Document:

EX-10.1

 

Exhibit 10.1

FIRST AMENDMENT AND DEFAULT WAIVER AGREEMENT 

     This First Amendment and Default Waiver Agreement (the “Agreement”), made and effective
November 20, 2006, by and among Lexington Precision Corporation (“LPC”) and Lexington Rubber Group
(“LRG”) (collectively “Lexington”), as borrowers under that certain Credit and Security Agreement
dated as of May 31, 2006 (the “Credit Agreement”), and CapitalSource Finance LLC (“CapitalSource”),
as a lender, as Agent, and as Co-Documentation Agent, and Webster Business Credit Corporation
(“Webster”) as a lender and as Co-Documentation Agent, and by and among Lexington as borrowers
under that certain Loan and Security Agreement dated as of May 31, 2006 (the “Loan Agreement”) and
CSE Mortgage LLC (“CSE”), as a lender and an Agent, and DMD Special Situations, LLC, as a lender
(“DMD”). Capitalized terms in this Agreement shall have the meaning ascribed to them in the Credit
Agreement and Loan Agreement unless otherwise defined in this Agreement. CapitalSource, Webster,
CSE and DMD may be referred to herein, collectively, as the “Lenders.”

RECITALS

     WHEREAS, the parties executing this Agreement are parties to the Credit Agreement and/or Loan
Agreement; and

     WHEREAS, LPC has failed to make the interest payment due November 1, 2006 under that certain
Indenture dated as of December 18, 2003, (as supplemented or amended, the “Indenture”) in respect
of LPC’s 12% Senior Subordinated Notes due August 1, 2009 (the “Subordinate Debt Issue”) and the
failure to make the

1

 

interest payment due November 1, 2006 under the Subordinate Debt Issue is a Default under the
Credit Agreement and Loan Agreement. In addition, should LPC fail to cure the Default by on or
about November 30, 2006, the Default will become an Event of Default under the Credit Agreement and
the Loan Agreement (collectively, the Default and Event of Default under the Credit Agreement and
Loan Agreement arising from the non-payment of interest due November 1, 2006 under the Subordinate
Debt Issue, the “Bond Default”); and

     WHEREAS, Lexington has asked the Agents and Lenders to waive the Bond Default; and

     WHEREAS, the Agents and Lenders are willing to provide such waiver in consideration of the
mutual covenants contained herein and for other good and valuable consideration; and

     NOW, THEREFORE, the Agents, Lenders and Lexington desiring to be legally bound, do hereby make
the following agreements:

     1. Reaffirmation by Lexington of Binding Nature of Documents and Acknowledgement of
Indebtedness Owed. Lexington hereby reaffirms, acknowledges and agrees that the Credit
Agreement, the Loan Agreement and the Other Documents executed and delivered by Lexington
(collectively, the “Documents”) are valid, binding upon Lexington, fully enforceable and that all
liens granted thereunder are in full force and effect, and that all Documents are subject to no
offset, objection, recoupment, claim or defense by Lexington against any Agent or Lender. Further,
Lexington stipulates and agrees that, as of November 20, 2006,

2

 

(a) $21,338,455.87 is due and owing in respect of Loans and there is $2,024,000.00 in face amount
of Letters of Credit outstanding under the Credit Agreement, and (b) $14,907,344.27 is
due and owing under the Loan Agreement, not including any and all reasonable attorneys’ fees,
Agents’ and Lenders’ fees, default interest or other costs or expenses of any Agent or Lender
chargeable under the Credit Agreement and Loan Agreement, and that neither amount is subject to any
offset, objection, recoupment, claim or defense by Lexington.

     2. Acknowledgment of Occurrence of Default. Lexington acknowledges to the Agents and
Lenders that a Default exists under the Credit Agreement and the Loan Agreement. Lexington further
acknowledges that the existence of the Default, without the waiver contained in this Agreement,
would be subject to no defense by Lexington to its enforcement in accordance with its terms or any
claim by Lexington against the Agents and Lenders.

     3. Amendment to the Definition of “Target Amount.” The definition of “Target Amount”
in the Credit Agreement shall now read:

“Target Amount” shall mean (a) Five Million Dollars ($5,000,000.00) until February 1,
2007, or (b) Three Million Dollars ($3,000,000.00) on or after February 1, 2007
less any voluntary prepayments or mandatory prepayments made after the Closing Date
with respect to the Term Loans, to the extent such payments are permitted by this Agreement
and the Intercreditor Agreement.

The definition of “Target Amount” in the Loan Agreement shall now read:

“Target Amount” shall mean (a) Five Million Dollars ($5,000,000.00) until February
1, 2007, or (b) Three Million Dollars ($3,000,000.00) on or after February 1, 2007
less any voluntary prepayments made under Section 2.2 of this Agreement or
mandatory prepayments made under

3

 

Section 2.3 of this Agreement, in each case with respect to the Term Loan A.

     4. Waiver of Default. Subject to the terms of paragraph 5, the Agents and Lenders
waive any Default or Event of Default under Sections 11.12 and 11.13 of the Credit Agreement and
Loan Agreement to the extent arising from the Bond Default. Nothing contained in this Agreement
shall be construed as a waiver of Section 7.14 of the Credit Agreement or Section 7.14 of the Loan
Agreement (as originally executed and as amended herein), or any applicable subordination
provisions of the Indenture.

     5. Termination of Waiver. The waiver granted hereunder shall continue until the
occurrence of the earliest of the following events (along with the date of expiration of this
Agreement, a “Termination Event”):

     (A) A Default under the Documents, other than the Bond Default, occurs (whether the Agent or
Lender has knowledge of the occurrence or not);

     (B) A notice of default is given pursuant to the Indenture or Subordinate Debt Issue by the
indenture trustee or any noteholder in respect of the Subordinate Debt Issue (indenture trustee or
noteholder, a “Creditor”) and the indebtedness owed to such Creditor by Lexington in respect of the
Subordinated Debt Issue is accelerated;

     (C) An involuntary petition is filed under the United States Bankruptcy Code against either
LPC or LRG, or LPC or LRG files such petition, or any subsidiary of LPC or LRG files, or has filed
against it, a petition under the United States Bankruptcy Code;

4

 

     (D) Any insolvency proceeding, such as an action seeking the appointment of a receiver, a
proceeding under laws invoking Assignments for the Benefit of Creditors, or any other creditors’
remedies under state or federal law is commenced by or against LPC, LRG or any of their
subsidiaries;

     (E) A lawsuit is filed against any Agent or Lender by LPC, LRG or any of their affiliates or
subsidiaries.

     In addition to the Termination Events set forth above, the waiver granted hereunder shall
expire at 5:00 p.m. (Eastern) on February 1, 2007, unless further extended by a writing signed by
the Agents and all the Lenders (or their successors or assigns).

     In the event any Termination Event occurs, the waiver provided hereunder shall automatically
and immediately terminate, without notice to Lexington. In the event any Termination Event occurs
without the knowledge of any Agent or Lender, the Termination Event shall have been deemed to have
occurred at 6:00 a.m. (Eastern) on the day the notice of default is given or the lawsuit is filed
with a Court or at 6:00 a.m. on the day Lexington has knowledge of its occurrence.

     6. Effect of Waiver. The waiver granted under this Agreement shall mean that for so
long as no Termination Event has occurred, Lenders (and the Agent under each of the Credit
Agreement and Loan Agreement, collectively, the “Agents’) shall not take action to enforce any of
the rights or remedies provided to it under the Documents or at law or equity in respect of the
Default or Event of Default waived pursuant to this Agreement. Notwithstanding the preceding
sentence, upon

5

 

a Termination Event, the Agent and Lender may enforce its remedies related to the Bond Default
(whether a Default or Event of Default), or any other Default or Event of Default then in existence
to the fullest extent allowed by the Documents or at law or equity. Except as specifically waived
pursuant to this Agreement, the Agents’ and Lenders’ agreement herein does not waive, diminish, or
limit any term or condition contained in the Credit Agreement or Loan Agreement. All parties
acknowledge that while the Bond Default is being waived, it is not being forgiven and that
automatically upon a Termination Event the Agents and Lenders shall have all rights and remedies
available to them with respect to the Bond Default and that this waiver shall not be invoked nor be
the basis of any claim or defense by Lexington that the Bond Default was forgiven or otherwise
became unenforceable.

