Document:

Exhibit 10.1

	  	
 

	  	  	  	  	  	  	  	  	  	  	  	  	  	  
	  	
AWARD/CONTRACT

	
 1.

	
THIS CONTRACT IS A RATED ORDER

	
 RATING

	  	
PAGE

	  	
OF

	
PAGES

	  
	  	  	
UNDER DPAS (15 CFR 700)

	
    DX-C9

	
1

	  	  	
56

	  
	  	
2.   CONTRACT (Proc.  Inst.  Ident.) NO.

	
 3.

	
EFFECTIVE DATE

	
  4.   REQUISITION/PURCHASE REQUEST/PROJECT NO.

	  
	  	
HQ0147-14-C-8019

	  	
28 Aug 2014

	
  HQ0147437545

	  
	  	
5.   ISSUED BY

	
CODE

	
 HQ0147

	
  6.   ADMINISTERED BY     (If other than Item 5)

	
CODE 

	
S3309A

	  	  	  	  
	  	
MISSILE DEFENSE AGENCY (MDA)

	
  DCMA LONG ISLAND

	  	  	  	  	  	  
	  	
CONTRACTS DIRECTORATE

	
  605 STEWART AVENUE

	  	  	  	  	  	  
	  	
BLDG 5222 MARTIN RD

	
  GARDEN CITY NY 11530-4761

	  	  	  	
SCD:    A

	  
	  	
REDSTONE ARSENAL AL 35898-0001

	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  	  	  	  
	  	
7.   NAME AND ADDRESS OF CONTRACTOR         (No., street, city, county, state and zip code)

	
  8.  DELIVERY

	  	  	  	  	  	  
	  	
APPLIED DNA SCIENCES, INC.

	  	  	  	  	
       o  FOB ORIGIN     x  OTHER     (See below)

	  
	  	
50 HEALTH SCIENCES DR

	  	  	  	  	
  9.  DISCOUNT FOR PROMPT PAYMENT

	  
	  	
STONY BROOK NY 11790-3349

	  	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	
  10. SUBMIT INVOICES

	
1

	
   ITEM

	  	  	  	  
	  	  	  	  	  	  	  	
  (4 copies unless otherwise specified)

	  	  	  	  	  
	  	  	  	  	  	  	  	
  TO THE ADDRESS

	  	
Section G

	  
	  	
CODE     5XPT1

	  	
 FACILITY CODE

	  	  	
  SHOWN IN:

	  	  	  	  	  	  	  	  
	  	
11.  SHIP TO/MARK FOR

	
CODE

	
 HQ0147

	
  12. PAYMENT WILL BE MADE BY

	
CODE 

	
  HQ0337

	  	  	  
	  	
MISSILE DEFENSE AGENCY (MDA)

	  	  	
  DFAS COLUMBUS CENTER

	  	  	  	  	  	  	  
	  	
BLDG 5222 MARTIN RD

	  	  	
  NORTH ENTITLEMENT OPERATIONS

	  	  	  	  	  	  	  
	  	
REDSTONE ARSENAL AL 35898-0001

	  	  	
  P.O. BOX 182266

	  	  	  	  	  	  	  
	  	  	  	  	
  COLUMBUS OH 43218-2266

	  	  	  	  	  	  	  
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	  	 	 	 	 	 	 	 	 

	  	  	  	  	  	  	  	  	  	  	  	  	  	  
	  	
13.  AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

	
  14. ACCOUNTING AND APPROPRIATION DATA

	  
	  	
o 10 U.S.C. 2304(c)(     )   o 41 U.S.C. 253(c)(     )

	
  See Schedule

	  
	  	
15A. ITEM NO.

	
15B. SUPPLIES/ SERVICES

	
15C. QUANTITY

	
15D. UNIT

	
15E. UNIT PRICE

	
15F. AMOUNT

	  
	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  
	  	  	
SEE SCHEDULE

	  	  	  	  	  
	  	  	  	  	  	  	  	  
	 	 	
 

 

	 	 	 	 	 
	 	 	 	 	 	 	 	 
	  	  	  	  	  	  	  	  
	  	  	  	
15G. TOTAL AMOUNT OF CONTRACT

	
$2,973,024.00

	  
	  	
16. TABLE OF CONTENTS

	  
	  	
(X)

	
SEC.

	DESCRIPTION	
PAGE(S)

	
(X)

	
SEC.

	
DESCRIPTION

	
PAGE(S)

	  
	  	
PART I - THE SCHEDULE

	
PART II - CONTRACT CLAUSES

	  	  
	  	
X

	
A

	
 SOLICITATION/ CONTRACT FORM

	
  1

	

X

	
I

	
 CONTRACT CLAUSES

	
  49 - 55

	  
	  	

X

	
B

	
 SUPPLIES OR SERVICES AND PRICES/ COSTS

	
  2 - 26

	
PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

	  
	  	

X

	
C

	
 DESCRIPTION/ SPECS./ WORK STATEMENT

	
  27

	

X

	
J

	
 LIST OF ATTACHMENTS

	
  56

	  
	  	

X

	
D

	
 PACKAGING AND MARKING

	
  28

	
PART IV - REPRESENTATIONS AND INSTRUCTIONS

	  
	  	

X

	
E

	
 INSPECTION AND ACCEPTANCE

	
  29 - 30

	  	
K

	
 REPRESENTATIONS, CERTIFICATIONS AND

	  	  
	  	

X

	
F

	
 DELIVERIES OR PERFORMANCE

	
  31 - 34

	  	
 OTHER STATEMENTS OF OFFERORS

	  	  
	  	

X

	
G

	
 CONTRACT ADMINISTRATION DATA

	
  35 - 38

	  	
L

	
 INSTRS., CONDS., AND NOTICES TO OFFERORS

	  	  
	  	

X

	
H

	
 SPECIAL CONTRACT REQUIREMENTS

	
  39 - 48

	  	
M

	
 EVALUATION FACTORS FOR AWARD

	  	  
	  	
CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE

	  
	  	
17. x CONTRACTOR’S NEGOTIATED AGREEMENT     Contractor is required to sign this document and return1     copies to issuing office.)     Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein.

(Attachments are listed herein.)

	
18.  o  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 forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government’s solicitation and your offer, and (b) this award/contract. No further contractual document is necessary.

	  	  
	  	
19A. NAME AND TITLE OF SIGNER     (Type or print)

	  	  	  	  	  	  	  	  
	  	  	          (b)(6)	  	  	  
	  	  	  	  	  	  	  	  	  	  	  	  	  	  

	  	19B. NAME OF CONTRACTOR	 19C. DATE SIGNED	  20B. UNITED STATES OF AMERICA	  	 20C. DATE SIGNED	  
	  	  	  	  	  	  	  	  
	  	BY	 	 	  	  	  BY	          (b)(6)	  	28-Aug-2014	  
	  	  	(Signature of person authorized to sign)	  	  	(Signature of Contracting Officer)	  	  	  
	AUTHORIZED FOR LOCAL REPRODUCTION	  	STANDARD FORM 26 (REV. 4/2008)	  
	  	  	  	  
	Previous edition is usable	  	Prescribed by GSA                                	  
	  	  	FAR (48 CFR) 53.214(a)                      	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 2 of 56

 

          Section B - Supplies or Services and Prices

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0001

	  	  	  	
1

	  	
Each

	  	
$69,556.00

	  	
$69,556.00

	  	  	
RIF, Month 1, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
The Contractor shall perform research and development efforts IAW its Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1-5) Integrated scope and design development. 

FOB: Destination 

PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$69,556.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000101

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0001

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$69,556.00

	  	  	
CIN: HQ0147437545000101

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 3 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0002

	  	  	  	
1

	  	
Each

	  	
$90,180.00

	  	
$90,180.00

	  	  	
RIF, Month 2, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1-5) Integrated scope and design development.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$90,180.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000201

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0002

	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$90,180.00

	  	  	
CIN: HQ0147437545000201

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 4 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0003

	  	  	  	
1

	  	
Each

	  	
$132,056.00

	  	
$132,056.00

	  	  	
RIF, Month 3, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1-5) Integrated scope and design finalized.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$132,056.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000301

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0003

	  	  	  	  
	  	  	
FFP

	  	  	  	  	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$132,056.00

	  	  	
CIN: HQ0147437545000301

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 5 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0004

	  	  	  	
1

	  	
Each

	  	
$154,235.00

	  	
$154,235.00

	  	  	
RIF, Month 4, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
154235Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti- Counterfeiting Protection: Single Authentication Technology for Multiple High- Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$154,235.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000401

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0004

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$154,235.00

	  	  	
CIN: HQ0147437545000401

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 6 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0005

	  	  	  	
1

	  	
Each

	  	
$145,172.00

	  	
$145,172.00

	  	  	
RIF, Month 5, Research & Development

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	

	  	NET AMT	  	
$145,172.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000501

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0005

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	

	  	NET AMT	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$145,172.00

	  	  	
CIN: HQ0147437545000501

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 7 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0006

	  	  	  	
1

	  	
Each

	  	
$239,756.00

	  	
$239,756.00

	  	  	
RIF, Month 6, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$239,756.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000601

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0006

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$239,756.00

	  	  	
CIN: HQ0147437545000601

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 8 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0007

	  	  	  	
1

	  	
Each

	  	
$156,172.00

	  	
$156,172.00

	  	  	
RIF, Month 7, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$156,172.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000701

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0007

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$156,172.00

	  	  	
CIN: HQ0147437545000701

	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 9 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0008

	  	  	  	
1

	  	
Each

	  	
$152,046.00

	  	
$152,046.00

	  	  	
RIF, Month 8, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$152,046.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000801

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0008

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	
$152,046.00

	  	  	
CIN: HQ0147437545000801

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 10 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0009

	  	  	  	
1

	  	
Each

	  	
$208,016.00

	  	
$208,016.00

	  	  	
RIF, Month 9, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$208,016.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
000901

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0009

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$208,016.00

	  	  	
CIN: HQ0147437545000901

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 11 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0010

	  	  	  	
1

	  	
Each

	  	
$166,797.00

	  	
$166,797.00

	  	  	
RIF, Month 10, Research & Development

FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$166,797.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001001

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0010

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$166,797.00

	  	  	
CIN: HQ0147437545001001

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 12 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0011

	  	  	  	
1

	  	
Each

	  	
$239,756.00

	  	
$239,756.00

	  	  	
RIF, Month 11, Research & Development

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
Technical
Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple
High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial
Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design
and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	
NET AMT

	  	
$239,756.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001101

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0011

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$239,756.00

	  	  	
CIN: HQ0147437545001101

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 13 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0012

	  	  	  	
1

	  	
Each

	  	
$152,046.00

	  	
$152,046.00

	  	  	
RIF, Month 12, Research & Development

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$152,046.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001201

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0012

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	
$152,046.00

	  	  	
CIN: HQ0147437545001201

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 14 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0013

	  	  	  	
1

	  	
Each

	  	
$157,360.00

	  	
$157,360.00

	  	  	
RIF, Month 13, Research & Development

FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$157,360.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001301

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0013

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	  	  	
$157,360.00

	  	  	
CIN: HQ0147437545001301

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 15 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0014

	  	  	  	
1

	  	
Each

	  	
$195,900.00

	  	
$195,900.00

	  	  	
RIF, Month 14, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$195,900.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001401

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0014

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$195,900.00

	  	  	
CIN: HQ0147437545001401

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 16 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0015

	  	  	  	
1

	  	
Each

	  	
$95,190.00

	  	
$95,190.00

	  	  	
RIF, Month 15, Research & Development

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Develop Secure Material Deposition Printer; 3: Create New Optical Marker and Develop In-field Detection; and 5: Design and Configure Simulated Digital Identification Network.

	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$95,190.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001501

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0015

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	
$95,190.00

	  	  	
CIN: HQ0147437545001501

	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 17 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0016

	  	  	  	
1

	  	
Each

	  	
$141,751.00

	  	
$141,751.00

	  	  	
RIF, Month 16, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 2, 3, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 2: Complete Task 2 - The contractor shall conduct at least one industry field trial with the secure material deposition printer for each of the six FSG’s in accordance with the Task 2 of the Contractor’s BAA- RIF proposal; 3: Complete Task 3 - The contractor shall conduct at least one industry / DLA PTC field trial of the optical marker and detection system for each of the six FSG’s in accordance with the Task 3 of the Contractor’s BAA-RIF proposal; 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$141,751.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001601

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0016

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$141,751.00

	  	  	
CIN: HQ0147437545001601

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 18 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0017

	  	  	  	
1

	  	
Each

	  	
$172,211.00

	  	
$172,211.00

	  	  	
RIF, Month 17, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 4: Increase DNA Production Methods to Accommodate Marking Six FSGs; and 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$172,211.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001701

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0017

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$172,211.00

	  	  	
CIN: HQ0147437545001701

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 19 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0018

	  	  	  	
1

	  	
Each

	  	
$33,324.00

	  	
$33,324.00

	  	  	
RIF, Month 18, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 4: Increase DNA Production Methods to Accommodate Marking Six FSGs; and 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$33,324.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001801

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0018

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	
$33,324.00

	  	  	
CIN: HQ0147437545001801

	  	  	  	  
	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 20 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0019

	  	  	  	
1

	  	
Each

	  	
$33,324.00

	  	
$33,324.00

	  	  	
RIF, Month 19, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 4: Increase DNA Production Methods to Accommodate Marking Six FSGs; and 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$33,324.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
001901

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0019

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	
$33,324.00

	  	  	
CIN: HQ0147437545001901

	  	  	  	  
	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 21 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0020

	  	  	  	
1

	  	
Each

	  	
$120,510.00

	  	
$120,510.00

	  	  	
RIF, Month 20, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 4: Increase DNA Production Methods to Accommodate Marking Six FSGs; and 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$120,510.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
002001

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0020

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$120,510.00

	  	  	
CIN: HQ0147437545002001

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 22 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0021

	  	  	  	
1

	  	
Each

	  	
$33,324.00

	  	
$33,324.00

	  	  	
RIF, Month 21, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Transfer Marking Process to New FSG and Industrial Pilot; 4: Increase DNA Production Methods to Accommodate Marking Six FSGs; and 5: Evaluate Simulated Digital Identification Network with Industry Partner.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$33,324.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
002101

