Document:

EX-10.2

Exhibit 10.2

Confidential Materials omitted and filed separately with the Securities and Exchange Commission.

Asterisk denote omissions.

	U.S. DEPARTMENT OF ENERGY
NOTICE OF FINANCIAL ASSISTANCE AWARD

	Under the authority of Public Law 109-58, Energy Policy Act (2005)

	1. PROJECT TITLE } 2. INSTRUMENT TYPE }
{ Wave Power Demonstration Project at Reedsport, Oregon } GRANT COOPERATIVE AGREEMENT }
3. RECIPIENT (Name, address, zip code) } 4. INSTRUMENT NO. } 5. AMENDMENT NO. }
{ Ocean Power Technologies, Inc. } DE-FG36-08GO88017 } M001 }
{ 1590 Reed Road }
{ Pennington, NJ 08534-5010 }
6. BUDGET PERIOD } 7. PROJECT PERIOD }
FROM: 8/1/2008 THRU: 11/30/2009 } FROM: 8/1/2008 THRU: 11/30/2009 }
8. RECIPIENT PROJECT DIRECTOR (Name, phone and E-mail) } 10. TYPE OF AWARD }
{ Herbert T. Nock Ph: 609-730-0400 } NEW CONTINUATION RENEWAL }
{ E-mail: hnock@oceanpowertech.com } REVISION INCREMENTAL FUNDING }
9. RECIPIENT BUSINESS OFFICER (Name, phone and E-mail) }
{ Deborah Montagna Phone: 609-730-0400 }
{ E-mail: dmontagna@oceanpowertech.com }
11. DOE PROJECT OFFICER (Name, address, phone and E-mail) } 12. DOE AWARD ADMINISTRATOR (Name, address, phone and E-mail) }
{ Curtis K. Framel Phone: 303-275-4872 } Sara Wilson Phone: 303-275-4922 }
{ Golden Field Office } Golden Field Office }
{ 1617 Cole Blvd } 1617 Cole Blvd. }
{ Golden, CO. 80401-3393 } Golden, CO 80401-3305 }
{ E-mail: Curtis.Framel@go.doe.gov } E-mail: sara.wilson@go.doe.gov }
13. RECIPIENT TYPE }
STATE GOV’T            INDIAN TRIBAL GOV’T } HOSPITAL } FOR PROFIT ORGANIZATION } INDIVIDUAL
LOCAL GOV’T            INSTITUTION OF HIGHER EDUCATION } OTHER NONPROFIT ORGANIZATION } C P SP } OTHER (Specify):
14. ACCOUNTING AND APPROPRIATIONS DATA: } 15. EMPLOYER I.D. }
a. TIN: 22-2535818 }
——
b. DUNS: 181079872 }
——
16. BUDGET AND FUNDING INFORMATION }
a. CURRENT BUDGET PERIOD INFORMATION } b. CUMULATIVE DOE OBLIGATIONS }
(1) DOE Funds Obligated This Action }{ $0.00 } (1) This Budget Period }{ $1,968,000.00
(2) DOE Funds Authorized for Carry Over } ——  [Total of lines a.(1) and a.(3)] } —
(3) DOE Funds Previously Obligated in this Budget }{ $0.00 } (2) Prior Budget Periods }{ $0.00
Period } ——  (3) Project Period to Date } —
(4) DOE Share of Total Approved Budget }{ $1,968,000.00 } [Total of lines b.(1) and b.(2)] }{ $1,968,000.00
(5) Recipient Share of Total Approved Budget } ——
(6) Total Approved Budget }{ $1,968,000.00 }
——
$[**] }
$[**] }
17. TOTAL ESTIMATED COST OF PROJECT, INCLUDING DOE FUNDS TO FFRDC: $[**] }
(This is the current estimated cost of the project. It is not a promise to award nor an authorization to expend funds in this amount.) }
18. AWARD/AGREEMENT TERMS AND CONDITIONS }
This award/agreement consists of this form plus the following: }
a. Special terms and conditions. }
b. Applicable program regulations (Specify) N/A (Date) }

	c. DOE Assistance Regulations, 10 CFR Part 600 at http://ecfr.gpoaccess.gov and if the award is for research and to a university or non-profit, the Research Terms and Conditions and the DOE Agency Specific Requirements at
http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp.
d. Application/proposal as approved by DOE.
e. National Policy Assurances to be incorporated as Award Terms in effect on date of award at http://www.management.energy.gov/business_doe/1374.htm.
19. REMARKS
Please see page 2 of this Notice of Financial Assistance Award.
20. EVIDENCE OF RECIPIENT ACCEPTANCE 21. AWARDED BY
/s/ Charles F. Dunleavy 16 October 2008 /s/ Sara Wilson Sep 29, 2008

	(Signature of Authorized Recipient Official) (Date) (Signature) (Date)
Charles F. Dunleavy            Sara Wilson

	(Name) (Name)
CFO            Contracting Officer

	(Title) (Title)

 

DE-FG36-08GO88017

Amendment M001

Page 2 of 2

NFAA Block 19. Remarks: (Continued)

	A.	 	The purpose of this amendment is to revise provisions in the Special Terms and
Conditions, Attachment 1 to the award; and to revise the Intellectual Property Provisions,
Attachment 2 to the award. Therefore, the Grant is amended as follows:

	 	1.	 	In Attachment 1, Special Terms and Conditions of Award A000, Provision
3, Cost Share, is deleted in its entirety and replaced with the following:

	3.	 	COST SHARE

	 	a.	 	The Government has determined that the minimum required cost share for this
Demonstration project is 50.0%. Accordingly, notwithstanding the Recipient’s cost
share described below, the Awardee must cost share a minimum of fifty percent of the
Total Estimated Project Costs. The Awardee’s cost share must derive from non-Federal
sources unless otherwise allowed by law. By accepting federal funds under this award,
the Awardee agrees to be responsible for its percentage share of total allowable
project costs, on a budget period basis, even if the project is terminated early or is
not funded to its completion.
	 
	 	b.	 	Total Estimated Project Cost is the sum of the DOE share and Awardee share of
the estimated project costs. This cost is shared as follows:

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Total
	 	 	Budget Period	 	DOE Cost Share	 	Awardee Cost Share	 	Estimated
	Budget Period No.	 	Start Date	 	$ / %	 	$ / %	 	Costs
	1
	 	 	08/01/2008	 	 	$	1,968,000 / [**]	%	 	$	[**] / [**]	%.	 	$	[**]	 
	Total Project
	 	 	 	 	 	$	1,968,000 / [**]	%	 	$	[**] / [**]	%	 	$	[**]	 

	 	c.	 	If the Awardee is unable to provide cost share of at least the amount
identified in paragraph b of this article, the Awardee shall notify the DOE Award
Administrator identified in Block 12 of the Notice of Financial Assistance Award,
indicating whether the Awardee will continue or phase out the project, if the project
will continue, the notification must describe how replacement cost share will be
secured.
	 
	 	d.	 	The Awardee must maintain records of all project costs that are claimed as cost
share, including in-kind costs, as well as records of costs to be paid by DOE. Such
records are subject to audit.
	 
	 	e.	 	Failure to provide the required 50.0% minimum cost share may result in the
subsequent recovery by DOE of some or all the funds provided under the award.
	 
	 	2.	 	In Attachment 1, Special Terms and Conditions of Award A000, Paragraph (c) of
Provision 4, Rebudgeting and Recovery of Indirect Costs, is not applicable and
is therefore deleted in its entirety.
	 
	 	3.	 	Replace Attachment 2, Intellectual Property Provisions (GSB-1003), with
the attached.

	B.	 	All other terms and conditions remain the same.

 

 

DE-FG36-08GO88017 / M001

Attachment #2

Intellectual Property Provisions (GSB-1003)

Grant

Research, Development, or Demonstration

Domestic Small Businesses

	 	 	 
	01. FAR 52.227-20

	 	Rights in Data — SBIR Program (DEC 2007)
	 
	 	 
	02.
10 CFR 600.325
          Appendix A

	 	Patent Rights (Small Business Firms and Nonprofit
Organizations) (OCT 2003)
	 
	 	 
	03. FAR 52.227-23

	 	Rights to Proposal Data (Technical) (JUN 1987)

NOTE: In reading these provisions, any reference to “contractor” shall mean “recipient,” and any
reference to “contract” or “subcontract” shall mean “award” or “subaward.”

 

 

01. 52.227-20 Rights in Data—SBIR Program. (Dec 2007)

     (a) Definitions. As used in this clause—

     “Computer database” or “database” means a collection of recorded information in a form capable
of, and for the purpose of, being stored in, processed, and operated on by a computer. The term
does not include computer software.

     “Computer
software”—

     (1) Means.

               (i) Computer programs that comprise a series of instructions, rules, routines, or statements,
regardless of the media in which recorded, that allow or cause a computer to perform a specific
operation or series of operations; and

               (ii) Recorded information comprising source code listings, design details, algorithms,
processes, flow charts, formulas, and related material that would enable the computer program to be
produced, created, or compiled.

          (2) Does not include computer databases or computer software documentation.

     “Computer software documentation” means owner’s manuals, user’s manuals, installation
instructions, operating instructions, and other similar items, regardless of storage medium, that
explain the capabilities of the computer software or provide instructions for using the software.

     “Data” means recorded information, regardless of form or the media on which it may be
recorded. The term includes technical data and computer software. The term does not include
information incidental to contract administration, such as financial, administrative, cost or
pricing or management information.

     “Form, fit, and function data” means data relating to items, components, or processes that are
sufficient to enable physical and functional interchangeability, and data identifying source, size,
configuration, mating and attachment characteristics, functional characteristics, and performance
requirements. For computer software it means data identifying source, functional characteristics,
and performance requirements but specifically excludes the source code, algorithms, processes,
formulas, and flow charts of the software.

     “Limited rights data” means data (other than computer software) developed at private expense
that embody trade secrets or are commercial or financial and confidential or privileged.

