EXHIBIT 10.2
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AWARD/CONTRACT 1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES
UNDER DPAS (15 CFR 350) 1 8
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2. CONTRACT (Proc. Inst. Ident.) NO. 3. EFFECTIVE DATE 4. REQUISITION/PURCHASE REQUEST/PROJECT NO.
DAAD19-01-C-0078 12 Sep 2001 P-42477-MS-000-01072-
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5. ISSUED BY CODE DAAD19 6. ADMINISTERED BY (If other than Item 5) CODE
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U.S. ARMY XXXXXX XXXXXX ACQUISITION SEE ITEM 5
X.X. XXX 00000
XXXXXXXX XXXXXXXX XXXX XX 00000-0000
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7. NAME AND ADDRESS OF CONTRACTOR (No., street, city, county, state and zip code) 8. DELIVERY
[ ] FOB ORIGIN [ X ] OTHER
LIQUIDMETAL TECHNOLOGIES INC. (see below)
00000 XXXXXXXXXXXX, # 000
XXXX XXXXXX XX 00000
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9. DISCOUNT FOR PROMPT PAYMENT
Net 30 Days
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10. SUBMIT INVOICES ITEM
(4 copies unless otherwise Block 6
specified)
TO THE ADDRESS
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CODE 0XNT1 FACILITY CODE SHOWN IN:
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11. SHIP TO/XXXX FOR CODE DAAD19 12. PAYMENT WILL BE MADE BY CODE HQ303
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U.S. ARMY RESEARCH OFFICE DEFENSE FINANCE AND ACCOUNTING SERVICE
RECEIVING ROCK ISLAND OPERATING LOCATION
X.X. XXX 00000 XXXX: DFAS-RI-FPV
XXXXXXXX XXXXXXXX XXXX XX 00000-0000 XXXXXXXX 00
XXXX XXXXXX XX 00000-0000
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15A. ITEM NO 15B. SUPPLIES/SERVICES 15C. QUANTITY 15D. UNIT 15E. UNIT PRICE 15F. AMOUNT
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SEE SCHEDULE
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15G. TOTAL AMOUNT OF CONTRACT $249,962.00
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16. TABLE OF CONTENTS
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(X) SEC. PAGE(S) (X) SEC. DESCRIPTION PAGE(S)
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PART I - THE SCHEDULE PART II - CONTRACT CLAUSES
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X A SOLICITATION/CONTRACT FORM 1-1 X I CONTRACT CLAUSES 6-8
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X B SUPPLIES OR SERVICES AND PRICES/COSTS 2 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER
ATTACHMENTS
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X C DESCRIPTION/SPECS/WORK STATEMENT 3 J LIST OF ATTACHMENTS
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X D PACKAGING AND MARKING 3 PART IV - REPRESENTATIONS AND INSTRUCTIONS
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X E INSPECTION AND ACCEPTANCE 3 REPRESENTATIONS, CERTIFICATIONS AND
K OTHER STATEMENTS OF OFFERORS
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X F DELIVERIES OR PERFORMANCE 3
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X G CONTRACT ADMINISTRATION DATA 4 L INSTRS., CONDS., AND NOTICES TO OFFERORS
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X H SPECIAL CONTRACT REQUIREMENTS 4-6 M EVALUATION FACTORS FOR AWARD
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CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
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17. [X] CONTRACTOR'S NEGOTIATED AGREEMENT Contractor is required 18. [ ] AWARD (Contractor is not required to sign this
to sign this document and return ___ copies to issuing office.) document.) Your offer on Solicitation Number
Contractor agrees to furnish and deliver all items or perform all _____________________________________________ including the
the services set forth or otherwise identified above and on any additions or charges made by you which additions or changes
continuation sheets for the consideration stated herein. The are set forth in full above, is hereby accepted as to the
rights and obligations of the parties to this contract shall be items listed above and on any continuation sheets. This
subject to and governed by the following documents: (a) this award consummates the contract which consists of the
award/contract, (b) the solicitation, if any, and (c) such following documents: (a) the Government's solicitation and
provisions, representations, certifications, and specifications, (b) this award/contract. No further contractual document is
are attached or incorporated by reference herein. your offer, and necessary.
(Attachments are listed herein.)