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0021

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$33,324.00

	  	  	
CIN: HQ0147437545002101

	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 23 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0022

	  	  	  	
1

	  	
Each

	  	
$33,324.00

	  	
$33,324.00

	  	  	
RIF, Month 22, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. (Tasks 1, 4, 5) 1: Complete Task 1 - The contractor shall conduct at least one industry pilot for each of six FSGs in accordance with the Task 1 of the Contractor’s BAA-RIF proposal; 4: Complete Task 4 - The contractor shall conduct at least one industry scale field trial for any six of the FSGs in accordance with the Task 4 of the Contractor’s BAA-RIF proposal; 5: Complete Task 5 - The contractor shall conduct at least one field trial of the simulated network for each of the six FSGs in accordance with the Task 5 of the Contractor’s BAA-RIF proposal.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$33,324.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
002201

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0022

	  	  
	  	  	
FFP

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	  	  	
$33,324.00

	  	  	
CIN: HQ0147437545002201

	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 24 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0023

	  	  	  	
1

	  	
Each

	  	
$15,208.00

	  	
$15,208.00

	  	  	
RIF, Month 23, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. Finalize conclusions and documentation across all project tracks and tasks.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$15,208.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
002301

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0023

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	
$15,208.00

	  	  	
CIN: HQ0147437545002301

	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 25 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0024

	  	  	  	
1

	  	
Each

	  	
$35,810.00

	  	
$35,810.00

	  	  	
RIF, Month 24, Research & Development

	  	  
	  	  	
FFP

	  	  
	  	  	
Technical Proposal # DODRIF13-DLA-02-P-0005, Title: “Anti-Counterfeiting Protection: Single Authentication Technology for Multiple High-Risk Commodities”, Dated: March 31, 2014. Final report submitted to MDA and DLA.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  
	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$35,810.00

	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
002401

	  	  	  	  	  	  	  	  	  	
$0.00

	  	  	
Informational Funding SLIN for CLIN 0024

	  	  	  	  
	  	  	
FFP

	  	  	  	  
	  	  	
FOB: Destination

	  	  	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  	  	  
	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	
$0.00

	  	  	  	  	  	  	  	  	  	  	  
	  	  	
ACRN AB

	  	  	  	
$15,810.00

	  	  	
CIN: HQ0147437545002401

	  	  	  	  
	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 26 of 56

	  	  	  	  	  	  	  	  	  	  	  
	
ITEM NO

	  	
SUPPLIES/SERVICES

	  	
QUANTITY

	  	
UNIT

	  	
UNIT PRICE

	  	
AMOUNT

	
0025

	  	  	  	
1

	  	
Lot

	  	  	  	
NSP

	  	  	
Data & Reports

	  	  
	  	  	
FFP

	  	  
	  	  	
The Contractor shall provide data deliverables in accordance with Exhibit A Contract Data Reuirements Lists (CDRLs), DD Form 1423-1.

	  	  
	  	  	
FOB: Destination

	  	  
	  	  	
PURCHASE REQUEST NUMBER: HQ0147437545

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	  	  	  
	  	  	  	  	  	  	  	  	
NET AMT

	  	  
	  	  	  	  	  	  	  	  	  	  	  
	
          FSC CD: AC22

	  	  	  	  	  	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 27 of 56

Section C - Descriptions and Specifications

 

CLAUSES INCORPORATED BY FULL TEXT

	  
	
C-01        SCOPE OF WORK (MAY 2005)

	
The Contractor shall perform the work specified in the Contractor’s Technical Proposal identified in Section B and hereby incorporated by reference, or other Attachments/Exhibits in Section J of this contract. The Contractor shall provide all necessary materials, labor, equipment and facilities incidental to the performance of this requirement.

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 28 of 56

 

Section D - Packaging and Marking

 

CLAUSES INCORPORATED BY FULL TEXT

 

D-01       PACKAGING AND MARKING OF TECHNICAL DATA (APR 2009)

 

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

 

CLAUSES INCORPORATED BY FULL TEXT

 

D-02       PACKAGING AND MARKING OF HARDWARE ITEMS (APR 2009)

 

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

 

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

 

c. MARKING INSTRUCTIONS FOR MISSILE DEFENSE AGENCY (MDA) REQUIREMENTS – Request for marking instructions shall be submitted electronically at least 90 days prior to required delivery date, to (specialist enter either COR or PCO or both as appropriate to the acquisition).

	  	  
	  	
Missile Defense Agency, MDA/DACV

	  	
5224 Martin Road

	  	
Redstone Arsenal, AL 35898

	  	  
	  	
(b) (6)

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 29 of 56

 

Section E - Inspection and Acceptance

	  	  	  	  	  
	
INSPECTION AND ACCEPTANCE TERMS

	  	  	  	  	  
	
Supplies/services will be inspected/accepted at:

	  	  	  	  	  
	
CLIN

	
INSPECT AT

	
INSPECT BY

	
ACCEPT AT

	
ACCEPT BY

	
0001

	
Destination

	
Government

	
Destination

	
Government

	
000101

	
Destination

	
Government

	
Destination

	
Government

	
0002

	
Destination

	
Government

	
Destination

	
Government

	
000201

	
Destination

	
Government

	
Destination

	
Government

	
0003

	
Destination

	
Government

	
Destination

	
Government

	
000301

	
Destination

	
Government

	
Destination

	
Government

	
0004

	
Destination

	
Government

	
Destination

	
Government

	
000401

	
Destination

	
Government

	
Destination

	
Government

	
0005

	
Destination

	
Government

	
Destination

	
Government

	
000501

	
Destination

	
Government

	
Destination

	
Government

	
0006

	
Destination

	
Government

	
Destination

	
Government

	
000601

	
Destination

	
Government

	
Destination

	
Government

	
0007

	
Destination

	
Government

	
Destination

	
Government

	
000701

	
Destination

	
Government

	
Destination

	
Government

	
0008

	
Destination

	
Government

	
Destination

	
Government

	
000801

	
Destination

	
Government

	
Destination

	
Government

	
0009

	
Destination

	
Government

	
Destination

	
Government

	
000901

	
Destination

	
Government

	
Destination

	
Government

	
0010

	
Destination

	
Government

	
Destination

	
Government

	
001001

	
Destination

	
Government

	
Destination

	
Government

	
0011

	
Destination

	
Government

	
Destination

	
Government

	
001101

	
Destination

	
Government

	
Destination

	
Government

	
0012

	
Destination

	
Government

	
Destination

	
Government

	
001201

	
Destination

	
Government

	
Destination

	
Government

	
0013

	
Destination

	
Government

	
Destination

	
Government

	
001301

	
Destination

	
Government

	
Destination

	
Government

	
0014

	
Destination

	
Government

	
Destination

	
Government

	
001401

	
Destination

	
Government

	
Destination

	
Government

	
0015

	
Destination

	
Government

	
Destination

	
Government

	
001501

	
Destination

	
Government

	
Destination

	
Government

	
0016

	
Destination

	
Government

	
Destination

	
Government

	
001601

	
Destination

	
Government

	
Destination

	
Government

	
0017

	
Destination

	
Government

	
Destination

	
Government

	
001701

	
Destination

	
Government

	
Destination

	
Government

	
0018

	
Destination

	
Government

	
Destination

	
Government

	
001801

	
Destination

	
Government

	
Destination

	
Government

	
0019

	
Destination

	
Government

	
Destination

	
Government

	
001901

	
Destination

	
Government

	
Destination

	
Government

	
0020

	
Destination

	
Government

	
Destination

	
Government

	
002001

	
Destination

	
Government

	
Destination

	
Government

	
0021

	
Destination

	
Government

	
Destination

	
Government

	
002101

	
Destination

	
Government

	
Destination

	
Government

	
0022

	
Destination

	
Government

	
Destination

	
Government

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 30 of 56

	  	  	  	  	  
	
002201

	
Destination

	
Government

	
Destination

	
Government

	
0023

	
Destination

	
Government

	
Destination

	
Government

	
002301

	
Destination

	
Government

	
Destination

	
Government

	
0024

	
Destination

	
Government

	
Destination

	
Government

	
002401

	
Destination

	
Government

	
Destination

	
Government

	
0025

	
Destination

	
Government

	
Destination

	
Government

 

CLAUSES INCORPORATED BY REFERENCE

	  	  	  
	
52.246-9

	
Inspection Of Research And Development (Short Form)

	
APR 1984

	
52.246-16

	
Responsibility For Supplies

	
APR 1984

	
252.246-7000

	
Material Inspection And Receiving Report

	
MAR 2008

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 31 of 56

 

Section F - Deliveries or Performance

	  	  	  	  	  
	
DELIVERY INFORMATION

	  	  	  	  	  	  	  	  	  
	
CLIN

	  	
DELIVERY DATE

	  	
QUANTITY

	  	
SHIP TO ADDRESS

	  	
UIC

	  	  	  	  	  	  	  	  	  
	
0001

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000101

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0002

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000201

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0003

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000301

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0004

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000401

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0005

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000501

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0006

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000601

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

Page 32 of 56

	  	  	  	  	  	  	  	  	  
	
0007

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000701

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0008

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000801

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0009

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
000901

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0010

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001001

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0011

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001101

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0012

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001201

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0013

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001301

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0014

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001401

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 33 of 56

	  	  	  	  	  	  	  	  	  
	
0015

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001501

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0016

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001601

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0017

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001701

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0018

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001801

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0019

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
001901

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0020

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
002001

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0021

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
002101

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0022

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB:   Destination

	  	  

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 34 of 56

	  	  	  	  	  	  	  	  	  
	
002201

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0023

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB: Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
002301

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0024

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB: Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
002401

	  	
N/A

	  	
N/A

	  	
N/A

	  	
N/A

	  	  	  	  	  	  	  	  	  
	
0025

	  	
POP 29-AUG-2014 TO

	  	
N/A

	  	
MISSILE DEFENSE AGENCY (MDA)

	  	
HQ0147

	  	  	
28-AUG-2016

	  	  	  	
BLDG 5222 MARTIN RD

	  	  
	  	  	  	  	  	  	
REDSTONE ARSENAL AL 35898-0001

	  	  
	  	  	  	  	  	  	
FOB: Destination

	  	  
	  	  	  	  	  	  	  	  	  
	
CLAUSES INCORPORATED BY REFERENCE

	  	  

	
52.242-15

	
Stop-Work Order

	
AUG 1989

	
52.247-34

	
F.O.B. Destination

	
NOV 1991

	
52.247-55

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

	
JUN 2003

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 35 of 56

 

Section G - Contract Administration Data

 

ACCOUNTING AND APPROPRIATION DATA

	  	  	  	  	  
	
AB: 044411 097

	
0400 000 N 20132014 D 1125 YM SP785_FY13

	
B0-FY1314

	
710000  

	
0

	
AMOUNT: $2,953,024.00

	  	  	  
	
CIN HQ0147437545000101: $69,556.00

	  	  	  
	
CIN HQ0147437545000201: $90,180.00

	  	  	  
	
CIN HQ0147437545000301: $132,056.00

	  	  	  
	
CIN HQ0147437545000401: $154,235.00

	  	  	  
	
CIN HQ0147437545000501: $145,172.00

	  	  	  
	
CIN HQ0147437545000601: $239,756.00

	  	  	  
	
CIN HQ0147437545000701: $156,172.00

	  	  	  
	
CIN HQ0147437545000801: $152,046.00

	  	  	  
	
CIN HQ0147437545000901: $208,016.00

	  	  	  
	
CIN HQ0147437545001001: $166,797.00

	  	  	  
	
CIN HQ0147437545001101: $239,756.00

	  	  	  
	
CIN HQ0147437545001201: $152,046.00

	  	  	  
	
CIN HQ0147437545001301: $157,360.00

	  	  	  
	
CIN HQ0147437545001401: $195,900.00

	  	  	  
	
CIN HQ0147437545001501: $95,190.00

	  	  	  
	
CIN HQ0147437545001601: $141,751.00

	  	  	  
	
CIN HQ0147437545001701: $172,211.00

	  	  	  
	
CIN HQ0147437545001801: $33,324.00

	  	  	  
	
CIN HQ0147437545001901: $33,324.00

	  	  	  
	
CIN HQ0147437545002001: $120,510.00

	  	  	  
	
CIN HQ0147437545002101: $33,324.00

	  	  	  
	
CIN HQ0147437545002201: $33,324.00

	  	  	  
	
CIN HQ0147437545002301: $15,208.00

	  	  	  
	
CIN HQ0147437545002401: $15,810.00

	  	  	  
	  	  	  	  
	
CLAUSES INCORPORATED BY REFERENCE

	  	  	  
	  	  	  	  	  
	
252.204-0002

	
Line Item Specific: Sequential ACRN Order

	  	
SEP 2009

	  	  	  	  

CLAUSES INCORPORATED BY FULL TEXT

 

252.232-7006 WIDE AREA WORKFLOW PAYMENT INSTRUCTIONS (MAY 2013)

 

(a) Definitions. As used in this clause--

 

Department of Defense Activity Address Code (DoDAAC) is a six position code that uniquely identifies a unit, activity, or organization.

 

Document type means the type of payment request or receiving report available for creation in Wide Area WorkFlow (WAWF).

 

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 36 of 56

 

Local processing office (LPO) is the office responsible for payment certification when payment certification is done external to the entitlement system.

 

(b) Electronic invoicing. The WAWF system is the method to electronically process vendor payment requests and receiving reports, as authorized by DFARS 252.232-7003, Electronic Submission of Payment Requests and Receiving Reports.

 

(c) WAWF access. To access WAWF, the Contractor shall--

 

(1) Have a designated electronic business point of contact in the System for Award Management at https://www.acquisition.gov; and

 

(2) Be registered to use WAWF at https://wawf.eb.mil/ following the step-by-step procedures for self-registration available at this Web site.

 

(d) WAWF training. The Contractor should follow the training instructions of the WAWF Web-Based Training Course and use the Practice Training Site before submitting payment requests through WAWF. Both can be accessed by selecting the “Web Based Training” link on the WAWF home page at https://wawf.eb.mil/.

 

(e) WAWF methods of document submission. Document submissions may be via Web entry, Electronic Data Interchange, or File Transfer Protocol.

 

(f) WAWF payment instructions. The Contractor must use the following information when submitting payment requests and receiving reports in WAWF for this contract/order:

 

(1) Document type. The Contractor shall use the following document type(s).

