    *
Attention: Prime Contractors, If a subaward is made to an educational
institution, Prime Contractors are directed to please refer to the ONR Model
Award for appropriate flow-down clauses to universities. See http://www.onr.navy.mil; click on Contracts
& Grants ;and then click on Model
Awards. Finally click on Flow
Down Clauses for Educational Institutions.

     

    FAR
52.252-02 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

     

    This
contract incorporates one or more clauses by reference, with the same force and
effect as if they were given in full text. Upon request, the Contracting Officer
will make their full text available. Also, the full text of a clause may be
accessed electronically at these addresses:

     

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

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

     

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

    


    *           Applies
when contract action exceeds $10,000

    **           Applies
when contract action exceeds $100,000

    +           Applies
when contract action exceed $500,000

    
      	
               
      

            	
              ++

            	
              Applies
      when contract action exceeds $550,000
and

            


    

    
      	
               
      

            	
              subcontracting
      possibilities exist. Small Business
Exempt.

            


    

    
      	
               
      

            	
              #

            	
              Applies
      when contract action exceeds
$650,000

            


    

     

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

     

    
      	
              **
      FAR 52.202-1

            	
              Definitions
      (JUL 2004)

            
	
              **
      FAR 52,203-3

            	
              Gratuities
      (APR 1984)

            
	
              **
      FAR 52.203-5

            	
              Covenant.
      Against Contingent Fees (APR 1984)

            
	
              **
      FAR 52.203-6

            	
              Restrictions
      on Subcontractor Sales to the Government (SEP 2006)

            
	
              **
      FAR 52.203-7

            	
              Anti-Kickback
      Procedures (JUL 1995)

            
	
              **
      FAR 52.203-8

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

            
	
              **
      FAR 52.203-10

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

            
	
              **
      FAR 52.203-12

            	
              Limitation
      on Payments to Influence Certain Federal Transactions (SEP
      2007)

            
	
              **
      FAR 52.204-4

            	
              Printed
      or Copied Double-Sided on Recycled Paper (AUG
  2000)

            


    

    


    
      
        
        

      

      
        8

        
          

        

      

      
        
        



    

     

    


    
      	
              FAR
      52.204-7

            	
              Central
      Contractor Registration (JUL 2006)

            
	
              FAR
      52.204-8

            	
              Annual
      Representations and Certifications (JAN 2006)

            
	
              FAR
      52,211-15

            	
              Defense
      Priority and Allocation Requirements (SEP 1990)

            
	
              **  
      FAR 52.215-2

            	
              Audit
      and Records — Negotiations (JUN 1999) and Alternate II (APR
      1998)

            
	
              FAR
      52.215-8

            	
              Order
      of Precedence - Uniform Contract Format (OCT 1997)

            
	
              #    
      FAR 52.215-10

            	
              Price
      Reduction for the Defective Cost or Pricing Data (OCT 1997) (The clause is
      applicable to subcontracts over $650,000.)

            
	
              #    
      FAR 52,215-12

            	
              Subcontractor
      Cost or Pricing Data (OCT 1997) (Applicable to subcontracts over $650,000
      only)

            
	
              ** 
       FAR 52.215-14

            	
              Integrity
      of Unit Prices (OCT 1997) and Alternate I (OCT 1997) (Alternate I is
      applicable if the action is contracted under Other Than Full and 0 Ben
      Competition)

            
	
              #    
      FAR 52.215-15

            	
              Pension
      Adjustments and Asset Reversions (OCT 2004)

            
	
              #    
      FAR 52.215-18

            	
              Reversion
      or Adjustment of Plans for Postretirement Benefits (PRB) Other than
      Pensions (JUL 2005)

            
	
              #    
      FAR 52.215-19

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

            
	
              FAR
      52.216-7

            	
              Allowable
      Cost and Payment (DEC 2002)

            
	
              FAR
      52.216-8

            	
              Eked
      Fee (MAR 1997)

            
	
              ** 
       FAR 52.219-4

            	
              Notice
      of Price Evaluation Preference for HUBzone Small Business Concerns (JUL
      2005)

            
	
              ** 
       FAR 52.219-8

            	
              Utilization
      of Small Business Concerns (MAY 2004)

            
	
              ++ 
       FAR 52.219-9

            	
              Small
      Business Subcontracting Plan (NOV 2007)

            
	
              ++ 
       FAR 52.219-16

            	
              Liquidated
      Damages- Subcontracting Plan (JAN 1999)

            
	
              FAR
      52.219-28

            	
              Post-Award
      Small Business Representation (JUN 2007)

            
	
              FAR
      52.222-1

            	
              Notice
      to the Government of Labor Disputes (FEB 1997)

            
	
              ** 
       FAR 52.222-2

            	
              Payment
      for Overtime Premiums (JUL 1990) (Note: The word "zero" is inserted in the
      blank space indicated byan asterisk)

            
	
              FAR
      52.222-3

            	
              Convict
      Labor (JUN 2003) (Reserved when FAR 52.222-20 Walsh Healy Public Contracts
      Act is applicable)

            
	
              ** 
       FAR 52,222-4

            	
              Contract
      Work Hours and Safety Standards Act - Overtime Compensation (JUL
      2005)

            
	
              FAR
      52,222-21

            	
              Prohibition
      of Segregated Facilities (FEB 1999)

            
	
