Document:

EX-10.2

 

 

 

Effective as of the date of this modification:

	 
	1)	 	The funds available for performance of this contract are increased by the amount set
forth in the attached Financial Accounting Data
sheet(s).
	 
	2)	 	Revise SECTION B — SUPPLIES OR SERVICES AND
PRICES/COSTS to incorporate the expansion
effort for CLIN 0002, the cost growth for CLIN 0001, and to add the tasks for CLIN 0003 and CLIN 0004
and to provide funding for all CLINs under ACRN AB and AC as follows:

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	TOTAL	 
	 	 	 	 	 	 	 	 	 	 	 	 	ESTIMATED	 
	ITEM	 	 	 	ESTIMATED	 	 	FIXED	 	 	COST & FIXED	 
	NO.	 	SUPPLIES/SERVICES	 	COST	 	 	FEE	 	 	FEE	 
	0001	 	The Contractor shall furnish the
necessary personnel and facilities to
conduct the research effort as
described in Section C and provide
reports and data in accordance with
Exhibit A.
	 	$	3,222,246	 	 	$	158,457	 	 	$	3,380,703	 
	 	 	000101 ACRN
AA: $2,799,405
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	000102 ACRN AB: $581,298
	 	 	 	 	 	 	 	 	 	 	 	 
	0002	 	The Contractor shall furnish the
necessary personnel and facilities to
conduct the research effort as
described in Section C and provide
reports and data in accordance with
Exhibit A.
	 	$	326,173	 	 	$	19,570	 	 	$	345,743	 
	 	 	000201 ACRN AB: $197,296
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	000202 ACRN AC: $148,447
	 	 	 	 	 	 	 	 	 	 	 	 
	0003	 	Task 4.2A—Data Collection and Control
Back-up Equipment in support of CLINs
0001 and 0002. The Contractor shall
furnish the necessary personnel and
facilities to conduct the research
effort as described in Section C and
provide reports and data in
accordance with Exhibit A.
	 	$	90,761	 	 	$	5,446	 	 	$	96,207 NTE
	 	 	000301 ACRN AC: $96,207
	 	 	 	 	 	 	 	 	 	 	 	 
	0004	 	Task 7.0—Authorized Maintenance and
Repairs in support of CLINs 0001 and
0002. The Contractor shall furnish
the necessary personnel and
facilities to conduct the research
effort as described in Section C and
provide reports and data in
accordance with Exhibit A.
	 	$	281,365	 	 	$	16,882	 	 	$	298,247 NTE
	 	 	000401 ACRN AC: $298,247
	 	 	 	 	 	 	 	 	 	 	 	 
	TOTAL ESTIMATED CONTRACT CONSIDERATION:	 	$	3,920,545	 	 	$	200,355	 	 	$	4,120,900	 

	3)	 	SECTION C— DESCRIPTION/SPECIFICATIONS/WORK STATEMENT is hereby revised to read as
follows:

	 	1.	 	The research effort to be performed hereunder shall be subject to
the requirements and standards contained in Exhibit A and the following paragraph(s).
	 
	 	2.	 	The Contractor shall conduct the research effort under CLIN 0001, submitted under Topic Number
N95-074, in accordance with Attachment Number 1, entitled “Statement of Work” and
supplemented by Attachment 4, entitled “Statement of Work P00002”.
	 
	 	3.	 	The Contractor shall conduct the research effort under CLIN 0002,
submitted under Topic Number N95-074, in accordance with Attachment Number 1, entitled “Statement of Work”
and supplemented by Attachment 4, entitled “Statement of Work P00002”.

			
	 	 	 
	 	 	 
	 	 	 
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	Modification Number P00002
	 	PAGE 2

 

 

	 	4.	 	The Contractor shall conduct the research effort under CLIN 0003 in accordance
with Attachment Number 4, entitled “Statement of Work P00002”.
	 
	 	5.	 	The Contractor shall conduct the research effort under CLIN 0004 in
accordance with Attachment Number 4, entitled “Statement of Work P00002”.

	4)	 	SECTION F— DELIVERIES OR PERFORMANCE Paragraph 1 is hereby revised to read as follows:

	 	a.	 	The research effort to be performed under CLIN 0001 shall be
conducted from contract award through 31 May 2008.
	 
	 	b.	 	The research effort to be performed under CLIN 0002 shall be
conducted from contract award through 31 May 2008.
	 
	 	c.	 	The research effort to be performed under CLIN 0003 shall be
conducted from contract award through 31 May 2008.
	 
	 	d.	 	The research effort to be performed under CLIN 0004 shall be
conducted from contract award through 31 May 2008.

	5)	 	SECTION G — CONTRACT ADMINISTRATION DATA, paragraph 2(a), entitled “Procuring Office Representatives”, is revised as follows:
	 
	 	 	“Contract Negotiator — Tracy M. Marcinowski (CACI), ONR 0254, (703) 696-6804, DSN 426-6804,
E-mail Address: tracy.marcinowski@navy.mil
	 
	6)	 	SECTION I, CONTRACT CLAUSES (August 29, 2005) is deleted and replaced with the following:

	 	a.	 	Section I — Contract Clauses (July 27, 2007)

Cost-Plus-Fixed Fee (SBIR-STTR phase II/III) (July 27, 2007)

	 	*	 	Applies when contract action exceeds $10,000
	 
	 	**	 	Applies when contract action exceeds $100,000
	 
	 	+	 	Applies when contract action exceeds $550,000
	 
	 	++	 	Applies when contract action exceeds $550,000 and
subcontracting possibilities exist. Small Business Exempt.
	 
	 	x	 	(DD 250)

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

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

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

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

	 	 	 	 	 
	**

	 	FAR 52.202-1
	 	Definitions (JUL 2004)
	**

	 	FAR 52.203-3
	 	Gratuities (APR 1984)
	**

	 	FAR 52.203-5
	 	Covenant Against Contingent Fees (APR 1984)
	**

	 	FAR 52.203-6
	 	Restrictions on Subcontractor Sales to the Government (JUL 1995)
	**

	 	FAR 52.203-7
	 	Anti-Kickback Procedures (JUL 1995)

			
	 	 	 
	 	 	 
	 	 	 
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	Modification Number P00002
	 	PAGE 3

 

 

	 	 	 	 	 
	**

	 	FAR 52.203-8
	 	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (JAN 1997)
	**

	 	FAR 52.203-10
	 	Price or Fee Adjustment for Illegal or Improper Activity (JAN 1997)
	**

	 	FAR 52.203-12
	 	Limitation on Payments to Influence Certain Federal Transactions (SEP 2005)
	**

	 	FAR 52.204-4
	 	Printing/Copying Double-Sided on Recycled Paper (AUG 2000)
	 

	 	FAR 52.204-7
	 	Central Contractor Registration (JUL 2006)
	 