 

INVOICES

 

(Contracting Officer: Insert applicable document type(s). Note: If a “Combo” document type is identified but not supportable by the Contractor’s business systems, an “Invoice” (stand-alone) and 

“Receiving Report” (stand-alone) document type may be used instead.)

 

(2) Inspection/acceptance location. The Contractor shall select the following inspection/acceptance location(s) in WAWF, as specified by the contracting officer.

 

DESTINATION / SP4700

 

(Contracting Officer: Insert inspection and acceptance locations or “Not applicable”.)

 

(3) Document routing. The Contractor shall use the information in the Routing Data Table below only to fill in applicable fields in WAWF when creating payment requests and receiving reports in the system.

	  	  
	Routing Data Table*	  
	
Field Name in WAWF

	
Data to be entered in WAWF

	
Pay Official DoDAAC

	
(b) (2)

	
Issue By DoDAAC

	
(b) (2)

	
Admin DoDAAC

	
(b)(2)

	
Inspect By DoDAAC

	
(b)

	
Ship To Code

	
(b)(2)

 

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 37 of 56

	  	  
	
Ship From Code

	
N/A

	
Mark For Code

	
N/A

	
Service Approver (DoDAAC)

	
(b) (2)

	
Service Acceptor (DoDAAC)

	
(b) (2)

	
Accept at Other DoDAAC

	
(b) (2)

	
LPO DoDAAC

	
N/A

	
DCAA Auditor DoDAAC

	
(b) (2)

	
Other DoDAAC(s)

	
N/A

	  	  

(*Contracting Officer: Insert applicable DoDAAC information or “See schedule” if multiple ship to/acceptance locations apply, or “Not applicable.”)

 

(4) Payment request and supporting documentation. The Contractor shall ensure a payment request includes appropriate contract line item and subline item descriptions of the work performed or supplies delivered, unit price/cost per unit, fee (if applicable), and all relevant back-up documentation, as defined in DFARS Appendix F, (e.g. timesheets) in support of each payment request.

 

(5) WAWF email notifications. The Contractor shall enter the email address identified below in the “Send Additional Email Notifications” field of WAWF once a document is submitted in the system.

 

(b) (6)

 

(g) WAWF point of contact. (1) The Contractor may obtain clarification regarding invoicing in WAWF from the following contracting activity’s WAWF point of contact.

 

(b) (6)

 

(2) For technical WAWF help, contact the WAWF helpdesk at 866-618-5988.

 

(End of clause)

 

G-01       CONTRACT ADMINISTRATION (MAY 2012)

 

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

 

a. CONTRACTING OFFICERS

 

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

 

The point of contact for all contractual matters is: 

Name:  (b) (6)

Organizational Code:  MDA/DACV

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 38 of 56

Telephone Number: (b) (6)

E-Mail Address: (b) (6)

 

The Contract Specialist is:

Name: (b) (6)

Organizational Code: MDA/DACV

Telephone Number: (b) (6)

E-Mail Address: (b) (6)

 

b.   TECHNICAL MONITOR

 

The Technical Monitor is not authorized to change any of the terms and conditions of the contract. The Contractor is advised that only the Contracting Officer can change or modify the contract terms or take any other action which obligates the Government. Then, such action must be set forth in a formal modification to the contract. The authority of the TM is strictly limited to him/her, without redelegation, to the specific duties set forth in his/her letter of appointment, a copy of which is furnished to the Contractor. Contractors who rely on direction from other than the Contracting Officer, a TM acting outside the strict limits of his/her responsibilities as set forth in his/her letter of appointment do so at their own risk and expense. Such actions do not bind the Government contractually. Any contractual questions shall be directed to the Contracting Officer.

 

The TM under this contract is:

Name: (b) (6)

Organizational Code: DLA

DLA Telephone Number: (b) (6)

    E-Mail Address: (b) (6)

 

CLAUSES INCORPORATED BY FULL TEXT

 

G-13 NOTICE OF THE GOVERNMENT’S USE OF OUTSIDE CONTRACTORS TO REVIEW SUBMITTED INVOICES, PAYMENT REQUESTS, AND MATERIAL INSPECTION AND RECEIVING REPORTS (MAY 2009)

 

The Government may utilize support contractors to assist the Government in the review and evaluation of the offeror’s invoices, payment requests, material inspection and receiving reports, and similar requests for payment or evidence of delivery. These contractors will be provided access to these and other records which may contain the proprietary information of the offeror, to include awarded contracts, to support Government officials in reviewing and reconciling invoices, payment records, and the Government’s financial and budgetary records, and in facilitating the timely payment of submitted invoices.

 

The support contractors are prohibited from obtaining proprietary information to which their employees will have access in the performance of their responsibilities, and are required to promptly notify the contracting officer of any breach of their employees’ non-disclosure obligations. Each of the contractor employees has also been required to execute a non-disclosure agreement which acknowledges their responsibilities to only use proprietary information in performance of the above tasks and for no other reason; that they will not share proprietary information with their employers; that they will not use such information for personal or other benefit; and that they will promptly notify their employers of any breaches of their responsibilities.

 

Unless the offeror specifically objects in writing, the offeror agrees, by the submission of a proposal, to allow the Government’s support contractors to have access to the offeror’s proprietary information for the purposes described above.

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 39 of 56

Section H - Special Contract Requirements

 

CLAUSES INCORPORATED BY FULL TEXT

 

H-06     INSURANCE (Apr 2009)

 

In accordance with FAR Part 28.307-2, Liability, the Contractor shall maintain the types of insurance and coverage listed below:

	  	  	  
	
TYPES OF INSURANCE

	  	
MINIMUM AMOUNT

	  	  	  
	
Workmen’s Compensation and all occupational disease

	  	
As required by Federal and State law

	
Employer’s Liability including all occupational disease

	  	
$100,000 per accident

	
when not covered by Workmen’s Compensation above

	  	  
	  	  	  
	
General Liability (Comprehensive) Bodily Injury

	  	
$500,000 per occurrence

	  	  	  
	
Automobile Liability (Comprehensive)

	  	  
	
Bodily Injury per person

	  	
$200,000

	
Bodily Injury per accident

	  	
$500,000

	
Property Damage per accident

	  	
$  20,000

 

CLAUSES INCORPORATED BY FULL TEXT

 

H-08     PUBLIC RELEASE OF INFORMATION (Jun 2013)

 

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

 

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

 

c.   Upon request, the Contracting Officer’s Representative (COR) will provide the contractor the MDA Form 003, “Security and Policy Review” or any superseding MDA form. The contractor must complete Sections A-C and E-H of the Form 003 (or comply with the instructions of any superseding form) and submit it to the COR with the materials to be cleared. If the information was previously cleared, provide the Public Release Case Number, if available, and a copy of the previous document highlighting the updated information.

 

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

 

          (1) the completed Form 003 and one (1) electronic copy of the material to be reviewed. File size must not exceed 25MB; and,

          (2) a written statement, including:

          (a) to whom the material is to be released;

          (b) the desired date for public release;

 

    	  

    	 

    
 

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

          (d) the contract number.

 

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

 

f.    Outlines, rough drafts, marked-up copy (with handwritten notes), incorrect distribution statements, For Official Use Only (FOUO) information, export controlled, or International Traffic in Arms Regulations ( ITAR) information will not be accepted or cleared.

 

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

 

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

 

i.    The COR will notify the contractor of the agency’s final decision regarding the status of the request.

 

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

 

H-09 ORGANIZATIONAL CONFLICT OF INTEREST (Jun 2012)

 

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

 

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

 

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

 

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

 

b.   Scope: Organizational Conflict of Interest (OCI) rules, procedures and responsibilities as described in FAR Subpart 9.5 shall be applicable to this contract and any resulting subcontracts.

 

          (1) The general rules in FAR 9.505-1 through 9.505-4 and the restrictions described herein shall apply to performance or participation by the Contractor and any of its affiliates or their successors-in-interest (hereinafter collectively referred to as “Contractor”) in the activities covered by this contract as prime Contractor, subcontractor, co-sponsor, joint venturer, consultant, or in any similar capacity.

 

          (2) The Missile Defense Agency’s OCI policy is in Attachment 1 of this contract.

 

c.   Access to and Use of Nonpublic Information: If the Contractor, in performance of this contract, obtains access to nonpublic information such as plans, policies, reports, studies, financial plans, or data which has not been released or otherwise made available to the public, the Contractor agrees that without prior written approval of the Contracting Officer, it shall not:

 

    	  

    	 

    
 

 

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           (1) use such information for any private purpose;

 

           (2) release such information.

 

d.   Access to and Protection of Proprietary Information: The Contractor agrees to exercise diligent effort to protect proprietary information from misuse or unauthorized disclosure in accordance with the provisions of FAR 9.505-4. The Contractor may be required to enter into a written non-disclosure agreement with the third party asserting proprietary restrictions.

 

e.   Subcontracts: The Contractor shall include this clause in consulting agreements, teaming agreements, subcontracts, or other arrangements for provision of services or supplies of any tier. The terms “contract”, “Contractor”, and “Contracting Officer” shall be appropriately modified to preserve the Government’s rights.

 

f.   Representations and Disclosures:

 

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

 

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

 

g.   Remedies and Waiver:

 

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

 

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

 

H-10      ENABLING CLAUSE FOR BMD INTERFACE SUPPORT (APR 2009)

 

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

 

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

 

    	  

    	 

    
 

 

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

 

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

 

  e.   Personnel from BMD Contractors or other Government agencies or Contractors are not authorized to direct the Contractor in any manner.

 

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

 

H-11  MDA VISIT AUTHORIZATION PROCEDURES (Nov 2012)

 

          a. The Contractor shall submit all required visit clearances in accordance with current NISPOM regulations. Visit clearances shall identify the contract number.

 

	
For Visit Requests to the National Capital Region send to:

	  	  
	  	
(b) (2)

	  	
Missile Defense Agency

	  	
Attn: Access Control Center

	  	
5700 18th Street, Bldg 245

	  	
Fort Belvoir, VA 22060-5573

	  	
571-231-8249

	  	
571-231-8099 FAX

	  	
(b) (2)

	
For Visit Requests to Huntsville, AL send to:

	  	  
	  	
Missile Defense Agency,

	  	
(b) (2)

	  	
Attn: Visitor Control

	  	
Bldg 5224 Martin Road

	  	
Redstone Arsenal, AL 35898

	  	
256-450-3215

	  	
256-450-3222 FAX

	  	
(b) (2)

	
For Visit Requests to Colorado Springs, CO send to:

	  	  
	  	
Missile Defense Agency,

	  	
(b) (2)

	  	
Attn: Visitor Control

	  	
720 Irwin Drive, Bldg 720 Room

	  	
125 Schrieve AFBr, CO 80912

	  	
719-721-0362

	  	
719-721-8399 FAX

 

    	  

    	 

    
 

 

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(b)(2)

	 	 	 
	  	
b. (b) (2)

 

H-12     CONTROL OF ACCESS TO MDA SPACES AND INFORMATION SYSTEMS (SEP 2013)

 

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

 

b.   The contractor will cooperate with COR in facilitating the employee’s return of all government issued credentials, e.g., badges, common access cards (CACs), SIPRNet tokens. Specifically, upon notification, the COR will work with the organization’s Security Operations Center and the MDA Service Desk to ensure timely action to:

 

          (1) remove the employee from the current visit authorization request/letter;

 

          (2) cancel Government issued credentials pursuant to the visit authorization request/letter; and,

 

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

 

c.   In addition to actions related to MDA access control, the contractor shall maintain accountability for Government issued credentials provided under this contract. Government issued credentials are the property of the U.S. Government and shall not be retained by cardholders upon expiration, replacement, or when the DoD affiliation of employees has been terminated. The contractor shall coordinate with the COR to ensure government issued credentials are retrieved in accordance with local command or installation procedures. Unauthorized possession of an official credential, like a CAC, can be prosecuted criminally under section 701, title 18, United States Code.

 

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

 

H-14     PERSONNEL QUALIFICATIONS (MAY 2005)

 

         a.    The Contractor shall promptly notify the Contracting Officer and Contracting Officer’s Representative prior to making any changes in key staff. If replacing key staff the Contractor shall adhere to the following: (1) replacement person’s qualifications are equal to or better than the qualifications of the person being replaced; or (2) the added person’s qualifications are equal to or better than the core capabilities of this contract. Key staff positions are defined as: Principal Investigator, Program Manager, Deputy Program Manager, or Lead Engineer.

 

         b.   All Contractor notifications must provide the name and departure date for the incumbent leaving, a complete resume for the proposed substitute, and any other pertinent information requested by the Contracting Officer. The Government shall be provided the opportunity to review the proposed substitution regarding qualifications, security matters or any other concerns which could, in its opinion, affect performance under this contract.

 

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

 

    	  

    	 

    
 

 

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H-27     FOREIGN PERSONS (Jun 2010)

 

1.   “Foreign National” (also known as Foreign Persons) as used in this clause means any person who is NOT:

 

a.   a citizen or national of the United States; or

 

b.   a lawful permanent resident; or

 

c.   a protected individual as defined by 8 U.S.C.1324b(a)(3).

 

“Lawful permanent resident” is a person having the status of having been lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws and such status not having changed.

 

“Protected individual” is an alien who is lawfully admitted for permanent residence, is granted the status of an alien lawfully admitted for temporary residence under 8 U.S.C.1160(a) or 8 U.S.C.1255a(a)(1), is admitted as a refugee under 8 U.S.C.1157, or is granted asylum under section 8 U.S.C.1158; but does not include (i) an alien who fails to apply for naturalization within six months of the date the alien first becomes eligible (by virtue of period of lawful permanent residence) to apply for naturalization or, if later, within six months after November 6, 1986, and (ii) an alien who has applied on a timely basis, but has not been naturalized as a citizen within 2 years after the date of the application, unless the alien can establish that the alien is actively pursuing naturalization, except that time consumed in the Service’s processing the application shall not be counted toward the 2-year period.”

