Document:

Document

Exhibit 10.1

Plan Document and
Summary Plan Description of the
Amended and Restated Contura Energy, Inc.
Key Employee Separation Plan

Effective July 26, 2016 Amended and Restated as of August 19, 2020

Contura Energy, Inc.
AMENDED AND RESTATED KEY EMPLOYEE SEPARATION PLAN

ARTICLE 1. INTRODUCTION
1.1     Purpose. The purpose of this Amended and Restated Contura Energy, Inc. Key Employee Separation Plan is to assist the Company to retain the services of key employees by providing eligible employees of the Company and its Affiliates with certain severance and welfare benefits in the event their employment is involuntarily terminated (or constructively terminated).

1.2     Term of the Plan. The Plan was initially effective as of the Effective Date, and is amended and restated in this form as of August 19, 2020 (the “Restatement Date”), but subject to amendment from time to time in accordance with Article 7. The Plan shall continue until terminated pursuant to Article 7 hereof.

ARTICLE 2. DEFINITIONS

Except as may otherwise be specified or as the context may otherwise require, the following terms shall have the respective meanings set forth below whenever used herein:

(a)    "Affiliate" shall mean, with respect to any entity, its parent entities and Subsidiaries and, with respect to the Company, its divisions.

(b)    "Base Pay" shall mean a Participant's annual base salary rate, exclusive of bonuses, commissions and other incentive pay, as in effect immediately preceding the Participant's Date of Termination.

(c)    "Benefit Factor" shall mean the multiple (either 2.0, 1.5, or 1.0) which has been assigned to each Participant for purposes of determining the Participant's benefit under Section 4.2(a)(ii) or Section 4.3(a)(ii), as the case may be, and which Benefit Factor may be different for each of Section 4.2(a)(ii) and Section 4.3(a)(ii).

(d)    "Benefit Plans" shall mean the insurance and health and welfare benefits plans and policies of the Company or an Affiliate to which a Participant is entitled to participate.

(e)    "Board" shall mean the Board of Directors of Contura.

(f)    "Cause" shall mean, with respect to a Participant, the Participant’s:

(i)    gross negligence or willful misconduct in the performance of the duties and services required of the Participant;

(ii)    final conviction of, or plea of guilty or nolo contendere to, a felony or the Participant engaging in fraudulent or criminal activity relating to the scope of the Participant's employment (whether or not prosecuted);

(iii)    material violation of Contura's Code of Business Ethics;

(iv)    continuing or repeated failure to perform the Participant’s duties as requested in writing by the Participant's supervisor(s) or the Board after the Participant has been afforded a reasonable opportunity (not to exceed 30 days) to cure such breach;

(v)    commission of a felony or crime involving moral turpitude; or

(vi)    conduct which brings the Company and/or its Affiliates into public disgrace or disrepute in any material respect.

Determination as to whether or not Cause exists for termination of a Participant's employment will be made by the Committee.

(g)    "Change in Control" shall mean the first to occur, after the Effective Date, of any of the following:

(i)    any Person, other than (A) any employee plan established by Contura or any Subsidiary, (B) Contura or any of its Affiliates, (C) an underwriter temporarily holding securities pursuant to an offering of such securities, or (D) a corporation owned, directly or indirectly, by stockholders of Contura in substantially the same proportions as their ownership of Contura, is (or becomes, during any 12-month period) the beneficial owner, directly or indirectly, of securities of Contura (not including in the securities beneficially owned by such Person any securities acquired directly from Contura or its Affiliates other than in connection with the acquisition by Contura or its Affiliates of a business) representing 50% or more of the total voting power of the stock of Contura; provided that the provisions of this subsection (i) are not intended to apply to or include as a Change in Control any transaction that is specifically excepted from the definition of Change in Control under subsection (iii) below;

(ii)    a change in the composition of the Board such that, during any 12- month period, the individuals who constitute the Board as of the Restatement Date (the “Existing Board”) cease for any reason to constitute at least 50% of the Board; provided, however, that any individual becoming a member of the Board subsequent to the Restatement Date whose election, or nomination for election by Contura’s stockholders, was approved by a vote of at least a majority of the members of the Board immediately prior to the date of such appointment or election shall be considered as though such individual were a member of the Existing Board; provided further, that, notwithstanding the foregoing, no individual whose initial assumption of office occurs as a result of an election contest (as such terms are used in Rule 14a-11 or Regulation 14A promulgated under the Securities Exchange Act or successor statutes or rules containing analogous concepts) or other solicitation of proxies or consents by or on behalf of an 

individual, corporation, partnership, group, associate or other entity or Person other than the Board, shall in any event be considered to be a member of the Existing Board;

