11-1924 appendix volume 01 for the defendant-appellant karron

8/2/2019 11-1924 Appendix Volume 01 for the Defendant-Appellant Karron

1/323

11-1

Case: 11-1924 Document: 86


2/323

KARRON APPE

PA

KA



3/323

Karron Appen

VOLUME 1

75K Amortization Schedule (with refe

15 278n. Advanced Technology Pro



4/323

GX110, OIG Auditor Spreadsheet by

(first year, 44 pages)

Browning Letter to CASI November 5

project funds

Excluded Parties List lookup



5/323

VOLUME 6

GX22 Amendment #2

15 CFR Subtitle A (1101 Edition)

DX FFF-1 (Year 1 Checks to Karron)

DX FFF-1 (Payroll Journal Entry for 7

DX P 6 (Y 1 P ll Ch k )



6/323

DECLARATION OF DUNLEVY, Co

DUNLEVY F G/L Balance Sheet

CASI ENTITIES G/L 10/1/01 -12/31/

DUNLEVY G G/L Income & Ex



7/323

KARRON EXHIBITS VOLUME 1 C

KARRON EXHIBITS VOLUME 2 C

EXHIBITS VOLUME 3 LAW, STAT

Its The LawVol 6, November 3, 1

Its The Law Vol 16, May 19, 2004



8/323

30 Day Float Rule ..........................The 75K Advance...........................

The Claim........................................



9/323

Analysis of SF272 Dated December 19, 2011 for November 2001

Values for Named Constants

GrossS

Month

Weekl

Hourly

WorkH

DailyH

StartD

Pro

gram Week

Hours

per

Time Wages

8

Monday, October 01, 2001

$ 253,913.00

21,159.42$

4,882.94$

122.07$

40



10/323



GrossS

Month

Weekl

Hourly

WorkH

DailyH

StartD

Pro

gram Week

Hours

per

Time Wages

8


$ 253,913.00

21,159.42$

4,882.94$

122.07$

40



11/323



GrossS

Month

Weekl

Hourly

WorkH

DailyH

StartD

Pro

gram Week

Hours

per

Time Wages

8


$ 253,913.00

21,159.42$

4,882.94$

122.07$

40



12/323

Karron Out of Pocket Spending by Week for First Qu

OOP - NIST ATP GRANT SPENDING on DBK accounts

10/1/2001 through 12/31/2001

Week Date

FROM TO

1 Monday, October 01, 2001 Saturda

2 Sunday, October 07, 2001 Saturda

3 Sunday, October 14, 2001 Saturda

KCase: 11-1924 Document: 86


13/323


14/323


15/323

TITLE 15CO278m

(ii) help businesses in their States take advan

of the services and information offered by the

gional Centers for the Transfer of Manufactu

Technology created under section 25 of the Ac

March 3, 1901 [15 U.S.C. 278k].

(B) Any State, for itself or for a consortium

States, may submit to the Secretary an applicationa cooperative agreement under this subsection, in

cordance with procedures established by the Secret

To qualify for a cooperative agreement under this

section, a State shall provide adequate assurances

it will increase its spending on technology exten

services by an amount at least equal to the amoun

Federal assistance.

(C) In evaluating each application, the Secre

shall consider

(i) the number and types of additional busine

that will be assisted under the cooperative ag



16/323

Page 547 TITLE 15CO

(3) involve the Federal laboratories in

Program, where appropriate, using am

other authorities the cooperative research

development agreements provided for un

section 3710a of this title; and(4) carry out, in a manner consistent w

the provisions of this section, such other co

erative research activities with joint ventu

as may be authorized by law or assigned to

Program by the Secretary.