     7. Release. In consideration of the waiver provided to Lexington hereunder, each of
LPC and LRG, jointly and severally, on its own behalf and on behalf of its respective officers,
directors, employees, agents, affiliates, shareholders, successors and assigns, hereby irrevocably
releases and forever discharges each Agent, its agents, affiliates, subsidiaries, successors,
assigns, directors, officers, employees, consultants, attorneys, auditors, and accountants, and
each Lender, its agents, affiliates, subsidiaries, successors, assigns, directors, officers,
employees, consultants, attorneys, auditors and accountants (each, a “Released Person”) of and from
all damages, losses, claims, demands, liabilities, actions and causes of action whatsoever that
Lexington, jointly and severally, may now have or may now claim to have against any Released Person
on account of or in any way touching,

6

 

concerning, arising out of or founded upon the Documents, including the Loan Agreement and Credit
Agreement, whether presently known or unknown and of every nature and extent whatsoever.

     8. Agents’ and Lenders’ Expenses. Lexington acknowledges its obligation to pay all of
Agents’ and Lenders’ reasonable attorneys’ fees and expenses related to the Bond Default.
Accordingly, Lexington agrees that Agents and Lenders may charge the Credit Agreement (and apply
proceeds of payments made on the Credit Agreement in the manner provided therein) for the
reasonable fees and expenses of the professionals Agents and Lenders employ in connection with the
Bond Default.

     9. Successors and Assigns. This Agreement shall be binding upon Lexington and Agents’
and Lenders’ successors and assigns.

     10. Counterparts. This Agreement may be executed in one or more counterparts, each of
which shall be deemed an original, and all of which, when taken together, shall constitute one and
the same instrument. Facsimile and pdf versions of signatures hereto shall be deemed original
signatures, which may be relied upon by all parties hereby and shall be binding on the respective
signor.

     11. Further Assurances. Lexington covenants and agrees that it will at any time and
from time to time do, execute, acknowledge and deliver, or will cause to be done, executed,
acknowledged and delivered, all such further acts, documents and instruments as reasonably may be
required by Agents and Lenders to effectuate fully the intent of this Agreement.

7

 

     12. Amendment to Documents. This Agreement shall be deemed to amend the Credit
Agreement and the Loan Agreement. Amendments made in this Agreement shall survive any Termination
Event. Except as expressly waived hereby, all terms and conditions of the Credit Agreement and
Loan Agreement remain in full force and effect and shall constitute legal, valid, binding and
enforceable obligations of Lexington. This Agreement is not a novation, nor is it to be construed
as a release, waiver, extension of forbearance or modification of any of the terms, conditions,
representations, warranties, covenants, rights or remedies set forth in any of the Documents,
except as expressly stated herein.

     13. Severability. If any term or provision of this Agreement or the application
thereof to any party or circumstance shall be held to be invalid, illegal or unenforceable in any
respect by a court of competent jurisdiction, the validity, legality and enforceability of the
remaining terms and provisions of this Agreement shall not in any way be affected or impaired
thereby, and the affected term or provision shall be modified to the minimum extent permitted by
law so as to achieve most fully the intention of this Agreement.

     14. Captions. The captions in this Agreement are inserted for convenience of reference
only and in no way define, describe or limit the scope or intent of this Agreement or any of the
provisions hereof.

     15. Entire Agreement. This Agreement contains the entire agreement among the parties
hereto with respect to the Bond Default, and with respect to the

8

 

agreement to waive the Bond Default and the limitation on the exercise of rights and remedies
on account of the terms and conditions of this Agreement.

     16. Notices. All notices, requests, demands and other communications hereunder shall
be given in the manner outlined in the Credit Agreement and Loan Agreement with the exception that
notices to the Agents and Lenders shall be sent, in addition to the parties set forth in the Credit
Agreement and Loan Agreement to: John C. Tishler, Esq., Waller Lansden Dortch & Davis, LLP, 511
Union Street, Suite 2700, Nashville, TN 37219; phone: 615-850-8756; fax: 615-244-6804; email:
jtishler@wallerlaw.com.

     17. Governing Law. This Agreement shall be governed by and construed in accordance
with the laws of the State of New York, without regard to conflict of laws principles.

[signature page follows]

9

 

     IN WITNESS WHEREOF, the parties hereto have executed and delivered this Agreement as of the
day and year first above written.

	 	 	 	 	 	 	 
	 	 	LEXINGTON PRECISION CORPORATION	 	 
	 
	 	 	 	 	 	 
	 

	 	By:

Name:
	 	/s/ Michael A. Lubin
 

Michael A. Lubin
	 	 
	 

	 	Its:
	 	Chairman of the Board	 	 
	 
	 	 	 	 	 	 
	 	 	LEXINGTON RUBBER GROUP, INC.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:

Name:
	 	/s/ Michael A. Lubin
 

Michael A. Lubin
	 	 
	 

	 	Its:
	 	Chairman of the Board	 	 
	 
	 	 	 	 	 	 
	 	 	CAPITALSOURCE FINANCE LLC, as Agent and a Lender	 	 
	 
	 	 	 	 	 	 
	 

	 	By:

Name:
	 	/s/ Stephen Klein
 

Stephen Klein
	 	 
	 

	 	Its:
	 	Managing Director	 	 
	 
	 	 	 	 	 	 
	 	 	WEBSTER BUSINESS CREDIT CORPORATION	 	 
	 
	 	 	 	 	 	 
	 

	 	By:

Name:
	 	/s/ Alan F. McKay
 

Alan F. McKay
	 	 
	 

	 	Its:
	 	Vice President	 	 
	 
	 	 	 	 	 	 
	 	 	CSE MORTGAGE LLC, as Agent and a Lender	 	 
	 
	 	 	 	 	 	 
	 

	 	By:

Name:
	 	/s/ Stephen Klein
 

Stephen Klein
	 	 
	 

	 	Its:
	 	Managing Director	 	 
	 
	 	 	 	 	 	 
	 	 	DMD SPECIAL SITUATIONS FUNDING LLC	 	 
	 
	 	 	 	 	 	 
	 

	 	By:
	 	CapitalSource Servicing LLC, its servicer	 	 
	 

	 	By:

Name:
	 	/s/ Keith D. Reuben
 

Keith D. Reuben
	 	 
	 

	 	Its:
	 	Director	 	 

10exv10w8

 

Exhibit 10.8

 

 

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Page 2 of 27

Section B — Supplies or Services and Prices

SECTION B SPECIAL PROV (FIRST)

B-01       LINE ITEM DESCRIPTION (MAY 2005) (TAILORED)

     In
accordance with this contract, the Contractor shall furnish all
materials, labor, equipment and facilities except
as specified herein to be furnished by the Government (if
applicable), and shall do all that which is necessary or
incidental to the satisfactory and timely performance of the following: 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	0001
	 	 	 	1	 	Lot	 	$50,000.00	 	$	50,000.00	 
	 	 	STTR Phase II Research and Development	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	The Contractor shall perform research and development efforts and provide the Outline and Synopsis
Report due 1l-Dec-06 in accordance with the Statement of Objectives/Statement of Work (SOO/SOW) and
Contract Data Requirements List (CDRL) A002.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	50,000.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	000101
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Information Funding SLIN	 	 	 	 
	 	 	FFP	 	 	 	 
	 	 	This is an administrative SLIN utilized for funding purposes.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	0.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	$	50,000.00	 

ACRN AA

CIN: SB9JLR62875000101

 

 

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Page 3 of 27

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	0002
	 	 	 	1	 	Lot	 	$100,000.00	 	$	100,000.00	 
	 	 	STTR Phase II Research and Development	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	The Contractor shall perform research and development
efforts and provide the Interim Status Report due 27-Jan-07 in accordance with the Statement of
Objectives/Statement of Work (SOO/SOW) and Contract Data Requirements List
(CDRL) A002.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	100,000.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	000201
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Information Funding SLIN	 	 	 	 
	 	 	FFP 	 	 	 	 
	 	 	 This is an administrative funding SLIN utilized for funding purposes.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR63600	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	0.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	$	100,000.00	 

ACRN AB 

CIN: SB9JLR63600000201

 

 

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Page 4 of 27

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	0003
	 	 	 	1	 	Lot	 	$100,000.00	 	$	100,000.00	 
	 	 	STTR Phase II Research and Development	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	The Contractor shall perform research and development efforts
and provide the
Interim Status Report due 27-Apr-07 in accordance with the Statement
of Objectives/Statement of Work (SOO/SOW) and Contract Data
Requirements List
(CDRL) A002.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST
NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	100,000.00	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	000301
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Information Funding SLIN	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	This is an administrative funding SLIN utilized for
funding purposes.	 	 	 	 
	 	 	