(iii)    the consummation of a merger or consolidation of Contura with any other corporation or other entity, or the issuance of voting securities in connection with a merger or consolidation of Contura pursuant to applicable stock exchange requirements; provided that immediately following such merger or consolidation the voting securities of Contura outstanding immediately prior thereto do not continue to represent (either by remaining outstanding or by being converted into voting securities of the surviving entity of such merger or consolidation or parent entity thereof) 50% or more of the total voting power of Contura’s stock (or, if Contura is not the surviving entity of such merger or consolidation, 50% or more of the total voting power of the stock of such surviving entity or parent entity thereof); and provided, further, that a merger or consolidation effected to implement a recapitalization of Contura (or similar transaction) in which no Person is or becomes the beneficial owner, directly or indirectly, of securities of Contura (not including in the securities beneficially owned by such Person any securities acquired directly from Contura or its Affiliates other than in connection with the acquisition by Contura or its Affiliates of a business) representing 50% or more of either the then-outstanding Common Shares or the combined voting power of Contura’s then-outstanding voting securities shall not be considered a Change in Control; or

(iv)    the sale or disposition by Contura of Contura’s assets in which any Person acquires (or has acquired during the 12-month period ending on the date of the most recent acquisition by such Person) assets from Contura that have a total gross fair market value equal to more than 50% of the total gross fair market value of all of the assets of Contura immediately prior to such acquisition or acquisitions.

Notwithstanding the foregoing, (A) no Change in Control shall be deemed to have occurred if there is consummated any transaction or series of integrated transactions immediately following which the record holders of Stock immediately prior to such transaction or series of transactions continue to have substantially the same proportionate ownership in an entity which owns substantially all of the assets of Contura immediately prior to such transaction or series of transactions, (B) for purposes of any compensation that constitutes “nonqualified deferred compensation” pursuant to Section 409A, no event or circumstances described in any of clauses (i) through (iv) above shall constitute a Change in Control unless such event or circumstances also constitute a change in the ownership or effective control of Contura, or in the ownership of a substantial portion of Contura’s assets, in each case, as defined in Section 409A. Terms used in the definition of a Change in Control shall be as defined or interpreted in a manner consistent with Section 409A.

(h)    "COBRA" means the Consolidated Omnibus Budget Reconciliation Act of 1985, as amended.

(i)    "COBRA Continuation Period" shall mean the period that a Participant is eligible to continue to elect to receive medical and dental insurance as required under COBRA under the terms of a Benefit Plan.

(j)    "Code" shall mean the Internal Revenue Code of 1986, as amended.

(k)    "Committee" shall mean the Compensation Committee of the Board.

(l)    "Company" shall mean Contura Energy Services, LLC, a Delaware limited liability company, and its Affiliates as may employ a Participant from time to time; provided that a Subsidiary which ceases to be, directly or indirectly, through one or more intermediaries, controlling, controlled by or under common control with Contura prior to a Change in Control (other than in connection with and as an integral part of a series of
transactions resulting in a Change in Control) shall, automatically and without any further action, cease to be (or be a part of) the Company and its Affiliates for purposes hereof.

(m)    "Contura" shall mean Contura Energy, Inc., a Delaware corporation.

(n)    “Coverage Period” shall have the meaning provided in Section 4.2(iv).

(o)    "Covered Change in Control Termination" shall mean, with respect to a Participant, if, during the 90-day period immediately preceding a Change in Control, or on or within the one-year period immediately following a Change in Control, the occurrence of an Involuntary Termination Associated with a Change in Control.

(p)    "Covered Termination Prior to Change in Control" shall mean, at any time prior to the 90-day period immediately preceding a Change in Control, a Participant's involuntary Separation from Service with the Company by the Company and any Affiliate for any reason other than (i) Cause, (ii) the Participant's death, or (iii) the Participant's Disability.

(q)    "Date of Termination" shall mean, with respect to a Participant, the date on which a Covered Change in Control Termination or Covered Termination Prior to Change in Control occurs, as the case may be.

(r)    "Disability" shall mean that a Participant is unable to engage in any substantial gainful activity by reason of any medically determinable physical or mental impairment that can be expected to result in death or can be expected to last for a continued period of not less than 12 months.

(s)    "Effective Date" shall mean July 26, 2016.

(t)    "Good Reason" shall mean, with respect to a Participant, the Participant's Separation from Service by the Participant as a result of the occurrence, without the Participant's written consent, of one of the following events:

(i)    A material reduction in the Participant's (A) annual Base Pay or (B) Target Bonus opportunity (unless such reduction in (A) and/or (B) relates to an across-the-board reduction similarly affecting the Participant and all or substantially all other executives of the Company and its Affiliates);

(ii)    A failure to provide the Participant with the opportunity to materially participate in any material long-term incentive plans of the Company and its Affiliates on a similar basis to those of other similarly situated executives of the Company and its Affiliates, provided however, that:

1)    the chief executive officer of the Company shall not be regarded as similarly situated to any other executive of the Company and its Affiliates,
2)    a Participant who is an executive officer of the Company (other than the chief executive officer) shall not be regarded as similarly situated
to any executive of the Company and its Affiliates who is not an executive officer of the Company, and
3)    a Participant who is party to an executory employment agreement with the Company or one of its Affiliates that defines the terms of Participant’s participation in long-term incentive plans of the Company shall not be regarded as similarly situated to any executive of the Company and its Affiliates who is not party to an executory employment agreement with the Company or any of its Affiliates containing similar terms regarding the Participant’s participation in long-term incentive plans of the Company;

(iii)    The Company makes or causes to be made a material adverse change in the Participant's scope of duties or responsibilities which results in a significant diminution in the Participant's scope of duties or responsibilities, except in connection with a termination of the Participant's employment with the Company for Disability, Cause, death, or temporarily as a result of the Participant's incapacity or other absence for an extended period; or

(iv)    A relocation of the Company's principal place of business, or of the Participant's own office as assigned to the Participant by the Company to a location that increases the Participant's normal work commute by more than 50 miles.