              FAR
      52.222-26

            	
              Equal
      Opportunity (MAR 2007)

            
	
              ** 
       FAR 52.222-35

            	
              Equal
      Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era,
      and Other Eligible Veterans (SEP 2006)

            
	
              ** 
       FAR 52,222-36

            	
              Affirmative
      Action for Workers with Disabilities (JUN 1998)

            
	
              ** 
       FAR 52,222-37

            	
              Employment
      Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and
      Other Eligible Veterans (SEP 2006)

            
	
              FAR
      52.222-50

            	
              Combating
      Trafficking in Persons (AUG 2007)

            
	
              ** 
       FAR 52.223-14

            	
              Toxic
      Chemical Release Reporting (AUG 2003)

            
	
              FAR
      52.225-13

            	
              Restrictions
      on Certain Foreign Purchases (FEB 2006)

            
	
              ** 
       FAR 52.227-1

            	
              Authorization
      and Consent (DEC 2007) Alternate I (APR 1984)

            
	
              ** 
       FAR 52.227-2

            	
              Notice
      and Assistance Regarding Patent and Copyright Infringement (DEC
      2007)

            
	
              FAR
      52.228-7

            	
              Insurance
      Liability to Third Persons (MAR 1996) (Further to paragraph (a)(3), unless
      otherwise stated in this contract, types and limits of insurance required
      are as stated in FAR 28.307-2)

            


    

    


     

    
      
        
        

      

      
        9

        
          

        

      

      
        
        

      

    

     

    


    
      	
              FAR
      52.232-9

            	
              Limitation
      on Withholding of Payments (APR 1984)

            
	
              **   FAR
      52.232-17

            	
              Interest
      (JUN 1996)

            
	
              FAR
      52.232-23

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

            
	
              FAR
      52.232-25

            	
              Prompt Payment (OCT 2003) and
      Alternate I (FEB 2002) (The words "the 30th day" are inserted in lieu of
      "the 7th day" at (a) (5) (i). [When
      Alternate I is
      applicable (a)(5)(i) does do not apply] [Alternate I applies
      when awarding a cost
      reimbursement contract for services]

            
	
              FAR
      51232-33

            	
              Payment
      by Electronic Funds Transfer - Central Contractor Registration (OCT
      2003)

            
	
              FAR
      52.233-1

            	
              Disputes
      (JULY 2002)

            
	
              FAR
      52,233-3

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

            
	
              FAR
      52.242-1

            	
              Notice
      of Intent to Disallow Costs (APR 1984)

            
	
              #     
      FAR 52.242-3

            	
              Penalties
      for Unallowable Costs (MAY 2001)

            
	
              FAR
      52.242-4

            	
              Certification
      of Final Indirect Costs (JAN 1997)

            
	
              ** 
       FAR 52,242-13

            	
              Bankruptcy
      (JUL 1995)

            
	
              FAR
      52.242-15

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

            
	
              ** 
       FAR 52.244-2

            	
              Subcontracts (JUN 2007) and
      Alternate I (JUN 2007) [se Alternate I for
      cost-reimbursement
      contracts]

            
	
              ** 
       FAR 52.244-5

            	
              Competition
      in Subcontracting (DEC 1996)

            
	
              FAR
      52.244-6

            	
              Subcontracts
      for Commercial Items (MAR 2007)

            
	
              FAR
      52,245-1

            	
              Government
      Property (JUN 2007)

            
	
              FAR
      52.245-9

            	
              Use
      and Charges (JUN 2007)

            
	
              FAR
      52.249-6

            	
              Termination
      (Cost-Reimbursement) (MAY 2004)

            
	
              FAR
      52.249-14

            	
              Excusable
      Delays (APR 1984)

            
	
              FAR
      52.251-1

            	
              Government
      Supply Sources (APR 1984)

            
	
              FAR
      52.253-1

            	
              Computer
      Generated Forms (JAN 1991)

            


    

    


     

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

     

    
      	
              **  
      DFARS 252,203-7001

            	
              Prohibition
      On Persons Convicted of Fraud or Other Defense-Contract-Related Felonies
      (DEC 2004)

            
	
              DFARS
      252,204-7003

            	
              Control
      of Government Work Product (APR 1992)

            
	
              DFARS
      252.204-7004

            	
              Alternate
      A, Central Contractor Registration (SEP 2007)

            
	
              **  
      DFARS 252.209-7004

            	
              Subcontracting
      with Firms That Are Owned or Controlled by the Government of a Terrorist
      Country (DEC 2006)

            
	
              DFARS
      252.211-7003

            	
              Item
      Identification and Valuation (JUN 2005) (

            
	
              #    
      DFARS 252.215-7000

            	
              Pricing
      Adjustments (DEC 1991)

            
	
              DFARS
      252.2] 5-7004

            	
              Excessive
      Pass-Through Charges (APR 2007)

            
	
              #    
      DFARS 252.219-7003

            	
              Small,
      Small Disadvantage and Women-owned Small Business Subcontracting Plan (DoD
      Contracts)(APR 2007) (Use this clause in solicitations and contracts that
      contain the clause at FAR 52.219-9, Small Business Subcontracting
      Plan.)