FOB: Destination 	 	 	 	 
	 	 	
PURCHASE REQUEST NUMBER: SB9JLR63602	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	0.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	$	100,000.00	 

ACRN AC 

CIN: SB9JLR63602000301

 

 

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Page 5 of 27

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	0004
	 	 	 	1	 	Lot	 	$100,000.00	 	$	100,000.00	 
	 	 	STTR Phase II Research and Development	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	The Contractor shall perform research and development efforts and provide the
Interim Status Report due 27-Jul-07 in accordance with the Statement of
Objectives/Statement of Work (SOO/SOW) and Contract Data Requirements List
(CDRL) A002.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	100,000.00	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	000401
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Information Funding SLIN	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	This is an administrative funding SLIN utilized for funding purposes.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR63603	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	0.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	$	100,000.00	 

ACRN AD

CIN: SB9JLR63603000401

 

 

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Page 6 of 27

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	0005
	 	 	 	1	 	Lot	 	$50,000.00	 	$	50,000.00	 
	 	 	STTR Phase II Research and Development	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	The Contractor shall perform research and development
efforts and provide Final Report due 27-Oct-07 in accordance with the Statement of
Objectives/Statement of Work (SOO/SOW) and Contract Data Requirements List (CDRL) A003.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR62875	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	50,000.00	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ITEM NO	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT	 
	000501
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Information Funding SLIN	 	 	 	 
	 
	 	FFP	 	 	 	 	 	 	 	 	 	 
	 	 	This is an administrative funding SLIN utilized for funding purposes.	 	 	 	 
	 	 	FOB: Destination	 	 	 	 
	 	 	PURCHASE REQUEST NUMBER: SB9JLR63604	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	NET AMT	 	$	0.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	$	50,000.00	 
	 	 	 	 	 	 	 

ACRN AE

CIN: SB9JLR63604000501

Data and Reports (NSP)

0006

FFP

The
Contractor shall provide the NSP data deliverables in accordance with
Exhibit A, Contract Data Requirements Lists, DD Form 1423-1.

SECTION B SPECIAL PROVISIONS 

B-02      CONTRACT TYPE (MAY 2005) (TAILORED)

 

 

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Page 7 of 27

     This is a Firm Fixed Price (FFP) Contract with a 12-month period of performance (POP) and no options as specified in Section B and other related Sections,
Attachments, and Exhibits.

 

 

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Section C
— Descriptions  and specifications

SECTION C SPECIAL PROVISIONS

C-01 SCOPE OF WORK (MAY 2005)

     The Contractor shall perform the work specified in the Statement of Objectives/Statement
of Work (SOO/SOW) or other Attachments and Exhibits in Section J of this contract. The
Contractor shall provide all necessary materials, labor, equipment and facilities incidental
to the performance of this requirement.

C-02 REPORTS AND OTHER DELIVERABLES (MAY 2005) (TAILORED)

     a. The Contractor shall submit all reports and other deliverables in accordance with the
delivery schedule set forth in Section F, and the attached Contract Data Requirements Lists, DD
Form 1423-1.

     b. Technical reports delivered by the Contractor in the performance of the contract shall be
considered Technical Data, as defined in DFARS 252.227-7018, “Rights in Noncommercial Technical
Data and Computer Software — Small Business Innovation Research (SBIR) Program.”

     c. Reports shall be submitted electronically in accordance with the attached Contract Data
Requirements List, DD Form 1423-1, submission requirements. For reports that are unable to be
submitted electronically, reports
shall be mailed by other than first-class mail unless the urgency of submission requires use
of first-class mail. In
this situation, one copy shall be mailed first-class and the remaining copies forwarded by
less than first-class.

     d. The following information shall be provided with all reports. However, if the report
incorporates a
MDA logo or letterhead, this information will be provided on a severable cover sheet and not
on the same sheet of paper as the MDA logo or letterhead.

- CONTRACT NUMBER

- PROGRAM’S DESCRIPTION (INCLUDING 2 LETTER CODE)/PROGRAM MANAGER

- CONTRACTOR’S POINT OF CONTACT NAME AND PHONE NUMBER

     e. All reports generated under this contract shall contain the following disclaimer statement
on the cover page:

     “The views, opinions, and findings contained in this report are those of the author(s) and
should not be construed as an official Department of Defense position, policy, or decision, unless
so designated by other official documentation.”

     f. Except as provided by the Contract Data Requirements List, DD Form 1423-1, Exhibit A, and
if incorporated the Contract Security Classification Specification, DD Form 254, the distribution
of any contract report
in any stage of development or completion is prohibited without the approval of the
Contracting Officer.

 

 

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Page 9 of 27

Section D — Packaging and Marking

SECTION D SPECIAL PROVISIONS

D-01 PACKAGING AND MARKING OF TECHNICAL DATA (MAY 2005) (TAILORED)

     Technical data items shall be preserved, packaged, packed, and marked in accordance with the
best commercial practices to meet the packaging requirements of the carrier and insure safe
delivery at destination. If applicable, Classified reports, data and documentation shall be
prepared for shipment in accordance with the National Security Program Operating Manual (NISPOM),
DoD 5220.22-M.

D-02 PACKAGING AND MARKING OF HARDWARE ITEMS (MAY 2005) (TAILORED)

     The contractor shall utilize best commercial practices for the preservation, packaging,
marking and labeling of any hardware delivered under this contract to insure safe delivery at final
destination. However, the contractor should also note the requirements of DFARS 252.211-7003, Item
Identification and Valuation, if applicable.

     Packaging and marking of hazardous materials shall comply with Title 49 of the Code
of Federal Regulation and the International Maritime Dangerous Goods.

     SPECIAL EMPHASIS ITEM: MARKING INSTRUCTIONS FOR MISSILE DEFENSE AGENCY (MDA) REQUIREMENTS -
Request for marking instructions shall be submitted electronically at least 90 days prior to
required delivery date, to:

Office of the Secretary of Defense

Missile Defense Agency, MDA/DACT

7100 Defense Pentagon

Washington, DC 20301-7100

E-mail: (Contract Specialist email address identified on Page 2 of the CDRL cover sheets, DD Form 1423-1, Exhibit A.)

 

 

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Section E — Inspection and Acceptance

SECTION E SPECIAL PROVISIONS

E-01 INSPECTION AND ACCEPTANCE (MAY 2005) (TAILORED)

     a. Final inspection and acceptance of the work called for herein shall be by the designated
Contracting
Officer’s Representative (COR) at: (Address indicated on Page 2 of the CDRL cover sheets, DD
Form 1423-1,
Exhibit A.)

     b. If hardware deliverables are required by the SOW, instructions for their final inspection
and acceptance
will be provided concurrently with the Packaging and Marking Instructions under Provision D-2).

E-02

CLAUSES INCORPORATED BY REFERENCE

	 	 	 	 	 
	52.246-9

	 	Inspection Of Research And Development (Short Form)
	 	APR 1984
	252.246-7000

	 	Material Inspection And Receiving Report
	 	MAR 2003

 

 

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Section F — Deliveries or Performance

SECTION F SPECIAL PROVISIONS

F-01 DELIVERY SCHEDULE/PERIOD OF PERFORMANCE (MAY 2005) (TAILORED)

     The contractor shall complete all work required by CLIN 0001 through 0006 no later than 12
months after the effective date of the contract.

F-02 DELIVERY SCHEDULE OF TECHNICAL DATA ITEMS (MAY 2005)

     The delivery schedule for each data deliverable will be as specified on the attached
Contract Data Requirements List(s), DD Form 1423-1, Exhibit A.