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

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

	 	FAR 52.215-8
	 	Order of Precedence — Uniform Contract Format (OCT 1997)
	+

	 	FAR 52.215-10
	 	Price Reduction for the Defective Cost or Pricing Data
(OCT 1997) (The provisions of this Clause have been waived
by a joint Determination and Findings for the prime
contractor only. The clause is applicable to subcontracts
over $550,000.)
	+

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

	 	FAR 52.215-14
	 	Integrity of Unit Prices (OCT 1997) and Alternate I (OCT
1997) (Alternate I is applicable if the action is
contracted under Other Than Full and Open Competition)
	+

	 	FAR 52.215-15
	 	Pension Adjustments and Asset Reversions (OCT 2004)
	 

	 	FAR 52.215-17
	 	Waiver of Facilities Capital Cost of Money(OCT 1997)
	+

	 	FAR 52.215-18
	 	Reversion or Adjustment of Plans for Postretirement
Benefits (PRB) Other than Pensions (JUL 2005)
	+

	 	FAR 52.215-19
	 	Notification of Ownership Changes (OCT 1997) (Applicable
when Cost or Pricing Data is required)
	 

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

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

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

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

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

	 	FAR 52.219-9
	 	Small Business Subcontracting Plan (JUL 2005)
	**

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

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

	 	FAR 52.219-28
	 	Post-Award Small Business Program Representation (JUN 2007)
	 

	 	FAR 52.222-1
	 	Notice to the Government of Labor Disputes (FEB 1997)
	**

	 	FAR 52.222-2
	 	Payment for Overtime Premiums (JUL 1990) (Note: The word
“zero” is inserted in the blank space indicated by an
asterisk)
	 

	 	FAR 52.222-3
	 	Convict Labor (JUN 2003) (Reserved when FAR 52.222-20
Walsh Healy Public Contracts Act is applicable)
	**

	 	FAR 52.222-4
	 	Contract Work Hours and Safety Standards Act — Overtime
Compensation (JUL 2005)
	 

	 	FAR 52.222-21
	 	Prohibition of Segregated Facilities (FEB 1999)
	 

	 	FAR 52.222-26
	 	Equal Opportunity (MAR 2007)
	*

	 	FAR 52.222-35
	 	Equal Opportunity for Special Disabled Veterans, Veterans
of the Vietnam Era, and Other Eligible Veterans (SEP 2006)
	*

	 	FAR 52.222-36
	 	Affirmative Action for Workers with Disabilities (JUN 1998)

			
	 	 	 
	 	 	 
	 	 	 
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	Modification Number P00002
	 	PAGE 4

 

 

	 	 	 	 	 
	*

	 	FAR 52.222-37
	 	Employment Reports on Special Disabled Veterans, Veterans
of the Vietnam Era , and Other Eligible Veterans (SEP
2006)
	**

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

	 	FAR 52.225-13
	 	Restrictions on Certain Foreign Purchases (FEB 2006)
	**

	 	FAR 52.227-1
	 	Authorization and Consent (JUL 1995) and Alternate I (APR
1984)
	**

	 	FAR 52.227-2
	 	Notice and Assistance Regarding Patent and Copyright
Infringement (AUG 1996)
	 

	 	FAR 52.227-14
	 	Rights in Data — General (Jun 1987)
	 

	 	FAR 52.227-20
	 	Rights in Data — SBIR Program (MAR 1994)
	 

	 	FAR 52.228-7
	 	Insurance Liability to Third Persons (MAR 1996) (Further
to paragraph (a)(3), unless otherwise stated in this
contract, types and limits of insurance required are as
stated in FAR 28.307-2)
	 

	 	FAR 52.232-9
	 	Limitation on Withholding of Payments (APR 1984)
	**

	 	FAR 52.232-17
	 	Interest (JUN 1996)
	 

	 	FAR 52.232-23
	 	Assignment of Claims (JAN 1986) and Alternate I (APR 1984)
	 

	 	FAR 52.232-25
	 	Prompt Payment (OCT 2003) and Alternate I (FEB 2002) (The
words “the 30th day” are inserted in lieu of “the
7th day” at (a)(5)(i). [When Alternate I is
applicable (a)(5)(i) does do not apply] [Use Alternate I
when awarding a cost reimbursement contract for services]
	 

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

	 	FAR 52.233-1
	 	Disputes (JULY 2002)
	 

	 	FAR 52.233-3
	 	Protest After Award (AUG 1996) and Alternate I (JUN 1985)
	 

	 	FAR 52.242-1
	 	Notice of Intent to Disallow Costs (APR 1984)
	+

	 	FAR 52.242-3
	 	Penalties for Unallowable Costs (MAY 2001)
	 

	 	FAR 52.242-4
	 	Certification of Final Indirect Costs (JAN 1997)
	**

	 	FAR 52.242-13
	 	Bankruptcy (JUL 1995)
	 

	 	FAR 52.242-15
	 	Stop Work Order (AUG 1989) and Alternate I (APR 1984)
	 

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

	 	FAR 52.244-2
	 	Subcontracts (MAY 2005) and Alternate I (JAN 2006)
	**

	 	FAR 52.244-5
	 	Competition in Subcontracting (DEC 1996)
	 

	 	FAR 52.244-6
	 	Subcontracts for Commercial Items (FEB 2006)
	 

	 	FAR 52.246-9
	 	Inspection of Research and Development (Short Form) (Apr
1984)
	 

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

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

	 	FAR 52.249-6
	 	Termination (Cost-Reimbursement) (May 2004)
	 

	 	FAR 52.249-14
	 	Excusable Delays (APR 1984)
	 

	 	FAR 52.251-1
	 	Government Supply Sources (APR 1984)
	 

	 	FAR 52.253-1
	 	Computer Generated Forms (JAN 1991)

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

	 	 	 	 	 
	**

	 	DFARS 252.203-7001
	 	Prohibition On Persons Convicted of Fraud or
Other Defense-Contract-Related Felonies (DEC
2004)
	 

	 	DFARS 252.204-7003
	 	Control of Government Work Product (APR 1992)
	 

	 	DFARS 252.204-7004
	 	Alternate A (NOV 2003)

			
	 	 	 
	 	 	 
	 	 	 
	Contract Number N00014-05-C-0384	 	 
	Modification Number P00002
	 	PAGE 5

 

 

	 	 	 	 	 
	**

	 	DFARS 252.209-7004
	 	Subcontracting with Firms That Are Owned or
Controlled by the Government of a Terrorist Country
(MAR 1998)
	+

	 	DFARS 252.215-7000
	 	Pricing Adjustments (DEC 1991)
	 

	 	DFARS 252.215-7003
	 	Excessive Pass-Through Charges (APR
2007)
	++

	 	DFARS 252.219-7003
	 	Small, Small Disadvantaged and Women-owned Small
Business Subcontracting Plan (DoD Contracts) (APR
2007)
	 

	 	DFARS 252.225-7004
	 	Reporting of Contract Performance Outside the United
States and Canada-Submission After Award (JUN 2005)
	**