     “Restricted computer software” means computer software developed at private expense and that
is a trade secret, is commercial or financial and confidential or privileged, or is copyrighted
computer software, including minor modifications of the computer software.

     “SBIR data” means data first produced by a Contractor that is a small business concern in
performance of a small business innovation research contract issued under the authority of 15
U.S.C. 638 which data are not generally known, and which data without obligation as to its
confidentiality have not been made available to others by the Contractor or are not already
available to the Government.

     “SBIR rights” means the rights in SBIR data set forth in the SBIR Rights Notice of paragraph
(d) of this clause.

     “Technical data” means recorded information (regardless of the form or method of the
recording) of a scientific or technical nature (including computer databases and computer software
documentation). This term does not include computer software or financial, administrative, cost or
pricing, or management data or other information

1

 

incidental to contract administration. The term includes recorded information of a scientific
or technical nature that is included in computer databases. (See 41 U.S.C. 403(8).)

     “Unlimited rights” means the right of the Government to use, disclose, reproduce, prepare
derivative works, distribute copies to the public, and perform publicly and display publicly, in
any manner and for any purpose whatsoever, and to have or permit others to do so.

     (b) Allocation of rights.

          (1) Except as provided in paragraph (c) of this clause regarding copyright, the Government
shall have unlimited rights in—

               (i) Data specifically identified in this contract as data to be delivered without restriction;

               (ii) Form, fit, and function data delivered under this contract;

               (iii) Data delivered under this contract (except for restricted computer software) that
constitute manuals or instructional and training material for installation, operation, or routine
maintenance and repair of items, components, or processes delivered or furnished for use under this
contract; and

               (iv) All other data delivered under this contract unless provided otherwise for SBIR data in
accordance with paragraph (d) of this clause or for limited rights data or restricted computer
software in accordance with paragraph (f) of this clause.

          (2) The Contractor shall have the right to—

               (i) Assert copyright in data first produced in the performance of this contract to the extent
provided in paragraph (c)(l) of this clause;

               (ii) Protect SBIR rights in SBIR data delivered under this contract in the manner and to the
extent provided in paragraph (d) of this clause;

               (iii) Substantiate use of, add, or correct SBIR rights or copyright notices and to take other
appropriate action, in accordance with paragraph (e) of this clause; and

               (iv) Withhold from delivery those data which are limited rights data or restricted computer
software to the extent provided in paragraph (f) of this clause,

     (c) Copyright—

          (1) Data first produced in the performance of this contract.

               (i) Except as otherwise specifically provided in this contract, the Contractor may assert
copyright subsisting in any data first produced in the performance of this contract

               (ii) When asserting copyright, the Contractor shall affix the applicable copyright notice of
17 U.S.C. 401 or 402 and an acknowledgment of Government sponsorship (including contract
number).

               (iii) For data other than computer software, the Contractor grants to the Government, and
others acting on its behalf, a paid-up nonexclusive, irrevocable, worldwide license to reproduce,
prepare derivative works, distribute copies to the public, and perform publicly and display
publicly, by or on behalf of the Government. For computer software, the Contractor grants to the
Government, and others acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide
license in such copyrighted computer software to reproduce, prepare derivative works, and perform
publicly and display publicly, by or on behalf of the Government

2

 

          (2) Data not first produced in the performance of this contract. The Contractor shall not,
without prior written permission of the Contracting Officer, incorporate in data delivered under
this contract any data that are not first produced in the performance of this contract unless the
Contractor (i) identifies such data and (ii) grants to the Government, or acquires on its behalf, a
license of the same scope as set forth in paragraph (c)(l) of this clause.

          (3) Removal of copyright notices. The Government will not remove any copyright notices placed
on data pursuant to this paragraph (c), and will include such notices on all reproductions of the
data.

     (d) Rights to SBIR data.

          (1) The Contractor is authorized to affix the following “SBIR Rights Notice” to SBIR data
delivered under this contract and the Government will treat the data, subject to the provisions of
paragraphs (e) and (f) of this clause, in accordance with the notice:

SBIR Rights Notice (Dec 2007)

     These SBIR data are furnished with SBIR rights under Contract No.            (and
subcontract           , if appropriate). For a period of 4 years, unless extended in
accordance with FAR 27.409(h), after acceptance of all items to be delivered
under this contract, the Government win use these data for Government purposes only,
and they shall not be disclosed outside the Government (including disclosure for
procurement purposes) during such period without permission of the Contractor,
except that, subject to the foregoing use and disclosure prohibitions, these data
may be disclosed for use by support Contractors. After the protection period, the
Government has a paid-up license to use, and to authorize others to use on its
behalf, these data for Government purposes, but is relieved of all disclosure
prohibitions and assumes no liability for unauthorized use of these data by third
parties. This notice shall be affixed to any reproductions of these data, in whole
or in part.

(End of Notice)

          (2) The Government’s sole obligation with respect to any SBIR data shall be as set forth in
this paragraph (d).

     (e) Omitted or incorrect markings.

          (1) Data delivered to the Government without any notice authorized by paragraph (d) of this
clause shall be deemed to have been furnished with unlimited rights. The Government assumes no
liability for the disclosure, use, or reproduction of such data.

          (2) If the unmarked data has not been disclosed without restriction outside the Government,
the Contractor may request, within 6 months (or a longer time approved by the Contracting Officer
in writing for good cause shown) after delivery of the data, permission to have authorized notices
placed on the data at the Contractor’s expense, and the Contracting Officer may agree to do so if
the Contractor—

               (i) Identifies the data to which the omitted notice is to be applied;

               (ii) Demonstrates that the omission of the notice was inadvertent;

               (iii) Establishes that the use of the proposed notice is authorized; and

               (iv) Acknowledges that the Government has no liability with respect to the disclosure or use
of any such data made prior to the addition of the notice or resulting from the omission of the
notice.

3

 

          (3) If the data has been marked with an incorrect notice, the Contracting Officer may—

               (i) Permit correction of the notice at the Contractor’s expense, if the Contractor identifies
the data and demonstrates that the correct notice is authorized; or

               (ii) Correct any incorrect notices.

     (f) Protection of limited rights data and restricted computer software. The Contractor may
withhold from delivery qualifying limited rights data and restricted computer software that are not
identified in paragraphs (b)(l)(i), (ii), and (iii) of this clause. As a condition to this
withholding, the Contractor shall identify the data being withheld, and furnish form, fit, and
function data instead.

     (g) Subcontracting. The Contractor shall obtain from its subcontractors all data and rights
therein necessary to fulfill the Contractor’s obligations to the Government under this contract.
If a subcontractor refuses to accept terms affording the Government those rights, the Contractor
shall promptly notify the Contracting Officer of the refusal and not proceed with the subcontract
award without further authorization in writing from the Contracting Officer.

     (h) Relationship to patents. Nothing contained in this clause shall imply a license to the
Government under any patent or be construed as affecting the scope of any license or other right
otherwise granted to the Government

(End of clause)

02. 10 CFR Part 600.325 Appendix A, Patent Rights (Small Business Firms and Nonprofit
Organizations (OCT 2003)

     (a) Definitions

     Invention means any invention or discovery which is or may be patentable or otherwise
protectable under title 35 of the United States Code, or any novel variety of plant which is or may
be protected under the Plant Variety Protection Act (7 U.S.C. 2321 et seq.)

     Made when used in relation to any invention means the conception or first actual reduction to
practice of such invention.

     Nonprofit organization means a university or other institution of higher education or an
organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26
U.S.C. 501 (c)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26
U.S.C. 501(a)) or any nonprofit scientific or educational organization qualified under a State
nonprofit organization statute.

     Practical application means to manufacture in the case of a composition or product, to
practice in the case of a process or method, or to operate in the case of a machine or system; and,
in each case, under such conditions as to establish that the invention is being utilized and that
its benefits are to the extent permitted by law or Government regulations available to the public
on reasonable terms.

     Small business firm means a small business concern as defined at section 2 of Public Law
85-536 (16 U.S.C. 632) and implementing regulations of the Administrator of the Small Business
Administration. For the purpose of this clause, the size standards for small business concerns
involved in Government procurement and subcontracting at 13 CFR 121.3 through 121.8 and 13 CFR
121.3 through 121.12, respectively, will be used.

     Subject invention means any invention of the Recipient conceived or first actually reduced to
practice in the performance of work under this award, provided that in the case of a variety of
plant, the date of determination (as defined in section 41 (d) of the Plant Variety Protection Act,
7 U.S.C. 2401(d) must also occur during the period of award performance.

4

 

     (b) Allocation of Principal Rights

     The Recipient may retain the entire right, title, and interest throughout the world to each
subject invention subject to the provisions of this Patent Rights clause and 35 U.S.C. 203. With
respect to any subject invention in which the Recipient retains title, the Federal Government shall
have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced
for or on behalf of the U.S. the subject invention throughout the world.

     (c) Invention Disclosure, Election of Title and Filing of Patent Applications by Recipient

          (1) The Recipient will disclose each subject invention to DOE within two months after the
inventor discloses it in writing to Recipient personnel responsible for the administration of
patent matters. The disclosure to DOE shall be in the form of a written report and shall identify
the award under which the invention was made and the inventor(s). It shall be sufficiently
complete in technical detail to convey a clear understanding to the extent known at the time of
disclosure, of the nature, purpose, operation, and the physical, chemical, biological or electrical
characteristics of the invention. The disclosure shall also identify any publication, on sale or
public use of the invention and whether a manuscript describing the invention has been submitted
for publication and, if so, whether it has been accepted for publication at the time of disclosure.
In addition, after disclosure to DOE, the Recipient will promptly notify DOE of the acceptance of
any manuscript describing the invention for publication or of any on sale or public use planned by
the Recipient.

          (2) The Recipient will elect in writing whether or not to retain title to any such invention
by notifying DOE within two years of disclosure to DOE. However, in any case where publication, on
sale, or public use has initiated the one year statutory period wherein valid patent protection can
still be obtained in the U.S., the period for election of title may be shortened by the agency to a
date that is no more than 60 days prior to the end of the statutory period.