F-03

CLAUSES INCORPORATED BY REFERENCE

	 	 	 	 	 
	52.242-15

	 	Stop-Work Order
	 	AUG 1989
	52.247-34

	 	F.O.B. Destination
	 	NOV 1991
	52.247-55

	 	F.O.B. Point For Delivery Of Government-Furnished Property
	 	JUN 2003

 

 

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Section G — Contract Administration Data

SECTION G SPECIAL PROVISIONS

G-01 CONTRACT ADMINISTRATION (MAY 2005) (TAILORED)

     Notwithstanding the Contractor’s responsibility for total management during the performance of
this contract, the administration of the contract will require maximum coordination between the
Government and the Contractor. The following individuals will be the Government points of contact
during the performance of this contract:

     (a) CONTRACTING OFFICERS

     All contract administration will be effected by the Procuring Contracting Officer (PCO) or
designated Administrative Contracting Officer (ACO). Communication pertaining to the contract
administration should be addressed to the Administrative Contracting Officer if designated.
Contract administration functions (see FAR 42.302 and DFARS 242.302) are assigned to the cognizant
contract administration office. No changes, deviations, or waivers shall be effective without a
modification of the contract executed by the Contracting Officer or his duly authorized
representative authorizing such changes, deviations, or waivers.

     The point of contact for all contractual matters is: (The Contract Specialist identified
on Page 2 of the CDRL cover sheets, DD Form 

1423-1, Exhibit A.)

     (b) CONTRACTING OFFICER’S REPRESENTATIVE

     The Contracting Officer’s Representative (COR) is not authorized to change any of the terms
and conditions of the contract. The Contractor is advised that only the Contracting Officer can
change or modify the contract terms or take any other action which obligates the Government. Then,
such action must be set forth in a formal modification to the contract. The authority of the COR
cannot be redelegated to another person and is strictly limited to the specific duties set forth in
his/her letter of appointment, a copy of which is furnished to the Contractor. Contractors who rely
on direction from other than the Contracting Officer or a COR acting OUTSIDE the strict limits of
his/her responsibilities as set forth in his/her letter of appointment do so at their own risk and
expense. Such actions do not bind the Government contractually. Any contractual questions shall be
directed to the Contracting Officer.

     The COR under this contract is: (The COR identified on Page 2 of the CDRL cover sheets,
DD Form 1423-1, Exhibit A.)

     (c) The Contracting Officer shall provide the following information from the MDA
Representations,
Certifications and Other Statements of Offerers referenced in special provision H-l, and make
it a part of Contract
Administration for the contract. In addition, the contractor shall update this information,
when necessary, after contract award.

	 	 	 	 	 	 
	 

	Name of Company EDA POC:
	 	B. K. GOGIA
	 	 
	 
	 	 	 	 	 
	 

	E-Mail Address:
	 	bkgogia@dsri.com	 	 
	 
	 	 	 	 	 
	 

	Telephone No.:
	 	(703) 917-0880 ext 225	 	 
	 

	 	 	(including area code and extension)	 	 

The point of contact on matters pertaining to contract audits
is as follows:

	 	 	 	 	 	 
	 

	Name:
	 	B.K. Gogia
	 	 
	 
	 	 	 	 	 
	 

	Title:
	 	President & CEO	 	 

 

 

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	 	Telephone No.:
	 	(703) 917-0880 x 225
	 	 
	 

	 	 	 	(including area code and extension)	 	 

G-02 IDENTIFICATION OF CORRESPONDENCE (MAY 2005)

     All correspondence and data submitted by the Contractor under this contract shall reference
the contract number.

G-03 REMITTANCE ADDRESS (MAY 2005)

     The following information is provided pursuant to FAR 52.232-33, “Payment by Electronic Funds
Transfer — Central Contractor Registration,” Contract Section I (if applicable):

     DATAMAT SYSTEMS RESEARCH, INC.

     1600 INTERNATIONAL DRIVE, SUITE 110

     MCLEAN, VA 22102-4860

G-04 PATENT INFORMATION (MAY 2005) (TAILORED)

Patent information in accordance with FAR 52.227-11, “Patent Rights — Retention by the Contractor
(Short Form),” shall be forwarded through the Procuring Contracting Officer (PCO) and a courtesy
copy provided to the Contracting Officer’s Representative (COR).

     Missile Defense Agency

     ATTN: MDA/DACT 

     7100 Defense Pentagon 

     Washington, DC 20301-7100

G-05 SUBMISSION OF PAYMENT REQUESTS USING WIDE AREA WORK FLOW — RECEIPT AND ACCEPTANCE
(WAWF-RA) (JUN 2005)

a. Requirement for Electronic Payment Requests by WAWF-RA

     1. The Contractor shall submit all payment requests electronically in accordance with FAR Part
32. As
prescribed in DFARS clause 252.232-7003, Electronic Submission of Payment Requests,
contractors shall submit
all payment requests in electronic form unless the exception in the DFARS clause applies.
Paper copies will no
longer be processed for payment.

     2. To facilitate electronic submission, contractors shall submit all payment requests through
the Wide
Area Work Flow-Receipt and Acceptance (WAWF-RA) System at https://wawf.eb.mil using
the appropriate
Service Acceptor’s DoDAAC (MDA’s (NCR) is HQ0006; JNIC is H95001). When using WAWF-RA, the
contractor will inform the Contracting Officer’s Representative (COR) or designee via e-mail
that a WAWF
document has been submitted for approval.

     3. In accordance with Appendix F of the DFARS, at the time of each delivery of supplies or
services
under this contract, the contractor shall prepare and furnish to the Government the WAWF-RA
electronic form in
lieu of a paper copy Material Inspection and Receiving Report (MIRR), DD Form 250.

     4. When requesting final payment, the Contractor must establish compliance with all terms
of the
contract by submitting a Final Receiving Report through WAWF-RA, or Letter of
Transmittal, as applicable.

 

 

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     5. The WAWF Training Links are located on the Internet at https://wawf.eb.mil under
“About WAWF”.

     6. Questions regarding the use of the system are to be directed to the WAWF Help Desk:

DISA WESTHEM

Area Command Ogden

Customer Service Center

CONUS ONLY: 1-866-618-5988

COMMERCIAL: 801-605-7095

DSN: 338-7095

FAX COMMERCIAL: 801-605-7453

FAX DSN: 388-7453

cscassig@ogden.disa.mil

b. Submission of Invoices under Fixed Price Type Contracts

     1. “Invoice” as used in this paragraph does not include the contractor’s requests for
progress payments.

     2. The use of WAWF-RA electronic form and invoice are in accordance with DFARS Appendix F.

     3. In addition to the requirements of the Prompt Payment clause of the contract, the
contractor shall cite
on each invoice the contract line item (CLIN); the contract subline item number (SUBCLIN), if
applicable; the
accounting classification reference number (ACRN), and the payment terms.

     4. The contractor shall prepare either:

                               a separate invoice for each activity designated to receive the supplies or services
or

                               a consolidated invoice covering all shipments delivered under an individual order

     5. If acceptance is at origin, the contractor shall submit the WAWF-RA electronic
form or other
acceptance verification directly to the designated payment office.

     6. If acceptance is at destination, the consignee will forward acceptance verification to
the designated payment office.

c. Submission of Vouchers under Time and Materials and Cost Type Contracts (NOT APPLICABLE TO THIS
CONTRACT)

     1. Contractors approved under the Defense Contract Audit Agency’s (DCAA) direct billing
program may
submit the first and subsequent interim vouchers directly to the disbursing office.
Contractors participating in the
direct billing program must provide a copy of the first interim voucher to the cognizant DCAA
office within 5 days
of its submission to the disbursing office.

     2. Upon written notification to the contractor, DCAA may rescind the direct submission
authority. Upon
receipt of the notice to rescind the direct submission authority, the contractor will
immediately begin to submit
invoices for the affected contracts to DCAA.

     3. When authorized by the DCAA in accordance with DFARS 242.803(b)(i)(C), the contractor may
submit interim payment requests. Such authorization does not extend to the first and final
vouchers. Vouchers
requesting interim payments shall be submitted no more than once every two weeks. For
indefinite delivery type
contracts, interim payment requests shall be submitted no more than once every two weeks for
each delivery order.
There shall be a lapse of no more than 90 calendar days between performance and submission of
an interim
payment request.