 

2.   Prior to contract award, the contractor shall identify any lawful U.S. permanent residents and foreign nationals expected to be involved on this project as a direct employee, subcontractor or consultant. For these individuals, in addition to resumes, please specify their country of origin, the type of visa or work permit under which they are performing and an explanation of their anticipated level of involvement on this project. You may be asked to provide additional information during negotiations in order to verify the foreign citizen’s eligibility to participate on a contract. Supplemental information provided in response to this clause will be protected in accordance with Privacy Act (5 U.S.C. 552a), if applicable, and the Freedom of Information Act (5 U.S.C. 552(b)(6)). After award of the contract, the Contractor shall promptly notify the Contracting Officer and Contracting Officer’s Representative with the information above prior to making any personnel changes involving foreign persons. No changes involving foreign persons will be allowed without prior approval from the Contracting Officer. This clause does not remove any liability from the contractor to comply with applicable ITAR and EAR export control obligations and restrictions. This clause shall be included in any subcontract.”

 

H-28     DISTRIBUTION CONTROL OF TECHNICAL INFORMATION (Sep 2012)

 

          a.   The following terms applicable to this clause are defined as follows:

 

          1.   DoD Official. Serves in DoD in one of the following positions: Program Director, Deputy Program Director, Program Manager, Deputy Program Manager, Procuring Contracting Officer, Administrative Contracting Officer, or Contracting Officer’s Representative.

 

          2.   Technical Document. Any recorded information (including software) that conveys scientific and technical information or technical data.

 

          3.   Scientific and Technical Information. Communicable knowledge or information resulting from or pertaining to the conduct or management of effort under this contract. (Includes programmatic information).

 

          4.   Technical Data. As defined in DFARS 252.227-7018.

 

    	  

    	 

    
 

 

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          b.   Except as otherwise set forth in the Contract Data Requirements List (CDRL), DD Form 1423 the distribution of any technical documents prepared under this contract, in any stage of development or completion, is prohibited outside of the contractor and applicable subcontractors under this contract unless authorized by the Contracting Officer in writing. However, distribution of technical data is permissible to DOD officials having a “need to know” in connection with this contract or any other MDA contract provided that the technical data is properly marked according to the terms and conditions of this contract. When there is any doubt as to “need to know” for purposes of this paragraph, the Contracting Officer or the Contracting Officer’s Representative will provide direction. Authorization to distribute technical data by the Contracting Officer or the Contracting Officer’s Representative does not constitute a warranty of the technical data as it pertains to its accuracy, completeness, or adequacy. The contactor shall distribute this technical data relying on its own corporate best practices and the terms and conditions of this contract. Consequently, the Government assumes no responsibility for the distribution of such technical data nor will the Government have any liability, including third party liability, for such technical data should it be inaccurate, incomplete, improperly marked or otherwise defective. Therefore, such a distribution shall not violate 18 United States Code § 1905.

 

          c.   All technical documents prepared under this contract shall be marked with the following distribution statement, warning, and destruction notice: See individual CDRLs (Exhibit A)

 

          1.   DISTRIBUTION STATEMENT

 

          2.   WARNING - This document/software contains technical data/software whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Sec 2751 et seq.) or the Export Administration Act of 1979, as amended, (Title 50, U.S.C., App 2401 et seq). Violations of these export laws are subject to severe criminal penalties. Disseminate in accordance with provisions of DOD Directive 5230.25.

 

          3.   DESTRUCTION NOTICE - For classified documents, follow the procedures in DOD 5220.22M, National Industrial Security Program Operating Manual, Chapter 5, Section 7, or to DoDM 5200.01-V3, DoD Information Security Program, Enclosure 3, Section 17. For unclassified, limited documents, destroy by any method that will prevent disclosure of contents or reconstruction of the document.

 

          d.   The Contractor shall insert the substance of this clause, including this paragraph, in all subcontracts.

 

H-29     COMMERCIAL COMPUTER SOFTWARE LICENSE (Mar 2013)

 

          a.   Unless otherwise approved by the PCO, commercial computer software licenses shall, upon delivery and acceptance, designate the U.S. Government as a contingent licensee, able to replace the Contractor as the primary licensee upon notifying the licensor. A copy of the negotiated license shall be furnished to the PCO. The terms of the licenses cannot be inconsistent with Federal procurement law and must satisfy user needs. This includes the Contractor’s / subcontractor’s needs for the software to perform this contract and the Government’s needs for the software to accomplish the Government’s ultimate objectives. At a minimum, this shall include the rights to make an archive copy of the software, to relocate the computer on which the software resides, to re-host the software on a different computer, to permit access by support contractors, and to permit the Government to transfer the license to another contractor.

 

          b.   Nothing in this clause shall take precedence over any other clause or provision of this contract. Government concurrence, as defined in paragraph a above, does not in any way affect the Government’s technical data rights as established by the terms and conditions of this contract.

 

    	  

    	 

    
 

 

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H-30    CONTRACTUAL TERMS & CONDITIONS (Jun 2010)

 

The terms and conditions herein constitute the entire contract and understanding of the parties and shall supersede all other communications, negotiations, arrangements and agreements, either oral or written, with respect to the subject matter hereof. All proposal documentation including, but not limited to, red line contract terms and conditions, red line statements of work and/or ground rules and assumptions are hereby void and carry no force or affect as it pertains to the interpretation or operation of the language of the instant contract nor should such language be used to provide meaning to any of the terms or conditions contained herein.

 

H-33    PROGRAM SYNCHRONIZATION (Nov 2010)

 

         a.   The Missile Defense Agency (MDA) requires the synchronized integration of platforms, sensors, and other components of the BMDS which were or are under separate development by multiple contractors. MDA uses the concept of End-to-End (EtE) performance to serve as the organizing principle that aligns and synchronizes these efforts to achieve the desired operational end-state for the BMDS. Synchronization is defined as the logical alignment of management, design, development, integration, modification, verification and validation, and test activities and processes such that sensors, data links, command and control (C2), and interceptors smoothly and optimally integrate within well-defined and commonly understood requirements and interfaces.

 

         b.   During the performance of this contract, the Contractor shall provide technical data and other information (to include limited and restricted rights data as defined by DFARS 252.227-7013 and 252.227-7014 or information protected under the Freedom of Information Act Exemption 4) to other Ballistic Missile Defense (BMD) Contractors and Government agencies to facilitate MDA objectives.

 

         c.   Pursuant to paragraphs (a) and (b) above the Contractor shall negotiate appropriate Associate Contractor Agreements (ACAs) and Non-Disclosure Agreements (NDAs) with other Contractors as necessary to implement the exchanges of technical data and other information required, ensure total system EtE performance, and also to protect technical data and other information from unauthorized disclosure or use. These agreements must not restrict any of the Government’s rights established pursuant to this or any other contract. A copy of each ACA and amendments to ACAs shall be provided to the PCO in order for the Government to document the flow of information.

 

         d.   When associate contracts have been entered into or modified as described in this clause, the associate contractors and general information on the purpose of the associate contracts will be incorporated into this clause as shown below:

 

	
Company Name

	  	
Contract # and Description

	  	
ACA Purpose

	 	  	  	  	  
	
XXX

	  	
Complete as Appropriate

 

         e.   The ACAs shall, at a minimum, include the following general information: (1) Identify the associate contractors and their relationships; (2) Identify the program involved and the relevant Government contracts of the associate contractors; (3) Describe the associate contractor interfaces by general subject matter; (4) Specify the categories of information to be exchanged or support to be provided; (5) Include the expiration date (or event) of the ACA; and (6) Identify potential conflicts between relevant Government contracts and the ACA; include agreements on protection of technical data or other information and restrictions on employees.

 

         f.   The Contractor’s performance with respect to integration support, cooperation, and the exchange and sharing of information with other BMD contractors, shall comply with security classification requirements as outlined in the DD Form 254 incorporated into this contract.

 

         g.   Nothing in this clause shall take precedence over any other clause or provision of this contract nor does it in any way effect the Government’s technical data rights.

 

    	  

    	 

    
 

 

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H-35     INCORPORATING COMMERCIAL AND OPEN SOURCE SOFTWARE (Aug 2012)

 

         a.   DFARS 252.227-7018(d) requires the written approval of the PCO before the Contractor may incorporate any copyrighted computer software in the software to be delivered under this contract.

 

         b.   A request for approval to incorporate Commercial Computer Software should be accompanied by a license that conforms with the requirements of the Commercial Computer Software Licenses clause of this contract.

 

         c.   A request for approval to incorporate Open Source Software must be accompanied by the applicable license, a detailed description of the source of the software and how it has been or will be used, and an explanation of the restrictions imposed and potential risks and liabilities.

 

         d.   Nothing in this clause shall take precedence over any other clause or provision of this contract. Government concurrence, as defined in paragraph a above, does not in any way affect the Government’s technical data rights as established by the terms and conditions of this contract.

 

H-37     INSERTION OF LIMITED OR RESTRICTED RIGHTS (DEC 2010)

 

         a.   Hardware items which are subject to Limited Rights in their associated technical data as defined in DFARS 252.227-7018 and software items which are subject to Restricted Rights as defined in DFARS 252.227-7018 shall not be incorporated into the design of any systems, or models/simulations thereof under this contract without the prior written authorization of the PCO. The Contractor’s request shall include a rough order of magnitude (ROM) estimate to perform development if the data or software cannot be used as requested. If the PCO does not provide a decision within 30 days of the request, the request is considered denied. In the event the PCO authorizes inclusion of the Limited Rights technical data and/or Restricted software, such data or software will be added as an attachment within Section J.

 

         b.   Using Government assets in an Independent Research and Development (IRAD) project may be authorized on a case by case basis. The Contractor’s request shall include an offer of consideration for use of such Government assets. The Government will evaluate the request, including the Contractor’s offer of consideration, and either approve, deny, or offer an alternative form of consideration. Any such consideration will be mutually agreed to by the parties prior to use of Government assets. Consideration should include, at a minimum, specially negotiated rights granting the Government a license for Government Purpose Rights IAW DFARS 252.227-7018 in the subject IRAD project. When the Contractor requests the use of Government assets for an IRAD project, the request shall include the purpose of the IRAD project and the potential benefit to the Government. The Contractor will be required to execute a bailment agreement prior to the transfer or use of Government assets.

 

H-39     COMPLIANCE WITH FAR 52.219-14, LIMITATION ON SUBCONTRACTING (FEB 2012)

 

         a.   The period of time used to determine compliance with FAR 52.219-14, Limitation on Subcontracting, will be the base contract period of performance or ordering period in the case of an Indefinite-Delivery Indefinite-Quantity (IDIQ) contract. Small business contractors do not have to comply with the percentage of the cost of contract performance incurred for each individual order placed under an IDIQ. In the case of Options, the Option periods will be used to determine compliance.

 

    	  

    	 

    
 

 

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         b.   A concern is defined at FAR 19.001. For the purpose of making affiliation findings see FAR 19.101.

 

         c.   Pursuant to 13 CFR Section 121.103(h), a joint venture may or may not be in the form of a separate legal entity.

 

         d.   In accordance with 13 CFR Section 125.6(i), if the contractor is a joint venture and meets the following requirements, compliance with the “50% rule” will apply to the cooperative effort of the joint venture, not its individual members:

 

          (1)   The joint venture contractor is exempt from affiliation under 13 CFR Section 121.103(h)(3); and,

 

          (2)   The joint venture contractor qualifies as a small business concern.

 

H-43     IMPACT OF GOVERNMENT TEAM PARTICIPATION/ACCESS (JUN 2012)

 

The Government/Contractor organizational/interface approach (e.g., Integrated Product Teams, Team Execution Reviews, Technical Interchange Meetings, and/or Working Groups), will require frequent, close interaction and/or surveillance between the Government and Contractor/subcontractor team members during contract performance. For this purpose the Contractor, recognizing its privity of contract with the Government, authorizes the Government to communicate directly with, and where appropriate visit as well as monitor, the Contractor’s subcontractors. This access/interface is necessary to support the Government’s quality and program management approach which emphasizes systematic surveillance and evaluation techniques used to assess Contractor /subcontractor performance. Government team members may offer advice, information, support, and facilitate rapid Government feedback on team-related products, provide clarification, and review Contractor/subcontractor progress; however, the responsibility and accountability for successfully accomplishing the requirements of this contract remain solely with the Contractor. Neither the Contractor nor the subcontractor shall construe such advice, surveillance, reviews and clarifications by Government team members as Government-directed changes to the terms of this contract. The PCO is the only individual authorized to direct or approve any change to the terms of this contract.