          (3) The Recipient will file its initial patent application on an invention to which it elects
to retain title within one year after election of title or, if earlier, prior to the end of any
statutory period wherein valid patent protection can be obtained in the U.S. after a publication,
on sale, or public use. The Recipient will file patent applications in additional countries or
international patent offices within either ten months of the corresponding initial patent
application, or six months from the date when permission is granted by the Commissioner of Patents
and Trademarks to file foreign patent applications when such filing has been prohibited by a
Secrecy Order.

          (4) Requests for extension of the time for disclosure to DOE, election, and filing under
subparagraphs (c)(l), (2), and (3) of this clause may, at the discretion of DOE, be granted.

     (d) Conditions When the Government May Obtain Title

     The Recipient will convey to DOE, upon written request, title to any subject invention:

          (1) If the Recipient fails to disclose or elect the subject invention within the times
specified in paragraph (c) of this patent rights clause, or elects not to retain title; provided
that DOE may only request title within 60 days after learning of the failure of the Recipient to
disclose or elect within the specified times;

          (2) In those countries in which the Recipient fails to file patent applications within the
times specified in paragraph (c) of this Patent Rights clause; provided, however, that if the
Recipient has filed a patent application in a country after the times specified in paragraph (c) of
this Patent Rights clause, but prior to its receipt of the written request of DOE, the Recipient
shall continue to retain title in that country; or

          (3) In any country in which the Recipient decides not to continue the prosecution of any
application for, to pay the maintenance fees on, or defend in a reexamination or opposition
proceeding on, a patent on a subject invention.

     (e) Minimum Rights to Recipient and Protection of the Recipient Right To File

5

 

          (1) The Recipient will retain a non-exclusive royalty-free license throughout the world in
each subject invention to which the Government obtains title, except if the Recipient fails to
disclose the subject invention within the times specified in paragraph (c) of this Patent Rights
clause. The Recipient’s license extends to its domestic subsidiaries and affiliates, if any,
within the corporate structure of which the Recipient is a party and includes the right to grant
sublicenses of the same scope of the extent the Recipient was legally obligated to do so at the
time the award was awarded. The license is transferable only with the approval of DOE except when
transferred to the successor of that part of the Recipient’s business to which the invention
pertains.

          (2) The Recipient’s domestic license may be revoked or modified by DOE to the extent necessary
to achieve expeditious practical application of the subject invention pursuant to an application
for an exclusive license submitted in accordance with applicable provisions at 37 CFR part 404 and
the agency’s licensing regulation, if any. This license will not be revoked in that field of use
or the geographical areas in which the Recipient has achieved practical application and continues
to make the benefits of the invention reasonably accessible to the public. The license in any
foreign country maybe revoked or modified at discretion of the funding Federal agency to the extent
the Recipient, its licensees, or its domestic subsidiaries or affiliates have failed to achieve
practical application in that foreign country.

          (3) Before revocation or modification of the license, the funding Federal agency will furnish
the Recipient a written notice of its intention to revoke or modify the license, and the Recipient
will be allowed thirty days (or such other time as may be authorized by DOE for good cause shown by
the Recipient) after the notice to show cause why the license should not be revoked or modified.
The Recipient has the right to appeal, in accordance with applicable regulations in 37 CFR part 404
and the agency’s licensing regulations, if any, concerning the licensing of Government-owned
inventions, any decision concerning the revocation or modification of its license.

     (f) Recipient Action To Protect Government’s Interest

          (1) The Recipient agrees to execute or to have executed and promptly deliver to DOE all
instruments necessary to:

               (i) Establish or confirm the rights the Government has throughout the world in those subject
inventions for which the Recipient retains title; and

               (ii) Convey title to DOE when requested under paragraph (d) of this Patent Rights clause, and
to enable the government to obtain patent protection throughout the world in feat subject
invention.

          (2) The Recipient agrees to require, by written agreement, its employees, other than clerical
and non-technical employees, to disclose promptly in writing to personnel identified as responsible
for the administration of patent matters and in a format suggested by the Recipient each subject
invention made under this award in order that the Recipient can comply with the disclosure
provisions of paragraph (c) of this Patent Rights clause, and to execute all papers necessary to
file patent applications on subject inventions and to establish the Government’s rights in the
subject inventions. The disclosure format should require, as a minimum, the information requested
by paragraph (c)(l) of this Patent Rights clause. The Recipient shall instruct such employees
through the employee agreements or other suitable educational programs on the importance of
reporting inventions in sufficient time to permit the filing of patent applications prior to U.S.
or foreign statutory bars.

          (3) The Recipient will notify DOE of any decision not to continue prosecution of a patent
application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a
patent, in any country, not less than 30 days before the expiration of the response period required
by the relevant patent office.

          (4) The Recipient agrees to include, within the specification of any U.S. patent application
and any patent issuing thereon covering a subject invention, the following statement: “This
invention was made with Government support under (identify the award) awarded by (identify DOE).
The Government has certain rights in this invention.”

6

 

     (g) Subaward/Contract

          (1) The Recipient will include this Patent Rights clause, suitably modified to identify the
parties, in all subawards/contracts, regardless of tier, for experimental, developmental or
research work to be performed by a small business firm or nonprofit organization. The
subrecipient/contractor will retain all rights provided for the Recipient in this Patent Rights
clause, and the Recipient will not, as part of the consideration for awarding the subcontract,
obtain rights in the subcontractors’ subject inventions.

          (2) The Recipient will include in all other subawards/contracts, regardless of tier, for
experimental, developmental or research work, the patent rights clause required by 10 CFR
600.325(c).

          (3) In the case of subawards/contracts at any tier, DOE, the Recipient, and the
subrecipient/contractor agree that the mutual obligations of the parties created by this clause
constitute a contract between the subrecipient/contractor and DOE with respect to those matters
covered by the clause.

     (h) Reporting on Utilization of Subject Inventions

     The Recipient agrees to submit on request periodic reports no more frequently than annually on
the utilization of a subject invention or on efforts at obtaining such utilization that are being
made by the Recipient or its licensees or assignees. Such reports shall include information
regarding the status of development, date of first commercial sale or use, gross royalties received
by the Recipient and such other data and information as DOE may reasonably specify. The Recipient
also agrees to provide additional reports in connection with any march-in proceeding undertaken by
DOE in accordance with paragraph (j) of this Patent Rights clause. As required by 35 U.S.C.
202(c)(5), DOE agrees it will not disclose such information to persons outside the Government
without the permission of the Recipient.

     (i) Preference for United States Industry.

     Notwithstanding any other provision of this Patent Rights clause, the Recipient agrees that
neither it nor any assignee will grant to any person the exclusive right to use or sell any subject
invention in the U.S. unless such person agrees that any products embodying the subject invention
or produced through the use of the subject invention will be manufactured substantially in the U.S.
However, in individual cases, the requirement for such an agreement may be waived by DOE upon a
showing by the Recipient or its assignee that reasonable but unsuccessful efforts have been made to
grant licenses on similar terms to potential licensees that would be likely to manufacture
substantially in the U.S. or that under the circumstances domestic manufacture is not commercially
feasible.

     (j) March-in-Rights

     The Recipient agrees that with respect to any subject invention in which it has acquired
title, DOE has the right in accordance with procedures at 37 CFR 401.6 and any supplemental
regulations of the Agency to require the Recipient, an assignee or exclusive licensee of a subject
invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use
to a responsible applicant or applicants, upon terms that are reasonable under the circumstances
and if the Recipient, assignee, or exclusive licensee refuses such a request, DOE has the right to
grant such a license itself if DOE determines that:

          (1) Such action is necessary because the Recipient or assignee has not taken or is not
expected to take within a reasonable time, effective steps to achieve practical application of the
subject invention in such field of use;

          (2) Such action is necessary to alleviate health or safety needs which are not reasonably
satisfied by the Recipient, assignee, or their licensees;

          (3) Such action is necessary to meet requirements for public use specified by Federal
regulations and such requirements are not reasonably satisfied by the Recipient, assignee, or
licensee; or

7

 

          (4) Such action is necessary because the agreement required by paragraph (i) of this Patent
Rights clause has not been obtained or waived or because a licensee of the exclusive right to use
or sell any subject invention in the U.S. is in breach of such agreement.

     (k) Special Provisions for Awards With Nonprofit Organizations

     If the Recipient is a nonprofit organization, it agrees that:

          (1) Rights to a subject invention in the U.S. may not be assigned without the approval of DOE,
except where such assignment is made to an organization which has as one of its primary functions
the management of inventions, provided that such assignee will be subject to the same provisions as
the Recipient;

          (2) The Recipient will share royalties collected on a subject invention with the inventor,
including Federal employee co-inventors (when DOE deems it appropriate) when the subject invention
is assigned in accordance with 35 U.S.C. 202(e) and 37 CFR 401.10;

          (3) The balance of any royalties or income earned by the Recipient with respect to subject
inventions, after payment of expenses (including payments to inventors) incidental to the
administration of subject inventions, will be utilized for the support of scientific or engineering
research or education; and

          (4) It will make efforts that are reasonable under the circumstances to attract licensees of
subject inventions that are small business firms and that it will give preference to a small
business firm if the Recipient determines that the small business firm has a plan or proposal for
marketing the invention which, if executed, is equally likely to bring the invention to practical
application as any plans or proposals from applicants that are not small business firms; provided
that the Recipient is also satisfied that the small business firm has the capability and resources
to carry out its plan or proposal. The decision whether to give a preference in any specific case
will be at the discretion of the Recipient. However, the Recipient agrees that the Secretary of
Commerce may review the Recipient’s licensing program and decisions regarding small business
applicants, and the Recipient will negotiate changes to its licensing policies, procedures or
practices with the Secretary when the Secretary’s review discloses that the Recipient could take
reasonable steps to implement more effectively the requirements of this paragraph (k)(4).

     (l) Communications

     All communications required by this Patent Rights clause should be sent to the DOE Patent
Counsel address listed in the Award Document.