In order for the Participant to terminate for Good Reason, (A) the Company must be notified by the Participant in writing within 90 days of the event constituting Good Reason, (B) the event must remain uncorrected by the Company for 30 days following such notice (the "Notice Period"), and (C) such termination must occur within 60 days after the expiration of the Notice Period.

(u)    "Involuntary Termination Associated With a Change in Control" means a Participant's Separation from Service related to a Change in Control: (i) by the Company or any of its Affiliates for any reason other than (A) Cause, (B) the Participant's death, or (C) the Participant's Disability; or (ii) on account of a Good Reason termination of employment by a Participant.

(v)    "Notice of Termination" shall mean a notice given by the Company or a Participant, as applicable, which shall indicate the specific termination provision in the Plan 

relied upon and shall set forth in reasonable detail the facts and circumstances claimed to provide a basis for termination of the Participant's employment under the provisions so indicated.
(w)    "Participant" shall have the meaning ascribed by Article 3.
(x)    “Person” means any individual, firm, corporation, partnership, limited liability company, trust, incorporated or unincorporated association, joint venture, joint stock company, governmental body or other entity of any kind.
(y)    "Plan" shall mean this Amended and Restated Contura Energy, Inc. Key Employee Separation Plan, as it may be amended from time to time in accordance with Article 7.

(z)    "Plan Administrator" shall have the meaning ascribed by Article 12.
(aa)    "Release" shall have the meaning ascribed by Section 4.5.
(bb)    “Section 409A” shall mean Section 409A of the Code and the regulations thereunder.

(cc)    "Securities Exchange Act" shall mean the Securities Exchange Act of 1934, as amended.

(dd)    "Separation from Service” shall mean a Participant's termination of employment with the Company or an Affiliate of the Company and all of its controlled group members within the meaning of Section 409A. The determination of controlled group members shall be made pursuant to the provisions of Section 414(b) and 414(c) of the Code; provided that the language "at least 50 percent" shall be used instead of "at least 80 percent" in each place it appears in Sections 1563(a)(1), (2) and (3) of the Code and Treas. Reg. Sec. 1.414(c)-2; provided, further, where legitimate business reasons exist (within the meaning of Treas. Reg. ec. 1.409A-1(h)(3)), the language "at least 20 percent" shall be used instead of "at least 80 percent" in each place it appears. Whether a Participant has Separated from Service will be determined based on all of the facts and circumstances and in accordance with the guidance issued under Section 409A. A Participant will be presumed to have experienced a Separation from Service when the level of bona fide services performed permanently decreases to a level less than twenty percent (20%) of the average level of bona fide services performed during the immediately preceding thirty-six (36)-month period or such other period as provided by regulation.

(ee)    "Service Period" shall mean the number of months of additional service credit (24, 18 or 12) which has been assigned to a Participant for purposes of determining the Participant's benefit under Section 4.2(a)(v) or Section 4.3(a)(v), as the case may be, and which Service Period may be different for each of Section 4.2(a)(v) and Section 4.3(a)(v).
(ff)    “Severance Benefits” shall have the meaning provided in Section 4.5.

(gg)    "Six Month Payment Date" means the six (6) month anniversary of a Participant’s Date of Termination.

(hh)    "Stock" shall mean the common stock, par value $.01 per share, of
Contura.

(ii)    "Subsidiary" shall mean an entity of which Contura directly or
indirectly holds at least a majority of the value of the outstanding equity interests of such entity or a majority of the voting power with respect to the voting securities of such entity.

(jj)    "Target Bonus” shall mean 100% of a Participant’s annual bonus which is established by the Committee or the Board, as applicable.

ARTICLE 3. PARTICIPATION
3.1    Employees of the Company or any of its Affiliates who are determined by the Committee, as provided in Article 5, to be responsible for the continued growth, development and future financial success of the Company shall be eligible to participate in the Plan. Any such employee selected to participate in the Plan shall be referred to herein as a "Participant". Participants shall be selected, and their respective Benefit Factors and Service Periods assigned and approved, by the Committee in its sole and absolute discretion.
3.2    Notwithstanding the foregoing and subject to Section 7.2, the Committee may terminate a Participant's participation in the Plan at any time, in its sole and absolute discretion. Subject to Section 7.2, the termination of a Participant's employment with the Company and any Affiliate, except under the circumstances described in Section 4.2 and Section 4.3, shall automatically, with no further act on the part of the Company or any of its Affiliates, terminate any right of such Participant to participate, or receive any benefits under, the Plan.