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19A. NAME AND TITLE OF SIGNER (Type or print) 20A. NAME AND TITLE OF CONTRACTING OFFICER
/s/ Xxxx Xxxxx, VP & General Counsel XXXXX X. XXXX/GRANTS/CONTRACTING OFFICER
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19B. NAME OF CONTRACTOR 19C. DATE SIGNED 20B. XXXXXX XXXXXX XX XXXXXXX 00X. DATE SIGNED
LIQUIDMETAL TECHNOLOGIES BY /s/ Xxxxx X. Xxxx 17-Sep-2001
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(Signature of Contracting Officer)
BY: /s/ Xxxx Xxxxx
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(Signature of person authorized to sign)
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DAAD19-01-C-0078
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SECTION B Supplies or Services and Prices
ITEM NO 0001 SUPPLIES/SERVICES UNIT
Dollars,
U.S.
CONTRACT AWARD
COST-Non-personal services and materials to perform research
as specified in the proposal (42477-MS) titled "Refractory
Amorphous Metals and Composites". The proposal is hereby
incorporated by reference into this contract and the
performance period is specified in Section F. Base period of
performance is seven months.
ESTIMATED COST $249,962.00
ACRN AA Funded Amount $249,962.00
ITEM NO 0002 SUPPLIES/SERVICES UNIT
Dollars,
U.S.
OPTION ONE
COST
ESTIMATED COST $177,977.00
ITEM NO 0003 SUPPLIES/SERVICES UNIT
Dollars,
U.S.
OPTION TWO
COST
ESTIMATED COST $821,974.00
ITEM NO 0004 SUPPLIES/SERVICES UNIT
Dollars,
U.S.
OPTION THREE
COST
ESTIMATED COST $749,931.00
B.1 The type of contract is Cost No Fee.
B.2 The estimated cost for performance of this contract is as follows:
Estimated Cost $249,962
Fee -0-
Total Cost and Fee $249,962
The final price of this contract shall be the total of all
costs determined reimbursable in accordance with the general
provision of the contact entitled "Allowable Cost and Payment"
but not exceeding the estimated cost plus the fixed fee, if
any, both of which are specified above.
DAAD19-01-C-0078
Page 3 of 8
SECTION C Descriptions and Specifications
C.1 The research to be performed under this contact will be in
accordance with details in the contractor s proposal and
modifications thereto, if any, described below. (A copy of the
proposal is on file at the Army Research Office.)
Proposal Title: REFRACTORY AMORPHOUS METALS AND COMPOSITES
Proposal No: 42477-MS
Proposal/Modification Date(s): 26 October 2000 cost proposals
revised 19 March 2001, 30 August
2001 and 5 September 2001
Principal Investigator: Xx. Xxxxxx Xxxxx
C.2 The report called for under this contract shall be prepared in
accordance with ARO Form 18, U.S. Army Research Office
Reporting Instructions, located at:
xxx.xxx.xxxx.xxx/xxxxx/xxxxx0.xxx#xx00. The ARO technical
representative requires a brief monthly report on the status
of the project. Email is acceptable for these reports and
encouraged. The email address is xxxxxxx@xxx.xxx.xxxx.xxx.
Other reports including the final will follow normal ARO
requirements.
SECTION D Packaging and Marking
D.1 Reports delivered under this contract shall be afforded the
degree of packaging (preservation and packing) required to
prevent damages due to the hazards of shipment and handing.
SECTION E Inspection and Acceptance
E.1 The contractor will submit all scientific reports to the
office specified in ARO Form 18 located at
xxx.xxx.xxxx.xxx/xxxxx/xxxxx0.xxx#xx00 for inspection and
acceptance. This contract takes precedence for email address
identified in ARO Form 18.
SECTION F Deliveries or Performance
F.1 Research called for by this contract shall be performed during
the period 12 September 2001 - 11 April 2002. This contract
also contains three option periods: The first option period is
for 5 months, 12 April 2002 - 11 September 2002, and two
options for one year periods of 12 September 2002 - 11
September 2003 and 12 September 2003 - 11 September 2004
which the Government may unilaterally exercise (refer to FAR
52.217-8, Section 1).
F.2 Reports called for by this contract shall be submitted
electronically in PDF format when possible. You may download
the electronic form SF298 and SF298 continuation sheet from
the ARO's home page at xxx.xxx.xxxx.xxx/xxxxx/xxxxx0.xxx#xx00.