	 	DFARS 252.225-7012
	 	Preference for Certain Domestic (JAN 2007)
	 

	 	DFARS 252.225-7031
	 	Secondary Arab Boycott of Israel (JUN 2005)
	 

	 	DFARS 252.226-7001
	 	Utilization of Indian Organizations and Indian-Owned
Economic Enterprises, and Native Hawaiian Small
Business Concerns (SEP 2004)
	 

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

	 	DFARS 252-227-7017
	 	Identification And Assertion Of Use, Release, Or

Disclosure Restrictions (JUN 1995)
	 

	 	DFARS 252.227-7018
	 	Rights In Noncommercial Technical Data And Computer

Software-Small Business Innovation Research (SBIR)

Program (JUN 1995)
	 

	 	DFARS 252.227-7019
	 	Validation Of Asserted Restrictions-Computer

Software (JUN 1995)
	 

	 	DFARS 252.227-7025
	 	Limitations on the Use or Disclosure of
Government-Furnished Information Marked with
Restrictive Legends (JUN 1995)
	 

	 	DFARS 252.227-7028
	 	Technical Data or Computer Software Previously
Delivered to the Government (JUN 1995)
	 

	 	DFARS 252.227-7030
	 	Technical Data — Withholding of Payment (MAR 2000)
	 

	 	DFARS 252.227-7037
	 	Validation of Restrictive Markings on Technical Data
(SEP 1999)
	 

	 	DFARS 252.231-7000
	 	Supplemental Cost Principles (DEC 1991)
	 

	 	DFARS 252.232-7003
	 	Electronic Submissions of Payment Requests (MAR 2007)
	 

	 	DFARS 252.235-7002
	 	Animal Welfare (DEC 1991)
	 

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

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

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

	 	DFARS 252.245-7001
	 	Reports of Government Property (MAY 1994)
	**

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

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

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

	(B)	 	ADDITIONAL FAR AND DFARS CLAUSES

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

	 	 	 	 	 
	 

	 	FAR 52.204-2
	 	Security Requirements (AUG 1996) (Applicable if contract
will generate or require access to classified information and
DD Form 254, Contract Security Classification Specification,
is issued to the contractor)

			
	 	 	 
	 	 	 
	 	 	 
	Contract Number N00014-05-C-0384	 	 
	Modification Number P00002
	 	PAGE 6

 

 

	 	 	 	 	 
	X

	 	FAR 52.209-6
	 	Protecting the Government’s Interest when
Subcontracting with Contractors Debarred,
Suspended, or Proposed for Debarment (JAN
2005) (Applicable to contracts exceeding
$25,000 in value.)
	X

	 	FAR 52.215-16
	 	Facilities Capital Cost of Money (Jun 2003)
(Applicable in solicitations expected to
result in contracts that are subject to the
cost principles for contracts with
commercial organizations)
	X

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

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

	 	FAR 52.217-9
	 	Option to Extend the Term of the Contract
(MAR 2000) (In paragraph (a), insert “period
of time” and “number of days”; and in
paragraph (c), insert “month and years”)
(Applicable if contract contains line
item(s) for option(s))
	 

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

	 	FAR 52.222-20
	 	Walsh Healy Public Contracts Act (DEC 1996)
(Applicable if the contract includes
deliverable materials, supplies, articles or
equipment in an amount that exceeds or may
exceed $10,000)
	X

	 	FAR 52.222-50
	 	Combating Trafficking in Persons (APR
2006)(DEVIATION)(Universities and Non-Profit
R&D entities exempted per ASN(RD&A)
deviation of Jan 07)
	X

	 	FAR 52.223-5
	 	Pollution Prevention and Right-to-Know
Information (AUG 2003) (Applicable if
contract provides for performance, in whole
or in part, on a Federal facility)
	X

	 	FAR 52.223-6
	 	Drug-Free Workplace (MAY 2001) (Applies when
contract action exceeds $100,000 or at any
value when the contract is awarded to an
individual)
	 

	 	FAR 52.227-10
	 	Filing of Patent Applications — Classified
Subject Matter (APR 1984)
	X

	 	FAR 52.227-11
	 	Patent Rights — Retention by the Contractor
(Short Form) (Jun 1997)( Applicable if
contractor is a small business or a non
profit organization.
	X

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

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

	 	FAR 52.239-1
	 	Privacy or Security Safeguards (AUG 1996)
(Applicable to contracts for information
technology which require security of
information technology, and/or are for the
design, development, or operation of a
system of records using commercial
information technology services or support
services.)
	X

	 	FAR 52.245-1
	 	Government Property (JUN 2007)
	X

	 	FAR 52.245-9
	 	Uses and Charges (JUN 2007)
	 

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

			
	 	 	 
	 	 	 
	 	 	 
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	Modification Number P00002
	 	PAGE 7

 

 

	 	 	 	 	 
	 

	 	DFARS 252.203-7002
	 	Display of DoD Hotline Poster (DEC
1991) (Applicable only when contract
action exceeds $5 million or when any
modification increases contract
amount to more than $5 million)
	 

	 	DFARS 252.204-7000
	 	Disclosure of Information (DEC 1991)
(Applies when Contractor will have
access to or generate unclassified
information that may be sensitive and
inappropriate for release to the
public)
	 

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

	 	DFARS 252.205-7000
	 	Provision of Information to
Cooperative Agreement Holders (DEC
1991) (Applicable only when contract
action exceeds $1,000,000 or when any
modification increases total contract
amount to more than $1,000,000)
	 

	 	DFARS 252.211-7003
	 	Item Identification and Valuation
(JUN 2005) (Applicable if the
contract includes deliverable items
(1) with a unit cost of $5000 or more
or (2) that will be serially managed
or controlled inventory.)
	X

	 	DFARS 252.215-7002
	 	Cost Estimating System requirements
(OCT 1998) (Applicable only to
contract actions awarded on the basis
of certified cost or pricing data)
	 

	 	DFARS 252.223-7004
	 	Drug-Free Work Force (SEP 1988)
(Applicable (a) if contract involves
access to classified information: or
(b) when the Contracting Officer
determines that the clause is
necessary for reasons of national
security or for the purpose of
protecting the health or safety of
performance of the contract.
	X

	 	DFARS 252.223-7006
	 	Prohibition on Storage and Disposal
of Toxic and Hazardous Materials (APR
1993) (Applicable if work requires,
may require, or permits contractor
performance on a DoD installation)
	 

	 	DFARS 252.225-7001
	 	Buy American Act and Balance of
Payments Program (JUN 2005)
(Applicable if the contract includes
deliverable supplies) (This clause
does not apply if an exception to the
Buy American Act or Balance of
Payments Program is known or if using
the clause at

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

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

	 	DFARS 252.225-7016
	 	Restriction On Acquisition Of Ball And Roller Bearings (MAR 2006)
(Applicable if contract includes deliverable supplies, unless
Contracting Officer knows that items being acquired do not contain ball or
roller bearings)
	X