(c) Authority of Secretary; selection critemonitoring use of technologies; overtransfer; annual report to Congress; finanreporting and auditing; routine consiation of Committee advice; disseminationresearch results



17/323

TITLE 15CO278n

(ii) the Secretary finds that the comp

is incorporated in the United States

has a parent company which is in

porated in a country which affords

United States-owned companies opport

ties, comparable to those afforded to

other company, to participate in any j

venture similar to those authorized un

this chapter; affords to United Sta

owned companies local investment op

tunities comparable to those afforded

any other company; and affords adequ

and effective protection for the intel

tual property rights of United Sta

owned companies.

(10) Grants contracts and cooperative



18/323

Page 549 TITLE 15CO

and may include the establishment and o

ation of facilities for the conducting of

search, the conducting of such venture o

protected and proprietary basis, and the p

ecuting of applications for patents and

granting of licenses for the results of s

venture; and

(2) the term United States-owned c

pany means a company that has majo

ownership or control by individuals who

citizens of the United States.

(Mar. 3, 1901, ch. 872, 28, as added Pub

100418, title V, 5131(a), Aug. 23, 1988, 102 S

1439; amended Pub. L. 102245, title II, 20

Feb. 14, 1992, 106 Stat. 16.)



19/323

TITLE 15CO278o

velopment, and application that are not other

being adequately developed by the private sector

are likely to yield important benefits to the Nati

COMPREHENSIVE REPORT ON ADVANCED TECHNOLO

PROGRAM

Section 201(f) of Pub. L. 102245 provided that:

Secretary shall, not later than 4 years after the da

enactment of this Act [Feb. 14, 1992], submit to

House of the Congress and the President a compre

sive report on the results of the Advanced Techno

Program established under section 28 of the Nati

Institute of Standards and Technology Act (15 U

278n), including any activities in the areas of high-r

lution information systems, advanced manufactu

technology, and advanced materials.

NATIONAL ACADEMIES OF SCIENCES AND ENGINEE

ST UD Y O F GOVERNMENT-INDUSTRY COOPERATION



20/323

Natl. Inst. of Stds. & Tech., Commer

292.5 Proposal selection process.

The proposal evaluation and se


K


21/323

295.2

order to ensure the fair treatmen

all proposals. While the Advan

Technology Program is authorized


K


22/323


practices it is not possible to spe

the types of costs which may be cla

fied as indirect costs in all situati


K


23/323

295.3

(m) The term person shall be dee

to include corporations and asso

tions existing under or authorized


K


24/323


295.7; or does not meet the cost-sh

ing requirement. NIST will also ex

ine proposals that have been submi


K


25/323

295.7

advancing the state of the art and c

tributing significantly to the U.S.

entific and technical knowledge b


K


26/323


subject inventions of members of

joint venture (if applicable) in wh

the funding Recipient is a particip


K


27/323

295.11

the Government Performance and

sults Act (GPRA) mandate for prog

evaluation The audit standards to


K


28/323


joint venture agreement has been

cuted by all of the joint venture m

bers and approved by NIST NIST


K


29/323

295.32

(c) Awards under this subpart m

not exceed $2,000,000, or be for m

than three years unless the Secret


K


30/323


K


31/323


K


32/323

BEGINNING OF EXCERPTS

1:54:00

A: Well, now youre all experts in ATP

We are going to conclude with a few


K


33/323

2:02:45

Q: I have two quick questions.

First question is that if youre a singl

budget is 2 million dollars for three y

up to 30 percent. So...


K


34/323

2:28:27

Q: My question has to do with how broa

works in medical informatics develop

strategies, and then we subcontract o

qualify for an ATP proposal?


K


35/323

some folks who can talk to you abou


KC 11 1924 D 86


36/323

2:37:33

Q: I have a two part question.

Part 1. If a small company is subcont

cost share other than indirect costs?


KC 11 1924 D t 86


37/323

2:42:26

Q: With a startup company, we are gene

going to happen in 96 hours in the fu

How detailed does the planning have

or is it A-B-C and then second point


KC 11 1924 D t 86


38/323

we've had a oral review for that parti

to see if the SEB would have -if the S

it been submitted that way.