 

    	  

    	 

    
 

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Section I - Contract Clauses

 

CLAUSES INCORPORATED BY REFERENCE

	  	  	  	  	  
	
52.202-1

	  	
Definitions

	  	
NOV 2013

	
52.203-3

	  	
Gratuities

	  	
APR 1984

	
52.203-5

	  	
Covenant Against Contingent Fees

	  	
MAY 2014

	
52.203-6

	  	
Restrictions On Subcontractor Sales To The Government

	  	
SEP 2006

	
52.203-7

	  	
Anti-Kickback Procedures

	  	
MAY 2014

	
52.203-8

	  	
Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity

	  	
MAY 2014

	
52.204-2

	  	
Security Requirements

	  	
AUG 1996

	
52.204-4

	  	
Printed or Copied Double-Sided on Postconsumer Fiber Content Paper

	  	
MAY 2011

	
52.204-7

	  	
System for Award Management

	  	
JUL 2013

	
52.204-10

	  	
Reporting Executive Compensation and First-Tier Subcontract Awards

	  	
JUL 2013

	
52.209-6

	  	
Protecting the Government’s Interest When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment

	  	
AUG 2013

	
52.209-9

	  	
Updates of Publicly Available Information Regarding Responsibility Matters

	  	
JUL 2013

	
52.211-15

	  	
Defense Priority And Allocation Requirements

	  	
APR 2008

	
52.215-2

	  	
Audit and Records--Negotiation

	  	
OCT 2010

	
52.215-8

	  	
Order of Precedence--Uniform Contract Format

	  	
OCT 1997

	
52.215-10

	  	
Price Reduction for Defective Certified Cost or Pricing Data

	  	
AUG 2011

	
52.215-12

	  	
Subcontractor Certified Cost or Pricing Data

	  	
OCT 2010

	
52.215-15

	  	
Pension Adjustments and Asset Reversions

	  	
OCT 2010

	
52.215-19

	  	
Notification of Ownership Changes

	  	
OCT 1997

	
52.215-23

	  	
Limitations on Pass-Through Charges

	  	
OCT 2009

	
52.216-7

	  	
Allowable Cost And Payment

	  	
JUN 2013

	
52.216-8

	  	
Fixed Fee

	  	
JUN 2011

	
52.219-6

	  	
Notice Of Total Small Business Set-Aside

	  	
NOV 2011

	
52.219-8

	  	
Utilization of Small Business Concerns

	  	
MAY 2014

	
52.219-14

	  	
Limitations On Subcontracting

	  	
NOV 2011

	
52.222-1

	  	
Notice To The Government Of Labor Disputes

	  	
FEB 1997

	
52.222-3

	  	
Convict Labor

	  	
JUN 2003

	
52.222-21

	  	
Prohibition Of Segregated Facilities

	  	
FEB 1999

	
52.222-26

	  	
Equal Opportunity

	  	
MAR 2007

	
52.222-35

	  	
Equal Opportunity for Veterans

	  	
SEP 2010

	
52.222-36

	  	
Affirmative Action For Workers With Disabilities

	  	
OCT 2010

	
52.222-37

	  	
Employment Reports on Veterans

	  	
SEP 2010

	
52.222-40

	  	
Notification of Employee Rights Under the National Labor Relations Act

	  	
DEC 2010

	
52.222-50

	  	
Combating Trafficking in Persons

	  	
FEB 2009

	
52.222-54

	  	
Employment Eligibility Verification

	  	
AUG 2013

	
52.223-18

	  	
Encouraging Contractor Policies To Ban Text Messaging While Driving

	  	
AUG 2011

	
52.225-13

	  	
Restrictions on Certain Foreign Purchases

	  	
JUN 2008

	
52.227-1 Alt I

	  	
Authorization And Consent (Dec 2007) - Alternate I

	  	
APR 1984

	
52.227-2

	  	
Notice And Assistance Regarding Patent And Copyright Infringement

	  	
DEC 2007

	
52.227-3

	  	
Patent Indemnity

	  	
APR 1984

	
52.227-10

	  	
Filing Of Patent Applications--Classified Subject Matter

	  	
DEC 2007

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 50 of 56

	  	  	  	  	  
	
52.227-11

	  	
Patent Rights--Ownership By The Contractor

	  	
DEC 2007

	
52.232-2

	  	
Payments Under Fixed-Price Research And Development Contracts

	  	
APR 1984

	
52.232-9

	  	
Limitation On Withholding Of Payments

	  	
APR 1984

	
52.232-17

	  	
Interest

	  	
OCT 2010

	
52.232-23

	  	
Assignment Of Claims

	  	
JAN 1986

	
52.232-25

	  	
Prompt Payment

	  	
JUL 2013

	
52.232-33

	  	
Payment by Electronic Funds Transfer--System for Award Management

	  	
JUL 2013

	
52.233-1

	  	
Disputes

	  	
JUL 2002

	
52.233-3

	  	
Protest After Award

	  	
AUG 1996

	
52.233-4

	  	
Applicable Law for Breach of Contract Claim

	  	
OCT 2004

	
52.242-1

	  	
Notice of Intent to Disallow Costs

	  	
APR 1984

	
52.242-3

	  	
Penalties for Unallowable Costs

	  	
MAY 2014

	
52.242-4

	  	
Certification of Final Indirect Costs

	  	
JAN 1997

	
52.242-13

	  	
Bankruptcy

	  	
JUL 1995

	
52.242-15

	  	
Stop-Work Order

	  	
AUG 1989

	
52.243-1 Alt V

	  	
Changes--Fixed-Price (Aug 1987) - Alternate V

	  	
APR 1984

	
52.244-6

	  	
Subcontracts for Commercial Items

	  	
JUL 2013

	
52.249-1

	  	
Termination For Convenience Of The Government (Fixed Price) (Short Form)

	  	
APR 1984

	
52.249-9

	  	
Default (Fixed-Priced Research And Development)

	  	
APR 1984

	
52.252-2

	  	
Clauses Incorporated By Reference

	  	
FEB 1998

	
52.253-1

	  	
Computer Generated Forms

	  	
JAN 1991

	
252.203-7000

	  	
Requirements Relating to Compensation of Former DoD Officials

	  	
SEP 2011

	
252.203-7002

	  	
Requirement to Inform Employees of Whistleblower Rights

	  	
SEP 2013

	
252.204-7000

	  	
Disclosure Of Information

	  	
AUG 2013

	
252.204-7003

	  	
Control Of Government Personnel Work Product

	  	
APR 1992

	
252.204-7004 Alt A

	  	
System for Award Management Alternate A

	  	
MAY 2013

	
252.204-7005

	  	
Oral Attestation of Security Responsibilities

	  	
NOV 2001

	
252.204-7012

	  	
Safeguarding of unclassified controlled technical information

	  	
NOV 2013

	
252.209-7004

	  	
Subcontracting With Firms That Are Owned or Controlled By The Government of a Terrorist Country

	  	
DEC 2006

	
252.211-7003

	  	
Item Identification and Valuation

	  	
JUN 2013

	
252.211-7007

	  	
Reporting of Government-Furnished Property

	  	
AUG 2012

	
252.225-7048

	  	
Export-Controlled Items

	  	
JUN 2013

	
252.227-7000

	  	
Non-estoppel

	  	
OCT 1966

	
252.227-7015

	  	
Technical Data--Commercial Items

	  	
JUN 2013

	
252.227-7016

	  	
Rights in Bid or Proposal Information

	  	
JAN 2011

	
252.227-7019

	  	
Validation of Asserted Restrictions--Computer Software

	  	
SEP 2011

	
252.227-7020

	  	
Rights In Special Works

	  	
JUN 1995

	
252.227-7025

	  	
Limitations on the Use or Disclosure of Government-Furnished Information Marked with Restrictive Legends

	  	
MAY 2013

	
252.227-7026

	  	
Deferred Delivery Of Technical Data Or Computer Software

	  	
APR 1988

	
252.227-7027

	  	
Deferred Ordering Of Technical Data Or Computer Software

	  	
APR 1988

	
252.227-7028

	  	
Technical Data or Computer Software Previously Delivered to the Government

	  	
JUN 1995

	
252.227-7030

	  	
Technical Data--Withholding Of Payment

	  	
MAR 2000

	
252.227-7037

	  	
Validation of Restrictive Markings on Technical Data

	  	
JUN 2013

	
252.227-7039

	  	
Patents--Reporting Of Subject Inventions

	  	
APR 1990

	
252.232-7003

	  	
Electronic Submission of Payment Requests and Receiving Reports

	  	
JUN 2012

	
252.232-7010

	  	
Levies on Contract Payments

	  	
DEC 2006

	
252.235-7011

	  	
Final Scientific or Technical Report

	  	
NOV 2004

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 51 of 56

	  	  	  	  	  
	
252.243-7001

	  	
Pricing Of Contract Modifications

	  	
DEC 1991

	
252.244-7000

	  	
Subcontracts for Commercial Items

	  	
JUN 2013

	
252.245-7001

	  	
Tagging, Labeling, and Marking of Government-Furnished Property

	  	
APR 2012

	
252.245-7002

	  	
Reporting Loss of Government Property

	  	
APR 2012

	
252.245-7003

	  	
Contractor Property Management System Administration

	  	
APR 2012

	
252.245-7004

	  	
Reporting, Reutilization, and Disposal

	  	
MAY 2013

	
252.246-7000

	  	
Material Inspection And Receiving Report

	  	
MAR 2008

	
252.246-7001

	  	
Warranty Of Data

	  	
DEC 1991

	
252.247-7023

	  	
Transportation of Supplies by Sea

	  	
JUN 2013

	
252.247-7024

	  	
Notification Of Transportation Of Supplies By Sea

	  	
MAR 2000

 

CLAUSES INCORPORATED BY FULL TEXT

 

52.215-22     LIMITATIONS ON PASS-THROUGH CHARGES--IDENTIFICATION OF SUBCONTRACT EFFORT (OCT 2009)

 

(a) Definitions. Added value, excessive pass-through charge, subcontract, and subcontractor, as used in this provision, are defined in the clause of this solicitation entitled “Limitations on Pass-Through Charges” (FAR 52.215-23).

 

(b) General. The offeror’s proposal shall exclude excessive pass-through charges.

 

(c) Performance of work by the Contractor or a subcontractor. (1) The offeror shall identify in its proposal the total cost of the work to be performed by the offeror, and the total cost of the work to be performed by each subcontractor, under the contract, task order, or delivery order.

 

(2) If the offeror intends to subcontract more than 70 percent of the total cost of work to be performed under the contract, task order, or delivery order, the offeror shall identify in its proposal--

 

(i) The amount of the offeror’s indirect costs and profit/fee applicable to the work to be performed by the subcontractor(s); and

 

(ii) A description of the added value provided by the offeror as related to the work to be performed by the subcontractor(s).

 

(3) If any subcontractor proposed under the contract, task order, or delivery order intends to subcontract to a lower-tier subcontractor more than 70 percent of the total cost of work to be performed under its subcontract, the offeror shall identify in its proposal--

 

(i) The amount of the subcontractor’s indirect costs and profit/fee applicable to the work to be performed by the lower-tier subcontractor(s); and

 

(ii) A description of the added value provided by the subcontractor as related to the work to be performed by the lower-tier subcontractor(s).

 

(End of provision)

 

52.219-28     POST-AWARD SMALL BUSINESS PROGRAM REREPRESENTATION (APR 2012)

 

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 52 of 56

(a) Definitions. As used in this clause--

 

Long-term contract means a contract of more than five years in duration, including options. However, the term does not include contracts that exceed five years in duration because the period of performance has been extended for a cumulative period not to exceed six months under the clause at 52.217-8, Option to Extend Services, or other appropriate authority.

 

Small business concern means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR part 121 and the size standard in paragraph (c) of this clause. Such a concern is “not dominant in its field of operation” when it does not exercise a controlling or major influence on a national basis in a kind of business activity in which a number of business concerns are primarily engaged. In determining whether dominance exists, consideration shall be given to all appropriate factors, including volume of business, number of employees, financial resources, competitive status or position, ownership or control of materials, processes, patents, license agreements, facilities, sales territory, and nature of business activity.

 

(b) If the Contractor represented that it was a small business concern prior to award of this contract, the Contractor shall rerepresent its size status according to paragraph (e) of this clause or, if applicable, paragraph (g) of this clause, upon the occurrence of any of the following:

 

(1) Within 30 days after execution of a novation agreement or within 30 days after modification of the contract to include this clause, if the novation agreement was executed prior to inclusion of this clause in the contract.

 

(2) Within 30 days after a merger or acquisition that does not require a novation or within 30 days after modification of the contract to include this clause, if the merger or acquisition occurred prior to inclusion of this clause in the contract.

 

(3) For long-term contracts--

 

(i) Within 60 to 120 days prior to the end of the fifth year of the contract; and

 

(ii) Within 60 to 120 days prior to the date specified in the contract for exercising any option thereafter.

 

(c) The Contractor shall rerepresent its size status in accordance with the size standard in effect at the time of this rerepresentation that corresponds to the North American Industry Classification System (NAICS) code assigned to this contract. The small business size standard corresponding to this NAICS code can be found at http://www.sba.gov/content/table-small-business-size-standards.

 

(d) The small business size standard for a Contractor providing a product which it does not manufacture itself, for a contract other than a construction or service contract, is 500 employees.

 

(e) Except as provided in paragraph (g) of this clause, the Contractor shall make the rerepresentation required by paragraph (b) of this clause by validating or updating all its representations in the Online Representations and Certifications Application and its data in the Central Contractor Registration, as necessary, to ensure that they reflect the Contractor’s current status. The Contractor shall notify the contracting office in writing within the timeframes specified in paragraph (b) of this clause that the data have been validated or updated, and provide the date of the validation or update.

 

(f) If the Contractor represented that it was other than a small business concern prior to award of this contract, the Contractor may, but is not required to, take the actions required by paragraphs (e) or (g) of this clause.

 

(g) If the Contractor does not have representations and certifications in ORCA, or does not have a representation in ORCA for the NAICS code applicable to this contract, the Contractor is required to complete the following rerepresentation and submit it to the contracting office, along with the contract number and the date on which the rerepresentation was completed:

 

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 53 of 56

 

The Contractor represents that it (X) is, (  ) is not a small business concern under NAICS Code 541712- assigned to contract number HQ0147-14-C-8019.

 

(Contractor to sign and date and insert authorized signer’s name and title).

 

(End of clause)

 

52.244-2     SUBCONTRACTS (OCT 2010)

 

(a) Definitions. As used in this clause--

 

Approved purchasing system means a Contractor’s purchasing system that has been reviewed and approved in accordance with Part 44 of the Federal Acquisition Regulation (FAR).

 

Consent to subcontract means the Contracting Officer’s written consent for the Contractor to enter into a particular subcontract.

 

Subcontract means any contract, as defined in FAR Subpart 2.1, entered into by a subcontractor to furnish supplies or services for performance of the prime contract or a subcontract. It includes, but is not limited to, purchase orders, and changes and modifications to purchase orders.

 

(b) When this clause is included in a fixed-price type contract, consent to subcontract is required only on unpriced contract actions (including unpriced modifications or unpriced delivery orders), and only if required in accordance with paragraph (c) or (d) of this clause.

 

(c) If the Contractor does not have an approved purchasing system, consent to subcontract is required for any subcontract that—

 

(1) Is of the cost-reimbursement, time-and-materials, or labor-hour type; or

 

(2) Is fixed-price and exceeds—

 

(i) For a contract awarded by the Department of Defense, the Coast Guard, or the National Aeronautics and Space Administration, the greater of the simplified acquisition threshold or 5 percent of the total estimated cost of the contract; or

 

(ii) For a contract awarded by a civilian agency other than the Coast Guard and the National Aeronautics and Space Administration, either the simplified acquisition threshold or 5 percent of the total estimated cost of the contract.

 

(d) If the Contractor has an approved purchasing system, the Contractor nevertheless shall obtain the Contracting Officer’s written consent before placing the following subcontracts:

 

ALL

 

(e)(1) The Contractor shall notify the Contracting Officer reasonably in advance of placing any subcontract or modification thereof for which consent is required under paragraph (b), (c), or (d) of this clause, including the following information:

 

(i) A description of the supplies or services to be subcontracted.