     (m) Electronic Filing

     Unless otherwise Specified in the award, the information identified in paragraphs (f)(2) and
(f)(3) may be electronically filed.

[End of clause]

03. FAR 52.227-23 Rights to Proposal Data (Technical) (JUN 1987)

Except for data contained on pages containing financial data, it is agreed that as a condition of
award of this contract, and notwithstanding the conditions of any notice appearing thereon, the
Government shall have unlimited rights (as defined in the “Rights in Data — SBIR Program” clause
contained in this contract) in and to the technical data contained in the proposal dated
03/20/2008, upon which this contract is based.

8EX-10.3

Exhibit 10.3

	AWARD/CONTRACT 1. this contract is a rated order ? rating page of pages

	under dpas (15 cfr 350) do-c9(u)

	1 16

	——  —
2. contract (proc. inst. ident.) no. 3. effective date 4. requisition/purchase request/project no. 08PR08225-00/1048781
N00014-09-C-0115 SEE BLOCK 20.C

	5. issued by code N0014 6. administered by (if other than item 5) scd-c S3915A
code
OFFICE OF NAVAL RESEARCH            DCMA Philadelphia-S3915A
ONR 252: Angela Bruce Dunson (703)695-2577 700 Robbins Avenue Bldg 4A
E-mail: angela.bruce-dunson@navy.mil            PO Box 11427
875 North Randolph St. Philadelphia, PA 1911-0427
Arlington VA 22203-1995
7. NAME AND ADDRESS OF CONTRACTOR (No., street, city, country, State and Zip Code) 8. delivery
Ocean Power Technologies, Inc.  fob origin  other (see below)
1590 Reed Road
Pennington, NJ 08534-5010
—
9. discount for prompt payment
N.A.
—
10. submit invoices item
(4 copies unless See Section G
otherwise specified) to  ?
the address shown in:
——  —
code 04EP7 facility code

	11. ship to/mark for code N00014 12. payment will be made by code HQ0337
OFFICE OF NAVAL RESEARCH            DFAS COLUMB. NORTH ENTL-HQ0337
ATTN: Michael Vaccaro, ONR 321 PO BOX 182266
875 North Randolph Street            COLUMBUS, OH 43218-2266
Arlington, VA 22203-1995
—
13: authority for using other than full and open competition 14. ACCOUNTING AND APPROPRIATION DATA
 10U.S.C.2304(c)(  )  41U.S.C. 253(C) ( ) SEE ATTACHED FINANCIAL ACCOUNTING DATA (FAD) SHEET(S)

	15A. item no. 15b. supplies/services 15C. quantity 15d. unit 15e. unit price 15f. amount

	See Section B of Schedule
15G. TOTAL AMOUNT OF CONTRACT ? See Section B of Schedule
——  —
16. table of contents
(Ö) SEC. page(s) (Ö) SEC            DESCRIPTION            PAGE(S)

	PART I — THE SCHEDULE            PART II — CONTRACT CLAUSES
A SOLICITATION/CONTRACT FORM 1 I            CONTRACT CLAUSES 9-15

	B            SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III — LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.
C            DESCRIPTION/SPECS./WORK STATEMENT 2 J            LIST OF ATTACHMENTS 16

	D PACKAGING AND MARKING 2 PART IV — REPRESENTATIONS AND INSTRUCTIONS
E INSPECTION AND ACCEPTANCE 3 K            REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 16

	F DELIVERIES OR PERFORMANCE 3

	G CONTRACT ADMINISTRATION DATA 3-6 L            INSTRS., CONDS., AND NOTICES TO OFFERORS
H SPECIAL CONTRACT REQUIREMENTS 6-9 M            EVALUATION FACTORS FOR AWARD
CONTRACTING OFFICER WILL COMPLETE ITEMS 17 OR 18 AS APPLICABLE
17. CONTRACTOR’S NEGOTIATED AGREEMENT (Contractor is required to sign this documents and return 2 copies to issuing office.) Contractor agrees to furnish and deliver 18. AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number      , including the additions or changes made by you which additions or changes are set
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            forth in full above, is hereby accepted as to items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the
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 an, and (c) Government’s solicitation and your offer, and (b) this award/contract. No further document is necessary.
such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.)

	19A. name and title of signer (Type or print) 20A. name of contracting officer
George W. Taylor            Angela Bruce Dunson
Chief Executor Officer            Contracting Officer

	19B. name of contractor 19c. date signed 20B united states of america 2c. date signed
By: /s/George W. Taylor 10/30/08 By: /s/angela bruce dunson 10/31/08

	(Signature of person authorized to sign) (Signature of Contracting Officer)

	nsn 7540-01-152-8069  26- 107 STANDARD FORM 26 (REV. 4-85)
previous edition unusable Prescribed by GSA
FAR (48 CFR) 53.214 (a)

Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Asterisks denote omissions.

 

SECTION B — SUPPLIES OR SERVICES AND PRICES/COSTS

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	TOTAL ESTIMATED
	ITEM NO.	 	SUPPLIES/SERVICES	 	ESTIMATED COST	 	FIXED FEE	 	COST & FIXED FEE
	 	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.
	 	$	2,797,025.00	 	 	$	223,014.00	 	 	$	3,020,039.00	 
	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	000101 ACRN AA:
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	$3,020,039.00
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	0002	 	 	Advanced
Development Model
(ADM) PowerBuoy
Unit
	 	NSP	 	NSP	 	NSP
	 
	TOTAL ESTIMATED CONTRACT
CONSIDERATION:	 	$	2,797,025.00	 	 	$	223,014.00	 	 	$	3,020,039.00	 

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 “DWADS Advanced Development Model (ADM) PowerBuoy 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.

All reports, briefs, technical documents, etc. submitted to the Government under this contract
should contain the following legend:

	 	 	 
	 

	 	SBIR OR STTR DATA RIGHTS
	 
	 	 
	Topic Numbers:

	 	N95-074 AND N00-116
	 
	 	 
	Contract No.:

	 	N00014-09-C-0115
	 
	 	 
	Contractor Name:

	 	Ocean Power Technologies, Inc.
	 
	 	 
	Contractor Address:

	 	1590 Reed Road; Pennington, NJ 08534-5010

			
	 	 	 
	Contract Number: N00014-09-C-0115
	 	2

 

 

The Government’s rights to use, modify, reproduce, release, perform, display, or disclose technical
data or computer software marked with this legend are restricted as provided in paragraph (b)(4) of
DFARS 252-227-7018, Rights in Noncommercial Technical Data and Computer Software—Small Business
Innovative Research (SBIR) Program.

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 eighteen (18) months. CLIN 0002 shall be delivered no later than the end of this period.

2. Distribution, consignment and marking instructions for contract data items 0001 shall be in
accordance with Enclosure Number 1 of Exhibit A. Contract line 0002 shall be delivered to the
address of the cognizant Program Officer which is as follows:

John Hopkins University

Applied Physics Laboratory

1100 John Hopkins Road

Laurel, MD 20723

Attn: Michael Vaccaro

Ref: Contract N00014-09-C-0115

SECTION G — CONTRACT ADMINISTRATION DATA

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/Invoice/Public 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

			
	 	 	 
	Contract Number: N00014-09-C-0115
	 	3

 

 

system should be reviewed. Vendor Quick Reference Guides are also available at
http://www.acquisition.navy.mil/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:

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: [Use the 6 character “ADMINISTERED BY” CODE as listed on page one
of the award document]

The following additional information may need to be filled in: LPO DODAAC: N00014 (Note — this
line is required only when 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 “Misc 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:

			
	 	 	 
	Contract Number: N00014-09-C-0115
	 	4

 

 

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 CLIN or SLIN on one invoice; multiple
invoices may have to be used — use the WAWF “Line Item” “Description” area to note 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 3rd 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.

If you have any questions regarding the WAWF, please contact the DoD WAWF Assistance Line at
1-866-618-5988 or the DoN WAWF Assistance Line at 1-800-559-9293.

To find out the status of payment due from invoices please contact the following number:

     DFAS Columbus Query Number 1-800-756-4571

You may also try the following website:

     https://myinvoice.csd.disa.mil

1.2 Payment of Allowable Costs and Fixed Fee

     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.

			
	 	 	 
	Contract Number: N00014-09-C-0115
	 	5

 

 

     (b) A fixed fee, in the amount set forth as ‘Fixed Fee’ in Section B, in accordance
with the contract clause FAR 52.216-8 “Fixed Fee”, shall be paid upon completion of the work
and services required under this contract and upon final acceptance by the Contracting
Officer. However, the Contractor, shall bill on each voucher the amount of the fee bearing
the same percentage to the total fixed fee as the amount of cost billed bears to the total
estimated cost not to exceed the amount set forth as “Fixed Fee” in Section B. The total
fixed fee billed, shall not exceed the total fixed fee specified in Section B and is subject
to the contract clause entitled “Limitation of Cost” or “Limitation of Funds” whichever
applies.

     (c) In accordance with FAR 52.216-8, “Fixed Fee”, the Administrative Contracting
Officer (ACO), in order to protect the Government’s interest, shall withhold 10% of the
fixed fee amount set forth in Section B or until a reserve is set aside in the amount of
$100,000.00, whichever is less. The ACO shall release 75% of the fixed fee reserve upon
acceptance of deliverables identified in section F of this contract. The remaining 25% of
the fixed fee reserve will be released after receipt of final rates, the contractor has
satisfied all other contract terms and conditions, including the submission of final patent
and royalty reports, and is not delinquent in submitting final vouchers of prior years’
settlements.

2. PROCURING OFFICE REPRESENTATIVES

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 — Angela Bruce Dunson, ONR 0252, (703) 696-2577, DSN 426-2577, 
E-Mail
Address: angela.bruce-dunson@navy.mil

     Inspection and Acceptance — Michael Vaccaro, (703) 588-0496, DSN 426-0496, E-Mail Address:
michael.vaccaro@navy.mil

     Security Matters — Ms. Shelia Neal, ONR 43, (703) 696-8177, DSN 426-8177, E-Mail Address:
shelia.neal.@navy.mil

     Patent Matters — Mr. James Bechtel, ONR 00CC, (703) 696-4000, DSN 426-4000, Email Address:
James.Bechtel@navy.mil

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 22203-1995. 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-plus-fixed-fee completion contract.