Because we want to see that whateve

merit to the original proposal. So it

much of a change- but we can accom


KCase 11 1924 Doc ment 86


39/323

2:45:35

A: [STANLEY] I would take one more

this program and with my colleagues

We try not to be too bureaucratic.

We are very supportive of the compa


KCase: 11 1924 Document: 86


40/323

having it getting to the market here, b

increased US competitiveness and jo

you have to address in that proposal

questions before you submit the prop

have talked about today we welcome

here is we cant write the proposal fo




41/323

2:51:33

Q: Yes please. Our product consists of

One of them is the high risk - technic

some risk, but not the same degree. S

sufficient. I was wondering if, as par




42/323

2:58:30

Q: [Unidentified Questioner 3] Yes sir,

Would you clarify the use of fringe b

rate.

I dont have my DCAA disclosure in




43/323

2:59:30

Q: Ill try to ask yet again another new q

A: Go ahead.




44/323

qualified for this award. OK? But yo

qualifications. 'cause sometimes we

ATP award and for example a particu

always would bring a particular scien

and at one point we had to say 'OK, y

really be the PI on this project, or as




45/323

3:03:15

Q: This question [is] about the personne

startups spring out of university rese

hats as company personnel and at the

be frowned upon on by NIST?




46/323

information on that to make sure that

A: There are also codes of conduct stan

slides... 14 CFR..., 15 CFR Part 14; y




47/323

2:31:14

Q: I have two questions concerning bud

How much budget justification detai

we gonna get the money for indirect




48/323

13.10

13.10 Accommodation of intergovmental concerns.

( ) If t t id t




49/323

Office of the Secretary, Commerce

14.34 Equipment.

14.35 Supplies and other expendable p

erty.




50/323

14.2

(e) Assistant Secretary means the

Chief Financial Officer and Assist

Secretary for Administration who




51/323


patent applications and such prope

as loans, notes and other debt ins

ments lease agreements stock



52/323



53/323


part shall be superseded, except to

extent they are required by statute

authorized in accordance with the d

K



54/323

14.13

(c) For Federal programs covered

E.O. 12372, Intergovernmental Revof Federal Programs the applic

K



55/323


by statute, executive order, or reg

tion on an annual basis, if the rec

ents have ongoing and continuing r

K



56/323

14.22

to protect the Federal Governme

interest.

(e) Where bonds are required in

K



57/323


revolving fund, program income,

bates, refunds, contract settleme

audit recoveries and interest earned

K



58/323

14.23

14.23 Cost sharing or matching.

(a) All contributions, including c

K



59/323


(1) The value of donated land

buildings shall not exceed its fair m

ket value at the time of donation

K



60/323

14.25

(c) For nonconstruction awards,

cipients shall request prior appro

from the Grants Officer for one or m

K



61/323


other than those consistent with

original intent of the appropriation

(g) All other changes to nonconst

K



62/323

14.28

Principles for Non-Profit Organ

tions. The allowability of costs

curred by institutions of higher e

K



63/323


sales proceeds). When the recipien

authorized or required to sell the p

erty proper sales procedures shall

K



64/323

14.34

(e) When acquiring replacem

equipment, the recipient may use

equipment to be replaced as trade i

K



65/323


equipment and reimburse the DoC

amount computed by applying to

sales proceeds the percentage of F

K



66/323

14.37

they can be made available to the p

lic through the procedures establis

under the FOIA If the DoC obtains

K



67/323


out of procurements entered into

support of an award or other ag

ment This includes disputes clai



68/323

14.45

(b) Positive efforts shall be made

recipients to utilize small busines

minority owned firms and wom



69/323


(b) Justification for lack of comp

tion when competitive bids or of

are not obtained; and



70/323

14.50

REPORTS AND RECORDS

14.50 Purpose of reports and reco



71/323


for each project or program, con

ering the size and complexity of

particular project or program H



72/323

14.60

year period, the records shall be

tained until all litigation, claims

audit findings involving the reco


73/323



74/323

14.72

terms and conditions of the award o

agency implementing instructions.