 

 

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     4. The contractor agrees to segregate costs incurred under this contract at the level of
performance, either
task or subtask, or CLIN or SUBCLIN, rather than on a total contract basis, and to submit
vouchers reflecting costs
incurred at that level. Vouchers shall contain summaries of work charged during the period
covered, as well as
overall cumulative summaries for all work invoiced to date, by line item, subline item, task
or subtask. Delivery
orders will be segregated by individual order.

     5. The
contractor shall submit the final voucher to the cognizant DCAA office and ACO, if
applicable.

G-06 ACCOUNTING AND APPROPRIATION DATA

ACCOUNTING AND APPROPRIATION DATA

AA:
9760400.2520 6 BM 2520 60605502C00 255Y S12135 MD6051002C2875 620352

AMOUNT: $50,000.00

CIN SB9JLR62875000101: $50,000.00

AB:
9760400.2520 6 BM 2520 60605502C00 255Y S12135 MD6051002C3600 620352

AMOUNT: $100,000.00

CIN SB9JLR63600000201: $100,000.00

AC:
9760400.2520 6 BM 2520 60605502C00 255Y S12135 MD6051002C3602 620352

AMOUNT: $100,000.00

CIN SB9JLR63602000301: $100,000.00

AD:
9760400.2520 6 BM 2520 60605502C00 255Y S12135 MD6051002C3603 620352

AMOUNT: $100,000.00

CIN SB9JLR63603000401: $100,000.00

AE:
9760400.2520 6 BM 2520 60605502C00 255Y S12135 MD6051002C3604 620352

AMOUNT: $50,000.00

CIN SB9JLR63604000501: $50,000.00

 

 

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Section H — Special Contract Requirements

SECTION H SPECIAL PROVISIONS

H-01 INCORPORATION OF REPRESENTATIONS AND CERTIFICATIONS BY REFERENCE

     All representations and certifications and other written statements made by the contractor in
response to MDA REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS of the
solicitation or at the request of the Contracting Officer, incident to the award of the contract or
modification of this contract, have been retained in the official government contract file and are
hereby incorporated by reference with the same full force and effect as if they were given in full
text.

H-02 ALTERNATE DISPUTES RESOLUTION (MAY 2005)

     The Government and the Contractor will work together to ensure the success of the STTR Phase
II program. The parties realize, however, that disagreements and disputes may arise between them.
They agree to use their best efforts to resolve all disagreements and disputes quickly, efficiently
and fairly. The Government prefers to resolve all issues arising under or related to the contract
by negotiation, first at the Contracting Officer level, and if unresolved, at the Program
Director/Manager level. If negotiations reach an impasse, the Government and the Contractor agree
to consider using one or more of the ADR processes identified in 5 USC 571. In the event either
party rejects the use of ADR procedures, he will inform the other in writing of the specific
reasons.

     The parties agree that they will establish a written ADR process, tailored to the
circumstances, before beginning ADR. Typically, the agreement will address: issues requiring
resolution, authorized representatives, appointment of neutrals, audit requirements,
confidentiality and duration of the ADR process, suspension of litigation, and a schedule.

This provision does not prevent either party from taking any action to preserve its rights
under the Contract Disputes Act or any other statute or regulation. Agreement to this
provision is not a condition for award of this contract, nor will objections to this provision
be considered in evaluation for award.

H-03 PUBLIC RELEASE OF INFORMATION (MAY 2005) (TAILORED)

     a. The policies and procedures outlined herein apply to information submitted by the
Contractor and his
subcontractors for approval for public release. Prior to public release, all information shall
be cleared as shown in
the “National Industrial Security Program Operating Manual” (DoD 5220.22-M). At a minimum,
these materials
may be technical papers, presentations, articles for publication and speeches or mass media
material, such as press
releases, photographs, fact sheets, advertising, posters, compact discs, videos, etc.

     b. All materials which relate to the work performed by the contractor under this contract
shall be submitted
to MDA for review and approval prior to release to the public. Subcontractor public
information materials shall be
submitted for approval through the prime contractor to MDA.

     c. The MDA review and approval process for contractors working under an MDA contract starts
with the
contracting officer’s representative (COR) when they are located at the MDA National Capital
Region (NCR—
address same as paragraph j. below), and the contracting officer (who signed contract on cover
sheet for contract
award, or designated replacement) for all other contracts.

     (1) The contractor shall request a copy of MDA form “Request for Public Release Review”
or any
superseding form from the MDA COR or contracting officer (when COR is external to MDA
NCR).

     (2) The contractor shall complete Sections A through I of the Clearance Request form (or
comply with the
instructions of any superseding form) and submit it with materials to be cleared to the COR
(see paragraph j.

 

 

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below). If the information was previously cleared, provide the Public Release Case Number if
available and a copy of the previous document highlighting the updated information.

     (3) The
COR may affirm “public releaseability” by signing Section J.1, as Technical
Reviewer.

     (4) The COR will forward the Clearance Request with the materials to be cleared to the MDA
designated
point of contact for Section J.2 approval and submission of package to MDA/DC.

     (5) The MDA COR or contracting officer (when COR is external to MDA NCR) will notify the
contractor
of the agency’s final decision regarding the status of the request.

     d. The contractor shall submit the following to the COR at least 60 days in advance of
the proposed
release date:

     (1) Seven (7) copies of each item.

     (2) Written statement, including:

     (a) To whom the material is to be released

     (b) Desired date for public release

     (c) Statement that the material has been reviewed and approved by officials of the
contractor or the
subcontractor, for public release, and

     (d) The contract number.

     e. The items submitted must be complete. Photographs shall have captions.

     f. Outlines, rough drafts, marked-up copy (with handwritten notes), incorrect
distribution statements,
FOUO information, export controlled or ITAR information will not be accepted or cleared.

     g. Abstracts or abbreviated materials may be submitted if the intent is to determine the
feasibility of going
further in preparing a complete paper for clearance. However, clearance of abstracts or
abbreviated materials does
not satisfy the requirement for clearance of the entire paper.

     h. The MDA Director of Communications (MDA/DC) is responsible for coordinating the public
release review. MDA/DC will work directly with the COR if there are questions or concerns regarding
submissions. MDA/DC will not work with contractors who have not gone through their COR.

     i. Once information has been cleared for public release, it is in the public domain and shall
always be used in its originally cleared context and format. Information previously cleared for
public release but containing new, modified or further developed information must be submitted
again for public release following the steps outlined in items a. through h. above.

     j. Due to time and screening constraints, it is recommended that all “public release”
packages submitted to MDA be forwarded by a commercial overnight delivery service, addressed as
follows:

     Missile Defense Agency (MDA/DACT)

     Attn: First name, Last name*

      1301 Southgate Road 
     Arlington, VA 22202

 

			
	*	 	Insert name of COR or, if information is being forwarded by COR to MDA, insert the name of the
Contracting Officer.

H-04 ENABLING CLAUSE FOR BMD INTERFACE SUPPORT (MAY 2005)

 

 

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     a. It is anticipated that, during the performance of this contract, the Contractor will be
required to support
Technical Interface/Integration Meetings (TIMS) with other Ballistic Missile Defense (BMD)
Contractors and other
Government agencies. Appropriate organizational conflicts of interest clauses and additional
costs, if any, will be
negotiated as needed to protect the rights of the Contractor and the Government.

     b. Interface support deals with activities associated with the integration of the requirements
of this contract
into BMD system plans and the support of key Missile Defense Agency (MDA) program reviews.

     c. The Contractor agrees to cooperate with BMD Contractors by providing access to technical
matters,
provided, however, the Contractor will not be required to provide proprietary information to
non-Government
entities or personnel in the absence of a non-disclosure agreement between the Contractor and
such entities.

     d. The Contractor further agrees to include a clause in each subcontract requiring compliance
with
paragraph c. above. This agreement does not relieve the Contractor of its responsibility to
manage its subcontracts
effectively, nor is it intended to establish privity of contract between the Government and
such subcontractors.

     e. Personnel from BMD Contractors or other Government agencies or Contractors are not
authorized to
direct the Contractor in any manner. The Contractor agrees to accept technical direction as
follows: Whenever it
becomes necessary to modify the contract and redirect the effort, a change order signed by the
Contracting Officer,
or a supplemental agreement signed by both the Contracting Officer and the Contractor, will be
issued.

     f. This clause shall not prejudice the Contractor or its subcontractors from negotiating
separate
organizational conflict of interest agreements with BMD Contractors; however, these agreements
shall not restrict
any of the Government’s rights established pursuant to this clause or any other contract.