			
	 	 	 
	Contract Number: N00014-09-C-0115
	 	6

 

 

SECTION H — SPECIAL CONTRACT REQUIREMENTS

1. ONR 5252.235-9714 REPORT PREPARATION (JUL 2005)

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
Z39.18-2005, Scientific and Technical Reports: Elements, Organization, and Design. [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. O. 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: 301-206-9789.]

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 (ACO). The ACO (Refer to Block 6
of the SF Form 26 for POC information) will forward invention disclosures and reports directly to
Corporate Counsel (Code 00CC), Office of Naval Research, Department of the Navy, Arlington, VA
22203. Corporate Counsel will return the reports along with a recommendation to the ACO.
Corporate Counsel represents the Contracting Officer regarding invention reporting matters arising
under this contract.

3. ONR 5252.219-9717 SPECIAL SMALL BUSINESS INNOVATION RESEARCH (SBIR) REQUIREMENTS (JAN 08)

A minimum of one-half of the SBIR Project shall be carried out by the proposing firm. The primary
employment of the principal investigator shall be with the small business firm at the time of award
and during the conduct of the proposed effort. Primary employment means that more than one-half of
the principal investigator’s time is spent with the small business. Primary employment with a
small business concern precludes full-time employment at another organization.

All research or research and development work under this contract shall be performed by the small
business concern and its subcontractors in the United States. “United States” means the several
states, the Territories and possessions of the United States, the Commonwealth of Puerto Rico, and
the Commonwealth of the Northern Mariana Islands, the Trust Territory of the Pacific Islands, and
the District of Columbia. Joint ventures and limited partnerships are permitted, provided that the
entity created qualifies as a small business in accordance with the Small Business Act, 15 USC 631,
and the definition included in the SBIR solicitation.

Deviations from the above requirements must be approved in writing by the contracting officer.

4. 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.

			
	 	 	 

Contract Number: N00014-09-C-0115

7

 

(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: David B. Stewart

5. ONR 5252.242-9718 TECHNICAL DIRECTION (FEE 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;

          (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.

			
	 	 	 

Contract Number: N00014-09-C-0115

8

 

     (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.

6. Consent to Subcontract and/or Hire Consultants

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

	 	 	 	 	 
	Identified	 	 
	Subcontractor	 	Estimated Cost
	[**]
	 	$	67,200.00	 

     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 52.244-2 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).

			
	 
	SECTION I — CONTRACT CLAUSES
	 	(September 3, 2008)

Cost-Plus-Fixed Fee (SBIR-STTR phase II/III)

(A) 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 this address:

			
	 	 	 

Contract Number: N00014-09-C-0115

9

 

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

 

			
	*	 	Applies when contract action exceeds $10,000
	 
	**	 	Applies when contract action exceeds $100,000
	 
	+	 	Applies when contract action exceeds $500,000
	 
	++	 	Applies when contract action exceeds $550,000 and
subcontracting possibilities exist. Small Business Exempt.
	 
	#	 	Applies when contract action exceeds $650,000

All clauses in the Section (A) Tables are required clauses and are applicable, or are applicable at
the specified thresholds as designated in accordance with the legend listed above.

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
	 	Printing/Copying Double-Sided on Recycled Paper (AUG 2000)
	 
	 	 	 	 
	 

	 	FAR 52.204-7
	 	Central Contractor Registration (JUL 2006)
	 
	 	 	 	 
	 

	 	FAR 52.211-15
	 	Defense Priority and Allocation Requirements (SEP 1990)
	 
	 	 	 	 
	**

	 	FAR 52.215-2
	 	Audit and Records — Negotiation (JUN 1999) and Alternate II
(APR 1998) (Alternate II is only applicable with cost
reimbursement contracts with State and local Governments,
educational institutions, and other non-profit organizations.)
	 
	 	 	 	 
	 

	 	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 provisions of this Clause have been waived by a
joint Determination and Findings for the prime contractor only.
The clause is applicable to subcontracts over $550,000.)
	 
	 	 	 	 
	#

	 	FAR 52.215-12
	 	Subcontractor Cost or Pricing Data (OCT 1997) (Applicable to
subcontracts over $550,000 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 Open 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)

Contract Number: N00014-09-C-0115

10

 

	 	 	 	 	 
	 

	 	FAR 52.216-7
	 	Allowable Cost and Payment (DEC 2002)
	 
	 	 	 	 
	 

	 	FAR 52.216-8
	 	Fixed Fee (MAR 1997)
	 
	 	 	 	 
	**

	 	FAR 52.219-4
	 	Notice of Price Evaluation Preference for HUB zone Small
Business Concerns (JUL 2005)
	 
	 	 	 	 
	 

	 	FAR 52.219-6
	 	Notice of Total Small Business Set-Aside (JUN 2003)
	 
	 	 	 	 
	**

	 	FAR 52.219-8
	 	Utilization of Small Business Concerns (MAY 2004)
	 
	 	 	 	 
	++

	 	FAR 52.219-9
	 	Small Business Subcontracting Plan (APR 2008)
	 
	 	 	 	 
	**

	 	FAR 52.219-14
	 	Limitations on Subcontracting (DEC 1996)
	 
	 	 	 	 
	++

	 	FAR 52.219-16
	 	Liquidated Damages Subcontracting Plan (JAN 1999)
	 
	 	 	 	 
	 

	 	FAR 52.219-28
	 	Post Award Small Business Program 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 by an 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 200)(DEVIATION) ) (As
modified by DoN Class Deviation CL-07-N-901 dated 24 JAN 2007)
(Deviation is applicable when contract is with an Educational
Institution or a Non-Profit)
	 
	 	 	 	 
	**

	 	FAR 52.223-14
	 	Toxic Chemical Release Reporting (AUG 2003)
	 
	 	 	 	 
	 

	 	FAR 52.225-13
	 	Restrictions on Certain Foreign Purchases (JUN 2008)
	 
	 	 	 	 
	**

	 	FAR 52.227-1
	 	Authorization and Consent (DEC 2007) and 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)
	 
	 	 	 	 
	 

	 	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] [Use Alternate I when awarding a cost reimbursement
contract for services]
	 
	 	 	 	 
	 

	 	FAR 52.232-33
	 	Payment by Electronic Funds Transfer — Central Contractor
Registration (OCT 2003)

Contract Number: N00014-09-C-0115

11

 

	 	 	 	 	 
	 

	 	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 52.243-2
	 	Changes — Cost-Reimbursement (Aug. 1987) and Alternate V (APR
1984)
	 
	 	 	 	 
	 

	 	FAR 52.244-2
	 	Subcontracts (JUN 2007) and Alternate I (Jun 2007) [Insert in
cost-reimbursement contracts, and letter, time-and-material,
and labor-hour contracts exceeding SAP, and fixed price
contracts exceeding SAP where un-priced actions are
anticipated. Use 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 52.246-9
	 	Inspection of Research and Development (Short Form) (Apr 1984)
	 
	 	 	 	 
	 

	 	FAR 52.246-23
	 	Limitation of Liability (FEB 1997)
	 
	 	 	 	 
	**

	 	FAR 52.247-64
	 	Preference for Privately Owned U.S. Flag Commercial Vessels
(FEB 2006)
	 
	 	 	 	 
	 

	 	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 252.215-7000
	 	Pricing Adjustments (DEC 1991)
	 
	 	 	 	 
	#

	 	DFARS 252.215-7003
	 	Excessive Pass-Through Charges — Identification of
Subcontract Effort (MAY 2008)
	 
	 	 	 	 
	#

	 	DFARS 252.215-7004
	 	Excessive Pass-Through Charges (MAY 2008)

Contract Number: N00014-09-C-0115

12

 

	 	 	 	 	 
	#

	 	DFARS 252.219-7003
	 	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 252.225-7004
	 	Reporting of Contract Performance Outside the United
States and Canada-Submission After Award(MAY 2007)
	 
	 	 	 	 
	**

	 	DFARS 252.225-7012
	 	Preference for Certain Domestic (MAR 2008)
	 
	 	 	 	 
	 

	 	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) (Section 8021 of Pub.
L.107-248 [ and similar sections in subsequent DoD
appropriation acts.])
	 
	 	 	 	 
	 

	 	DFARS 252.227-7016
	 	Rights In Bid Or Proposal Information (JUN 1995)
	 
	 	 	 	 
	 

	 	DFARS 252-227-7017
	 	Identification And Assertion Of Use, Release, Or Disclosure Restrictions (JUN 1995)
	 
	 	 	 	 
	 

	 	DFARS 252.227-7018
	 	Rights In Noncommercial Technical Data And Computer
Software—Small Business Innovation Research (SBIR)
Program (JUN 1995) (Also applies to STTR programs)
	 
	 	 	 	 
	 

	 	DFARS 252.227-7019
	 	Validation Of Asserted Restrictions—Computer Software
(JUN 1995)
	 
	 	 	 	 
	 

	 	DFARS 252.227-7027
	 	Deferred Ordering of Technical Data or Computer
Software (APR 1988)
	 
	 	 	 	 
	 

	 	DFARS 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)
	 
	 	 	 	 
	 

	 	DFARS 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 252.235-7010
	 	Acknowledgement of Support and Disclaimer (MAY 1995)
	 
	 	 	 	 
	 

	 	DFARS 252.235-7011
	 	Final Scientific or Technical Report (NOV 2004)
	 
	 	 	 	 
	**

	 	DFARS 252.243-7002
	 	Requests for Equitable Adjustment (MAR 1998)

 Contract Number: N00014-09-C-0115

13

 

	 	 	 	 	 
	 

	 	DFARS 252.246-7000
	 	Material Inspection and Receiving Report (MAR 2008)
	 
	 	 	 	 
	**

	 	DFARS 252.247-7023
	 	Transportation of Supplies by Sea (MAY 2002)
	 
	 	 	 	 
	 

	 	DFARS 252.247-7024
	 	Notification of Transportation of Supplies by Sea (MAR
2000) (Applicable when the Contractor has made a
negative response to the inquiry in the representation
at DFARS 252.247-7022.)
	 