(c) The Grants Officer shall autho



75/323


3. Davis-Bacon Act, as amended (40 U

276a to a7)When required by Federal

gram legislation, all construction contr



76/323


77/323



78/323



79/323



80/323



81/323



82/323



83/323



84/323



85/323



86/323



87/323



88/323



89/323



90/323



91/323



92/323



93/323



94/323



95/323



96/323



97/323



98/323



99/323

KCase: 11-1924 Document: 86 P


100/323



101/323



102/323



103/323


104/323



105/323



106/323



107/323



108/323



109/323



110/323



111/323



112/323



113/323



114/323



115/323


116/323



117/323



118/323



119/323



120/323



121/323



122/323


123/323



124/323


125/323



126/323



127/323



128/323



129/323



130/323



131/323



132/323



133/323



134/323



135/323



136/323



137/323



138/323



139/323



140/323



141/323



142/323



143/323



144/323


145/323



146/323



147/323



148/323



149/323


150/323



151/323



152/323



153/323



154/323



155/323



156/323



157/323



158/323



159/323



160/323



161/323



162/323



163/323



164/323



165/323



166/323



167/323



168/323



169/323



170/323



171/323

DEPARTMENFINANCIASTANDARD TERM



172/323

DEPARTME



173/323

FINANCIAL ASSISTANCE ST

PREFACE . . . . . . . . . . . . . . . . . . . . . . . . .

A. FINANCIAL REQUIREMENTS .



174/323

.01 Results of Name Check . . . .

.02 Action(s) Taken as a Result o

G. GOVERNMENTWIDE DEBARM

(NONPROCUREMENT) . . . . . . .

H. DRUG-FREE WORKPLACE . . .

P



175/323

The recipient and any subrecipients must, inapplication, comply and require each of its c

completion of the project to comply with all(EOs), Office of Management and Budget (Oapplications.

payment, the recipient shall s



176/323

and advances shall be approvover the next 30 days. WhenSF-3881, ACH Vendor Misto the Grants Officer.

c. Advances shall be limited todisbursement needs. Advancpromptly returned to DoC. I

transfer request. This is the date by the Grants Officer al



177/323

applies to the cumulative amjoint ventures, consortia, actiwithin an award. Transfers wFederal appropriation, or par

intended. This transfer authobudget categories within an a

provided prior approval.

3. If the recipient fails to su



178/323

oversight or cognizant Fthe Grants Officer may aindirect costs under the aagency determines there

the recipient's delay in suday due date may be app

4. Regardless of any appro

portions of FICA/FUTA taxes dei l di f d i d f



179/323

including refunds received after t

B. PROGRAMMATIC REQUIREMEN

.01 Performance (Technical) Repo

a. The recipient shall submit peoriginal and two copies) to th

.05 Non-Compliance With Award



180/323

Failure to comply with any or allimpact on future funding by DoCfollowing actions: establishmentunder any DoC awards to the recadvance to reimbursement only, suspension of any DoC active aw

c. Section 504 of the RehabilitaD C i l ti l ti



181/323

DoC implementing regulatiodiscrimination on the basis oor benefitting from Federal a

d. The Age Discrimination AcDoC implementing regulatiodiscrimination on the basis ofinancial assistance;

.01 Organization-Wide, Program-S



182/323

a. Organization-wide or prograwith the Single Audit Act AmCircular A-133, Audits of SOrganizations. Recipients tA-133 and that expend $300an audit conducted for that yOMB Circular A-133.