H-07 MDA VISIT AUTHORIZATION PROCEDURES (MAY 2005)

     a. The Contractor shall submit all required visit clearances in accordance with NISPOM
regulations and
will forward all visit requests, identifying the contract number, to:

Office of the Secretary of Defense

Missile Defense Agency, MDA/SOC

7100 Defense Pentagon

Washington, DC 20301-7100

Telephone No.: (703) 697-8204 Facsimile No.: (703) 693-1526

     b. The COR is authorized to approve visit requests for the Contracting Officer.

H-08 CONTROL OF ACCESS TO MDA SPACES AND INFORMATION SYSTEMS (MAY 2005)

     a. To maintain the security of the MDA spaces and information systems, the Contractor shall
notify the
COR in writing whenever a prime or subcontractor employee included on the current Visit
Authorization
Request/Letter no longer supports this contract. This requirement shall apply to both
Contractor and employee
initiated termination of services and to temporary suspension of services.

     b. The contractor will cooperate with COR in taking the following actions (facilitating the
employee’s
return of all badges, keycards, and passes). Specifically, upon notification, the COR will
work with the Technical
Area Security Officer (TASO)/Office Security Manager (OSM) to ensure timely action to:

     (1) remove the employee from the current Visit Authorization Request/Letter;

     (2) cancel the MDA badge, keycard and Pentagon Pass issued pursuant to the Visit
Authorization
Request/Letter; and

     (3) terminate the MDA LAN account/access privileges.

 

 

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     c. The contractor shall identify the reason for and date of termination or expected period of
suspension and submit the notification to the COR within five (5) working days prior to service
discontinuation. For unplanned termination or suspension of services, notification shall be made on
the same working day as the termination/suspension action.

H-09 ORGANIZATIONAL CONFLICT OF INTEREST (OCI) (MAY 2005) (TAILORED)

     a. Purpose: The primary purpose of this clause is to aid in ensuring that:

     (1) the Contractor’s objectivity and judgment are not biased because of its present, or
currently planned
interests (financial, contractual, organizational, or otherwise) which relate to work under
this contract;

     (2) the Contractor does not obtain an unfair competitive advantage by virtue of its access to
non-public
information regarding the Government’s program plans and actual or anticipated resources; and

     (3) the Contractor does not obtain any unfair competitive advantage by virtue of its access to
proprietary
information belonging to others.

     b. Scope: The restrictions described herein shall apply to performance or participation by the
Contractor
and any of its affiliates or their successors in interest (hereinafter collectively referred
to as “Contractor”) in the
activities covered by this clause as prime Contractor, subcontractor, co-sponsor, joint
venture, consultant, or in any
similar capacity. The term “proprietary information” for purposes of this clause is any
information considered so
valuable by its owners that it is held secret by them and their licensees. Information
furnished voluntarily by the
owner without limitations on its use, or which is available without restrictions from other
sources, is not considered
proprietary.

     (1) Maintenance of Objectivity: The Contractor shall be ineligible to participate in any
capacity in
contracts, subcontracts, or proposals thereof (solicited or unsolicited) which stem directly
from the Contractor’s
performance of work under this contract. Furthermore, unless so directed in writing by the
Contracting Officer, the
Contractor shall not perform any services under this contract on any of its own products or
services, or the products
or services of another firm if the Contractor is, or has been, substantially involved in their
development or
marketing. In addition, if the Contractor under this contract prepares a complete, or
essentially complete, Statement
of Work (SOW)/Statement of Objectives (SOO), or other form of technical solutions, functions,
requirements or
specifications document, to be used, directly or indirectly, in competitive acquisitions, the
Contractor shall be
ineligible to perform or participate in any capacity in any contractual effort which is based
on such SOW/SOO or
specifications. Nothing in this subparagraph shall preclude the Contractor from competing for
follow-on contracts
involving the same or similar services based on such a SOW/SOO or specification. This
paragraph does not apply to
follow-on SBIR/STTR contracts for work awarded in Phase I or Phase II.

     (2) Access To and Use of Government Information: If the Contractor, in the performance of this
contract,
obtains access to information such as plans, policies, reports, studies, financial plans, or
data which has not been
released or otherwise made available to the public, the Contractor agrees that without prior
written approval of the
Contracting Officer, it shall not: (a) use such information for any private purpose; (b)
compete for work based on
such information for a period of one year after the completion of this contract, or until such
information is released
or otherwise made available to the public, whichever occurs first; (c) submit an unsolicited
proposal to the
Government which is based on such information until one (1) year after such information is
released or otherwise
made available to the public, or (d) release such information.

     (3) Access To and Protection of Proprietary Information: The Contractor agrees that, to the
extent it
receives or is given access to proprietary data, trade secrets, or other confidential or
privileged technical, business,
or financial information (hereinafter referred to as “proprietary data”) under this contract,
it shall treat such
information in accordance with any restrictions imposed on such information. The Contractor
further agrees to
enter into a written agreement for the protection of the proprietary data of others and to
exercise diligent effort to
protect such proprietary data from unauthorized use or disclosure. In addition, the Contractor
shall obtain from each

 

 

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employee who has access to proprietary data under this contract, a written agreement which shall in
substance provide that such employee shall not, during his/her employment by the Contractor or
thereafter, disclose to others or use for their benefit, proprietary data received in connection
with the work under this contract. The Contractor will educate its employees regarding the
philosophy of Part 9.505-4 of the Federal Acquisition Regulation so that they will not use or
disclose proprietary information or data generated or acquired in the performance of this contract
except as provided herein.

     c. Subcontracts: The Contractor shall include this or substantially the same clause,
including this
paragraph, in consulting agreements and subcontracts of all tiers. The terms “Contract”,
“Contractor”, and
“Contracting Officer”, will be appropriately modified to preserve the Government’s
rights.

     d. Representations and Disclosures:

     (1) The Contractor represents that it has disclosed to the Contracting Officer, prior to
award, all facts
relevant to the existence or potential existence of organizational conflicts of interest as
that term is used in FAR
Subpart 9.5. To facilitate disclosure and Contracting Officer approval, the Contractor shall
complete an OCI
Analysis/Disclosure Form for each MDA, Ballistic Missile Defense (BMD), and BMD-related
contract or
subcontract (if there is a potential conflict of interest; form shall be requested from the
Procuring Contracting
Officer).

     (2) The Contractor represents that if it discovers an organizational conflict of interest or
potential conflict
of interest after award, a prompt and full disclosure shall be made in writing to the
Contracting Officer. This
disclosure shall include a description of the action the Contractor has taken or proposes to
take in order to avoid or
mitigate such conflicts.

     e. Remedies and Waiver:

     (1) For breach of any of the above restrictions or for non-disclosure or misrepresentation of
any relevant
facts required to be disclosed concerning this contract, the Government may terminate this
contract for default,
disqualify the Contractor from subsequent related contractual efforts, and pursue such other
remedies as may be
permitted by law or this contract. If, however, in compliance with this clause, the Contractor
discovers and
promptly reports an organizational conflict of interest (or the potential thereof) subsequent
to contract award, the
Contracting Officer may terminate this contract for convenience if such termination is deemed
to be in the best
interest of the Government.

     (2) The parties recognize that this clause has potential effects which will survive the
performance of this
contract and that it is impossible to foresee each circumstance to which it might be applied
in the future.
Accordingly, the Contractor may at any time seek a waiver from the Director, MDA, (via the
Contracting Officer)
by submitting a full written description of the requested waiver and the reasons in support
thereof.

     f. Modifications: Prior to contract modification, when the SOW/SOO or specification is changed
to add
new work or the period of performance is significantly increased, the Contracting Officer will
request and the
Contractor is required to submit either an organizational conflict of interest disclosure or
an update of the previously
submitted disclosure(s) or representation(s).