            
	
              DFARS
      252.219-7004

            	
              Small,
      Small Disadvantaged and Women-owned Small Business Subcontracting Plan
      (Test Program) (JUN 1997)

            


    

    


    
      
        
        

      

      
        10

        
          

        

      

      
        
        

      

    

     

    


    
      	
              DFARS
      252.225-7004

            	
              Reporting
      of Contract Performance Outside the United States and Canada-Submission
      After Award(MAY 2007)

            
	
              **  
      DFARS 252.225-7012

            	
              Preference
      for Certain Domestic Commodities (JAN 2007)

            
	
              **  
      DFARS 252.225-7013

            	
              Duty-Free
      Entry (JUN 2006)

            
	
              DFARS
      252.225-7031

            	
              Secondary
      Arab Boycott of Israel (JUN 2005)

            
	
              +    
      DFARS 252.226-7001

            	
              Utilization
      of Indian Organizations and Indian-Owned Economic Enterprises, and Native
      Hawaiian Small Business Concerns (SEP 2004) (Use in solicitations and
      contracts for supplies or services exceeding $500,000 in
      value.)

            
	
              DFARS
      252.227-7013

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

            
	
              DFARS
      252.227-7014

            	
              Rights
      In Noncommercial Computer Software and Noncommercial Computer Software
      Documentation (JUN 1995)

            
	
              DEARS
      252.227-7016

            	
              Rights
      in Bid or Proposal Information (JUN 1995)

            
	
              DFARS
      252.227-7019

            	
              Validation
      of Asserted Restrictions — Computer Software (JUN 1995)

            
	
              DFARS
      252.227-7025

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

            
	
              DEARS
      252.227-7028

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

            
	
              DFARS
      252.227-7030

            	
              Technical
      Data — Withholding of Payment (MAR 2000)

            
	
              DEARS
      252.227-7037

            	
              Validation
      of Restrictive Markings on Technical Data (SEP 1999)

            
	
              DFARS
      252.231-7000

            	
              Supplemental
      Cost Principles (DEC 1991)

            
	
              DFARS
      252.232-7003

            	
              Electronic
      Submissions of Payment Requests (MAR 2007)

            
	
              **  
      DFARS 252.243-7002

            	
              Requests
      for Equitable Adjustment (MAR 1998)

            
	
              DFARS
      252.245-7001

            	
              Reports
      of Government Property (MAY 1994)

            
	
              DFARS
      252.251-7000

            	
              Ordering
      from Government Supply Sources
(NOV2004)

            


    

    


    (B)
ADDITIONAL FAR AND DFARS CLAUSES

     

    This
contract incorporates one or more clauses by reference as indicated by the mark
of (X), with the same force and effect as if they were given in full text. Upon
request, the Contracting Officer will make their full text available. Also, the
full text of a clause may be accessed electronically at this address: h ttp : //ww w .arn et.
gov/far/

     

    
      	 
      	
              FAR
      52.204-2

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

            
	
              X

            	
              FAR
      52.209-6

            	
              Protecting
      the Government's Interest when Subcontracting with Contractors Debarred,
      Suspended, or Proposed for Debarment (SEP 2006) (Applicable to contracts
      exceeding $30,000 in value.)

            
	 
      	
              FAR
      52.215-16

            	
              Facilities
      Capital Cost of Money (JUN 2003) (Applicable if the Contractor did propose
      facilities capital cost of money in the
offer)

            


    

    


    
      
        
        

      

      
        11

        
          

        

      

      
        
        

      

    

     

    


    
      	
              X

            	
              FAR
      52.215-17

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

            
	
              X

            	
              FAR
      52.215-21

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

            
	
              X

            	
              FAR
      52.216-11

            	
              Cost
      Contract — No Fee (APR 1984)

            
	 
      	
              FAR
      52.217-9

            	
              Option
      to Extend the Term of the Contract (MAR 2000) (In paragraph (a), insert
      "XX", and in paragraph (c), insert "XX") (Applicable if contract contains
      line item(s) for option(s)) (Complete the spaces in
      parentheses)

            
	 
      	
              FAR
      52.219-3

            	
              Notice
      of Total HUBZone Set-Aside (JAN 1999)

            
	 
      	
              FAR
      52.219-6

            	
              Notice
      of Total Small Business Set-Aside (JUN 2003)

            
	 
      	
              FAR
      52.219-7

            	
              Notice
      of Partial Small Business Set-Aside (JUN 2003) and Alternate I (OCT 1995)
      Alternate II (MAR 2004)

            
	 
      	
              FAR
      52.219-10

            	
              Incentive
      Subcontracting Program (OCT 2001) (Applicable at the PCO's discretion to
      contract actions exceeding $550,000 and when subcontracting possibilities
      exist. The clause is small business exempt) (In paragraph (b), insert the
      appropriate number between 0 and 10 — "XX") (Complete the space in the
      parentheses)

            
	 
      	
              FAR
      52.219-25

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

            
	 
      	
              FAR
      52.219-26

            	
              Small
      Disadvantaged Business Participation Program - Incentive Subcontracting
      Program (OCT 2000) (Applicable at the PCO's discretion to contract actions
      exceeding $100,000 and when subcontracting possibilities exist. The clause
      is small business exempt) (In paragraph (b), insert
      the appropriate number between 0 and 10 — "XX") (Complete the space in the
      parentheses)

            
	
              X

            	
              FAR
      52.222-20

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

            
	