	 	 	 	 
	 

	 	DFARS 252.251-7000
	 	Ordering from Government Supply Sources (NOV 2004)

(B) ADDITIONAL FAR AND DFARS CLAUSES

     This contract incorporates one or more clauses by reference as indicated by the mark of þ,
with the same force and effect as if they were given in full text. Upon request, the Contracting
Officer will make their full text available. Also, the full text of a clause may be accessed
electronically at this address: http://www.arnet.gov/far/

	 	 	 	 	 
	 
	 	 	 	 
	o

	 	FAR 52.203-14
	 	Display of Hotline Poster(s) (DEC 2007)
(Applicable only when contract exceeds
$5,000,000 or when any modification increases
the contract amount to more than $5,000,000)
	 
	 	 	 	 
	o

	 	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)
	 
	 	 	 	 
	þ

	 	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
$25,000 in value.)
	 
	 	 	 	 
	þ

	 	FAR 52.215-17
	 	Waiver of Facilities Capital Cost of Money
(OCT 1997)(Use if FAR52.215-16 is not
applicable)
	 
	 	 	 	 
	þ

	 	FAR 52.215-21
	 	Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data — Modifications (OCT 1997) (Applicable if cost
or pricing data or information other than cost
or pricing data will be required for
modifications)
	 
	 	 	 	 
	o

	 	FAR 52.217-9
	 	Option to Extend the Term of the Contract (MAR
2000) (In first blank of paragraph (a)[insert
the period of time within which the
Contracting Officer may exercise the option],
in second blank of paragraph (a) [insert 60
days unless a different number of days is
inserted], and in paragraph (c), insert
[(months)(years)] (Applicable if contract contains line

 Contract Number: N00014-09-C-0115

14

 

	 	 	 	 	 
	 

	 	 	 	item(s) for option(s)) (Complete the spaces in brackets)
	 
	 	 	 	 
	o

	 	FAR 52.219-3
	 	Notice of Total HUB Zone Set-Aside (JAN 1999)
	 
	 	 	 	 
	þ

	 	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)
	 
	 	 	 	 
	o

	 	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)
	 
	 	 	 	 
	þ

	 	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)
	 
	 	 	 	 
	o

	 	FAR 52.227-10
	 	Filing of Patent Applications — Classified
Subject Matter (DEC 2007)
	 
	 	 	 	 
	þ

	 	FAR 52.227-11
	 	Patent Rights — Ownership by the Contractor
(DEC 2007)(Applicable if contractor is a small
business or a non profit organization.
	 
	 	 	 	 
	þ

	 	FAR 52.232-20
	 	Limitation of Cost (APR 1984) (Applicable only
when contract action is fully funded)
	 
	 	 	 	 
	þ

	 	FAR 52.232-22
	 	Limitation of Funds (APR 1984) (Applicable
only when contract action is incrementally
funded)
	 
	 	 	 	 
	o

	 	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.)
	 
	 	 	 	 
	o

	 	FAR 52.245-2
	 	Government Property Installation Operation Services (JUN 2007)
	 
	 	 	 	 
	o

	 	FAR 52.246-08
	 	Inspection of Research and Development — Cost
Reimbursement (MAY 2001) (Use instead of FAR
52.246-09 (Inspection of Research and
Development — Short Form) (APR 84) when the
primary objective of the contract is the
delivery of end items other than designs,
drawings and reports.)

Contract Number: N00014-09-C-0115

15

 

	 	 	 	 	 
	o

	 	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)
	 
	 	 	 	 
	o

	 	DFARS 252.204-7005
	 	Oral Attestation of Security Responsibilities
(NOV 2001) (Applicable if FAR 52.204-2,
Security Requirements Applies)
	 
	 	 	 	 
	o

	 	DFARS 252.204-7008
	 	Requirements for Contracts Involving
Export-Controlled Items (JUL 2008) (Applicable
when export-controlled items are expected to
be involved in the performance of the
contract.)
	 
	 	 	 	 
	þ

	 	DFARS 252.204-7009
	 	 Requirements Regarding Potential Access to
Export-Controlled Items (JUL 2008) (Applicable
for research and development, except when the
clause 252.204-7008 will be included or for
supplies and services, or when the requiring
activity is unable to determine that
export-controlled items will not be involved.)
	 
	 	 	 	 
	þ

	 	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)
	 
	 	 	 	 
	þ

	 	DFARS 252.211-7003
	 	 Item Identification and Valuation (AUG 2008)
(Applicable if the contract includes
deliverable items (1) with a unit cost of
$5000 or more or (2) that will be serially
managed or controlled inventory.)
	 
	 	 	 	 
	þ

	 	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)
	 
	 	 	 	 
	o

	 	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.
	 
	 	 	 	 
	o

	 	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 DoD installation)

 Contract Number: N00014-09-C-0115

16

 

	 	 	 	 	 
	 
	 	 	 	 
	o

	 	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 252.225-7007,
252.225-7021, or 252.225-7036.)
	 
	 	 	 	 
	o

	 	DFARS 252.225-7002
	 	Qualifying Country Sources as Subcontractors
(APR 2003) (Applicable when clause at DFARS
252.225-7001, 252.227-7007, 252.227-7021, or
252.227-7036 applies)
	 
	 	 	 	 
	o

	 	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)
	 
	 	 	 	 
	o

	 	DFARS 252.227-7025
	 	Limitations On The Use Or Disclosure Of
Government-Furnished Information Marked With
Restrictive Legends (JUN 1995) (Applicable
when the Government will provide the
contractor, for the performance of its
contract, technical data, including software
marked with another contractor’s restrictive
legend(s))
	 
	 	 	 	 
	o

	 	DFARS 252.227-7038
	 	Patents — Ownership by the Contractor (Large Business)(DEC 2007)
	 
	 	 	 	 
	þ

	 	DFARS 252.227-7039
	 	 Patents — Reporting of Subject Inventions (APR
1990) (Applied when FAR 52.227-11 applies)
	 
	 	 	 	 
	o

	 	DFARS 252.235-7002
	 	 Animal Welfare (DEC 1991)

SECTION J — LIST OF ATTACHMENTS

	1.	 	EXHIBIT A entitled “Contract Data Requirements List” (DD Form 1423) -3 Pages with Enclosure
Number 1, entitled “Contract Data Requirements List — Instructions for Distribution.”
	 
	2.	 	Attachment Number 1, entitled, “DWADS Advanced Development Model (ADM) PowerBuoy Statement of
Work” — 4 pages
	 
	3.	 	Attachment Number 2, entitled, “Report Documentation Page” (SF 298) — 1 Page.
	 
	4.	 	Attachment Number 3, entitled, “Financial Accounting Data Sheet(s).

Contract Number: N00014-09-C-0115

17

 

SECTION K — REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

1. The Contractor’s ORCA validation dated from: 28 FEB 2008 to: 28 FEB 2009 is hereby incorporated
into this contract by reference. The DFARS and Contract Specific Representations and
Certifications, dated 25 JUN 2008 are hereby incorporated by reference

 Contract Number: N00014-09-C-0115

18

 

	CONTRACT DATA REQUIREMENTS LIST Form Approved

	(2 Data Items) OMB No. 0704-0188

	The public reporting burden for this collection of information is estimated to average 110 hours per response, including
the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect
of this collection of information, including suggestions for reducing the burden, to Department of Defense, Washington
Headquarters Services, Directorate for Information Operations and Reports (0701-0188), 1215 Jefferson Davis Highway, Suite
1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no person
shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently
valid OMB control number. Pease DO NOT RETURN your form to the above address. Send completed form to the Government
Issuing Contracting Officer for the Contract/PR No. Listed in Block E.
A. CONTRACT LINE ITEM NO. B. EXHIBIT            C. CATEGORY
0001 A            Top TM Other X
D. SYSTEM/ITEM            E. CONTRACT/PR NO. F. CONTRACTOR
Research and Development1 N00014-09-C-0115 Ocean Power Technologies, Inc.

	1. DATA ITEM NO.A0012. TITLE OF DATA ITEMProgress Reports3. SUBTITLE17. PRICE GROUP

	4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE
Section H.1 of Schedule See Section F

	7. DD 250 REQ 9. DIST STATEMENT 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
LT REQUIRED * SUBMISSION
N/A *

	a. ADDRESSEE            b. COPIES

	8. APP CODE11. AS IF DATE*13. DATE OF SUBSEQUENT SUBMISSION*Draft18. ESTIMATED TOTAL PRICE

	Final 17. PRICE GROUP
Reg            Repro

	16. REMARKS SEE ENCLOSURE
As required by the Program Officer, these reports shall be submitted in accordance            NUMBER 1
with Task 9 of the statement of work.

	17. PRICE GROUP

	15. TOTAL’

	1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE
A002 System Specification Document

	4. AUTHORITY (Data Acquisition Document No.)5. CONTRACT REFERENCESection H.1 of Schedule18.
ESTIMATED TOTAL PRICE

	6. REQUIRING OFFICE
See Section F
7. DD 250 REQ 9. DIST STATEMENT 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
See Remarks* REQUIRED ONCE SUBMISSION
A
a. ADDRESSEE            b. COPIES
—
11. AS OF DATE 13. DATE OF SUBSEQUENT            Final
SUBMISSION
8. APP CODE            Draft            Reg            Repro
16. The contractor shall submit the system specification document in accordance with Task 1.1 of the statement            SEE ENCLOSURE
of work. NUMBER 1
15. TOTAL’
G. PREPARED BY            H. DATE            I. APPROVED BY            J. DATE
Angela Bruce Dunson, ONR 252 18 Sep 08 Michael Vaccaro 18 Sep 08

	DD FORM 1423-2, AUG 96 (EG) PREVIOUS EDITION MAY BE USED            Page 1 of 3 Page(s)

 

 

	CONTRACT DATA REQUIREMENTS LIST Form Approved
(2 Data Items) OMB No. 0704-0188

	The public reporting burden for this collection of information is estimated to average 110 hours per response, including
the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect
of this collection of information, including suggestions for reducing the burden, to Department of Defense, Washington
Headquarters Services, Directorate for Information Operations and Reports (0701-0188), 1215 Jefferson Davis Highway,
Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no
person shall be subject to any penalty for failing to comply with a collection of information if it does not display a
currently valid OMB control number. Please DO NOT RETURN your form to the above address. Send completed form to the
Government Issuing Contracting Officer for the Contract/PR No. Listed in Block E.
A. CONTRACT LINE ITEM NO. B. EXHIBIT            C. CATEGORY
0001 A            Top TM Other X
D. SYSTEM/ITEM            E. CONTRACT/PR NO. F. CONTRACTOR
Research and Development            N00014-09-C-0115 Ocean Power Technologies, Inc.