H-10 ACQUISITION OF FACILITIES (MAY 2005) (TAILORED)

     The Contractor agrees to provide all necessary facilities (as defined under FAR 45.301 and
further defined under FAR 45.101, Definitions of Plant Equipment and Real Property) for the
performance of this contract.

H-ll            GOVERNMENT-FURNISHED PROPERTY AND/OR TECHNICAL INFORMATION (IF APPLICABLE)

 

 

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     The Government will furnish to the Contractor for use in the performance of the contract
Government-owned property and/or information listed in an attachment to this contract, subject to
the provisions of the Government Property Clause of the Contract Clauses.

H-12 PUBLIC LAW 102-564, SEC. 306. SENSE OF THE CONGRESS CONCERNING AMERICAN-MADE EQUIPMENT
AND PRODUCTS.

     “(a) PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS- It is the sense of the Congress that an
entity that is awarded a funding agreement under the SBIR program of a Federal agency under section
9 of the Small Business Act should, when purchasing any equipment or a product with funds provided
through the funding agreement, purchase only American-made equipment and products, to the extent
possible in keeping with the overall purposes of that program.

     “(b) NOTICE TO SBIR AWARDEES- Each Federal agency that awards funding agreements under the
SBIR program shall provide to each recipient of such an award a notice describing the sense of the
Congress, as set forth in subsection (a).”

H-13 PROPOSER ELIGIBILITY/LIMITATIONS AND PRINCIPAL INVESTIGATOR/KEY PERSONNEL (STTR)

     Quoting from the STTR Solicitation:

“1.3 Proposer Eligibility and Limitations

“Each proposer must qualify as a small business for research or research and development purposes
as defined in Section 2.3 and certify to this on the Cover Sheet of the proposal. In addition, a
minimum of 40 percent of each STTR project must be carried out by the small business concern and a
minimum of 30 percent of the effort performed by the research institution, as defined in Section
2.4. The percent of work is usually measured by both direct and indirect costs, although proposers
planning to subcontract a significant fraction of their work should verify how it will be measured
with their DoD contracting officer during contract negotiations. The principal investigator must be
primarily employed with the small business firm or the research institution. At the time of award
of a Phase I or Phase II contract, the small business concern must have at least one employee in a
management position whose primary employment is with the small business and who is not also
employed by the research institution. Primary employment means that more than one half of the
employee’s time is spent with the small business. Primary employment with a small business concern
precludes full-time employment at another organization. For both
Phase I and Phase II, all research
or research and development work must be performed by the small business concern and its
subcontractors in the United States...”

     Should changes be necessary, the contractor shall notify the Contracting Officer and COR in
writing at least two weeks in advance, otherwise as soon as known, of the proposed substitutes and
their qualifications. Implementation of the changes shall be subject to Government approval.

     This clause does not, in any way, abrogate the contractor’s authority to hire or assign
personnel as it sees fit, or its responsibility to fill key positions with qualified personnel.

 

 

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Section I — Contract Clauses

CLAUSES INCORPORATED BY REFERENCE

	 	 	 	 	 
	52.202-1

	 	Definitions
	 	JUL 2004
	52.203-3

	 	Gratuities
	 	APR 1984
	52.203-5

	 	Covenant Against Contingent Fees
	 	APR 1984
	52.203-6

	 	Restrictions On Subcontractor Sales To The Government
	 	JUL 1995
	52.203-7

	 	Anti-Kickback Procedures
	 	JUL 1995
	52.203-8

	 	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity
	 	JAN 1997
	52.203-10

	 	Price Or Fee Adjustment For Illegal Or Improper Activity
	 	JAN 1997
	52.203-12

	 	Limitation On Payments To Influence Certain Federal Transactions
	 	SEP 2005
	52.204-4

	 	Printed or Copied Double-Sided on Recycled Paper
	 	AUG 2000
	52.204-7

	 	Central Contractor Registration
	 	JUL 2006
	52.209-6

	 	Protecting the Government’s Interest When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment
	 	JAN 2005
	52.211-15

	 	Defense Priority And Allocation Requirements
	 	SEP 1990
	52.215-2

	 	Audit and Records—Negotiation
	 	JUN 1999
	52.215-8

	 	Order of Precedence—Uniform Contract Format
	 	OCT 1997
	52.215-10

	 	Price Reduction for Defective Cost or Pricing Data
	 	OCT 1997
	52.215-12

	 	Subcontractor Cost or Pricing Data
	 	OCT 1997
	52.215-15

	 	Pension Adjustments and Asset Reversions
	 	OCT 2004
	52.215-17

	 	Waiver of Facilities Capital Cost of Money
	 	OCT 1997
	52.215-18

	 	Reversion or Adjustment of Plans for Postretirement Benefits (PRB) Other than Pensions
	 	JUL 2005
	52.215-19

	 	Notification of Ownership Changes
	 	OCT 1997
	52.219-8

	 	Utilization of Small Business Concerns
	 	MAY 2004
	52.222-3

	 	Convict Labor
	 	JUN 2003
	52.222-21

	 	Prohibition Of Segregated Facilities
	 	FEB 1999
	52.222-26

	 	Equal Opportunity
	 	APR 2002
	52.222-35

	 	Equal Opportunity For Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans
	 	DEC 2001
	52.222-36

	 	Affirmative Action For Workers With Disabilities
	 	JUN 1998
	52.222-37

	 	Employment Reports On Special Disabled Veterans, Veterans Of The Vietnam Era, and Other Eligible Veterans
	 	DEC 2001
	52.222-39

	 	Notification of Employee Rights Concerning Payment of Union Dues or Fees
	 	DEC 2004
	52.222-50

	 	Combating Trafficking in Persons
	 	APR 2006
	52.223-6

	 	Drug-Free Workplace
	 	MAY 2001
	52.223-14

	 	Toxic Chemical Release Reporting
	 	AUG 2003
	52.225-13

	 	Restrictions on Certain Foreign Purchases
	 	FEB 2006
	52.227-1 Alt I

	 	Authorization And Consent (Jul 1995) — Alternate I
	 	APR 1984
	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
	52.229-3

	 	Federal, State And Local Taxes
	 	APR 2003
	52.232-2

	 	Payments Under Fixed-Price Research And Development Contracts
	 	APR 1984
	52.232-8

	 	Discounts For Prompt Payment
	 	FEB 2002
	52.232-9

	 	Limitation On Withholding Of Payments
	 	APR 1984

 

 

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	52.232-11

	 	Extras
	 	APR 1984
	52.232-17

	 	Interest
	 	JUN 1996
	52.232-23 Alt I

	 	Assignment of Claims (Jan 1986) — Alternate I
	 	APR 1984
	52.232-25

	 	Prompt Payment
	 	OCT 2003
	52.232-33

	 	Payment by Electronic Funds
Transfer—Central Contractor Registration
	 	OCT 2003
	52.233-1

	 	Disputes
	 	JUL 2002
	52.233-3

	 	Protest After Award
	 	AUG 1996
	52.233-4

	 	Applicable Law for Breach of Contract Claim
	 	OCT 2004
	52.242-13

	 	Bankruptcy
	 	JUL 1995
	52.243-1

	 	Changes—Fixed Price
	 	AUG 1987
	52.243-1 Alt V

	 	Changes—Fixed-Price (Aug 1987) — Alternate V
	 	APR 1984
	52.244-6

	 	Subcontracts for Commercial Items
	 	FEB 2006
	52.245-4

	 	Government-Furnished Property (Short Form)
	 	JUN 2003
	52.245-18

	 	Special Test Equipment
	 	FEB 1993
	52.246-25

	 	Limitation Of Liability—Services
	 	FEB 1997
	52.249-2

	 	Termination For Convenience Of The Government (Fixed-Price)
	 	MAY 2004
	52.249-9

	 	Default (Fixed-Priced Research And Development)
	 	APR 1984
	52.249-14

	 	Excusable Delays
	 	APR 1984
	52.253-1

	 	Computer Generated Forms
	 	JAN 1991
	252.201-7000

	 	Contracting Officer’s Representative
	 	DEC 1991
	252.203-7001

	 	Prohibition On Persons Convicted of Fraud or Other Defense-Contract-Related Felonies
	 	DEC 2004
	252.204-7000