	 	DFARS 252.227-7018
	 	Rights in Noncommercial Technical
Data and Computer Software — Small
Business Innovation Research (SBIR)
Program (JUN 195) (Also applies to
STTR programs)
	 

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

			
	 	 	 
	 	 	 
	 	 	 
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	Modification Number P00002
	 	PAGE 8

 

 

	 	 	 	 	 
	X

	 	DFARS 252.227-7034
	 	Patents—Subcontracts (APR 1984) [Applicable to
contracts containing FAR 52.227-11, Patent
Rights—Retention by the Contractor (Short Form)]
	X

	 	DFARS 252.227-7039
	 	Patents—Reporting Of Subject Inventions (APR 1990)
[Applicable to contracts containing FAR 52.227-11,
Patent Rights—Retention by the Contractor (Short
Form)]
	X

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

	 	DFARS 252.246-7000
	 	Material Inspection and Receiving Report (MAR 2003)

	7)	 	SECTION J—List of Attachments is hereby revised as follows:

	 	a.	 	Paragraph 1 is hereby deleted in its entirety and replaced as follows:

	 	1.	 	Exhibit A entitled “Contract Data Requirements
List” (DD Form 1423) — 15 pages with
Enclosure Number 1, entitled “Contract Data Requirements List—Instructions for Distribution.”
	 
	 	2.	 	CDRLs A005 through A009 have been completed and
are no longer necessary and are
hereby incorporated for informational purposes only.

	 	b.	 	5. Attachment Number 4, entitled, “Statement of Work-P00002” — 2
pages is incorporated into the contract.

	8)	 	SECTION K—REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS is hereby
revised as follows:
	 
	 	 	1. The Contractor’s ORCA validation dated from: 2 Mar 07 to: 2 Mar 08 is hereby incorporated
into this contract by reference. The DFARS and Contract Specific Representations and
Certifications, dated 17 September 2007 are hereby incorporated by reference.
	 
	9)	 	This modification increases the Estimated Cost of the contract by $1,279,597, the Fixed Fee
by $41,898, and the Total Estimated Cost & Fixed Fee by $1,321,495. The total funded amount available on this
contract is $4,120,900. All other terms and conditions remain unchanged.

			
	 	 	 
	 	 	 
	 	 	 
	Contract Number N00014-05-C-0384	 	 
	Modification Number P00002
	 	PAGE 9

 

 

Attachment 4, “Statement of Work — P00002”

Statement of Work (SoW) for Contract N00014-05-C-0384

Modification P00002

September 19, 2007

CLIN 0001 (Cost Growth Clarifications to Attachment 1)

Task B3-T4.2c. System Procurement and Fabrication: Low-Voltage cable and terminations

OPT will design, procure and build a pod cable management system for the low-voltage
(LV) cable section to provide an improved reliability cable, penetrator, connector
assembly for one buoys. This effort is supplemental to the work in that contract work
statement.

Task B3-T6.0 Program and Technical Management.

OPT will provide program and technical management through the ocean test period and
close-out of the contract. The OPT technical manager will provide the overall technical
direction for this effort in coordination with the program manager. OPT will provide reports
in accordance with the Contract Data Requirements List (CDRL) Items.

Task B3-T7.1 Repair of the FITA sub-sea fiber optic and power connector.

OPT will contract with the Field Installable and Testable Assembly (FITA) manufacturer
to provide field support and repair to the sub-sea cable termination.

CLIN 0002

Task B3-T4.2b. System Procurement and Fabrication: Data Collection and Control Equipment Expansion.

OPT will expand the capability of the data collection and control equipment in the MCBH
bunker to enhance reliability of data collection, monitoring and remote operation. OPT will
also develop and implement software to expand the data collection database to allow one
year’s worth of data to be collected and stored.

Task B3-T4.2d. System Procurement and Fabrication: Advanced Mooring Monitor

OPT will procure and install a mooring monitor that provides improved, time
response, automated responses to an out-of-watch-circle condition.

Task B3-T5.1b. Monitoring, Data Collection and Analysis for Buoy 3

OPT will support monitoring, data collection and analysis support for Buoy 3 for the second
four month period of deployment known as Period 2. Data from Buoy 3 will be collected and
entered into OPT’s operational database. Many parameters will be monitored electronically
from sensors located throughout the PowerBuoy via the data acquisition system. Data will
also be obtained from routine visual inspections of the buoys and mooring components to
check for corrosion, marine growth and wear. In addition, data from other sensing devices
such as the Acoustic Doppler Current Profiler (ADCP) or other independent wave
characteristics monitoring device will be collected.

			
	 	 	 
	 	 	 
	 	 	 
	Contract Number N00014-05-C-0384	 	 
	Modification Number P00002
	 	Page 1

 

 

Task B3-T5.2b. Inspection, Maintenance and Minor Repairs for Buoy 3.

OPT will inspect, maintain & provide minor repairs for Buoy 3 for the second four month
period of deployment known as Period 2.

A minor repair is one that at most requires a small vessel with two scuba divers and an
engineer for a repair accessible near the buoy’s mast or a land-based equipment replacement.
Typical minor repair items may include replacement of the RF antenna or GPS, hydraulic rod
joint connection, radar reflector, or navaid light.

OPT will contract as required with an experienced offshore contractor to make routine visual
inspections of the buoys, cabling and anchor components to check for corrosion, marine
growth and wear, and perform minor repairs or maintenance on the sea-based equipment.

Task B3-T6.0 Program and Technical Management.

OPT will provide program and technical management through the ocean test period and
close-out of the contract. The OPT technical manager will provide the overall technical
direction for this effort in coordination with the program manager. OPT will provide reports
in accordance with the Contract Data Requirements List (CDRL) Items.

CLIN 0003

Task B3-T4.2a. System Procurement and Fabrication: Data Collection and Control Back-up Equipment.

OPT will provide system back-up capability for the data collection and control equipment in
the MCBH bunker for system monitoring and to ensure buoy data integrity. Upon direction from
the Program Officer, OPT will procure and install the following equipment:

	 	•	 	Back up power — Uninterruptible Power Supply (UPS)
	 
	 	•	 	Back up tape drive — for storage of data
	 
	 	•	 	Cabinet for equipment mounting
	 
	 	•	 	Antenna and RF Radio Back up
	 
	 	•	 	System restore switch

CLIN 0004

Task B3-T7.0 Authorized Maintenance/Repairs.

OPT will provide the Navy with engineering and technical services and supplies, as required
for authorized maintenance or repair work beyond that covered by other funded tasks. These
tasks will be directed by individual Technical Direction letters issued by a designee of the
Navy Contracting Officer, either the ONR Program Officer or the NFESC Technical Manager so
that timely support of buoy operations will be provided as a result of an unscheduled event.