              X

            	
              FAR
      52.223-5

            	
              Pollution
      Prevention and Right-to-Know Information (AUG 2003) (Applicable if
      contract provides for performance, in whole or in part, on a Federal
      facility)

            
	
              X

            	
              FAR
      52.223-6

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

            
	 
      	
              FAR
      52.230-2

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

            
	 
      	
              FAR
      52.230-3

            	
              Disclosure
      and Consistency of Cost Accounting Practices (APR 1998) (Applicable in
      negotiated contracts when the contract amount is over $500,000, but less than
      $50 million, and the offeror certifies it is eligible for and elects to
      use modified CAS coverage (see 48 CFR 9903.201-2 (FAR
      Appendix))

            


    

    


     

    
      
        
        

      

      
        12

        
          

        

      

      
        
        

      

    

     

    


    
      	 
      	
              FAR
      52.230-6

            	
              Administration
      of Cost Accounting Standards (APR 2005) (Applicable if contract is subject
      to either clause at FAR 52.230-2, FAR 52.230-3 or FAR
      52.230-5)

            
	
              X

            	
              FAR
      52.232-20

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

            
	 
      	
              FAR
      52.232-22

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

            
	 
      	
              FAR
      52.239-1

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

            
	 
      	
              FAR
      52.245-2

            	
              Government
      Property Installation Operation Services (JUN 2007)(Insert the clause in
      service contracts to be performed on a Government installation when
      Government-furnished property will be provided for initial provisioning
      only and the Government is not responsible for repair or
      replacement)

            
	 
      	
              DFARS
      252.201-7000

            	
              Contracting
      Officer's Representative (DEC 1991) (Applicable when appointment of a
      Contracting Officer's Representative (COR) is
  anticipated.)

            
	 
      	
              DFARS
      252.203-7002

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

            
	
              X

            	
              DFARS
      252.204-7000

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

            
	 
      	
              DFARS
      252.204-7005

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

            
	
              X

            	
              DFARS
      252.205-7000

            	
              Provision
      of Information to Cooperative Agreement Holders (DEC 1991) (Applicable
      only when contract action exceeds $1,000,000 or when any modification
      increases total contract amount to more than
$1,000,000)

            
	 
      	
              DFARS
      252.211-7003

            	
              Item
      Identification and Valuation (JUN 2005) (Applicable if the contract
      includes items (1) with a unit cost of $5000 or more or (2) that will be
      serially managed or controlled inventory)

            
	
              X

            	
              DFARS
      252.215-7002

            	
              Cost
      Estimating System requirements (DEC 2006) (Applicable only to contract
      actions awarded on the basis of certified cost or pricing
      data)

            
	 
      	
              DFARS
      252.223-7004

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

            
	
              X

            	
              DFARS
      252.223-7006

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

            


    

    


    
      
        
        

      

      
        13

        
          

        

      

      
        
        

      

    

     

     

    


    
      	 
      	
              DFARS
      252.225-7001

            	
              Buy
      American Act and Balance of Payments Program (JUN 2005) (Applicable if the
      contract includes deliverable supplies) (This clause does not apply if an
      exception to the Buy American Act or Balance of Payments Program is known
      or if using the clause at 252,225-7021,
      or 252,225-7036.)

            
	 
      	
              DFARS
      252,225-7002

            	
              Qualifying
      Country Sources as Subcontractors (JUN 2005) (Applicable when clause at
      DFARS 252,225-7001, 252.227-7021, or 252.227-7036
  applies)

            
	 
      	
              DFARS
      252.225-7016

            	
              Restriction
      On Acquisition Of Ball And Roller Bearings (MAR 2006) (Applicable if
      contract includes deliverable supplies, unless Contracting Officer knows
      that items being acquired do not contain ball or roller
      bearings)

            
	 
      	
              DFARS
      252.242-7004

            	
              Material
      Management and Accounting System (NOV 2005) (Applicable to contract
      actions exceeding $100,000) (Not applicable for contracts awarded to small
      businesses, educational institutions, or nonprofit
      organizations)

            
	 
      	
              DFARS
      252.246-7000

            	
              Material
      Inspection and Receiving Report (MAR 2003) (Applicable to contracts with
      separate and distinct deliverables. Does not apply to R&D contracts
      calling for delivery of not-separately-priced end items or
      scientific/technical reports)

            


    

    


     

    (C)
COST REIMBURSEMENT RESEARCH AND DEVELOPMENT (NO FEE) CLAUSES

    


    The
following FAR and DFARS clauses apply to Cost Reimbursement Research and
Development (No Fee) Contracts and are either required by regulation or are
required when the circumstances of the contract warrant that they apply: (** -
applies to contract actions exceeding $100,000)

     

    The
following FAR and DFARS clauses are for a Cost Reimbursement Research and
Development with No Fee and apply when specifically marked with a
(X):

     

    
      	 
      	
              FAR
      52.227-10

            	
              Filing
      of Patent Applications —Classified Subject Matter (DEC 2007) (Applicable
      if contract is subject to FAR clause 52.204-02 and either
      52.227-11)

            
	
              X

            	
              FAR
      52.227-11

            	
              Patent
      Rights — Retention by the Contractor (Short Form) (DEC 2007) (Applicable
      if contractor is a small business or non profit
    organization)

            
	
              X

            	
              DFARS
      252.227-7039

            	
              Patents
      — Reporting of Subject Inventions (APR 1990) (Applied when FAR 52.227-11
      applies)

            


    

     

     

    
      
        
        

      

      
        14

        
          

        

      

      
        
        

      

    

     

     

    SECTION
J - LIST OF ATTACHMENTS

    


     

    
      	
              1.