The forms were created in MS Word and MS Word 97. Refer to ARO
Form 18 for specific reporting requirements for each type of
report. If you are not able to submit reports electronically,
you should submit as indicated in ARO Form 18. The use of
color in reports is discouraged for both electronic documents
and hard copy documents.
SECTION G Contract Administration Data
G.1 Delegation of Administrative Functions:
a. The Army Research Office (ARO) retains all contact
administration functions.
b. A pre-payment audit is required on the first invoice
and/or voucher to test the validation of the accounting system
and to assure that the system has been properly implemented.
DAAD19-01-C-0078
Page 4 of 8
c. All vouchers, both interim and final, shall be
submitted for approval to the following office:
Defense Contract Audit Agency
Santa Xxx Xxxxxx Xxxxxx
0 Xxxxxx Xxxxxx Xxxxx, Xxxxx 000
Xxxxx Xxx, Xxxxxxxxxx 00000-0000
Phone Number:(000) 000-0000
FAX (000) 000-0000
E-mail Address xxxx-xxx0x0x@xxxx.xxx
G.2 Payment Information and Inquiries: The Contractor should
contact the DFAS Office indicated in Block 12 of the SF 26 for
information or inquiries regarding payments on this contract.
Telephonic inquires may be made on 0-000-000-0000 or
electronic inquiries on
xxxx://xxx.xxxx.xxxx/xxxxx/xxxxxx/xxxxx.xxx. In the event DFAS
cannot answer the Contractor's inquiry, the Contracting
Officer may be contacted for assistance.
G.3 Contracting Officer's Representative (COR)
Xx. Xxxxxxx Xxxxxxx
135 Army Research Office
0000 Xxxxx Xxxxx Xxxxxxxxx
P. O. Xxx 00000
Xxxxxxxx Xxxxxxxx Xxxx, XX 00000-0000
Voice: (000) 000-0000
FAX: (000) 000-0000
Email: xxxxxxx@xxx.xxx.xxxx.xxx
G.4 Invoicing. The government shall make payments to the
Contractor when requested as work progresses, but not more
often that once every 2 weeks, in the amounts determined to be
allowable by DCAA in accordance with SubPart 31.2 of the
Federal Acquisition Regulation in effect on the date of this
contract and terms of the contract.
G.5 ACCOUNTING AND APPROPRIATION DATA
AA:971040013011RPAROD1Y10L314000255Y1XYR011AR42477MS00001XYR01S18129
AMOUNT: $249,962.00
SECTION H Special Contract Requirements
H.1 Acknowledgment of Sponsorship
a. The contractor agrees that in the release of information
relating to this contract, such release shall include a
statement to the effect that the project or effort depicted
was or is sponsored by the U.S. Army Research Office, and that
the content of the information does not necessarily reflect
the position or the policy of the Government, and no official
endorsement should be inferred.
b. For the purpose of this provision, "information" includes
news releases, articles, manuscripts, brochures,
advertisements, still and motion pictures, speeches, trade
association proceedings, symposia, etc.
c. The contractor further agrees to include this provision if
any subcontract awarded as a result of this contract.
DAAD19-01-C-0078
Page 5 of 8
H.2 Publications
Publication of results of the research project in appropriate
professional journals is encouraged as an important method of
recording and reporting scientific information. One copy of
each paper planned for publication will be submitted to the
Contracting Officer's Representative simultaneously with its
submission for publication. Following publication, copies of
published papers shall be submitted to the Contacting
Officer's representative, or to the other addresses in
quantities publication. Following publication, copies of
published papers shall be submitted to the Contracting
Officer's Representative, or to the other addressees in
quantities as may be directed by the Contracting Officer.
H.3 The contractor is to note acknowledgements in publications or
other media that support is from DARPA as well as
technical/contact support from ARO.
H.4 Research Responsibility
a. The contractor shall bear responsibility for the conduct of
the research specified in the contractor's proposal identified
in the contract. The contractor will exercise judgment in
obtaining the stated research objectives within the limits of
the terms and conditions of the contract; provided, however,
that the contractor will obtain the contracting officer's
approval to change the Statement of Work. Consistent with the
foregoing the contractor shall conduct the work as set forth
in his proposal and accepted by the contract award.
b. The principal investigator identified in the proposal shall
be continuously responsible for the conduct of the research
project, and shall be closely involved with the research
efforts.
c. The contractor shall advise the contacting officer if the
principal investigator(s) identified in the contract plan to
devote less effort to the work than set forth in the proposal.
d. The contractor shall obtain the contacting officer's
approval prior to changing the principal investigator's
identified in the proposal.