			
	 	 	 
	 	 	 
	 	 	 
	Contract Number N00014-05-C-0384	 	 
	Modification Number P00002
	 	Page 2

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FINANCIAL ACCOUNTING DATA SHEET — NAVY

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	1. CONTRACT NUMBER (CRITICAL)	 	 	2. SPIIN (CRITICAL)	 	 	3. MOD (CRITICAL)	 	 	4. PR NUMBER	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	N0001405C0384	 	 	 	 	 	 	 	 	 	 	 	 	P00002	 	 	07PR06497-02	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	6. LINE OF ACCOUNTING	 	 	 	7.	 	 	 	 	 	NAVY INTERNAL 
USE ONLY 
REF DOC/ACRN	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	CLIN/SLIN

	 	 	A.
	 	 	B.	 	 	C.
	 	 	D.	 	 	E.
	 	 	F.	 	 	G.	 	 	H.	 	 	I.
	 	 	J.	 	 	K.	 	 	 	 	 	 	 	 	 	 	AMOUNT
(CRITICAL)
	 	 	 	 	 	 
	 	 

	 	 	ACRN
	 	 	APPROPRIATION
	 	 	SUBHEAD
	 	 	OBJ
	 	 	PARM
	 	 	RFM
	 	 	SA
	 	 	AAA
	 	 	IT
	 	 	PAA
	 	 	COST CODE
	 	 	 	 	 	 	 	 
	 	 

	 	 	(CRITICAL)
	 	 	(CRITICAL)
	 	 	(CRITICAL)
	 	 	CLA
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	(CRITICAL)
	 	 	 	 	 	 	 	 	 	 	PROJ
	 	 	 	 	 	 	 	PDLI	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	UNIT
	 	 	MCC
	 	 	& SUF	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	AB
 
	 	 	1761319	 	 	W3DK
	 	 	 	255	 	 	 	RA
	 	 	 	333	 	 	 	 	0	 	 	 	 	068342	 	 	 	2D
	 	 	 	000000	 	 	 	 	09690	 	 	 	 	000	 	 	 	4KT0
	 	 	$417,259.00	 	 	 	 	 	PR#07PR06497-02 FRC: 34KT	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PAGE TOTAL
 	 	 	$417,259.00	 	 	 	 	 	 	 
	 	GRAND TOTAL	 	 	$417,259.00	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PREPARED/AUTORIZED
BY:	 	 	COMPTROLLER APPROVAL:	 	 
	 	 	 	     FOR FISCAL DATA AND SIGNATURE	 
	 	 	 	     BY    
          
          
          
              
                
                  for COMPTROLLER, ONR CONTRACT REVIEWED	 
	 	DATE:

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	DATE:
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

ONR AWARD
FORM (10/99) — version 1.1

Page 1 of 2

 

FINANCIAL ACCOUNTING DATA SHEET — NON-NAVY DoD ACTIVITIES

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	1.
CONTRACT
NUMBER
(CRITICAL)

	 	 	2. SPIIN (CRITICAL)
	 	 	3. MOD (CRITICAL)
	 	 	4. PR NUMBER	 	 	 	 
	 	N0001405C0384	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	P00002	 	 	07PR06497 - 02	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	5.	 	 	6.	 	 	7.	 	 	 	 	 	8.	 	 	 	 	 	NAVY INTERNAL
USE ONLY
REF DOC/ACRN	 
	 	CLIN/SLIN

	 	 	ACRN
	 	 	ACCOUNTING CITATION	 	 	AMOUNT
	 	 	 	 	 	 
	 	 

	 	 	(CRITICAL)
	 	 	 	 	 	 	 	 	 	 	(CRITICAL)
	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
This page is intentionally blank

 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PAGE TOTAL
 	 	 	$.00	 	 	 	 	 	 	 
	 	GRAND TOTAL	 	 	$.00	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PREPARED/AUTHORIZED BY:

	 	 	 	 	 	 	COMPTROLLER APPROVAL:
	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	     FOR FISCAL DATA AND SIGNATURE
	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	     BY    
          
          
          
              
                
                  for COMPTROLLER, ONR CONTRACT REVIEWED
	 
	 	DATE:	 	 	DATE:
 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

ONR AWARD
FORM (10/99) — version 1.1

Page 2 of 2

 

FINANCIAL ACCOUNTING DATA SHEET — NAVY

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	1. CONTRACT NUMBER (CRITICAL)	 	 	2. SPIIN (CRITICAL)	 	 	3. MOD (CRITICAL)	 	 	4. PR NUMBER	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	N0001405C0384	 	 	 	 	 	 	 	 	 	 	 	 	P00002	 	 	07PR06497 - 03	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	6. LINE OF ACCOUNTING	 	 	 	7.	 	 	 	 	 	NAVY INTERNAL 
USE ONLY 
REF DOC/ACRN	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	CLIN/SLIN

	 	 	A.
	 	 	B.	 	 	C.
	 	 	D.	 	 	E.
	 	 	F.	 	 	G.	 	 	H.	 	 	I.
	 	 	J.	 	 	K.	 	 	 	 	 	 	 	 	 	 	AMOUNT
(CRITICAL)
	 	 	 	 	 	 
	 	 

	 	 	ACRN
	 	 	APPROPRIATION
	 	 	SUBHEAD
	 	 	OBJ
	 	 	PARM
	 	 	RFM
	 	 	SA
	 	 	AAA
	 	 	IT
	 	 	PAA
	 	 	COST CODE
	 	 	 	 	 	 	 	 
	 	 

	 	 	(CRITICAL)
	 	 	(CRITICAL)
	 	 	(CRITICAL)
	 	 	CLA
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	(CRITICAL)
	 	 	 	 	 	 	 	 	 	 	PROJ
	 	 	 	 	 	 	 	PDU	 	 	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	UNIT
	 	 	MCC
	 	 	& SUF	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 

	 	 	AB
	 	 	1761319	 	 	W3DK
	 	 	 	255	 	 	 	RA
	 	 	 	333	 	 	 	 	0	 	 	 	 	068342	 	 	 	2D
	 	 	 	000000	 	 	 	 	09690	 	 	 	 	000	 	 	 	4KT0
	 	 	$361,335.00	 	 	 	 	 	PR#07PR06497-03 FRC : 34KT	 
	 	 

	 	 	AC
 
	 	 	1771319	 	 	W3DK
	 	 	 	255	 	 	 	RA
	 	 	 	333	 	 	 	 	0	 	 	 	 	068342	 	 	 	2D
	 	 	 	000000	 	 	 	 	09690	 	 	 	 	000	 	 	 	4KT0
	 	 	$542,901.00	 	 	 	 	 	PR#07PR06497-03 FRC : 34KT	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PAGE TOTAL
 	 	 	$904,236.00	 	 	 	 	 	 	 
	 	GRAND TOTAL	 	 	$904,236.00	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PREPARED/AUTORIZED
BY:	 	 	COMPTROLLER APPROVAL:	 	 
	 	 	 	     FOR FISCAL DATA AND SIGNATURE	 
	 	 	 	     BY    
          