ARTICLE 4. BENEFITS

4.1     Change in Control Bonus Payment. During a Participant's employment with the Company or any of its Affiliates, in the event of a Change in Control, the Participant shall be entitled to receive a lump sum cash payment equal to the Participant’s Target Bonus for the year in which the Change in Control occurs, prorated to reflect the portion of such year that the Participant was employed by the Company or any of its Affiliates prior to the effective date of the Change in Control. Such payment, if any, shall be made contemporaneous with the Change in Control, or as soon as administratively practicable thereafter (but in no event later than 60 days following the effective date of the Change in Control).

4.2    If a Covered Change in Control Termination occurs with respect to a Participant, then such Participant shall be entitled hereunder to the following:

(a)     Compensation and Benefits Upon Covered Change in Control
 Termination. Subject to the Participant's execution and non-revocation of the Release as provided in Section 4.5, in the event of a Covered Change in Control Termination, the Company shall pay and provide to the Participant:

(i)    (A) any Base Pay earned, accrued or owing to him or her through the Date of Termination, payable in accordance with the Company’s normal payroll practices, (B) any individual bonuses or individual incentive compensation not yet paid, but due and payable under the Company's and/or its Affiliates' applicable bonus and incentive plans for years prior to the year of the Participant's termination of employment, paid when otherwise payable in accordance with the applicable plan or arrangement terms, (C) reimbursement for all reasonable and customary expenses incurred by the Participant in performing services for the Company prior to the Date of Termination, payable in accordance with the Company’s applicable reimbursement practices, and (D) payment equal to the amount of the Participant’s accrued, but unused, vacation time through the Date of Termination, payable in accordance with the Company’s normal payroll practices.

(ii)    A lump sum cash payment equal to the applicable Benefit Factor multiplied by the sum of: (A) the Participant's Base Pay in effect as of the Date of Termination;
and (B) the Participant's Target Bonus for the year in which the Date of Termination occurs.

(iii)    A lump sum cash payment equal to the Participant’s Target Bonus for the year in which the Participant’s Date of Termination occurred, prorated to reflect the portion of such year that the Participant was employed by the Company and any of its Affiliates.

(iv)    To the extent permitted by applicable law and the Benefit Plans, the Company shall maintain (x) subject to the Participant’s election of COBRA, the Participant's paid coverage for health and dental insurance (through the payment of the Participant's COBRA premiums) and (y) life insurance benefits (through the reimbursement of the Participant's premiums upon conversion to an individual policy), until the earlier to occur of: (a) the Participant obtaining the age of 65, (b) the date the Participant is provided by another employer benefits substantially comparable to such benefits provided by the Benefit Plans (which the Participant must provide prompt notice with respect thereto to the Company), or (c) the expiration of the COBRA Continuation Period (the applicable period of coverage described in the foregoing, the “Coverage Period”). During the Coverage Period, the Participant shall be entitled to benefits, on substantially the same basis as would have otherwise been provided had the Participant not been terminated and the Company will have no obligation to pay any benefits to, or premiums on behalf of, the Participant after such period ends. To the extent that such benefits are available under the Benefit Plans and the Participant had such coverage immediately prior to termination of employment, such continuation of benefits for the Participant shall also cover the Participant's dependents for so long as the Participant is receiving such benefits under this Section 4.2(a)(iv). The Coverage Period for medical and dental insurance under this Section 4.2(a)(iv) shall be deemed to run concurrent with the COBRA Continuation Period (generally 18 months), or any longer legally mandated and applicable federal, state, or local coverage period for benefits provided to terminated employees under a health care or dental plan. The Participant shall be entitled to reimbursement of life insurance premiums as provided in this Section 4.2(a)(iv) in accordance with and subject to the following limitations and provisions: (1) reimbursement will be available only to the extent such expense is actually incurred for any particular calendar year and reasonably substantiated; (2) reimbursement shall be made as soon 

as administratively practicable after such expense is incurred, but in no event later than the end of the calendar year following the year in which such expense is incurred by the Participant; (3) no reimbursement will be provided for any expense which relates to insurance coverage after the Coverage Period; and
(4) any life insurance premiums incurred prior to the six (6) month anniversary of the Date of Termination shall not be reimbursed prior to the six (6) month anniversary of such Date of Termination.

(v)    A lump sum cash payment of $15,000 in order to cover the cost of outplacement assistance services for the Participant and other expenses associated with seeking another employment position.
All payments to be made pursuant to Sections 4.2(a)(ii), (iii) and (v) shall be made, in lump sum, as soon as administratively practicable following the effective date of the Release, but in no event later than 60 days after the Date of Termination; provided, however, that if a Change in Control has not occurred as of such payment date, then the amount of any payments under Sections 4.2(a)(ii) and (iii) that are in excess of the amount of the payments otherwise payable under Sections 4.3(a)(ii) and (iii) shall not be made until the occurrence of a Change in Control.