            	
              Exhibit
      A, entitled, "Contract Data Requirements List" (DD Form
    1423)

            


    

     

    
      	
              2.

            	
              Enclosure
      Number (1), entitled, "Contract Data Requirements List — Instructions for
      Distribution" — 2 Pages

            


    

     

    
      	
              3.

            	
              Attachment
      Number (1), entitled, "Statement of Work" — 7
  Pages

            


    

     

    
      	
              4.

            	
              Attachment
      Number (2), SF Form 298 entitled, "Report Documentation Page"- 1
      Page

            


    

     

    
      	
              5.

            	
              Attachment
      Number (3), entitled, "Financial Accounting Data Sheet." — 2
      Page

            


    

     

    SECTION
K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF
OFFERORS

     

    1. The
Contractor's ORCA validation dated from: 12/05/2007 to: 12/05/2008 is hereby
incorporated into this contract by reference. The DFARS and Contract Specific
Representations and Certifications, dated 04/26/2007 are hereby
incorporated by reference.

     

     

    
      
        
        

      

      
        15

        
          

        

      

      
        
        

      

    

     

    

    
      CONTRACT
DATA REQUIREMENTS LIST  A. CONTRACT LINE ITEM NO. - 0001  B.
EXHIBIT - A  C. CATEGORY - [X] OTHER  D. SYSTEM/ITEM
-   Advanced Batteries Based on Nano-Scaled Lithium Titanium
Oxide  E. CONTRACT/PR NO. N00014-08-C-0093  F. CONTRACTOR -
Altairnano, Inc.  1. DATA ITEM NO. - A001  2. TITLE OF DATA
ITEM - Progress Reports  5. CONTRACT REFERENCE - See Section
H.1  6. REQUIRING OFFICE - See Section F  7. DD 250 REQ -
LT*  8. APP CODE - N/A  9. DIST STATEMENT REQUIRED -
D  10. FREQUENCY - Monthly  11. AS OF DATE -
*  12. DATE OF FIRST SUBMISSION - *  13. DATE OF SUBSEQUENT
SUBMISSION - *  14. DISTRIBUTION - See Enclosure Number
1  15. REMARKS   These reports, submitted monthly for
the purpose of reporting progress (both technical and cost expenditure status),
may be in the form of a letter report or a technical
report.   "DISTRIBUTION D. Distribution authorized to DoD and US
DoD contractors only (Critical Technology) (10-APR-2007). Other requests for
this document shall be referred to the Office of Naval Research, Dr. Michele
Anderson, Code: 332, 875 N. Randolph St. Arlington, VA
22203-1995."  1. DATA ITEM NO. - A002  2. TITLE OF DATA ITEM
- Final Report  5. CONTACT REFERENCE - See Section H.1  6.
REQUIRING OFFICE  - See Section F  7. DD 250 REQ -
DD*  8. APP CODE - N/A  9. DIST STATEMENT REQUIRED - D, See
Block 16 of A0001  10. FREQUENCY - ONE/R  11. AS OF DATE -
**  12. DATE OF FIRST SUBMISSION - **  13. DATE OF
SUBSEQUENT SUBMISSION - N/A  14. DISTRIBUTION - See Enclosure Number
1  16. REMARKS    * The contractor shall include a
summary of tasks accomplished under this effort as well as any relevant
databases, software based models, and software source code developed under this
effort with the Final Report.   * Inspection and acceptance is
required by the Program Officer. The type of voucher in WAWF specified in
Section G will be used as a Material Inspection and Receiving Report in lieu of
the DD Form 250. Information copies shall be sent to the appropriate parties in
accordance with Enclosure Number 1.   ** The Final Report shall
be delivered no later than the end date specified in Section F.  G.
PREPARED BY - Joseph F. Pletscher  H. DATE - 1/14/2008  I.
APPROVED BY  - Wade Wargo  J. DATE -
01/14/2008

    

     

     

    
      
        
        

      

      
        16

        
          

        

      

      
        
        

      

    

    ENCLOSURE
NUMBER 1

    CONTRACT
DATA REQUIREMENTS LIST

    INSTRUCTIONS
FOR DISTRIBUTION

     

    DISTRIBUTION OF TECHNICAL
REPORTS AND FINAL REPORT

     

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

     

    
      	
              ADDRESSEE

            	
              DODAAD

              CODE

            	
              NUMBER
      OF COPIES

            
	
              UNCLASSIFIED
      / UNLIMITED

            	
              UNCLASSIFIED/LIMITED

              AND
      CLASSIFIED

            
	
              Program
      Officer, Dr. Michele Anderson E-Mail:
      michele.andersonl@navy.mil

            	
              N00014

            	
              1

            	
              1

            
	
              Administrative
      Contracting Officer*

            	
              S0507A

            	
              1

            	
              1

            
	
              Director,
      Naval Research Lab

              Attn:
      Code 5596

              4555
      Overlook Avenue, SW

              Washington,
      D.C. 20375-5320

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

            	
              N00173

            	
              1

            	
              1

            
	