H.5 Restriction on Printing
The Government authorizes the reproduction of reports, data or
other written material, if required, provided the material
produced does not exceed 5,000 production units of any page,
and items consisting of multiple pages do not exceed 25,000
production units in the aggregate. The contractor shall obtain
the express prior written authorization of the contracting
officer to reproduce material in excess of the quantities
cited above.
H.6 Approved Accounting System
The contractor shall, as a condition of this contract,
establish and have in place an approved accounting system
prior to the end this seven months performance period. As a
minimum, the system shall be considered adequate for
determining, allocating and accumulating costs applicable to
this cost reimbursement contract.
DAAD19-01-C-0078
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PART II GENERAL PROVISIONS
SECTION I - Contract Clauses
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES
FAR 52.252-2 Clauses Incorporated by Reference (FEB 1998)
This contract incorporates one or more clauses by reference, with the same force
and effect as if they were given in full text. Upon request. the Contracting
Officer will make their full text available. Also, the full text of a clause may
be accessed electronically at this address:
xxxx://xxxxxxx.xxxx.xx.xxx/xxxxx0.xxx. The DFARS is available electronically via
the World Wide Web at xxxx://xxx.xxx.xxx.xxx/xx/xxxxx.xxx0.
CLAUSES INCORPORATED BY REFERENCE:
52.203-3 Gratuities APR 1984
52.203-5 Covenant Against Contingent Fees APR 1984
52.203-6 Restrictions On Subcontractor Sales To The Government JUL 1995
52.203-7 Anti-Kickback Procedures JUL 1995
52.203-8 Cancellation, Rescission, and Recovery of Funds for Illegal or JAN 1997
Improper Activity
52.203-10 Price Or Fee Adjustment For Illegal Or Improper Activity JAN 1997
52.230-12 Limitation On Payments To Influence Certain Federal Transactions JUN 1997
52.204-4 Printing/Copying Double-Sided on Recycled Paper JUN 1996
52.209-6 Protecting the Government's Interest When Subcontracting With JUL 1995
Contractors Debarred, Suspended, or Proposed for Debarment
52.215-8 Order of Precedence--Uniform Contract Format OCT 1997
52.215-10 Price Reduction for Defective Cost or Pricing Data OCT 1997
52.215-12 Subcontractor Cost or Pricing Data OCT 1997
52.215-14 Integrity of Unit Prices OCT 1997
52.215-15 Pension Adjustments and Asset Reversions DEC 1998
52.215-17 Waiver of Facilities Capital Cost of Money OCT 1997
52.215-18 Reversion or Adjustment of Plans for Postretirement Benefits (PRB) OCT 1997
Other than Pensions
52.215-19 Notification of Ownership Changes OCT 1997
52.215-21 Requirements for Cost or Pricing Data or Information Other Than OCT 1997
Cost or Pricing Data--Modifications
52.216-7 Allowable Cost And Payment MAR 2000
52.216-11 Cost Contract-No Fee APR 1984
52.217-8 Option to Extend Services NOV 1999
52-217-9 Option to Extend the Term of the Contract NOV 1999
52.219-8 Utilization of small Business Concerns OCT 1999
52.222-2 Payment for Overtime Premiums (Insert "0") JULY 1999
52.222-3 Convict Labor AUG 1996
52.222-21 Prohibition Of Segregated Facilities FEB 1999
52.222-26 Equal Opportunity FEB 1999
52.222-29 Notification Of Visa Denial FEB 1999
52.222-35 Affirmative Action For Disabled Veterans And Veterans of the JUN 0000
Xxxxxxx Era
52.222-36 Affirmative Action For Workers With Disabilities JUN 1998
52.222-37 Employment Reports On Disabled Veterans And Veterans Of The JAN 1999
Vietnam Era
52.223-3 Hazardous Material Identification and Material Safety Data JAN 1997
52.223-6 Drug Free Workplace JAN 1997
52.223-14 Toxic Chemical Release Reporting OCT 2000
52.227-1 Alt I Authorization And Consent (Jul 1995) - Alternate I APR 1984