4.3    If a Covered Termination Prior to Change in Control occurs with respect to a Participant, then such Participant shall be entitled hereunder to the following:

(a)     Compensation and Benefits Upon Covered Termination Prior to
 Change in Control. Subject to the Participant's execution of the Release described in Section 4.5, in the event of a Covered Termination Prior to Change in Control, the Company shall pay and provide to the Participant:

(i)    (A) any Base Pay earned, accrued or owing to him or her through the Date of Termination, payable in accordance with the Company’s normal payroll practices, (B) any individual bonuses or individual incentive compensation not yet paid, but due and payable under the Company's and/or its Affiliates' applicable incentive and bonus plans for years prior to the year of the Participant's termination of employment, paid when otherwise payable in accordance with the applicable plan or arrangement terms, (C) reimbursement for all reasonable and customary expenses incurred by the Participant in performing services for the Company prior to the Date of Termination, payable in accordance with the Company’s applicable reimbursement practices, and (D) payment equal to the amount of the Participant’s accrued, but unused, vacation time through the Date of Termination, payable in accordance with the Company’s normal payroll practices.

(ii)    A lump sum cash payment equal to the applicable Benefit Factor multiplied by the sum of: (A) the Participant's Base Pay in effect as of the Date of Termination and
(B)    the Participant's Target Bonus for the year in which the Date of Termination occurs.

(iii)    A lump sum cash payment equal to the Participant’s Target Bonus for the year in which the Participant’s Date of Termination occurred, prorated to reflect the portion of such year that the Participant was employed by the Company and any of its Affiliates.

(iv)    To the extent permitted by applicable law and the Benefit Plans, during the Coverage Period, the Company shall maintain (x) subject to the Participant’s election of COBRA, the Participant's paid coverage for health and dental insurance (through the payment of the Participant's COBRA premiums) and (y) life insurance benefits (through the reimbursement of the Participant's premiums upon conversion to an individual policy). During the Coverage Period, the Participant shall be entitled to benefits, on substantially the same basis as would have otherwise been provided had the Participant not been terminated and the Company will have no obligation to pay any benefits to, or premiums on behalf of, the Participant after such period ends. To the extent that such benefits are available under the Benefit Plans and the Participant had such coverage immediately prior to termination of employment, such continuation of benefits for the Participant shall also cover the Participant's dependents for so long as the Participant is receiving such benefits under this Section 4.3(a)(iv). The Coverage Period for medical and dental insurance under this Section 4.3(a)(iv) shall be deemed to run concurrent with the COBRA Continuation Period (generally 18 months), or any other legally mandated and applicable federal, state, or local coverage period for benefits provided to terminated employees under a health care or dental plan. The Participant shall be entitled to reimbursement of life insurance premiums as provided in this Section 4.3(a)(iv) in accordance with and subject to the following limitations and provisions: (1) reimbursement will be available only to the extent such expense is actually incurred for any particular calendar year and reasonably substantiated; (2) reimbursement shall be made as soon as administratively practicable after such expense is incurred, but in no event later than the end of the calendar year following the year in which such expense is incurred by the Participant; (3) no reimbursement will be provided for any expense which relates to insurance coverage after the Coverage Period; and (4) any life insurance premiums incurred prior to the six (6) month anniversary of the Date of Termination shall not be reimbursed prior to the six (6) month anniversary of such Date of Termination.

(v)    A lump sum cash payment of $15,000 in order to cover the cost of outplacement assistance services for Participant and other expenses associated with seeking another employment position.

All payments to be made pursuant to Sections 4.3(a)(ii) and (v) shall be made, in lump sum, as soon as administratively practicable following the effective date of the Release, but in event later than 60 days after the Date of Termination.

4.4     Vesting of Long-Term Incentive Awards. With respect to any equity or cash-based long-term incentive awards or grants made by the Company or any of its Affiliates after the Effective Date and notwithstanding any provision to the contrary in any applicable plan, program or agreement, upon a termination of a Participant's employment with the Company and any of its Affiliates pursuant to Section 4.2 or Section 4.3, as the case may be, (1) the service condition applicable to any stock options, restricted stock and other equity and cash-based rights held by the Participant will vest on a pro rata basis based on the period of time that the 

Participant was employed by the Company and its Affiliates during the applicable vesting period for such award, and all stock options held by the Participant shall remain exercisable until the earlier to occur of:
(a)    the expiration date of the applicable option term or (b) the one (1) year anniversary of the Participant's Date of Termination; and (2) the performance condition applicable to any pro-rated service-vested awards held by the Participant that are also subject to performance-vesting conditions will vest and settle at target levels on the Date of Termination.

4.5     Release. Notwithstanding any other provision of the Plan to the contrary, no payment or benefit otherwise provided for under or by virtue of Section 4.2 (other than sub- sections 4.2(a)(1)(A), (C) and (D)), Section 4.3 (other than sub-sections 4.3.(a)(1)(A), (C) and (D)) and/or Section 4.4 of the Plan (as applicable, the “Severance Benefits”) shall be paid or otherwise made available unless and until the Participant executes and does not revoke a general release, non-disparagement and non-competition agreement, in a form provided by the Company and substantially in the form attached as Exhibit A hereto (the "Release"). Unless otherwise required by applicable law, the Release must be executed by the Participant within 45 days of the Date of Termination. If the Company determines that the Participant has not fully complied with any of the terms of the Release, the Company and any of its Affiliates may withhold the Severance Benefits not yet in pay status or discontinue the payment of the Severance Benefits and may require the Participant, by providing written notice of such repayment obligation to the Participant, to repay any portion of the Severance Benefits already received under the Plan. If the Company notifies a Participant that repayment of all or any portion of the Severance Benefits received under the Plan is required, such amounts shall be repaid within 30 calendar days of the date written notice is sent. Any remedy under this Section 4.5 shall be in addition to, and not in place of, any other remedy, including injunctive relief, that the Company and any of its Affiliates may have.