              Defense
      Technical Information Center 

              8725
      John J. Kingman Road STE 0944 

              Ft.
      Belvior, VA 22060-6218

              E-mail: TR@Dtic.mil

            	
              HJ4701

            	
              2

            	
              2

            


    

    


     

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

     

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

     

    
      	
            	
              ·  
      

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

            


    

     

    
      	
              ·  

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

            


    

     

    
      	
              ·  

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

            


    

     

    
      	
              ·  

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

            


    

     

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


     

     

    
      
        
        

      

      
        17

        
          

        

      

      
        
        

      

    

     

     

    DISTRIBUTION
OF PROGRESS REPORTS, which are NOT, Technical Reports 

     

    The
minimum distribution for reports that are not technical reports is as
follows:

     

    
      	 
      	 
      	
              NUMBER
      OF COPIES

            
	
              ADDRESSEE

            	
              DODAAD

              CODE

            	
              UNCLASSIFIED/

              UNLIMITED

            	
              UNCLASSIFIED/LIMITED

              AND
      CLASSIFIED

            
	
              Program
      Officer, Dr. Michele Anderson 

              E-Mail:
      michele.anderson1@navy.mil

            	
              N00014

            	
              1

            	
              1

            
	
              Administrative
      Contracting Officer*

            	
              S0507A

            	
              1

            	
              1

            


    

    


     

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

     

     

    
      
        
        

      

      
        18

        
          

        

      

      
        
        

      

    

     

    STATEMENT
OF WORK

    


    Task
1:           Cell
Development

     

    Task
1.1 — Positive Electrode Material Optimization

    Several
types of positive electrode materials will be evaluated in terms of their
performance, safety and life characteristics including LiMn2O4,
LiCoO2, LiNixCoxMnxO2
and their mixtures. The LiMn2O4
electrode material yields cells with higher power and rate capability but lower
specific energy, while the LiCoO2,
LiNixCoxMnxO2
based cells have significantly higher specific energy but lower power
performance. The positive electrode material's morphology, in particular its
specific surface area and particle size distribution also has significant impact
on cell power and charge/discharge rate capability. One of the objectives of
this project is to define the limitation of these positive electrode materials
and their mixtures in terms of cell specific power to specific energy trade-off.
The effect of specific surface area (BET) and particle size distribution of the
positive electrode materials on the cell specific power and energy will be also
studied. The results will be summarized in families of Ragone Plots expressing
the continuous cell power vs. cell specific energy. This data will allow
selection of the optimal positive electrode material and its morphology relative
to any specific battery application.

     

    Task
1.2 — Electrolyte Optimization

    Two
families of electrolytes will be evaluated in terms of their life, safety and
extremes of temperature performance. The first family comprises LiPF6 salt
dissolved in multi- component solvents that include EC as a basing solvent and
several combinations of EMC, DMC, DEC ethers as co solvents. The second family
comprises LiPF6 salt dissolved in multi-component solvents that include GBL as a
primary solvent and several combinations of EC, EMC, DMC, DEC as a co-solvents.
VC and AD25 as electrolyte additives will be studied for their beneficial effect
it terms of low and high temperature performance. Our previous experience has
shown that the initial cell formation condition has significant impact on the
cell's cycle and calendar life performance and is attributed to formation of an
interface layer with different chemistry on both electrodes. Thus the optimal
formation conditions as a function of electrolyte nature and additives will be
also studied in this project.

     

    Task
1.3 — Cell Packaging

    Due to
the long cycle life of the n-LTO technology, we expect that cell packaging is
the limiting factor to calendar life. Soft type laminate packaging is the most
desirable packaging type due to cost, ease of cell manufacture and thermal
management design. However, soft packaging is unproven in terms of its life
characteristics. On the other hand, initial physiochemical calculations indicate
that seals can be optimized to mitigate the failure modes of moisture intrusion
and electrolyte diffusion. Altairnano will optimize current packaging by
developing the design and process parameters for long life seals. Optimal
process parameters will be determined by pull strength testing of sample seals.
A design of experiments will be performed with variables of temperature,
pressure and time to determine optimal seal strength. Accelerated seal life
testing will be performed through sealing electrolyte in pouches and
periodically weighing while stored at 45°C and 75°C. Diffusion calculations will
be performed to understand the kinetics of moisture intrusion and electrolyte
loss.

     

     

    
      
        Attachment
No. 1

        
        

      

      
        1

        
          

        

      

      
        
        

      

    

     

     

    Task
1.4 — Thermal Performance

    A matrix
study will be performed on current production 11Ah energy cells and 2.5Ah power
cells to understand the limits of high temperature operation of n-LTO cells in
terms of the impact of the life of batteries built from the cells. Cells will be
cycled at temperatures of 35°C, 55°C and 75°C at charge / discharge rates of IC,
5C and 10C. Micro calorimeter data at temperatures from -20°C to 75°C will be
gathered for use in the design of the deliverable battery's thermal management
systems.

     

    A minimum
of 11 cells will be delivered to NSWC, CARDEROCK for evaluation. At NSWC, cells
will be cycled for 3 months at 25°C and
60°C.
Throughout this time, cells will be removed and their resistance monitored using
AC impedance. A number of cells will undergo a post mortem to visually evaluate
the cause of cell failure. If it appears that one or both of the electrodes are
responsible for cell failure then they will be analyzed using X-Ray
Photoelectron Spectroscopy to determine the nature of the interactions that may
be occurring between the electrode and the electrolyte. This study will help
determine the amount of degradation that can be expected of nLTO/Li,,MyOz
cells when they are subjected to Navy vehicle conditions.