	1. DATA ITEM NO.A0032. TITLE OF DATA ITEMSystem Design Documents3. SUBTITLE17. PRICE GROUP

	4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE
Section H.1 of Schedule See Section F

	7. DD 250 REQ 9. DIST 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
See Remarks* STATEMENT ASREQ SUBMISSION
REQUIRED *
A

	a. ADDRESSEE            b. COPIES

	8. APP CODE11. AS IF DATE*13. DATE OF SUBSEQUENT SUBMISSION*Draft18. ESTIMATED TOTAL PRICE

	Final 17. PRICE GROUP
Reg            Repro

	16. REMARKS SEE ENCLOSURE
The contractor shall            NUMBER 1
submit the system design
documents in accordance
with Tasks 1.3, 2, and 3
of the statement of work.
The final detailed
design should be
delivered with the ADM
PowerBuoy Unit reflecting
the as-built design.

	17. PRICE GROUP

	15. TOTAL’

	1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE
A004 Test Plan

	4. AUTHORITY (Data Acquisition Document No.)5. CONTRACT REFERENCESection H.1 of Schedule18.
ESTIMATED TOTAL PRICE

	6. REQUIRING OFFICE
See Section F
7. DD 250 REQ 9. DIST 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
See Remarks* STATEMENT ONCE SUBMISSION
REQUIRED *
A
a. ADDRESSEE            b. COPIES
11. AS OF DATE 13. DATE OF SUBSEQUENT            Final
* SUBMISSION
*
8. APP. CODE            Draft            Reg            Repro
16. REMARKS SEE ENCLOSURE
The contractor shall submit the test plan in accordance with Task 1.2 of the statement of work. NUMBER 1
15. TOTAL’

	G. PREPARED BY            H. DATE            I. APPROVED BY            J. DATE
Angela Bruce Dunson, ONR 252 18 Sep 2008 Michael Vaccaro 18 Sep 2008

	DD FORM 1423-2, AUG 96 (EG) PREVIOUS EDITION MAY BE USED            Page 2 of 3 Page(s)

 

 

	CONTRACT DATA REQUIREMENTS LIST Form Approved
(2 Data Items) OMB No. 0704-0188

	The public reporting burden for this collection of information is estimated to average 110 hours per response, including
the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect
of this collection of information, including suggestions for reducing the burden, to Department of Defense, Washington
Headquarters Services, Directorate for Information Operations and Reports (0701-0188), 1215 Jefferson Davis Highway,
Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision of law, no
person shall be subject to any penalty for failing to comply with a collection of information if it does not display a
currently valid OMB control number. Please DO NOT RETURN your form to the above address. Send completed form to the
Government Issuing Contracting Officer for the Contract/PR No. Listed in Block E.
A. CONTRACT LINE ITEM NO. B. EXHIBIT            C. CATEGORY
0001 A            Top TM Other X
D. SYSTEM/ITEM            E. CONTRACT/PR NO. F. CONTRACTOR
Research and Development            N00014-09-C-0115 Ocean Power Technologies, Inc.

	1. DATA ITEM NO.A0052. TITLE OF DATA ITEMTest Report3. SUBTITLE17. PRICE GROUP

	4. AUTHORITY (Data Acquisition Document No.) 5. CONTRACT REFERENCE 6. REQUIRING OFFICE
Section H.1 of Schedule See Section F

	7. DD 250 REQ 9. DIST 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
See Remarks* STATEMENT Once SUBMISSION
REQUIRED
A

	a. ADDRESSEE            b. COPIES

	8. APP CODE11. AS IF DATE*13. DATE OF SUBSEQUENT SUBMISSIONDraft18. ESTIMATED TOTAL PRICE

	Final 17. PRICE GROUP
Reg            Repro

	16. REMARKS SEE ENCLOSURE
*The contractor shall            NUMBER 1
submit the test report in
accordance with Task 8 of
the statement of work.

	17. PRICE GROUP

	15. TOTAL’

	1. DATA ITEM NO. 2. TITLE OF DATA ITEM 3. SUBTITLE
A006 Final Report

	4. AUTHORITY (Data Acquisition Document No.)5. CONTRACT REFERENCESection H.1 of Schedule18.
ESTIMATED TOTAL PRICE

	6. REQUIRING OFFICE
7. DD 250 REQ 9. DIST 10 FREQUENCY 12. DATE OF FIRST 14. DISTRIBUTION
DD* STATEMENT OTIME SUBMISSION
REQUIRED
A
a. ADDRESSEE            b. COPIES
11. AS OF DATE 13. DATE OF SUBSEQUENT            Final
See block 16 SUBMISSION
8. APP CODE            Draft            Reg            Repro
16. REMARKS SEE ENCLOSURE
*DD 250 required only for acceptance by the Program Officer designated in Section F. Information copies            NUMBER 1
of this report shall be distributed in accordance with Enclosure Number 1.

	15. TOTAL’
G. PREPARED BY            H. DATE            I. APPROVED BY            J. DATE
Angela Bruce Dunson, ONR 252 18 Sep 2008 Michael Vaccaro 18 Sep 2008

	DD FORM 1423-2, AUG 96 (EG) PREVIOUS EDITION MAY BE USED            Page 3 of 3 Page(s)

 

 

ENCLOSURE NUMBER 1

CONTRACT DATA REQUIREMENTS LIST

INSTRUCTIONS FOR DISTRIBUTION

DISTRIBUTION OF PROGRESS REPORTS

The minimum distribution for progress reports is as follows:

	 	 	 	 	 	 	 
	 	 	 	 	NUMBER OF COPIES
	 	 	 	 	UNCLASSIFIED / LIMITED
	ADDRESSEE	 	DODAAC CODE	 	AND CLASSIFIED
	SBIR PROGRAM MANAGER

ATTN: TRACY FROST

OFFICE OF NAVAL RESEARCH

800 NORTH QUINCY STREET 875N

RANDLOPHRANDOLPH STREET
 ARLINGTON,
VA 22203-1995

Phone: (703)696-3196

E-mail: frostt@onr.navy.mil

REF: N00014-09-C-0115

	 	N00014
	 	 	1	 
	Program Officer: Michael Vaccaro

E-mail: michael.vaccaro@navy.mil

REF: N00014-09-C-0115

	 	N00014
	 	 	1	 
	Administrative Contracting Officer*

Fax: 856-338-3640

	 	S3915A
	 	 	1	 

DISTRIBUTION OF TECHNICAL REPORTS AND FINAL REPORT 

(A SF-298 must accompany the final report)

 

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

	 	 	 	 	 	 	 
	 	 	 	 	NUMBER OF COPIES
	 	 	 	 	UNCLASSIFIED / LIMITED
	ADDRESSEE	 	DODAAC CODE	 	AND CLASSIFIED
	Program Officer: Michael Vaccaro

E-mail: michael.vaccaro@navy.mil

Office of Naval Research

875 North Randolph Street

Arlington, VA 22203

	 	N00014
	 	1 w/SF-298

	Administrative Contracting Officer*

Fax: 856-338-3640

	 	S3915A
	 	1 w/SF-298

	SBIR PROGRAM MANAGER

ATTN: TRACY FROST

	 	N00014
	 	 	1	 

 

 

	 	 	 	 	 	 	 
	 	 	 	 	NUMBER OF COPIES
	 	 	 	 	UNCLASSIFIED / LIMITED
	ADDRESSEE	 	DODAAC CODE	 	AND CLASSIFIED
	OFFICE OF NAVAL RESEARCH

800 NORTH QUINCY STREET875 N

RANDLOPHRANDOLPH STREET 
ARLINGTON,
VA 22203-1995

Phone: (703)696-3196

E-mail: frostt@onr.navy.mil

REF: N00014-09-C-0115
	 	 	 	 	 	 
	Defense Technical Information Center

8725 John J. Kingman Road

STE 0944

Ft. Belvoir, VA 22060-6218

E-mail: TR@dtic.mil

	 	HJ4701
	 	2 w/SF-298

	Director, Naval Research Lab

Attn: Code 5227

4555 Overlook Avenue, SW

Washington, D.C. 20375-5320

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

	 	N00173
	 	1 w/SF-298

 

 

Attachment Number 1

DWADS Advanced Development Model (ADM) PowerBuoy

Statement of Work

1 Systems Engineering

1.1 PowerBuoy Advanced Development Model Requirements Generation

OPT shall work with the customer to establish requirements for the ADM PowerBuoy, mooring system,
and any required ocean test, installation and recovery equipment. OPT shall prepare a document
that captures these requirements. For determining Phase II program costs, a set of requirements
has been assumed by OPT. These requirements are presented in Section 6.1 of the technical
proposal.

Buoy Requirements. OPT shall define the requirements for the design, development, construction,
and ocean test of the ADM PowerBuoy.

Mooring System Requirements (inputs to US Navy). OPT shall define the requirements for the ADM
mooring system and document those requirements in an ADM PowerBuoy Mooring System Requirements
document. OPT will support in the design of the mooring system, but have assumed that the
lead-design and build of this element is a US Navy responsibility.