4.6     WARN. Notwithstanding any other provision of the Plan to the contrary, to the extent permitted by the Worker Adjustment and Retraining Notification Act ("WARN"), any benefit payable hereunder to a Participant as a consequence of the Participant's Covered Change in Control Termination or Covered Termination Prior to a Change in Control, as the case may be, shall be reduced by any amounts required to be paid under WARN to such Participant in connection with such termination.

4.7     Termination of Employment on Account of Disability, Cause or Death. Notwithstanding anything in the Plan to the contrary, if a Participant's employment with the Company and any of its Affiliates terminates on account of Disability, Cause or because of his or her death, the Participant shall not be considered to have terminated employment under Section 4.2 or Section 4.3 of the Plan and shall not receive the Severance Benefits, but shall receive the benefits under Section 4.2(a)(i)(A), (C) or (D) or 4.3(a)(i)(A), (C) or (D), as applicable. Notwithstanding the foregoing, such Participant shall be eligible to receive disability benefits under any disability program then maintained by the Company or any of its Affiliates that covers the Participant as provided under the terms of such disability program.

ARTICLE 5. ADMINISTRATION

5.1    The Plan shall be administered by the Committee.

5.2    The Committee shall have the full and absolute power, authority and sole discretion to construe, interpret and administer the Plan, to make factual determinations, to correct deficiencies therein, and to supply omissions, including resolving any ambiguity or uncertainty arising under or existing in the terms and provisions of the Plan, which determinations shall be final, conclusive, and binding on the Company, its Affiliates, the Participant and any and all interested parties.

5.3    The Committee may delegate any and all of its powers and responsibilities hereunder to other persons by formal resolution filed with, and accepted by, the Board. Any such delegation may be rescinded at any time by written notice from the Committee to the person to whom delegation is made.

5.4    The Committee shall have the full and absolute authority to employ and rely on such legal counsel, actuaries and accountants (which may also be those of the Company and its Affiliates), and other agents, designees and delegatees, as it may deem advisable to assist in the administration of the Plan.

5.5    Payments to be made under the Plan are intended to be excepted from coverage under Section 409A and the regulations promulgated thereunder and shall be construed accordingly. Notwithstanding any provision of the Plan to the contrary, if any benefit provided under the Plan is subject to the provisions of Section 409A and the regulations issued thereunder (and not excepted therefrom), the provisions of the Plan shall be administered, interpreted and construed in a manner necessary to comply with Section 409A, the regulations issued thereunder (or disregarded to the extent such provision cannot be so administered, interpreted, or construed). Accordingly, if a Participant is a "specified employee” for purposes of Section 409A (as such term is defined in Section 409A, and determined in accordance with the procedures established by the Company) and a payment subject to Section 409A to the Participant is due upon the Participant’s Separation from Service, such payment shall be delayed for a period of six (6) months after the date of the Separation from Service (or, if earlier, the death of the Participant). The Company reserves the right to accelerate, delay or modify distributions to the extent permitted under Section 409A, the regulations and other binding guidance promulgated thereunder.

ARTICLE 6. PARACHUTE TAX PROVISIONS

6.1    The provisions of this Article 6 shall apply notwithstanding anything in the Plan to the contrary. In the event that it shall be determined that any payment or distribution by the Company or any of its Affiliates to, or for the benefit of, a Participant, whether paid or payable or distributed or distributable pursuant to the terms of the Plan or otherwise (a "Payment"), would constitute an "excess parachute payment" within the meaning of Section 280G of the Code, the Company and its Affiliates will apply a limitation on the Payment amount as specified in Section 6.2    unless it is determined that the "Net After Tax Benefits" to the Participant would be greater if the limitations of Section 6.2 were not imposed. For purposes of this Article 6, "Net After Tax Benefits" shall mean the present value of the Payments net of all taxes imposed on the 

Participant with respect thereto, including but not limited to excise taxes imposed under Section 4999 of the Code, determined by applying the highest marginal income tax rate applicable to the Participant for such year.

6.2    To the extent required by 6.1 above, the aggregate present value of the Payments under Article 4 of the Plan ("Plan Payments") shall be reduced (but not below zero) to an amount (the “Reduced Amount”) expressed in present value which maximizes the aggregate present value of Plan Payments without causing any Payment to be subject to the limitation of deduction under Section 280G of the Code. For purposes of this Article 6, "present value" shall be determined in accordance with Section 280G(d)(4) of the Code. The total reduction to Plan Payments required under this Article 6 necessary to achieve the Reduced Amount shall be made against Plan Payments that are exempt from Section 409A.