     

    Task
1.5 — Safety Characteristics

    A minimum
of 12 cells will be submitted to the NSWC-CARDEROCK facility for safety
characterization. The following tests will be performed on the Altairnano
nLTO/Li,MyOz
cells as required to define their safety characteristics as applies to
Instruction S9310-AQ­SAF-010. These tests will provide a portion of the
total safety evaluation package that will be required to eventually get a
full-up battery approval. Due to the size of the full-up battery, final system
battery testing and the fleet "Safety Approval" from the Naval Ordnance Security
and Safety Activity (NOSSA) will have to be done/obtained by NSWC-Crane. Lithium
battery safety approval is specific to the battery design and system or device
per Navy Instruction 59310 and therefore has to be done at the full-up system
level, but preliminary cell/module safety characterization per TM 59310 testing
can reduce the quantity of full-up hardware testing required thus minimizing the
material and testing costs demanded by full-up system battery testing. The
following characterization tests will be run on cells (three cells for each
test) at NSWC­CARDEROCK:

     

    1. Overcharge/Discharge
Test

    2. Over
discharge/Charge Test

    3. High
Temperature Test

    4. Aging
Safety Test

     

    Task
1.6 — Prepare Report

    Results
of the cell studies will be discussed in a report.

     

    Task 2:Battery System
Development

     

     

    Task
2.1 — Ultrasonic Welding Study

    Methods
to measure the quality of cell-to-cell ultrasonic welds will be deployed to
define quality. Pull-test equipment will be purchased to support this
activity.

     

    
      
        Attachment
No. 1

        
        

      

      
        2

        
          

        

      

      
        
        

      

    

     

    Task
2.2 — Cell Retention Study

    Finding a
method for holding cells in place is critical to long-term reliability. Due to
the normal dimensional variation in cells, pre-formed cell holders, including
any type of metal cell container, present difficulties. Therefore, we believe
that forming a structure around the cells after they are joined together is the
most promising approach to this problem. We will investigate materials that
could be used for this purpose as well as methods for injecting the material
while protecting the cells during this process. We will also develop methods to
maintain passages for air-cooling.

     

    Task
2.3 — Interconnect System Development

    Methods
and materials for making the high power connections within the battery system
will be studied.

     

    Task
2.4 — Thermal Management Study

    A thermal
finite element model of the battery system will be created. Controlled physical
tests will be performed to validate the finite element model.

     

    Task
2.5 — Control Algorithm Development

    Algorithms
for management of the batteries will be developed to provide for proper
operation of the batteries to insure long life and to accurately report the
state of the batteries in the system.

     

    Task
2.6 — Prepare Report

    A report
will be created summarizing the results of the battery system development
studies.

     

    Task
3:           Battery System
Design

     

    Task
3.1 — Battery Module Layout

    The
arrangement of battery modules in a sub-pack will be defined based on the
requirements for the system. This will include alternative packaging of final
battery pack.

     

    Task
3.2 — Enclosure Design

    A
sub-pack enclosure will be designed, including material and structural
definition, such that the battery system can meet performance and environmental
requirements. Any features required for module location, interconnect placement,
placement and mounting of other components, and sub-pack-to-sub-pack mounting
will be included.

     

    Task
3.3 — Battery Management Electronics Hardware Design

    The
battery management circuit design and components will be defined and documented
via drawings and specifications. The electronics packaging, mounting, and
physical interface details will be determined.

     

    Task
3.4 - Battery Management Electronics Software Design

    The
algorithms necessary to manage the battery system will be determined. The data
management and reporting details will be determined.

     

    
      
        Attachment
No. 1

        
        

      

      
        3

        
          

        

      

      
        
        

      

    

     

    Task
3.5 — Interconnect Component Design

    The
mechanical design of the interconnect components will be defined and
documented.

     

    Task
3.6 - Thermal Management System Component Design

    Using a
finite element model, thermal management strategies will be evaluated. Thermal
management components will be designed or selected based on the thermal needs of
the battery system. Final design will be documented via
drawings/specifications.

     

    Task
3.7 — Battery Assembly Safety Testing

    12
Battery modules will be prototyped and submitted to NSWC-CARDEROCK for safety
testing according to S9310-AQ-SAF-010.

     

    24
Battery modules will be prototyped and submitted to NSWC-CRANE for safety
testing according to UN3090.

     

    Task
3.8 - Design Review

    A formal
design review will be held to review the requirements driving the battery system
design, the design choices made, and the capability of the defined design to
meet the requirements.

     

    Task
4:          Battery System Control and
Interface Development Design

     

    Task
4.1 - Control and Interface System Architecture Development

    Sub-pack
interface system architecture options will be evaluated, and the architecture
for the overall rack mount power distribution system will be
chosen.

     

    Task
4.2 - Selection of Available Off-the-Shelf System Components

    The power
interface system will be based on available commercial uninterruptible power
supply hardware. Components will be chosen to demonstrate the system
architecture and to enable evaluation of the battery technology.

     

    Task
4.3 - Design of Custom System Components

    Custom
designs will be developed when specific system components are not available
commercially in the configuration required for this battery system.