          
          
              
                
                  for COMPTROLLER, ONR CONTRACT REVIEWED	 
	 	DATE:

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	DATE:
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

ONR AWARD
FORM (10/99) — version 1.1

Page 1 of 2

 

FINANCIAL ACCOUNTING DATA SHEET — NON-NAVY DoD ACTIVITIES

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	1.
CONTRACT
NUMBER
(CRITICAL)

	 	 	2. SPIIN (CRITICAL)
	 	 	3. MOD (CRITICAL)
	 	 	4. PR NUMBER	 	 	 	 
	 	N0001405C0384	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	P00002	 	 	07PR06497-03	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	5.	 	 	6.	 	 	7.	 	 	 	 	 	8.	 	 	 	 	 	NAVY INTERNAL
USE ONLY
REF DOC/ACRN	 
	 	CLIN/SLIN

	 	 	ACRN
	 	 	ACCOUNTING CITATION	 	 	AMOUNT
	 	 	 	 	 	 
	 	 

	 	 	(CRITICAL)
	 	 	 	 	 	 	 	 	 	 	(CRITICAL)
	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
This page is intentionally blank

 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PAGE TOTAL
 	 	 	$.00	 	 	 	 	 	 	 
	 	GRAND TOTAL	 	 	$.00	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	PREPARED/AUTHORIZED BY:

	 	 	 	 	 	 	COMPTROLLER APPROVAL:
	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	     FOR FISCAL DATA AND SIGNATURE
	 	 	 	 	 	 
	 	 

	 	 	 	 	 	 	     BY    
          
          
          
              
                
                  for COMPTROLLER, ONR CONTRACT REVIEWED
	 
	 	DATE:	 	 	DATE:
 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 

ONR AWARD
FORM (10/99) — version 1.1

Page 2 of 2EX-10.1

 

Exhibit 10.1

STOCK PURCHASE AGREEMENT

          This STOCK PURCHASE AGREEMENT (this “Agreement”) is entered into as of December 14,
2007, by and between Allied World Assurance Company Holdings, Ltd, a company organized and existing
under the laws of Bermuda (the “Company”), and American International Group, Inc., a
Delaware corporation (the “Seller”).

RECITALS:

          WHEREAS, Seller currently owns 100 common shares (the “Subsidiary Shares”), par value
$1 per share, of December Holdings, Ltd. (“Seller Subsidiary”), a company organized and
existing under the laws of Bermuda, comprising 100% of the issued and outstanding capital stock of
Seller Subsidiary;

          WHEREAS, prior to entering into this Agreement, Seller transferred 11,693,333 outstanding
common shares (the “Seller Shares”), par value $0.03 per share, of the Company
(“Common Shares”) to Seller Subsidiary (the “Transfer”), and Seller currently holds
a warrant whereby up to an additional 2,000,000 Common Shares are issuable to Seller pursuant to
exercise of the warrant (the “Warrant Shares”)

          WHEREAS, Seller Subsidiary currently owns the Seller Shares; and

          WHEREAS, on the terms and subject to the conditions of this Agreement, the Company desires to
purchase from Seller all of the Subsidiary Shares and Seller desires to sell all of the Subsidiary
Shares to the Company for the consideration set forth below.

          NOW, THEREFORE, in consideration of the representations, warranties, covenants and agreements
herein contained, and intending to be legally bound hereby, the Company and Seller hereby agree as
follows:

Article I.

SALE AND PURCHASE

     1.1. Agreement to Sell and Purchase. At the Closing (as hereinafter defined), upon
the terms and subject to the conditions of this Agreement, Seller will sell, transfer, convey,
assign and deliver to the Company, and the Company will purchase, acquire and accept from Seller,
the Subsidiary Shares, free and clear of any and all Liens (as hereinafter defined) (the “Stock
Purchase”).

     1.2. Closing. The closing of the Stock Purchase under this Agreement (the
“Closing”) shall take place simultaneously with the signing of this Agreement at the
offices of Appleby, Canon’s Court, 22 Victoria Street, Hamilton, Bermuda. At the Closing, (i) the
Company shall pay to Seller, an amount equal to U.S. $563,443,688.72, by wire transfer of
immediately available funds to the account specified in writing by Seller, (ii) the Company shall
deliver to Seller an opinion of Bermuda counsel to the Company addressed to Seller in the form
attached

 

 

hereto as Exhibit A and (iii) Seller shall deliver to the Company certificate(s)
representing the Subsidiary Shares being purchased hereunder duly endorsed for transfer or
accompanied by an appropriate share transfer instrument duly executed in blank.

     1.3. Registration Rights Agreement. Effective as of the Closing and in consideration
of the transactions contemplated hereby, the Company hereby waives in its entirety Section 2.1(b)
of the Registration Rights Agreement, dated July 17, 2006 (as amended from time to time, the
“Registration Rights Agreement”), by and among Allied World Assurance Company Holdings, Ltd
and the shareholders named therein, to the extent that Section 2.1(b) would otherwise apply to any
Demand Request (as defined in the Registration Rights Agreement) delivered by Seller with respect
to the Warrant Shares, provided that, such Demand Request covers all Warrant Shares
then Beneficially Owned (as defined in the Registration Rights Agreement) by Seller. Seller hereby
agrees that the Company may amend or otherwise modify the Registration Rights Agreement without the
consent of Seller, provided that, such amendment or modification does not adversely
affect Seller in any material respect.

Article II.

REPRESENTATIONS AND WARRANTIES OF THE COMPANY

          As of the date hereof, the Company represents and warrants to Seller as follows:

     2.1. Organization. The Company is an exempted company duly organized, validly
existing and in good standing under the laws of Bermuda.

     2.2. Authorization. The Company has the absolute and unrestricted right, power,
capacity (legal or otherwise) to execute and deliver this Agreement and to consummate the
transactions contemplated hereby. The execution and delivery of this Agreement and the
consummation of the transactions contemplated hereby have been duly and validly authorized by all
necessary corporate action by the Company and no other corporate actions on the part of the Company
are necessary to authorize this Agreement or to consummate the transactions contemplated hereby.

     2.3. Validity. This Agreement has been duly and validly executed by the Company and
constitutes a valid and binding obligation of the Company, enforceable against the Company in
accordance with its terms.