6.3    Except as set forth in the next sentence, all determinations to be made under this Article 6 shall be made by the nationally recognized independent public accounting firm used by the Company immediately prior to the Change in Control ("Accounting Firm"), which Accounting Firm shall provide its determinations and any supporting calculations to the Company and the Participant within ten (10) days of the Participant's Date of Termination; provided, however, that, in the event the Accounting Firm will not or cannot make such a determination, the Company and its Affiliates shall select Deloitte & Touche or such other appropriate firm to make such determination. The value of the Participant's non-competition covenant under Section 4 of the Release shall be determined by independent appraisal by a nationally-recognized business valuation firm, and a portion of the Plan Payments shall, to the extent of that appraised value, be specifically allocated as reasonable compensation for such non-competition covenant and shall not be treated as a parachute payment.

6.4    All of the fees and expenses of the Accounting Firm in performing the determinations referred to in this Article 6 shall be borne solely by the Company and its Affiliates.

ARTICLE 7. AMENDMENT AND TERMINATION

7.1    Subject to Section 7.2, the Committee shall have the right in its discretion at any time to amend the Plan in any respect or to terminate the Plan prior to a Change in Control.

7.2    Notwithstanding any other provision of the Plan to the contrary, no amendment or termination of the Plan (including, without limitation, this Section 7.2) as applied to any particular Participant may become effective at any time within (a) the 90-day period immediately prior to or on or within one (1) year after the occurrence of a Change in Control or (b) the 180-day period following the adoption by the Committee of such amendment or termination at any other time not described in clause (a), in any manner adverse to the interests of such Participant, without the express written consent of such Participant, except in the event (i) of a termination of the Participant's employment with the Company and its Affiliates under the circumstances described in Section 4.7 and/or (ii) the Committee determines to amend the Plan in order to conform the provisions of the Plan with Section 409A, the regulations issued thereunder or an 

exception thereto, regardless of whether such modification, amendment, or termination of the Plan shall adversely affect the rights of the Participant under the Plan.

ARTICLE 8. EMPLOYMENT RIGHTS

Nothing expressed or implied in the Plan will create any right or duty on the part of the Company, any of its Affiliates or the Participant to have the Participant remain in the employment of the Company or any of its Affiliates.

ARTICLE 9. MISCELLANEOUS
9.1    (a) The Company and its Affiliates shall require any successor (whether direct or indirect, by purchase, merger, consolidation or otherwise) to all or substantially all of the business or assets of the Company and its Affiliates (taken as a whole) expressly to assume and agree to perform under the terms of the Plan in the same manner and to the same extent that the Company and its Affiliates would be required to perform it if no such succession had taken place (provided that such a requirement to perform which arises by operation of law shall be deemed to satisfy the requirements for such an express assumption and agreement), and in such event the Company and its Affiliates (as constituted prior to such succession) shall have no further obligation under or with respect to the Plan. Failure of the Company and its Affiliates to obtain such assumption and agreement with respect to any particular Participant prior to the effectiveness of any such succession shall be a breach of the terms of the Plan with respect to such Participant and shall constitute Good Reason for purposes of the Plan. Effective upon a transfer or assignment of the Plan, the term "Company" shall mean any successor to the Company's business or assets as aforesaid which assumes and agrees (or is otherwise required) to perform the Plan. Nothing in this Section 9.1(a) shall be deemed to cause any event or condition which would otherwise constitute a Change in Control not to constitute a Change in Control.

(b)    To the maximum extent permitted by law, the right of any Participant or other person to any amount under the Plan may not be subject to voluntary or involuntary anticipation, alienation, sale, transfer, assignment, pledge, encumbrance, attachment or garnishment by creditors of the Participant or such other person.

(c)    The terms of the Plan shall inure to the benefit of and be enforceable by the personal or legal representatives, executors, administrators, successors, heirs, distributees, devisees and legatees of each Participant. If a Participant shall die while an amount would still be payable to the Participant hereunder if they had continued to live, all such amounts, unless otherwise provided herein, shall be paid in accordance with the terms of the Plan to the Participant's devisee, legatee or other designee or, if there is no such designee, their estate.

9.2    Except as expressly provided in Section 4.2 and Section 4.3, Participants shall not be required to mitigate damages or the amount of any payment or benefit provided for under the Plan by seeking other employment or otherwise, nor will any payments or benefits hereunder be subject to offset in the event a Participant does mitigate.

9.3    Notwithstanding any provision of the Plan to the contrary, the Company shall not be liable for, and nothing provided or contained in the Plan will be construed to obligate or cause the Company to be liable for, any tax, interest or penalties imposed on a Participant related to or arising with respect to any violation of Section 409A.

9.4    All notices under the Plan shall be in writing, and if to the Company or the Committee, shall be delivered to the General Counsel of Contura, or mailed to Contura’s principal office, addressed to the attention of the General Counsel of Contura; and if to a Participant (or the estate or beneficiary thereof), shall be delivered personally or mailed to the Participant at the address appearing in the records of the Company and its Affiliates.