 

(ii) Identification of the type of subcontract to be used.

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 54 of 56

 

(iii) Identification of the proposed subcontractor.

 

(iv) The proposed subcontract price.

 

(v) The subcontractor’s current, complete, and accurate certified cost or pricing data and Certificate of Current Cost or Pricing Data, if required by other contract provisions.

 

(vi) The subcontractor’s Disclosure Statement or Certificate relating to Cost Accounting Standards when such data are required by other provisions of this contract.

 

(vii) A negotiation memorandum reflecting—

 

(A) The principal elements of the subcontract price negotiations;

 

(B) The most significant considerations controlling establishment of initial or revised prices;

 

(C) The reason certified cost or pricing data were or were not required;

 

(D) The extent, if any, to which the Contractor did not rely on the subcontractor’s certified cost or pricing data in determining  the price objective and in negotiating the final price;

 

(E) The extent to which it was recognized in the negotiation that the subcontractor’s certified cost or pricing data were not accurate, complete, or current; the action taken by the Contractor and the subcontractor; and the effect of any such defective data on the total price negotiated;

 

(F) The reasons for any significant difference between the Contractor’s price objective and the price negotiated; and

 

(G) A complete explanation of the incentive fee or profit plan when incentives are used. The explanation shall identify each critical performance element, management decisions used to quantify each incentive element, reasons for the incentives, and a summary of all trade-off possibilities considered.

 

(2) The Contractor is not required to notify the Contracting Officer in advance of entering into any subcontract for which consent is not required under paragraph (c), (d), or (e) of this clause.

 

(f) Unless the consent or approval specifically provides otherwise, neither consent by the Contracting Officer to any subcontract nor approval of the Contractor’s purchasing system shall constitute a determination—

 

(1) Of the acceptability of any subcontract terms or conditions;

 

(2) Of the allowability of any cost under this contract; or

 

(3) To relieve the Contractor of any responsibility for performing this contract.

 

(g) No subcontract or modification thereof placed under this contract shall provide for payment on a cost-plus-a-percentage-of-cost basis, and any fee payable under cost-reimbursement type subcontracts shall not exceed the fee limitations in FAR 15.404-4(c)(4)(i).

 

(h) The Contractor shall give the Contracting Officer immediate written notice of any action or suit filed and prompt notice of any claim made against the Contractor by any subcontractor or vendor that, in the opinion of the Contractor, may result in litigation related in any way to this contract, with respect to which the Contractor may be entitled to reimbursement from the Government.

 

    	  

    	 

    
 

 

HQ0147-14-C-8019

 

Page 55 of 56

 

(i) The Government reserves the right to review the Contractor’s purchasing system as set forth in FAR Subpart 44.3.

 

(j) Paragraphs (c) and (e) of this clause do not apply to the following subcontracts, which were evaluated during negotiations:

 

(End of clause)

 

252.209-7999  REPRESENTATION BY CORPORATIONS REGARDING AN UNPAID DELINQUENT TAX LIABILITY OR A FELONY CONVICTION UNDER ANY FEDERAL LAW (DEVIATION 2012-O0004) (JAN 2012)

 

(a)  In accordance with sections 8124 and 8125 of Division A of the Consolidated Appropriations Act, 2012,(Pub. L. 112-74) none of the funds made available by that Act may be used to enter into a contract with any corporation that— 

(1)  Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless the agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interests of the Government.  

(2)  Was convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless the agency has considered suspension or debarment of the corporation and made a determination that this action is not necessary to protect the interests of the Government. 

(b)  The Offeror represents that—

 

(1)  It is [ ___   ] is not [X] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability,

 

(2)  It is [ ___   ] is not [X] a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.

 

(End of provision)

 

    	  

    	 

    
 

HQ0147-14-C-8019

 

Page 56 of 56

 

Section J - List of Documents, Exhibits and Other Attachments

	  	  	  	  
	
LIST OF ATTACHMENTS

	  	  
	
Exhibit/Attachment

	
Table of Contents

	  	  
	
DOCUMENT TYPE

	
DESCRIPTION

	
PAGES

	
DATE

	  	  	  	  
	
Exhibit A

	
Contract Data 

Requirements Lists, 

DD Form 1423-1

	
18

	
31-MAR-2014

	  	  	  	  
	
Attachment 1

	
Policy Memorandum 

No. 51 Organizational 

Conflicts of Interests

	
02

	
30-MAY-2012

	  	  	  	  
	
Attachment 2

	
SOW Reference Proposal 

Proposal DODRIF13-DLA02-P-0005 

(Incorporated by Reference)

	
66

	
31-MAR-2014

	  	  	  	  
	
Attachment 3

	
Data Rights

	
10

	
28-JUL-2014

	  	  	  	  
	
Attachment 4

	
Milestone Schedule

	
02

	
07-AUG-2014Exhibit 10.2

 

EMPLOYMENT AGREEMENT

 

THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made this 4th day of February 2011 by and between Old Mutual (US) Holdings Inc., a Delaware corporation with an address at 200 Clarendon Street, 53rd Floor, Boston, Massachusetts 02116 (“the Company”) and Peter Bain, an individual with a residence at 205 Goodwood Gardens, Baltimore, Maryland 21210 (“the Executive”), effective as of February 22, 2011.

 

1.                                      DEFINITIONS.

 

In this Agreement, unless the context otherwise requires:

 

(a)                                 The following terms shall have the following meanings:

 

“Board” means the Board of Directors of the Company;

 

“Cause” means that: (i) the Executive has materially breached the Executive’s obligations under this Agreement, including the obligations set forth in Section 7 of this Agreement; (ii) the Executive has failed to substantially perform duties assigned to the Executive consistent with the Executive’s then current position with the Company, subject to the obligation of the Company to provide the Executive with prior written notice providing reasonable detail of the bases for the unsatisfactory performance and an opportunity within sixty (60) days to correct the performance deficiencies; (iii) the Executive has engaged in acts of dishonesty or moral turpitude or any unlawful conduct, any of which caused material harm to the business or reputation of the Company; or (iv) the Executive has engaged in conduct that is likely to affect materially and adversely the business and/or reputation of the Company; provided that, with respect to a violation of (i) or (iv) above, the Company shall provide the Executive with prior written notice providing reasonable detail of the bases for the breach or misconduct and an opportunity within thirty (30) days to cure the breach or misconduct.

 

“Compensation” means the Executive’s salary, bonus and participation in the Old Mutual Share Option Scheme and/or Restricted Share Plan referred to in Sections 5.1(A) — (C) of this Agreement;

 

“Compensation Year” means a calendar year in which the Executive earns compensation;

 

“Confidential Information” means all private, secret or confidential information concerning the business affairs of the Company or concerning the Company’s customers, clients, or employees, including but not limited to the following: any financial information or valuation information concerning the Company, and any other proprietary information of the Company, including that relating to the demonstrably anticipated business of the Company that the Executive obtains, develops or learns in the course of his employment by the Company. Confidential Information specifically includes: any inventions (whether or not patentable), works of authorship, designs, know-how, ideas and information made or

 

1

 

conceived or reduced to practice, in whole or in part, by the Executive during the term of his employment, all business, technical and financial information, including trade secrets, information about clients, including their names, addresses and investment history; information about employees or applicants for employment, their compensation, qualifications, and performance levels; all information regarding fees, commission and compensation; all investment, advisory, technical or research data, and financial models developed by the Company and its employees; methods of operation; manuals, books and notes regarding the Company’s products and services; all drawings, designs, patterns, devices, methods, techniques, compilations, processes, product specifications and guidelines, future plans, cost and pricing information, computer programs, formulas, and equations; the cost to the Company of supplying its products and services; written business records, files, documents, specifications, plans and compilations of information concerning the business of the Company; and reports, correspondence, records, account lists; price lists, budgets, indices, invoices and telephone records that the Executive obtains, develops or learns in the course of the Executive’s employment by the Company; provided that Confidential Information does not include any information that is or becomes known to the public or within the Company’s trade or industry unless it becomes known due to the Executive’s violation of this Agreement;

 

“Contingent Compensation” means Compensation that is to be paid to the Executive at some later date and is contingent upon the Executive’s fulfillment of the specific obligations or satisfaction of specific objectives set forth in this Agreement, if any; for avoidance of doubt, Executive does not have any Contingent Compensation currently;

 

“Contingent Compensation Payment Date” means the date on which a Contingent Compensation payment is due to the Executive;

 

“Disability” means the absence of the Executive from the Executive’s essential duties with the Company on a full-time basis for 180 consecutive business days as a result of incapacity due to mental or physical illness that precludes the Executive from performing the essential functions of the job, with any reasonable accommodations;

 

“Employment Period” means the period of time when the Executive is actively employed by the Company, and excludes the “Notice Period” as set forth in Section 6.3(A) below;

 

“Group” means the Company and the Group Companies;

 

“Group Company” means any company that is a subsidiary or holding company (up to and including the ultimate holding company) of the Company and any subsidiary of any such holding company;

 

2

 

“Notice Period” means the period ending six (6) months from the date of written notice to terminate the Agreement;

 

“Remuneration Committee” means the Remuneration Committee of the Board of Directors of the Company, if any; provided, however, if there should be no Remuneration Committee, then such reference to the Remuneration Committee shall be to the Board of Directors or other authorized body or officer of the Company performing the described function;

 

“Termination Date” means the date when the Executive ceases to perform active duties for the Company;

 

(b)                                 references to Sections are unless otherwise stated to sections of this Agreement; and

 

(c)                                  headings to Sections are for convenience only and shall not affect the construction or interpretation of this Agreement.

 

2.                                      EMPLOYMENT.

 

2.1                               The Company hereby agrees to employ the Executive and the Executive hereby agrees to accept employment with the Company, on the terms and conditions more fully set forth herein.

 

2.2                               The Executive warrants that in entering into this Agreement and performing the obligations hereunder, the Executive has not and will not be in breach of any terms or obligations of any other employment or agreement. The Executive further represents that the performance of all the terms of this Agreement and as an employee of the Company has not, does not and will not breach any pre-existing agreement (i) to refrain from competing, directly or indirectly, with the business of such previous employer or any other party or (ii) to keep in confidence proprietary information, knowledge or data acquired by the Executive prior to employment with the Company.

 

3.                                      SCOPE OF EMPLOYMENT.

 

3.1                               The Executive’s title shall be President and Chief Executive Officer and the Executive’s responsibilities shall include such duties and responsibilities that may be assigned by the Board or its designee, consistent with the title of President and Chief Executive Officer of a company in the asset management business.

 

3.2                               The Executive will use reasonable best efforts to faithfully, diligently and efficiently perform such duties on behalf of the Company consistent with such office as may be assigned to the Executive from time to time by the Company. The Executive agrees to abide by the reasonable rules, regulations, instructions, personnel practices and policies of the Company and any changes therein which may be adopted from time to time, of all of which the Executive was first notified in writing. The Executive’s actions as an employee of the Company shall at all times be consistent with the interests of the Group. Under no circumstances will the Executive knowingly take any action contrary to the best interests of the Group.

 

3

 

4.                                      PLACE OF WORK.

 

The Executive shall primarily perform the duties assigned hereunder at the Company’s office (presently located in Boston, Massachusetts) and is expected to travel to and work at other Group offices and other appropriate places within or outside the United States for reasonable periods of time.

 

5.                                      COMPENSATION AND BENEFITS.

 

5.1                               Compensation: In addition to the language set forth below, this Section expressly incorporates the provisions of the Offer Letter to the Executive dated February 4, 2011 (the “Offer Letter”) and to the extent there is any discrepancy between them, the Offer Letter shall control. The Executive’s compensation package shall consist of the following:

 

(A)                               Salary: The Executive shall receive a salary that has been set forth in writing to the Executive, such Salary to be paid in accordance with the Company’s normal payroll procedures and subject to applicable tax deductions and withholdings. The salary shall be reviewed annually and any modification and the amount of any modification shall be in the Company’s absolute discretion and notified to the Executive in writing.

 

(B)                               Bonus: The Executive shall be eligible to participate in the Company’s bonus plan(s) that may be adopted from time to time by the Remuneration Committee or otherwise in its sole discretion. The payment of any bonus shall be subject to the terms to be established by the Remuneration Committee. The Remuneration Committee shall, on an annual basis, determine the specific factors that will be considered in determining whether the Executive will be entitled to any bonus for the particular calendar year, and will communicate in writing those factors to the Executive. The amount of the bonus payable (if any) to the Executive will be determined by the Remuneration Committee in its sole discretion and notified to the Executive in writing. Upon written notice to the Executive, the Company reserves the right to amend, modify or withdraw any particular bonus plan.

 

(C)                               Participation in Old Mutual plc Share Reward Share Plan: The Executive shall be eligible to participate in the Old Mutual Share Reward Plan that may be adopted, terminated and/or amended from time to time by the Remuneration Committee of Old Mutual plc. The issuance, vesting and exercise of any share options subject hereto shall be approved by the Remuneration Committee and shall be in accordance with the Old Mutual plc Share Option Scheme and/or Restricted Share Plan currently in effect. In order to be eligible for the award of any options, the Executive also shall be required to execute any stock option agreement and/or other document then in effect.

 

(D)                               Participation in Old Mutual IPO Value Incentive Plan (IVIP): The Executive shall be eligible to participate in the Company’s IVIP. The award and vesting terms of the Executive’s participation in the IVIP shall be in accordance with the terms of the Plan and subject to the approval of the Old Mutual plc Remuneration Committee.

 

4

 

5.2                               Benefits: The Executive shall be eligible to receive the various benefits offered by the Company to its executive employees, including holidays, vacation, medical, dental, disability and life insurance, and such other benefits as may be determined from time to time by the Board. These benefits may be modified or eliminated from time to time at the sole discretion of the Company. Where a particular benefit is subject to a formal plan (for example, medical insurance), eligibility to participate in and receive the particular benefit shall be governed solely by the applicable plan document.

 

5.3                               Expenses: Executive shall be entitled to reimbursement for reasonable out-of pocket expenses incurred for the Group’s business (including travel and entertainment) in accordance with the policies, practices and procedures of the Company.