     2.4. No Violation. The execution, delivery and performance by the Company of this
Agreement do not, and the consummation by the Company of the transactions contemplated hereby
(including the Transfer) will not, (i) violate or conflict with any provision of the Company’s
memorandum of association or bye-laws; (ii) violate any provision of any statute, law, code,
ordinance, treaty, policy, judgment, order, injunction, decree, rule, consent, writ, determination,
arbitration award, rule or regulation (collectively, “Laws”) of or by any federal, state,
foreign or other governmental or public body, agency or authority, or subdivision thereof,
instrumentality, subdivision, court, administrative agency, commission, official or other authority
of the United States, Bermuda or any other country or any state, province, prefect, municipality,
locality or other government or political subdivision thereof, or any quasi-governmental or

2

 

private body exercising any regulatory, taxing, importing or other governmental or
quasi-governmental authority (collectively, “Governmental or Regulatory Entity”),
applicable to the Company or any of its properties or assets; or (iii) violate, conflict with,
result in a breach of or the loss of any benefit under, constitute (with due notice or lapse of
time or both) a default under, result in the termination of or a right of termination or
cancellation under, accelerate the performance required by or rights or obligations under, any of
the terms, conditions or provisions of any contract, note, bond, lease, loan agreement, mortgage,
security agreement, indenture, deed or trust, license, agreement or instrument to which the Company
is a party or by which it is bound or to which any of its properties, assets or business is
subject.

     2.5. Approvals or Consents. No consents, authorizations, waivers, filings,
registrations or approvals are required in connection with the execution and delivery of this
Agreement by the Company, the consummation of the transactions contemplated hereby or the
performance by the Company of its obligations hereunder.

     2.6. Company SEC Reports; Certain Other Matters. The Company’s periodic reports filed
with the Securities and Exchange Commission, as of the date of their filing, did not contain any
untrue statement of a material fact or omit to state any material fact necessary in order to make
the statements made, in light of the circumstances under which they were made, not misleading. The
Company further represents and warrants as of the date hereof as to the matters set forth on the
disclosure schedule delivered to the Seller concurrently with this Agreement.

     2.7. Transfer. The Directors of the Company have registered the Transfer of the Seller
Shares from Seller to Seller Subsidiary in accordance with the Company’s bye-laws.

Article III.

REPRESENTATIONS AND WARRANTIES OF SELLER

          As of the date hereof, Seller represents and warrants to the Company as follows:

     3.1. Organization. Seller is a corporation duly organized, validly existing and in
good standing under the laws of the State of Delaware. Seller Subsidiary is an exempted company
duly organized and validly existing under the laws of Bermuda.

     3.2. Capital Stock. As of the date hereof, the authorized capital stock of Seller
Subsidiary consists of 100 shares of common stock, par value $1 per share, of which 100 shares are
issued and outstanding. The Subsidiary Shares have been duly authorized and validly issued and are
fully paid. Seller has, and upon consummation of the Stock Purchase the Company will have, good
and marketable title to the Subsidiary Shares, free and clear of any and all liens, security
interests, mortgages, rights of first refusal, agreements, limitation on voting rights,
restrictions, levies, claims, pledges, equities, options, contracts assessments, conditional sale
agreements, charges and other encumbrances or interests of any nature whatsoever, including,
without limitation, voting trusts or agreements or proxies (collectively, “Liens”). Except
for the Subsidiary Shares, no shares of capital stock of Seller Subsidiary are outstanding. There
are no (a) securities convertible into or exchangeable for any shares of capital stock of Seller
Subsidiary, including the Subsidiary Shares; (b) options, warrants or other rights to purchase or

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subscribe for any shares of capital stock of Seller Subsidiary, including the Subsidiary
Shares; or (c) contracts, commitments, agreements, understandings or arrangements of any kind
(contingent or otherwise) relating to the issuance, sale or transfer of any shares of capital stock
of Seller Subsidiary, including the Subsidiary Shares.

     3.3. Ownership of Seller Shares. Seller Subsidiary is the sole record, legal and
beneficial owner of the Seller Shares. There are no (a) securities convertible into or
exchangeable for any of the Seller Shares; (b) options, warrants or other rights to purchase or
subscribe for any of the Seller Shares; or (c) contracts, commitments, agreements, understandings
or arrangements of any kind (contingent or otherwise) relating to the issuance, sale or transfer of
any of the Seller Shares.

     3.4. Title to Seller Shares. Seller Subsidiary has good and marketable title to the
Seller Shares, free and clear of any and all Liens.

     3.5. Authorization. Seller has the absolute and unrestricted right, power, capacity
(legal or otherwise) and authority to execute and deliver this Agreement and to consummate the
transactions contemplated hereby. The execution and delivery of this Agreement and the
consummation of the transactions contemplated hereby have been duly and validly authorized by all
necessary corporate action by Seller and no other corporate actions on the part of Seller are
necessary to authorize this Agreement or to consummate the transactions contemplated hereby.

     3.6. Validity. This Agreement has been duly and validly executed by Seller and
constitutes a valid and binding obligation of Seller, enforceable against it in accordance with its
terms.

     3.7. No Violation. The execution, delivery and performance by Seller of this
Agreement do not, and the consummation by Seller of the Stock Purchase and the transactions
contemplated hereby will not, (i) violate or conflict with any provision of Seller’s or Seller
Subsidiary’s certificate of incorporation, memorandum of association, by-laws or any other
organizational documents of Seller or Seller Subsidiary; (ii) violate any provision of any Laws of
or by Governmental or Regulatory Entity applicable to Seller or Seller Subsidiary or any of their
respective properties or assets; or (iii) violate, conflict with, result in a breach of or the loss
of any benefit under, constitute (with due notice or lapse of time or both) a default under, result
in the termination of or a right of termination or cancellation under, accelerate the performance
required by or rights or obligations under, any of the terms, conditions or provisions of any
contract, note, bond, lease, loan agreement, mortgage, security agreement, indenture, deed or
trust, license, agreement or instrument to which Seller, Seller Subsidiary or any of their
respective affiliates is a party or by which Seller, Seller Subsidiary or any of their respective
affiliates is bound or to which any of Seller’s, Seller Subsidiary’s or their respective
affiliates’ properties, assets or business is subject.

     3.8. Approvals and Consents. No consents, authorizations, waivers, filings,
registrations or approvals are required in connection with the execution and delivery of this
Agreement by Seller, the consummation of the transactions contemplated hereby or the performance by
Seller of its obligations hereunder.

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     3.9. Information Concerning Company. Seller has had the opportunity to discuss the
plans, operations and financial condition of the Company with its officers and directors and has
received all information requested by Seller to enable Seller to evaluate the decision to sell the
Subsidiary Shares pursuant to this Agreement. Seller acknowledges that the Company may be in
possession of material non-public information about the Company not known to Seller (“Excluded
Information”). Seller hereby waives any and all claims and causes of action now or hereafter
arising against the Company based upon or relating to any alleged non-disclosure of Excluded
Information and further covenants not to assert any claims against or to sue the Company or any of
its directors, officers, employees, partners, agents or affiliates for any loss, damage or
liability arising from or relating to its sale of the Subsidiary Shares pursuant to this Agreement
based upon or relating to any alleged non-disclosure of Excluded Information. It is understood and
agreed that neither the Company nor Seller makes any representation or warranty to the other
whatsoever with respect to the business, condition (financial or otherwise), properties, prospects,
creditworthiness, status or affairs of the Company, or with respect to the value of the Subsidiary
Shares or the Seller Shares.