     

    Task
4.4 - Operator Interface Design

    The
operator interface will be developed according to requirements to be provided by
the Navy. Various operator interface designs are possible and can be considered
based on requirements and application. This can be done to maximize efficiency
of operation and ease of handling for installation and servicing.

     

    Task
4.5 - Design Review

    A formal
review will be held to communicate the requirements driving the control and
interface system design, the design choices made, and the capability of the
resulting system to meet the requirements.

     

    
      
        Attachment
No. 1

        
        

      

      
        4

        
          

        

      

      
        
        

      

    

     

    Task
5:          Interface and Control System
Build and Test

     

    Task
5.1 — Build control and sub-pack interface system

    Control
and sub-pack interface system components will be defined in the bill of
materials and result from the design process. The drawing/specification will be
defined in the design process. The deliverable modules, sub-packs and interface
unit will be fabricated using internal capabilities in addition to out-sourcing
to local machine shops.

     

    Task
5.2 — Integrate Control and Interface System

     

    The
interface system components will be assembled and integrated with battery
assembly.

     

    Task
5.3 — Control and Interface System Testing

     

    Task
5.3.1 — Duty Cycle Testing

    The
control and interface system will be tested to the required duty cycle(s) to
verify proper performance.

     

    Task
5.3.2. — Output Power Stability Testing

    The
control and interface system will be tested to verify the output power provided
by the system meets requirements.

     

    Task
6:         Prototype Battery System
Build and Test

     

    Task
6.1 — Build Battery System Electronics

    The
battery management system electronics hardware for two prototype battery systems
will be built.

     

    Task
6.2 — Build Other Battery System Components

    The
enclosure, interconnect components, thermal management components, etc. for two
prototype sub-pack battery systems will be built.

     

    Task
6.3 — Assemble Deliverable Battery System

     

    The
components will be assembled into one battery system for delivery to the Navy
for evaluation.

     

    Task
6.4 — Assemble Durability Testing Battery System

    A second
battery system will be assembled for use in durability testing as defined in
section 6,5.

     

    Task
6.5 — Battery System Testing

    Task
6.5.1 — Duty Cycle Testing

    The
battery system will be tested at Altairnano over the duty cycle to confirm the
system performs as required.

    Task
6.5.2 — Vibration Testing

    Vibration
testing will be performed on the battery system by Crane to verify the
durability of the system to the required vibration profile.

    Task
6.5.3 — Humidity Testing

    Humidity
testing will be performed on the battery system by Crane to verify the
durability of the system to the required humidity environment.

     

    
      
        Attachment
No. 1

        
        

      

      
        5

        
          

        

      

      
        
        

      

    

     

    Task
6.5.4 — Salt Fog Testing

    Salt fog
testing will be performed on the battery system by Crane to verify the
durability of the system to the required salt environment.

    Task
6.5.5 — Thermal System Testing

    The
thermal performance of the battery system over the required ambient temperatures
will be tested at Altairnano to verify thermal management effectiveness. The
testing will use thermocouples and thermal imaging during battery
cycling.

    Task
6.5.6 — Prepare Test Report

    A report
summarizing the test results will be created.

     

    Task
7:           Demonstration System
Delivery and Installation

     

    A proof
of concept battery system consisting of (2) 50-80KW, 82V subpacks and a 12 slot
power distribution rack will be delivered to the Navy. Altairnano will support
Navy installation.

     

    Milestones

    Under
this Statement of Work, the contractor shall provide the following
deliverables:

     

    Task
1: Cell Development

    a. Cells for
Cathode / Electrolyte DOE compromising of (54) 50 mahr cells will be delivered
to NSWC, CARDEROCK for cycling.

    b. Cells for
temperature testing. A minimum of (11) 50 mahr cells will be delivered to NSWC,
CARDEROCK for thermal evaluation.

    c. Cells for
safety testing. A minimum of (12) 11 ahr cells will be submitted to the
NSWC-CARDEROCK facility for safety characterization. (9310)

    d. Sample
Electrode Materials will be delivered to NSWC-CARDEROCK

    e. Thermal
characterization report

    


     

    Task
2: Battery System Development

    a.
Report

     

    Task
3: Battery System Design

    a. Design

    b. (24)
modules will be delivered to NSWC Crane for safety testing according to UN 3090
standards.

    c. 12
battery modules will be submitted to the NSWC-CARDEROCK facility for safety
characterization. (9310)

     

    Task
4: Battery System Control and Interface Development Design

    a.
Design

     

    
      Task 5: Interface and Control System
Build and Test 

      a. Report

    

     

    Task
6: Prototype Battery System Build and Test

    a. (2)
Battery subpacks not to exceed 82V or 3001bs (Actual size to be

     

     

    
      
        Attachment
No. 1

        
        

      

      
        6

        
          

        

      

      
        
        

      

    

     

    determined
based on ability to fit on vibration fixture.) will be submitted to NSWC Crane
for environmental testing.

    b. (1)
Battery subpack for duty cycling at Altairnano.

    c. (1)
Battery subpack for thermal analysis

     

    Deliverables

     

    Task
7: Demonstration System Delivery and Installation

    a. (2) proof
of concept 50 to 82 kW 82V sub-packs - NSWC-CARDEROCK

    b. (1) sub
pack rack mount power distribution unit - NSWC-CARDEROCK

     

    
      
        Attachment
No. 1

        
        

      

      
        7