 

6.                                      TERMINATION OF AGREEMENT/EMPLOYMENT

 

In addition to the language set forth below, this Section expressly incorporates the provisions of the Offer Letter and to the extent there is any discrepancy between them, the Offer Letter shall control.

 

6.1                               At-Will Employment: The Executive is an employee-at-will and either he or the Company may terminate his employment at any time for any reason, pursuant to the terms described herein.

 

6.2                               Termination For Cause: The Company may terminate this Agreement and the Executive’s employment for Cause immediately upon written notice. Upon termination of the Executive’s employment with the Company in accordance with this Section 6.1, all Compensation and benefits under this Agreement will cease, effective as of the Termination Date, and the Executive shall not be entitled to receive any other Compensation or benefit, contingent or otherwise, except as otherwise required by applicable law.

 

6.3                               Termination For Reasons Other Than Cause

 

(A)                               Termination With Notice: Either party may terminate this Agreement and the Executive’s employment for any reason by giving the other party not less than six (6) months’ notice in writing. If such notice is served by either party, the Company shall be entitled, in its sole and absolute discretion, to terminate the Executive’s employment at any time during the Notice Period.

 

(i)                                     By the Company:

 

(a)                                 Continuation of Compensation and Benefits: In the event that the Company provides notice to the Executive under Section 6.3(A), and regardless of whether the Company terminates the Executive’s employment (for reasons other than Cause) prior to expiration of the Notice Period, it shall: (1) continue the Executive’s Salary in the form of salary continuation payments for the remainder of the Notice Period, in accordance with the Company’s normal payroll practices; (2) sixty days following the Termination Date make a lump sum taxable payment to the Executive equal to the Company’s share of the cost of family medical and

 

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dental benefits with respect to similarly situated active employees of the Company for the remainder of the Notice Period, with the understanding that the Executive is free to purchase health and/or dental insurance under COBRA, to the extent available, or not at all; and (3) should the Company have a Severance Plan in effect as of the Termination Date, the Executive will not be automatically eligible for any payments under the plan. Severance pay, if any, will be determined by the Remuneration Committee based on the circumstances of the termination.

 

(b)                                 Bonus Eligibility: In the event that the Company provides notice to the Executive under Section 6.3(A), and subject to the Executive’s satisfactory individual performance to the end of the Notice Period or such shorter period as determined by the Company, the Executive shall remain eligible for a bonus for the period up through the end of the Notice Period and, in the event the Notice Period ends before the end of a Compensation Year, any awarded bonus shall be prorated based upon the number of days worked or included in the Notice Period in the Compensation Year.

 

(c)                                  Payment of any Contingent Compensation: In the event that the Company provides notice to the Executive under Section 6.3(A), then, should there be Contingent Compensation arrangements in place with Executive, then, subject to: (1) the Executive’s satisfactory individual performance to the end of the Notice Period or such shorter period as determined by the Company, and (2) the Executive’s fulfillment of his/her obligations and covenants as set forth in Section 7 of this Agreement through the Contingent Compensation Payment Date, the Executive shall receive such Contingent Compensation on the Contingent Compensation Payment Date.

 

(ii)                                  By the Executive: In the event that the Executive provides notice to the Company under Section 6.3(A), and regardless of whether the Company terminates the Executive prior to the expiration of the Notice Period, the Executive shall be eligible only for the compensation and benefits provided in Section 6.3(A)(i)(a)(1) above and shall not be entitled to any further Compensation, except as otherwise required by applicable law.

 

(B)                               Resignation by Executive Prior to Expiration of Notice Period: Should the Executive resign prior to the expiration of a Notice Period (regardless of the party providing the notice), the Executive shall be in breach of this Agreement and shall not be entitled to any further Compensation or benefits, contingent or otherwise, or any of the other compensation or benefits provided for in this Section 6.3, except as otherwise required by applicable law, and the Company shall have no further or additional remedy against the Executive in connection with said breach.

 

(C)                               Disability: The Company may terminate this Agreement and the Executive’s employment effective on the 90th day after written notice to the Executive

 

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that the Company has determined in good faith that a Disability of the Executive has occurred during the Employment Period, provided that, within 90 days of such notice, the Executive shall not have returned to full-time performance of the Executive’s essential functions hereunder.

 

In the event that the Agreement is terminated pursuant to this Section 6.3(C), the Executive shall remain eligible for:

 

(i)                                     a bonus, if any, for the period up through the Termination Date and, in the event the Termination Date is prior to the end of a Compensation Year, any bonus shall be prorated based upon the number of days worked in the Compensation Year; and

 

(ii)                                  subject to the Executive’s fulfilment of his/her obligations and covenants as set forth in Section 7 of this Agreement through the Contingent Compensation Payment Date, the Executive shall receive his/her Contingent Compensation, if any, on such Contingent Compensation Payment Date.

 

(D)                               Death: This Agreement and the Executive’s employment shall terminate automatically upon the Executive’s death. All Compensation and benefits under this Agreement will cease effective the Termination Date, except as otherwise required by applicable law and except that the Executive’s estate shall be eligible to receive:

 

(i)                                     the Executive’s bonus, if any, for the period up through the Termination Date and, in the event the Termination Date is prior to the end of a Compensation Year, such bonus shall be pro rated based upon the number of days worked in the Compensation Year; and

 

(ii)                                  the Executive’s Contingent Compensation, if any, on the Contingent Compensation Payment Date.

 

The receipt of any of the compensation and benefits provided in this Section 6.3 by the Executive shall be in full and final satisfaction of the Executive’s rights and claims under this Agreement (or otherwise), and is subject to and conditioned upon the Executive’s execution of a separation agreement which, among other provisions, shall include a complete customary release of claims (the “Release”) by the Executive to the Group (and its directors, officers, employees and agents), and a reaffirmation of the Executive’s obligations and covenants under Section 7 of this Agreement. The first of any payments to the Executive under Section 6.3 of this Agreement shall be made on the sixtieth day following the Termination Date (and will include any severance or other payment installments that would have otherwise been paid during the period following the Termination Date thorough the date of the first severance payment installment), provided such Release has been executed by the Executive and become irrevocable by its terms as of such date.

 

6.4                               Upon termination (or suspension) of the Executive’s employment or this Agreement, regardless of the reason, the Executive shall deliver to the Company all books, documents, materials described in Section 7, and all credit cards, keys and other property of the

 

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business of the Company or any Group Company which may be in the Executive’s possession, custody or control.

 

7.                                      RESTRICTIVE COVENANTS.

 

7.1                               The Executive acknowledges and agrees that during employment with the Company, the Executive will acquire Confidential Information and secret information in relation to the Company and Group Companies and that through dealing closely with customers and clients the Executive will form close connections with and influence over those customers and clients. The Executive acknowledges and agrees that the Confidential Information and business relationships of the Company are necessary for the Company to continue to operate its business. The Executive further acknowledges and agrees that the Company has a reasonable, necessary and legitimate business interest in protecting its Confidential Information and business relationships and that the following covenants are reasonable and necessary to protect such business interests and are given for good and valuable consideration. The Executive hereby agrees that all times during the Employment Period and the Notice Period the Executive will not without prior written consent of the Company, whether alone or jointly, or as a partner, manager, member, director, officer, employee, consultant, representative, agent or joint venturer of any other party, directly or indirectly:

 

(a)                                 join, finance, invest in, lend to, or otherwise participate in, or be connected with, any non-public business that competes with the Company; or

 

(b)                                 engage in any trade or business or be associated with any person, firm or company (other than the Company or Group) engaged in any trade or business using the name(s) Old Mutual or incorporating the word(s) “Old Mutual” or “South African Mutual Life Assurance Society.”

 

7.2                               The Executive further agrees that during the Employment Period, the Notice Period and for a period of one (1) year after expiration of the later of the Notice Period or the Termination Date, the Executive shall not:

 

(a)                                 solicit, induce or in any manner attempt to solicit or induce any person employed by or acting as a director, officer or agent of, or consultant to the Company, or any of the Group Companies, to leave such position and become employed or associated with any other entity or business; or

 

(b)                                 employ or attempt to employ or negotiate or arrange the employment or engagement by any other person, of any person who to the Executive’s knowledge was within six months prior to the Notice Period, a director or senior employee of the Company or any Group Company who was personally known to the Executive; or

 

(c)                                  interfere with, disrupt or attempt to disrupt any relationship, contractual or otherwise, between the Company or any of the Group Companies and any of their respective clients, customers, partners or joint venturers.

 

7.3                               The Executive agrees that the duration and geographic scope of the restrictive provisions set forth in Sections 7.1 and 7.2 herein are reasonable. In the event that any court

 

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determines that the duration or geographic scope, or both, are unreasonable and that such provision is to that extent unenforceable, the Executive agrees that the provision shall remain in full force and effect for the greatest time period and in the greatest area that would not render it unenforceable. The Executive also agrees that damages are an inadequate remedy for any breach of the restrictive provisions herein and that the Company shall, whether or not it is pursuing any potential remedies at law, be entitled to equitable relief in the form of preliminary and permanent injunctions without bond or other security upon any actual or threatened breach of the non-competition provisions herein.

 

7.4                               The Executive shall comply as is reasonable with (a) every applicable rule of law in the United States and (b) the rules and regulations of the regulatory authorities of the United States insofar as the same are applicable to employment hereunder and (c) every regulation of the Company and Group with respect to insider trading, of which the Executive is first notified in writing.

 

7.5                               The Executive shall not during the Employment Period, the Notice Period and at all times following the Termination Date:

 

(a)                                 divulge or communicate to any person or persons any Confidential Information (except to employees of, or to attorneys, accountants or other professionals engaged by, the Company or Group with a need to know such information); or

 

(b)                                 use any Confidential Information for the Executive’s own purposes or for any purposes other than those of the Company or Group; or

 

(c)                                  through any failure to exercise all reasonable due care and diligence cause any unauthorized disclosure of any Confidential Information.

 

7.6                               All notes, memoranda, records, lists of customers and suppliers and employees, correspondence, documents, computer and other discs and tapes, data listing, codes, designs and drawings and other documents and material whatsoever (whether made or created by the Executive or otherwise) belonging to the business of the Company or Group (and any copies of the same) (a) shall be and remain the property of the Company or Group, and (b) shall be delivered by the Executive to the Company (or to such other company in the Group as the case may require) from time to time on demand and in any event on the termination of this Agreement.

 

7.7                               The Executive shall not at any time either during the Employment Period, Notice Period, and all times following the Termination Date make any untrue, misleading or disparaging statement with respect to the Company or any Group Company (or any of its or their employees or officers). The Company shall not at any time during the Employment Period, Notice Period, and at all times following the Termination Date, make any untrue, misleading or disparaging statement about the Executive.

 

7.8                               At no time after the termination of the Employment Period shall the Executive directly or indirectly represent himself/herself as being interested in or employed by or in any way connected with the Company or any Group Company, other than as a former employee or officer of the Company. After the termination of the Employment Period, Executive shall not in

 

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the course of carrying on any trade or business claim, represent or otherwise indicate any present association with the Company or any other Group Company or for the purpose of carrying on or retaining any business or custom claim, represent or otherwise indicate any past association with the Company or any other company in the Group ,other than as a former employee or officer of the Company.

 

7.9                               The obligations of Executive under this Section 7 shall survive termination of this Agreement to the extent provided in each sub-section. Further, the provisions of this Section 7 shall continue to apply with full force and effect should the Executive transfer between or among any Group Company, wherever situated, or otherwise become employed by any Group Company, or be promoted or reassigned to positions other than that held by the Executive as of the Effective Date of this Agreement. The Company shall have the right to communicate the Executive’s ongoing obligations hereunder to any entity or individual with whom the Executive becomes employed by or otherwise engaged following termination of employment with the Company.

 

8.                                      GENERAL

 

8.1                               This Agreement shall be deemed to have been made in the Commonwealth of Massachusetts, shall take effect as an instrument under seal, and the validity, interpretation and performance of this Agreement shall be governed by, and construed in accordance with, the internal law of Commonwealth of Massachusetts, without giving effect to conflict of law principles. Both parties also agree that any action, demand, claim or counterclaim (jointly any “Legal Action”) relating to Executive’s employment, any termination of employment and/or the terms and provisions of this Agreement or to its alleged breach by either party, shall be commenced in Massachusetts in any state or federal court of competent jurisdiction. Both parties further acknowledge that venue shall exclusively lie in Massachusetts and that material witnesses and documents would be located in Massachusetts.

 

8.2                               The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of any other provision of this Agreement. This Agreement, together with the Offer Letter and Conditions of Employment dated February 4, 2011, which are specifically incorporated herein by reference, contains the entire agreement of the parties relating to the subject matter hereof and supersedes all oral or written employment, consulting, change of control or similar agreements between the Executive, on the one hand, and the Company or Group, on the other hand, except as otherwise set forth herein. To the extent that there is any discrepancy between the Offer Letter, Conditions of Employment and this Agreement, this Agreement shall control, except for Sections 5 and 6 of this Agreement, with respect to which the Offer Letter shall control. This Agreement may not be amended or modified otherwise than by a written agreement executed by the parties hereto or their respective successors and legal representatives. This Agreement is binding upon and inures to the benefit of both parties and their respective successors and assigns, including any corporation with which or into which the Company may be merged or which may succeed to its assets or business, although the obligations of the Executive are personal and may be performed only by him/her.

 

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8.3                               All notices and other communications hereunder shall be in writing and shall be given by hand delivery to the other party or by registered or certified mail, return receipt requested, postage prepaid, addressed as follows:

 

	
 
    	
If to the Executive:
    	
Peter L. Bain
    
	
 
    	
 
    	
205 Goodwood   Gardens
    
	
 
    	
 
    	
Baltimore, MD   21210
    
	
 
    	
 
    	
 
    
	
 
    	
If to the Company:
    	
Old Mutual (US)   Holdings Inc.
    
	
 
    	
 
    	
200 Clarendon   Street
    
	
 
    	
 
    	
Boston,   Massachusetts 02116
    
	
 
    	
 
    	
Attn: General   Counsel
    

 

or to such other address as either party shall have furnished to the other in writing in accordance herewith. Notice and communications shall be effective when actually received by the addressee.

 

8.4                               The Company shall indemnify the Executive to the full extent permitted by applicable law and shall maintain reasonable insurance coverage (including but not limited to directors’ and officers’ liability insurance coverage) with respect to the Executive’s performance of his duties and responsibilities.