     3.10. No Brokers or Finders. Seller has not retained, employed or used any broker or
finder in connection with the transactions provided for herein or in connection with the
negotiation thereof.

Article IV.

MISCELLANEOUS

     4.1. Expenses. The Company and Seller shall each bear their own expenses incurred in
connection with this Agreement and the consummation of the transactions contemplated hereby, except
for all expenses related to the organization of Seller Subsidiary, which shall be paid by the
Company.

     4.2. Further Assurance. From time to time, at the Company’s request and without
further consideration, Seller will execute and deliver to the Company such documents and take such
other action as the Company may reasonably request in order to consummate the transactions
contemplated hereby.

     4.3. Specific Performance. Nothing herein shall be construed to prevent the Company
or Seller from enforcing, by legal action or otherwise, the terms of this Agreement. The Company
and Seller hereby declare that it is impossible to measure in money the damages which will accrue
to either party or to such party’s successors or permitted assigns by reason of a failure to
perform any of the obligations under this Agreement and agree that either party shall be entitled
to a decree of specific performance of the terms of this Agreement, which right will be in addition
to any other remedies available to such party. If the Company or Seller or such party’s heirs,
personal representatives, or assigns institutes any action or proceeding to specifically enforce
the provisions hereof, any person against whom such action or proceeding is brought hereby waives
the claim or defense therein that such party or such personal representative has an adequate remedy
at law, and such person shall not offer in any such action or proceeding the claim or defense that
such remedy at law exists.

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     4.4. No Third-Party Beneficiaries. This Agreement is for the sole benefit of the
Company and Seller and their respective successors and permitted assigns and nothing herein,
express or implied, is intended to or shall confer upon any other person or entity any legal or
equitable right, benefit or remedy of any nature whatsoever under or by reason of this Agreement.

     4.5. Delays or Omissions. It is agreed that no delay or omission to exercise any
right, power or remedy accruing to either party upon any breach or default of the other party
hereto shall impair any such right, power or remedy, nor shall it be construed to be a waiver of
any such breach or default, or any acquiescence therein, or of any similar breach or default
thereafter occurring; nor shall any waiver of any single breach or default be deemed a waiver of
any other breach or default theretofore or thereafter occurring.

     4.6. Notices. All notices and other communications required hereunder shall be in
writing and sent by facsimile, delivered personally, delivered by a recognized next-day courier
service or mailed by registered or certified mail. All such notices and communications shall be
delivered as set forth below, or pursuant to such other instructions as may be designated in
writing by the party to receive such notice:

(a) if to the Company, to:

Allied World Assurance Company Holdings, Ltd

27 Richmond Road

Pembroke HM 08, Bermuda

Attention: Wesley D. Dupont, General Counsel

Facsimile: 441-295-5117

with a copies to:

Willkie Farr & Gallagher LLP

787 Seventh Avenue

New York, NY 10019

Attention: Steven A. Seidman

                   Jeffrey Hochman

Facsimile: 212-728-8111

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and

Appleby

Canon’s Court

22 Victoria Street

PO Box HM 1179

Hamilton HM EX

Bermuda

Attention: David R. Lines

Facsimile: 441-298-3366

(b) if to Seller, to:

American International Group, Inc.

70 Pine Street

New York, NY 10270

Attention: Gene Boxer

Facsimile: 212-770-7234

with a copy to:

Sullivan & Cromwell LLP

125 Broad Street

New York, NY 10004

Attention: Robert G. DeLaMater

Facsimile: 212-558-3588

     4.7. Entire Agreement; Amendments. This Agreement contains the entire understanding
of the parties. This Agreement may be amended only by a written instrument duly signed by the
Company and Seller.

     4.8. Binding Effect. This Agreement shall be binding upon and inure to the benefit of
the Company and Seller and their respective successors and permitted assigns.

     4.9. Assignment. Neither the Company nor Seller shall transfer or assign this
Agreement or any of their rights, interests, or obligations hereunder, in whole or in part, whether
voluntarily, by operation of law or otherwise, without the prior written approval of the other
party.

     4.10. Headings. The article and section headings contained in this Agreement are for
reference purposes only and will not affect in any way the meaning or interpretation of any
provision of this Agreement.

     4.11. Severability. The invalidity of any term or terms of this Agreement will not
affect any other term of this Agreement, which will remain in full force and effect.

7

 

     4.12. Governing Law, Jurisdiction; Waiver Of Jury Trial.

     (a) This Agreement shall be construed, performed and enforced in
accordance with, and governed by, the laws of the State of New York, without
giving effect to the principles of conflicts of laws thereof. Each of the
parties hereto irrevocably elects as the sole judicial forums for the
adjudication of any matters arising under or in connection with this
Agreement, and consents to the jurisdictions of, the courts of the County of
New York, State of New York or the United States of America for the Southern
District of New York or the Supreme Court of Bermuda.

     (b) EACH PARTY ACKNOWLEDGES AND AGREES THAT ANY CONTROVERSY WHICH MAY
ARISE UNDER THIS AGREEMENT IS LIKELY TO INVOLVE COMPLICATED AND DIFFICULT
ISSUES, AND THEREFORE EACH SUCH PARTY HEREBY IRREVOCABLY AND UNCONDITIONALLY
WAIVES ANY RIGHT SUCH PARTY MAY HAVE TO A TRIAL BY JURY IN RESPECT OF ANY
LITIGATION DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS
AGREEMENT, OR THE TRANSACTIONS CONTEMPLATED BY THIS AGREEMENT. EACH PARTY
CERTIFIES AND ACKNOWLEDGES THAT (i) NO REPRESENTATIVE, AGENT OR ATTORNEY OF
ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PARTY
WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER,
(ii) EACH PARTY UNDERSTANDS AND HAS CONSIDERED THE IMPLICATIONS OF THIS
WAIVER, (iii) EACH PARTY MAKES THIS WAIVER VOLUNTARILY, AND (iv) EACH PARTY
HAS BEEN INDUCED TO ENTER INTO THIS AGREEMENT BY, AMONG OTHER THINGS, THE
MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 4.12.

     4.13. Counterparts. This Agreement may be executed simultaneously in counterparts,
both of which shall be deemed an original, but all counterparts so executed will constitute one and
the same agreement.

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

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          IN WITNESS WHEREOF, this Agreement has been duly executed on behalf of each of the parties
hereto as of the day and year first above written.

	 	 	 	 	 
	 	ALLIED WORLD ASSURANCE COMPANY HOLDINGS, LTD

 	 
	 	By:  	/s/ Scott A. Carmilani
 	 
	 	 	Name:  	Scott A. Carmilani 	 
	 	 	Title:  	President and Chief Executive Officer 	 
	 
	 	AMERICAN INTERNATIONAL GROUP, INC.

 	 
	 	By:  	/s/ Brian T. Schreiber
 	 
	 	 	Name:  	Brian T. Schreiber 	 
	 	 	Title:  	Senior Vice President

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