Deployment/Recovery and Test System Requirements (inputs to US Navy). OPT shall define the
requirements for the installation and recovery of the ADM PowerBuoy and document those requirements
in an ADM PowerBuoy Installation and Retrieval Requirements document. Note that OPT will support
in this effort, but has assumed that deployment and recovery are US Navy responsibilities.

1.2 ADM PowerBuoy Test Plan and Procedures

OPT shall prepare a plan that outlines the plans, objectives and methods for the test of the ADM
PowerBuoy.

1.3 Trade Studies and ADM PowerBuoy Conceptual Design

OPT shall perform a conceptual design of a Powerbuoy that meets the requirements specified in the
ADM PowerBuoy Requirements Document. The conceptual design activity will involve the performance
of several trade studies. These trade studies may include, but are not required to include, the
following:

[**]

	 	•	 	Power take-off (PTO) design / technologies

1.4 ADM Power Buoy Key Technology Demonstrations

Following the trade studies and ADM PowerBuoy conceptual design, OPT shall identify technologies
that require risk reduction demonstrations. Laboratory demonstration of these technologies may be
performed.

 

 

Attachment Number 1

2 ADM PowerBuoy Preliminary Design

OPT shall perform a preliminary design of the ADM PowerBuoy. The requirements set forth in the ADM
PowerBuoy Requirements Document shall be used in the buoy design except under mutual agreement. A
preliminary design data package shall be prepared and a preliminary design review shall be
conducted.

2.1 PowerBuoy Design

OPT shall perform a preliminary design of the ADM PowerBuoy. The requirements set forth in the ADM
PowerBuoy Requirements Document shall be used in the buoy design. OPT’s efforts will seek to
implement enhancements to its existing PowerBuoy to improve the efficiency, increase the power
output, and decrease the size.

2.2 Mooring System Design Support

[**].

2.3 Deployment and Recovery Equipment

OPT shall perform a preliminary design of any required special fixtures and equipment needed for
the deployment and recovery of the enhanced PowerBuoy ADM. A preliminary design data package shall
be prepared and a preliminary design review shall be conducted.

2.4 Test Equipment

OPT shall perform a preliminary design of special fixtures and equipment needed to test an enhanced
PowerBuoy. A preliminary design data package shall be prepared and a preliminary design review
shall be conducted.

3 ADM PowerBuoy Detailed Design

OPT shall perform a detailed design of the ADM PowerBuoy. The requirements set forth in the ADM
PowerBuoy Requirements Document shall be used in the buoy design unless changed by mutual
agreement. A detailed design data package shall be prepared and a final design review shall be
conducted.

3.1 PowerBuoy

OPT shall perform a final detailed design of the DWADS ADM. The requirements set forth in the ADM
PowerBuoy Requirements Document shall be used in the buoy design unless changed by mutual
agreement.

3.2 Mooring System

[**].

 

 

Attachment Number 1

3.3 Deployment and Recovery Equipment

OPT shall perform a final detailed design of special fixtures and equipment needed for the
deployment and recovery of the DWADS-ADM Powerbuoy. A detailed design data package shall be
prepared and a detailed design review shall be conducted.

3.4 Test Equipment

OPT shall perform a final detailed design of modifications to existing fixtures and equipment
required to test an enhanced PowerBuoy. A detailed design data package shall be prepared and a
detailed design review shall be conducted.

4 Fabrication of ADM PowerBuoy Equipment

4.1 ADM PowerBuoy Fabrication

OPT’s development effort includes the fabrication of the ADM PowerBuoy from the approved detailed
designs from Section 4.5 of the technical proposal.

4.2 Mooring System Fabrication

[**].

5 Acceptance Testing of ADM PowerBuoy Subsystems

OPT shall perform acceptance testing of the ADM PowerBuoy subsystems to verify functionality and
critical performance, where possible.

6 System Staging, Deployment and Recovery of ADM PowerBuoy (US Navy)

[**]

Prior to deployment, OPT will participate in a review with members of the project team that will
cover the objectives, methods, equipment, safety, and contingency procedures associated with the
handling, deployment, commissioning and operation of the PowerBuoy. This same requirement will be
required prior to the retrieval of the PowerBuoy.

[**]

7 Technical Support for Sea Trial of ADM PowerBuoy

OPT shall provide technical support from its headquarters during the sea trial, which is
anticipated to be up to three months. During that time period, data from the ADM PowerBuoy systems
operations will be collected and entered into OPT’s operational database. Many parameters will be
monitored electronically from sensors located throughout the system of the

 

 

Attachment Number 1

PowerBuoy via the data
acquisition system. In addition, data from the Navy or other independent wave monitoring device(s)
will also be collected.

8 Sea Trial Test Results — Data Analysis

8.1 Test Results

After completion of the sea trial test, OPT shall analyze the recorded data to identify trends,
anomalies and key operational performance characteristics and compare it to expected results. Some
of the analysis will be conducted by statistical and event mapping of the data. Based on this
analysis, OPT shall make recommendations to optimize the PowerBuoy design for the follow-on
systems.

Data will also be obtained from visual inspection of the PowerBuoy and mooring components for
corrosion, marine growth and wear.

8.2 Recommendations for Transition to Fleet

Upon completion of the ocean test and subsequent data analysis, OPT shall identify improvements to
transition to the US Navy fleet. OPT shall also identify additional development or risk mitigation
work that may need to be performed in order to successfully transition from the ADM to fleet
production.

9 Program Management

A Program Manager shall be assigned to the program. The Program Manager will provide the technical
direction, monitor and direct the daily technical aspects of the program and coordinate the
specialized talents of management, engineering, finance, manufacturing, and quality assurance with
the following tasks:

	 	•	 	Program Planning, Tracking and Technical Management — The OPT Program Manager shall be
responsible for resource assignment, technical direction, task direction and schedule
management. OPT will notify the government when the project reaches 75% cost expenditure.
	 
	 	•	 	Program Meetings — The OPT Program Manager shall direct the program meetings which are
established to coincide with key technical milestones.
	 
	 	•	 	Progress Reports — OPT Program Manager shall prepare and distribute the minutes from
Review Meetings, Monthly Progress Reports, and Major Technical Reports in accordance with
the Contract Data Requirements List (CDRL) Items.

The OPT administrative staff will provide the financial and contractual support.

 

 

	{ Form Approved }
{ REPORT DOCUMENTATION PAGE }{ OMB No. 0704-0188 }
Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching }
existing data sources, gathering and maintaining the data needed, and completing and reviewing this collection of information. Send comments regarding this }
burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to Department of Defense, Washington }
Headquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302. }
Respondents should be aware that notwithstanding any other provision of law, no person shall be subject to any penalty for failing to comply with a collection of
information if it does not display a currently valid OMB control number. PLEASE DO NOT RETURN YOUR FORM TO THE ABOVE ADDRESS. }
1. REPORT DATE (DD-MM-YYYY) } 2. REPORT TYPE } 3. DATES COVERED (From — To) }
4. TITLE AND SUBTITLE } 5a. CONTRACT NUMBER }
5b. GRANT NUMBER }
5c. PROGRAM ELEMENT NUMBER }
6. AUTHOR(S) } 5d. PROJECT NUMBER }
5e. TASK NUMBER }
5f. WORK UNIT NUMBER }
7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) } 8. PERFORMING ORGANIZATION REPORT NUMBER }
AND ADDRESS(ES) }
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11. SPONSOR/MONITOR’S REPORT NUMBER(S) }
12. DISTRIBUTION / AVAILABILITY STATEMENT }
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a. REPORT            b. ABSTRACT            c. THIS PAGE } 19b. TELEPHONE NUMBER
(include area code)

	Standard Form 298 (Rev. 8-98)
Prescribed by ANSI Std.
Z39.18

 

 

	FINANCIAL ACCOUNTING DATA SHEET — NAVY
1. CONTRACT NUMBER (CRITICAL) 2. SPIN (CRITICAL) 3. MOD (CRITICAL) 4. PR NUMBER
N0001409C0115 08PR08225-00
CLIN/SLIN 6. LINE OF ACCOUNTING 7. NAVY INTERNAL USE
AMOUNT            ONLY REF DOC/ACRN
(CRITICAL)

	A. B. C. D. E. F. G. H. I. J. K.
ACRN            APPROPRIATION            SUBHEAD            OBJ            PARM            RFM            SA   
         AAA            IT            PAA            COST CODE
(CRITICAL) (CRITICAL) (CRITICAL) CLA (CRITICAL)
PROJ            MCC            PDLI
UNIT &SUF
——  -—  —
AA 1781319 W3MD 255 RA 329 0 068342 2D 000000 09B48 000 DWAO $3,020,039.00 PR#08PR08225-00
FRC:2DWA
PAGE TOTAL $3,020,039.00

	GRAND TOTAL $3,020,039.00

	PREPARED/AUTHORIZED BY: COMPTROLLER APPROVAL:

	DATE; FOR FISCAL DATA AND SIGNATURE
BY for COMPTROLLER, ONR CONTRACT REVIEWED
DATE:

	ONR AWARD FORM (10/99) — version 1.1

 

 

	FINANCIAL ACCOUNTING DATA SHEET — NON-NAVY DoD ACTIVITIES
1. CONTRACT NUMBER (CRITICAL) 2. SPIN (CRITICAL) 3. MOD (CRITICAL) 4. PR NUMBER
N0001409C0115 08PR08225-00
5. 6. 7. 8. NAVY INTERNAL
CLIN/SLIN            ACRN            ACCOUNTING CITATION            AMOUNT            USE ONLY
(CRITICAL) (CRITICAL) REF DOC/ACRN
This page is intentionally blank
PAGE TOTAL $.00
GRANT TOTAL $.00
PREPARED/AUTHORIZED BY: COMPTROLLER APPROVAL:
DATE: FOR FISCAL DATA AND SIGNATURE
BY for COMPTROLLER, ONR CONTRACT REVIEWED
DATE:

	ONR AWARD FORM (10/99) — Version 1.1

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