 

8.5                               The Executive’s or the Company’s failure to insist upon strict compliance with any provision of this Agreement or the failure to assert any right the Executive or the Company may have hereunder shall not be deemed to be a waiver of such provision or right or any other provision or right of this Agreement.

 

8.6                               BOTH PARTIES FURTHER AGREE THAT ANY DISPUTES RELATING TO EXECUTIVE’S EMPLOYMENT, ANY TERMINATION OF EMPLOYMENT AND/OR THE TERMS AND PROVISIONS OF THIS AGREEMENT, OR TO ITS ALLEGED BREACH, SHALL BE RESOLVED BY A JUDGE ALONE, AND BOTH PARTIES HEREBY WAIVE AND FOREVER RENOUNCE THE RIGHT TO A TRIAL BEFORE A CIVIL JURY.

 

9.                                      SECTION 409A COMPLIANCE

 

9.1                               It is intended that compensation paid or delivered to the Executive pursuant to this Agreement is either paid in compliance with, or is exempt from, Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”) and the regulations promulgated thereunder (“Section 409A”). If the Executive notifies the Company (with specificity as to the reason therefor) that he believes that any provision of this Agreement (or of any award of compensation, including equity compensation or benefits) would cause him to incur any additional tax or interest under Section 409A and the Company concurs with such belief or the Company independently makes such determination, the Company shall, after consultation with the Executive, to the extent legally permitted and to the extent it is possible to timely reform the provision to avoid taxation under Section 409A, reform such provision to attempt to comply with Section 409A through good faith modifications to the minimum extent reasonably appropriate to conform with Section 409A. To the extent that any provision hereof is modified in order to comply with or be exempt from Section 409A, such modification shall be made in good faith and

 

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shall, to the maximum extent reasonably possible, maintain the original intent and economic benefit to both the Executive and the Company of the applicable provision without violating the provisions of Section 409A.

 

(i)                                     Amounts Payable On Account of Termination. To the extent necessary to comply with Section 409A, for the purposes of determining when amounts subject to Section 409A that are payable upon Executive’s termination of employment under this Agreement will be paid, “termination of employment” or words of similar import, as used in this Agreement, shall be construed as the date that Executive first incurs a “separation from service” within the meaning of Section 409A from the Company.

 

(ii)                                  Reimbursements. Any taxable reimbursement of business or other expenses as specified under this Agreement shall be subject to the following conditions: (A) the expenses eligible for reimbursement in one taxable year shall not affect the expenses eligible for reimbursement in any other taxable year; (B) the reimbursement of an eligible expense shall be made no later than the end of the year after the year in which such expense was incurred; and (C) the right to reimbursement shall not be subject to liquidation or exchange for another benefit.

 

(iii)                               Specified Employees. If the Executive is deemed on the date of termination to be a “specified employee” within the meaning of that term under Section 409A(a)(2)(B) of the Code, then with regard to any payment that is considered deferred compensation subject to Section 409A payable on account of a “separation from service,” such payment or benefit shall be made or provided at the date which is the earlier of (i) the expiration of the six (6)-month period measured from the date of such “separation from service”, and (ii) the date of the Executive’s death (the “Delay Period”). Upon the expiration of the Delay Period, all payments and benefits delayed pursuant to this section (whether they would have otherwise been payable in a single sum or in installments in the absence of such delay) shall be paid or reimbursed to the Executive in a lump sum, with interest thereon calculated at the long-term applicable federal rate (annual compounding) under Section 1274(d) of the Code in effect on the date of termination of employment, and any remaining payments and benefits due under this Agreement shall be paid or provided in accordance with the normal payment dates specified for them herein.

 

(iv)                              Interpretative Rules. In applying Section 409A to amounts paid pursuant to this Agreement, any right to a series of installment payments under this Agreement shall be treated as a right to a series of separate payments.

 

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IN WITNESS WHEREOF this Agreement has been executed as of the day and year first above written.

 

	
 
    	
EXECUTIVE
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
/s/ Peter L. Bain
    
	
 
    	
Peter L. Bain
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
OLD MUTUAL (US)   HOLDINGS INC.
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
/s/ Julian V.F. Roberts
    
	
 
    	
By: Julian V.F.   Roberts
    
	
 
    	
Its: CEO, Old   Mutual Group
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
/s/ Donald J.   Schneider
    
	
 
    	
By: Donald J.   Schneider
    
	
 
    	
Its: Group Human   Resources Director and
    
	
 
    	
       Member of the Board of Directors
    

 

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200 Clarendon Street, 53rd Floor

Boston, MA 02116

 

Tel 617.369.7300

Fax 617.369.7499

 

www.oldmutualus.com

 

Mr. Peter Bain

205 Goodwood Gardens

Baltimore, Maryland 21210

 

Dear Peter,

 

We are delighted to offer you the position of President and Chief Executive Officer of Old Mutual (US) Holdings Inc. (Old Mutual).  This letter confirms our offer and includes details of both the financial arrangements and Old Mutual’s benefit programs.  We look forward to your contributions to Old Mutual’s success.

 

As discussed, your anticipated start date will be on or about February 22, 2011.  Your title will be President and Chief Executive Officer, reporting to Julian Roberts, Chief Executive Officer of Old Mutual plc.  While so employed you will serve on the board of directors of Old Mutual.

 

Compensation Package

 

Your total compensation for 2011 will consist of:

 

·                  An annual base salary of $650,000;

 

·                  A guaranteed actual bonus of $6,350,000 for the 2011 plan year consisting of:

 

·                  $3,175,000 cash bonus (the “Guaranteed Cash Bonus”), payable on or before March 1, 2012 (the period from your start date through March 1, 2012 will be the “Bonus Guarantee Period”). $1,000,000 of the Guaranteed Cash Bonus (the “Advance Payment”) will be paid as an advance within 14 days of your start date. The balance will be payable on or before March 1, 2012. The Advance Payment will be immediately due for repayment to Old Mutual if (i) you terminate your employment for any reason other than due to death, Disability, as defined in your Employment Agreement, or failure of Old Mutual to pay all or any portion of the compensation payable under your Employment Agreement when due (subject to you providing written notice of non-payment to Old Mutual and Old Mutual having a fifteen day period in which to cure such non-payment) or (ii) Old Mutual terminates your employment for “Cause,” as defined in your Employment Agreement, prior to March 1, 2012.

 

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·                  $3,175,000 in Old Mutual plc shares. These shares will be granted in two tranches, as described below.

 

The first tranche of $1,500,000 will be granted with the next general award after you join Old Mutual, which is expected to be March or April 2011.  The number of Old Mutual plc shares for this award will be based on the closing price recorded on the London Stock Exchange for such shares and on the closing US Dollar/British Pound Sterling exchange rate on the effective date of your Employment Agreement.  This share award will vest 3 years from the date of grant pursuant to the terms and conditions of the Old Mutual plc Share Reward Plan (the “Share Plan”).  You shall be entitled to dividends (or dividend equivalents) on these shares during the period between the date of grant and the date of vesting in accordance with Section 3.6 of the Share Plan in the same manner as other Plan participants.

 

The second tranche of $1,675,000 will be granted in the first general award in 2012, normally March or April, at the same time and in the same manner as 2012 share awards for other Old Mutual executives.  This share award shall vest three years from the date of grant pursuant to the terms and conditions of the Share Plan.  You shall be entitled to dividends (or dividend equivalents) on these shares during the period between the date of grant and the date of vesting in accordance with Section 3.6 of the Share Plan in the same manner as other Plan participants.

 

Old Mutual IPO Value Incentive Plan (IVIP)

 

In addition to the above you will participate in the Old Mutual IPO Value Incentive Plan with an initial award of $5,000,000.  The award will vest subject to the achievement of performance targets and linked to the value of OMAM as illustrated in the attached draft term sheet.  As discussed, as CEO you will be closely involved in determining the exact terms of this plan.  The Old Mutual plc Remuneration Committee has approved this offer to you on the basis of the current proposal and will ultimately need to approve the final version of the plan.

 

Benefits

 

Please refer to the enclosed benefits brochure which will give you an overview of the flexible benefits offering. The complete benefits program will be explained to you during an orientation session when you begin employment.

 

Relocation

 

In addition, you will receive relocation benefits and a one-time commuting assistance payment as described below:

 

·                  Relocation package to Boston (to establish second home). We understand that you will retain your home in Baltimore but will establish a second home in Boston.

 

·                  Old Mutual will pay reasonable and customary shipping of personal effects;

·                  Old Mutual will pay for up to 90 days of temporary accommodation;

·                  Old Mutual will pay for two trips (round-trip economy class air tickets or train tickets, at your election, plus accommodation ) for both you and your wife to search for housing;

·                  Old Mutual will pay for two one-way economy class final relocation air tickets or train tickets, at your election;

 

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·                  Old Mutual will provide you with a one-time lump sum payment of $50,000 (gross before tax) to cover other relocation costs to be paid within 14 days of your start date, but in any event during 2011.

 

All payments of reimbursable expenses described above shall be made within 30 days of your request for reimbursement, but in any event in accordance with the terms of your Employment Agreement.

 

·                  Commuting Assistance - since you plan to commute back and forth frequently between Baltimore and Boston, within 14 days of your start date, but in any event in 2011, we will make a one-time $40,000 (gross before tax) payment to you to defray the commuting costs in the first year. Old Mutual will not reimburse ongoing commuting expenses.

 

In keeping with Old Mutual’s values and culture we have outlined certain conditions of employment which are important to consider as you finalize your offer acceptance.  We’ve attempted to convey these conditions to you during the interview process but ask you to read the attached addendum thoroughly.

 

The compensation and benefit information in this letter is subject to all of the terms and details in the attached Conditions of Employment.  By signing this letter, you agree to all terms outlined in this letter and in the accompanying Conditions of Employment, and you also certify that you are not under any legal or contractual obligation that would prevent you from performing arty of your responsibilities at Old Mutual.

 

In addition, as a Senior Executive we ask you to sign the attached Employment Agreement, which incorporates this letter and the attached Conditions of Employment.  In the event of any inconsistency between the compensation and benefits information contained in this letter (including the attached Conditions of Employment) and the Employment Agreement, this letter (including the attached Conditions of Employment) shall govern.

 

The provisions in Section 9 of your Employment Agreement relating to compliance with Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations promulgated thereunder (collectively, “Section 409A”), shall also apply to this offer letter and are incorporated herein by reference.

 

To accept Old Mutual’s offer, please sign and return the following items to Chris Hadley in the enclosed postage-paid envelope:

 

·                  one copy of this letter and Conditions of Employment and

·                  one copy of the Employment Agreement.

 

We look forward to welcoming you to Old Mutual. If you want to discuss any outstanding issues or have any questions, please feel free to call either one of us.

 

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Sincerely,
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
/s/ Julian V.F. Roberts
    	
 
    	
 
    	
 
    
	
Julian V.F.   Roberts
    	
 
    	
 
    	
 
    
	
Chief Executive Officer, Old Mutual Group
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
/s/ Donald J.   Schneider
    	
 
    	
 
    	
 
    
	
Donald J.   Schneider
    	
 
    	
 
    	
 
    
	
Group Hum- Resources Director, Old Mutual Group
    	
 
    
	
Member of the Board of Directors, Old Mutual (US) Holdings Inc.
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
Enclosures
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
/s/ Peter L. Bain
    	
 
    	
February 4, 2011
    	
 
    
	
Peter L. Bain
    	
 
    	
Date
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    
	
February 22, 2011
    	
 
    	
 
    	
 
    
	
Anticipated Start   Date
    	
 
    	
 
    	
 
    

 

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CONDITIONS OF EMPLOYMENT

 

1.                                      Codes of Ethics

 

By signing and accepting our offer of employment and as a condition of your continuing employment, you certify that you have read, understood and will abide by Old Mutual Asset Management’s Code of Ethics as well as the Code of Business Conduct & Ethics of Old Mutual’s parent company, Old Mutual plc (PLC), both of which are enclosed.  You may find that complying with this required policy will affect your (and members of your household’s) investment activities.  It is important that you review and understand all of the provisions of both Codes before you agree to join Old Mutual.

 

2.                                      Employment Authorization

 

Old Mutual is required to verify your identity and eligibility to work in the U.S.  Therefore, as a condition of employment, you must bring proper documentation with you on your first day of work.  The acceptable forms of ID and work authorization are listed on the reverse side of the enclosed U.S. Department of Justice Employment Eligibility Verification form.

 

3.                                      Employment at Will

 

This offer, including the Conditions of Employment, describes the compensation to which you are entitled for so long as you remain employed by Old Mutual, but is not a contract (except as otherwise provided in the Employment Agreement) or guarantee of employment for any particular period of time.  You are an employee at will, and you and/or Old Mutual are free to terminate your employment at any time for any reason.

 

Should Old Mutual terminate your employment during the Bonus Guarantee Period for any reason other than “Cause,” as defined in your Employment Agreement, or should your employment terminate during the Bonus Guarantee Period due to death or “Disability,” as defined in the Employment Agreement, you (or your estate, as the case may be) will receive the full Guaranteed Cash Bonus paid to you at such time as the Bonus would have been paid to you had you remained employed by Old Mutual.

 

Should (i) you terminate your employment with Old Mutual for any reason other than death, or “Disability,” as defined in your Employment Agreement, or (ii) Old Mutual terminate your employment for “Cause,” as defined in your Employment Agreement, during the Bonus Guarantee Period, the Guaranteed Cash Bonus will not be paid to you, any advance against your Guaranteed Cash Bonus will be immediately due for repayment in full to Old Mutual, and you will be entitled to receive only the pro rata portion of your base salary through the date of your termination, along with any other compensation or benefits to which you are entitled by law or under the terms of Old Mutual’s compensation and benefit plans that are then in effect.

 

There is no guarantee of a bonus amount for any year after that stipulated in this letter.

 

The vesting of your Old Mutual plc shares is as described in the letter to which these Conditions of Employment are attached.

 

5

 

4.                                      Payroll Direct Deposit

 

To provide immediate access to payroll funds, Old Mutual requires that all employees have direct deposit of their paychecks to the bank or other financial institution of their choice. You will need to provide a voided check for your account when completing the Authorization Agreement for Direct Deposit.

 

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