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52.227-2 Notice And Assistance Regarding Patent And Copyright Infringement AUG 1996
52.227-11 Patent Rights-Retention by the Contractor (Short Form) JUN 1997
52.228-7 Insurance--Liability To Third Persons MAR 1996
52.232-9 Limitation On Withholding Of Payments APR 1984
52.232-20 Limitation Of Cost APR 1984
52.232-23 Assignment Of Claims JAN 1986
52.232-25 Prompt Payment JUN 1997
52.232-33 Payment by Electronic Funds Transfer--Central Contractor MAY 1999
Registration
52.233-1 Disputes DEC 1998
52.233-3 I Protest After Award (AUG 1996) Alternate I JUN 1985
52.242-1 Notice of Intent to Disallow Costs APR 1984
52.242-3 Penalties for Unallowable Costs OCT 1995
52.242-13 Bankruptcy JUL 1995
52.243-2 Alt V Changes--Cost-Reimbursement (Aug 1987) - Alternate V APR 1984
52.244-2 Alt I Subcontracts (Aug 1998) - Alternate I AUG 1998
52.244-5 Competition In Subcontracting DEC 1996
52.244-6 Subcontractors for Commercial Items MAY 2001
52.245-5 Government Property (Cost-Reimbursement Time-And-Materials, Or JAN 1986
Labor Hour Contracts)
52.246-8 Inspection Of Research And Development Cost Reimbursement APR 1984
52.246-25 Limitation Of Liability--Services FEB 1997
52.247-1 Commercial Xxxx Of Lading Notations APR 1984
52.247-63 Preference for U.S. Flag Air Carriers JAN 1997
52.249-6 Termination (Cost Reimbursement) SEP 1996
252.201-7000 Contracting Officer's Representative MAR 1999
252.203-7001 Prohibition On Persons Convicted of Fraud or Other MAR 1999
Defense-Contract-Related Felonies
252.204-7000 Disclosure of Information DEC 1991
252.204-7003 Control of Government Personnel Work Product APR 1992
252.204-7004 Required Central Contractor Registration MAR 2000
252.205-7000 Provisions of Information to Cooperative Agreement Holders DEC 1991
252.209-7000 Acquisition From Subcontractors Subject To On-Site Inspection NOV 1995
Under The Intermediate Range Nuclear Forces (INF) Treaty
252.209-7003 Compliance with Veterans' Employment Reporting Requirements MAR 1998
252.209-7004 Subcontracting With Firms That Are Owned or Controlled By The MAR 1998
Government of a Terrorist Country
252.215-7000 Pricing Adjustments DEC 1991
252.215-7002 Cost Estimating System Requirements OCT 1998
252.219-7003 Small, Small Disadvantage Business an Women-Owned Small Business APR 1996
Subcontracting Plan (DoD Contracts)
252.225-7001 Buy American Act And Balance Of Payments Program MAR 1998
252.225-7009 Duty-Free Entry--Qualifying Country Supplies (End Products and MAR 1998
Components)
252.225-7012 Preference for Certain Domestic Commodities AUG 2000
252.225-7026 Reporting of Contract Performance Outside the United States JUN 2000
252.225-7031 Secondary Arab Boycott Of Israel JUN 1992
252.227-7013 Rights in Technical Data--Noncommercial Items NOV 1995
252.227-7016 Rights in Bid or Proposal Information JUN 1995
252.227-7030 Technical Data--Withholding Of Payment MAR 2000
252.227-7034 Patents--Subcontracts APR 1984
252.227-7036 Declaration of Technical Data Conformity JAN 1997
252.227-7037 Validation of Restrictive Markings on Technical Data SEP 1999
252.227-7039 Patents-- Reporting Of Subject Inventions APR 1990
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252.231-7000 Supplemental Cost Principles DEC 1991
252.235-7004 Options to Extend the Term of the Contract DEC 1991
252.235-7010 Acknowledgment of Support and Disclaimer MAY 1995
252.242-7004 Material Management And Accounting System SEP 1996
252.243-7002 Requests for Equitable Adjustment MAR 1998
252.245-7001 Reports Of Government Property MAY 1994
252.247-7023 Transportation of Supplies by Sea MAR 2000
252.242-7000 Postaward Conference DEC 1991
**** A FINAL PATENT REPORT (DD FORM 882) IS REQUIRED TO BE SUBMITTED WITHIN
SIXTY (60) DAYS AFTER COMPLETION OF THE CONTRACT.****
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