	 	Disclosure Of Information
	 	DEC 1991
	252.204-7003

	 	Control Of Government Personnel Work Product
	 	APR 1992
	252.204-7004 Alt A

	 	Required Central Contractor Registration Alternate A
	 	NOV 2003
	252.205-7000

	 	Provision Of Information To Cooperative Agreement Holders
	 	DEC 1991
	252.208-7000

	 	Intent To Furnish Precious Metals As Government— Furnished Material
	 	DEC 1991
	252.209-7004

	 	Subcontracting With Firms That Are Owned or Controlled By The Government of a Terrorist Country
	 	MAR 1998
	252.215-7000

	 	Pricing Adjustments
	 	DEC 1991
	252.215-7002

	 	Cost Estimating System Requirements
	 	OCT 1998
	252.225-7006

	 	Quarterly Reporting of Actual Contract Performance Outside the United States
	 	JUN 2005
	252.225-7012

	 	Preference For Certain Domestic Commodities
	 	JUN 2004
	252.225-7014 Alt I

	 	Preference For Domestic Specialty Metals (Jun 2005) — Alternate I
	 	APR 2003
	252.226-7001

	 	Utilization of Indian Organizations and Indian-Owned Economic Enterprises, and Native Hawaiian Small Business Concerns
	 	 SEP 2004
	252.227-7016

	 	Rights in Bid or Proposal Information
	 	JUN 1995
	252.227-7018

	 	Rights in Noncommercial Technical
Data and Computer Software — Small Business Innovation Research (SBIR) Program
	 	JUN 1995
	252.227-7019

	 	Validation of Asserted Restrictions— Computer Software
	 	JUN 1995
	252.227-7025

	 	Limitations on the Use or Disclosure of Government- Furnished Information Marked with Restrictive Legends
	 	JUN 1995
	252.227-7030

	 	Technical Data — Withholding Of Payment
	 	MAR 2000
	252.227-7034

	 	Patents—Subcontracts
	 	APR 1984
	252.227-7037

	 	Validation of Restrictive Markings on Technical Data
	 	SEP 1999
	252.227-7039

	 	Patents—Reporting Of Subject Inventions
	 	APR 1990
	252.231-7000

	 	Supplemental Cost Principles
	 	DEC 1991

 

 

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	252.232-7003

	 	Electronic Submission of Payment Requests
	 	JAN 2004
	252.232-7010

	 	Levies on Contract Payments
	 	SEP 2005
	252.235-7011

	 	Final Scientific or Technical Report
	 	NOV 2004
	252.243-7001

	 	Pricing Of Contract Modifications
	 	DEC 1991
	252.243-7002

	 	Requests for Equitable Adjustment
	 	MAR 1998
	252.244-7000

	 	Subcontracts for Commercial Items and Commercial Components (DoD Contracts)
	 	MAR 2000
	252.245-7001

	 	Reports Of Government Property
	 	MAY 1994
	252.247-7023

	 	Transportation of Supplies by Sea
	 	MAY 2002
	252.247-7024

	 	Notification Of Transportation Of Supplies By Sea
	 	MAR 2000

CLAUSES INCORPORATED BY FULL TEXT

52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

This contract incorporates one or more clauses by reference, with the same force and effect as if
they were given in full text. Upon request, the Contracting Officer will make their full text
available. Also, the full text of a clause may be accessed electronically at this/these
address(es): http://farsite.hill.af.mil/

(End of clause)

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

(a) The terms used in this provision are defined in following clause or clauses contained in this
solicitation--

(1) If
a successful offeror will be required to deliver technical data, the Rights in Technical
Data—Noncommercial
Items clause, or, if this solicitation contemplates a contract under the Small Business Innovative
Research Program,
the Rights in Noncommercial Technical Data and Computer Software—Small Business Innovative Research
(SBIR)
Program clause.

(2) If
a successful offeror will not be required to deliver technical data, the Rights in
Noncommercial Computer
Software and Noncommercial Computer Software Documentation clause, or, if this solicitation
contemplates a
contract under the Small Business Innovative Research Program, the Rights in Noncommercial
Technical Data and
Computer Software—Small Business Innovative Research (SBIR) Program clause.

(b) The identification and assertion requirements in this provision apply only to technical data,
including computer
software documents, or computer software to be delivered with other than unlimited rights. For
contracts to be
awarded under the Small Business Innovative Research Program, the notification requirements do not
apply to
technical data or computer software that will be generated under the resulting contract.
Notification and
identification is not required for restrictions based solely on copyright.

(c) Offers submitted in response to this solicitation shall identify, to the extent known at the
time an offer is
submitted to the Government, the technical data or computer software
that the Offeror, its
subcontractors or
suppliers, or potential subcontractors or suppliers, assert should be furnished to the Government
with restrictions on
use, release, or disclosure.

(d) The
Offeror’s assertions, including the assertions of its subcontractors or suppliers or
potential subcontractors or
suppliers shall be submitted as an attachment to its offer in the following format, dated and
signed by an official
authorized to contractually obligate the Offeror:

 

 

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Identification and Assertion of Restrictions on the Government’s Use, Release, or Disclosure of
Technical Data or Computer Software.

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

	 	 	 	 	 	 	 
	Technical Data or Computer

	 	 	 	 	 	Name of Person
	Software to be Furnished

	 	 	 	 	 	Asserting
	With Restrictions *

	 	Basis for Assertion **
	 	Asserted Rights Category ***
	 	Restrictions ****

      (LIST)*****                                     (LIST)                                    
           (LIST)                                          (LIST)

 

			
	*	 	For technical data (other than computer software documentation) pertaining to items, components,
or processes developed at private expense, identify both the deliverable technical data and each
such items, component, or process. For computer software or computer software documentation
identify the software or documentation.
	 
	**	 	Generally, development at private expense, either exclusively or partially, is the only basis for
asserting restrictions. For technical data, other than computer software documentation, development
refers to development of the item, component, or process to which the data pertain. The
Government’s rights in computer software documentation generally may not be restricted. For
computer software, development refers to the software. Indicate whether development was
accomplished exclusively or partially at private expense. If development was not accomplished at
private expense, or for computer software documentation, enter the specific basis for asserting
restrictions.
	 
	***	 	Enter asserted rights category (e.g., government purpose license rights from a prior contract,
rights in SBIR data generated under another contract, limited, restricted, or government purpose
rights under this or a prior contract, or specially negotiated licenses).
	 
	****	 	Corporation, individual, or other person, as appropriate.
	 
	*****	 	Enter “none” when all data or software will be submitted without restrictions.

Date                                         

Printed Name and Title                                                             

Signature                                         

(End of identification and assertion)

(e) An
offeror’s failure to submit, complete, or sign the notification and identification required
by paragraph (d) of
this provision with its offer may render the offer ineligible for award.

(f) If
the Offeror is awarded a contract, the assertions identified in paragraph (d) of this
provision shall be listed in
an attachment to that contract. Upon request by the Contracting
Officer, the Offeror shall provide
sufficient
information to enable the Contracting Officer to evaluate any listed assertion.

(End of provision)

252.235-7010 Acknowledgment of Support and Disclaimer. (MAY 1995)

 

 

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(a) The Contractor shall include an acknowledgment of the Government’s support in the publication
of any material
based on or developed under this contract, stated in the following terms: This material is based
upon work supported
by the Missile Defense Agency under Contract No. HQ0006-07-7372.

(b) All material, except scientific articles or papers published in scientific journals, must, in
addition to any notices
or disclaimers by the Contractor, also contain the following disclaimer: Any opinions, findings and
conclusions or
recommendations expressed in this material are those of the author(s) and do not necessarily
reflect the views of the
Missile Defense Agency.

 

 

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Section J
— List of Documents, Exhibits and Other Attachments

Exhibit/Attachment Table of Contents

	 	 	 	 	 	 	 	 	 
	DOCUMENT TYPE	 	DESCRIPTION	 	PAGES	 	DATE
	Exhibit A

	 	Contract Data
	 	9	 	 	 	27-OCT-2006
	 

	 	Requirements List	 	 	 	 	 	 
	Attachment 1

	 	Statement of Work
	 	4	 	 	 	27-OCT-2006

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