1. Unless the Inspector Genf th d t f th t



183/323

from the date of the transcomments and document

2. The recipient has 30 dayreport to submit written no extension of this dead

3. The DoC shall review th

.02 Late Payment Charges



184/323

a. An interest charge shall be aDebt Collection Act (31 U.Sinterest rate to be assessed isFunds Rate. This rate is pubthe Treasury. The assessed rindebtedness.

of and/or implementation of



185/323

c. Make appropriate provisionsand/or financial reporting req

G. GOVERNMENTWIDE DEBARME

The recipient shall comply with the proand DoC's implementing regulations pu

Pursuant to the certification in SFwritten standards of conduct to e



186/323

written standards of conduct to etheir positions for a purpose that organizational conflict of interesaward.

.02 Applicability of Award Provisi

The recipient shall require all subthe award to comply with the pro

a. The recipient shall include thor bids:



187/323

or bids:

Applicants/bidders for a services under the $100,lower tier recipient will hover the award) are subje"Governmentwide Debaaddition, applicants/bidd

U.S. Department of Minority Business D



188/323

Minority Business DHerbert C. Hoover B14th Street and ConWashington, D.C. 2

.06 Subaward and/or Contract to a

a. The recipient, subrecipient, c

d. Copeland Anti-Kickback Aprohibits a person or organiz



189/323

prohibits a person or organizenticing an employee workincompensation under an empl

.02 Foreign Travel

a. The recipient shall comply w40118). The implementing r

The rights to any invention maward are determined by the



190/323

award are determined by thecodified in 35 U.S.C. 200 especific rights and responsib401 and in particular, in the s

1. Ownership.

(a) Recipient. The reci

Counsel (HCHB Ro482-8097) and the a



191/323

482 8097) and the a

(b) Electing. Within twrecipient will notifywishes to own the in

(c) Filing. Within one invention, the recipi

The rights to any work produassistance award are determi



192/323

assistance award are determiworks may include data, dataproduced or purchased underDoCs right to obtain, reprodothers to receive, reproduce,

purposes.

d. Copyright.

d. DoC regulations, 15 CFR Papolicies and procedures for t



193/323

policies and procedures for tbecomes evident that humanrecipient shall submit appropfor approval by the appropria

1. Documentation establishboard (IRB) approved foHuman Services guidelin

subcontractors about entering intorganizations on the same or rela



194/323

organizations on the same or reladiscriminate against bidders, offerefusing to become or remain sigone or more labor organizations,

.09 Minority Serving Institutions (

Pursuant to EOs 12876, 12900, a



195/323



196/323



197/323



198/323



199/323



200/323



201/323



202/323



203/323



204/323



205/323



206/323



207/323



208/323



209/323



210/323



211/323



212/323



213/323



214/323



215/323



216/323



217/323



218/323



219/323



220/323



221/323



222/323



223/323



224/323



225/323



226/323



227/323



228/323



229/323



230/323



231/323



232/323



233/323



234/323



235/323



236/323



237/323



238/323



239/323



240/323



241/323



242/323



243/323



244/323



245/323



246/323



247/323



248/323



249/323



250/323



251/323



252/323



253/323



254/323



255/323



256/323



257/323



258/323



259/323



260/323



261/323



262/323



263/323



264/323



265/323


266/323



267/323



268/323



269/323



270/323



271/323



272/323



273/323



274/323



275/323



276/323



277/323



278/323



279/323



280/323



281/323



282/323



283/323



284/323



285/323



286/323



287/323



288/323



289/323



290/323



291/323



292/323



293/323



294/323



295/323



296/323



297/323



298/323



299/323



300/323

Search - Current Exclusions EPLS Search Results

6/28/2010 ExcludedKCase: 11-1924 Document: 86


301/323

>Advanced Search

>Multiple Names

>Exact Name and SSN/TIN

Search R

ExExact Nam



302/323


303/323



304/323



305/323



306/323



307/323



308/323



309/323



310/323



311/323



312/323



313/323



314/323



315/323



316/323



317/323



318/323



319/323



320/323



321/323

KA24 Document: 86 Pa


322/323



323/323

11-1924 appendix volume 01 for the defendant-appellant karron

Documents