9.5    Unless otherwise determined by the Company in an applicable plan or arrangement, no amounts payable hereunder upon a Covered Termination Prior to Change in Control or a Covered Change in Control Termination, as the case may be, shall be deemed salary or compensation for the purpose of computing benefits under any employee benefit plan or other arrangement of the Company and/or any of its Affiliates for the benefit of employees unless the Company shall determine otherwise.

9.6    Participation in the Plan shall not limit any right of a Participant to receive any payments or benefits under any employee benefit or executive compensation plan of the Company and/or its Affiliates; provided that in no event shall any Participant be entitled to any payment or benefit under the Plan which duplicates a payment or benefit received or receivable by the Participant under any severance or similar plan, agreement or policy of the Company and/or its Affiliates. The total reduction to Plan payments or benefits as required by this Section 9.6 shall be made against payments and/or benefits under the Plan that are exempt from Section 409A.

9.7    Any payments hereunder shall be made out of the general assets of the Company. Each Participant shall have the status of general unsecured creditors of the Company, and the Plan constitutes a mere promise by the Company to make payments under the Plan in the future as and to the extent provided herein.

9.8    The Company shall be entitled to withhold from any payments or deemed payments any amount of tax withholding required by law.

9.9    The invalidity or unenforceability of any provision of the Plan shall not affect the validity or enforceability of any other provision of the Plan which shall remain in full force and effect.

9.10    The use of captions in the Plan is for convenience. The captions are not intended to and do not provide substantive rights.

9.11    Except as otherwise preempted by the laws of the United States, the Plan shall be construed, administered and enforced according to the laws of the State of Delaware, without regard to principles of conflicts of law, and any action relating to the Plan must be brought in state and federal courts located in the Commonwealth of Virginia.

ARTICLE 10. CLAIMS PROCEDURE

If a Participant believes that he or she is eligible for benefits and has not been so notified, such Participant should submit a written request for benefits to the Plan Administrator. Such Participant must take such action no later than 60 days after the date of the Participant’s Separation from Service.

 If Participant Claim is Denied

If all or part of a Participant's claim for benefits is denied, such Participant will receive written notice of the denial from the Plan Administrator within 60 days after such Participant has applied for a benefit. This notice will include:

*    the specific reason(s) for the denial;

*    specific reference to the specific Plan provisions on which the denial is based;

*    a description of any additional material or information which must be submitted to perfect the claim, and an explanation of why such material or information is necessary; and

*    an explanation of the Plan's review procedure.

If a Participant disagrees with the decision, such Participant may file a written notice to have such Participant's claim reviewed by the Plan Administrator. The Participant must file the notice for review within 60 days after the denial was given or mailed to such Participant. The Participant should file one copy of the notice with the Plan Administrator. In connection with the review of Participant's claim, the Participant (or such Participant's authorized representative) will be given the opportunity to review all documentation pertaining to the decision, and to submit issues and comments in writing.

The Participant's claim will be reconsidered and the Participant will receive written notice of the decision within 60 days after receiving such Participant's application for review. If special circumstances require an extension, the Participant will receive written notice to that effect; in this case, the Participant will be informed of the final decision within 120 days. This decision will be in writing and will include the reason for the decision, with specific reference to pertinent Plan provisions. All interpretations, determinations and decisions of the Plan Administrator will be final and binding.

If a Participant's claim for benefits is denied in whole or in part, such Participant may file suit in a state or federal court. Notwithstanding the foregoing, before such Participant may file suit in a state or federal court, the Participant must exhaust the Plan's administrative claims procedure. In addition, any such judicial or administrative proceeding must be filed within six
(6) months after the Plan Administrator's final decision.

ARTICLE 11. STATEMENT OF ERISA RIGHTS
Each Participant in the Plan is entitled to certain rights and protections under ERISA. ERISA provides that all Participants shall be entitled to:

Receive Information About the Plan and Benefits
Examine, without charge, at the Plan Administrator's office, all documents governing the Plan.
Obtain, upon written request to the Plan Administrator, copies of documents governing the
operation of the Plan and an updated summary plan description. The Plan Administrator may make a reasonable charge for the copies.

 Prudent Actions by Plan Fiduciaries
In addition to creating rights for Participants, ERISA imposes duties upon the people who are responsible for the operation of the employee benefit plan. The people who operate the Plan, called “fiduciaries” of the Plan, have a duty to do so prudently and in the interest of Participants and their beneficiaries. No one, including a Participant's employer or any other person, may fire a Participant or otherwise discriminate against a Participant in any way to prevent such Participant from obtaining a welfare benefit or exercising such Participant's rights under ERISA. However, this rule neither guarantees continued employment, nor affects the Company's right to terminate a Participant's employment for other reasons.

 Enforce Participant Rights
If a Participant's claim for a benefit is denied or ignored, in whole or in part, the Participant has a right to know why this was done, to obtain copies of documents relating to the decision without charge, and to appeal any denial, all within certain time schedules.

Under ERISA, there are steps a Participant can take to enforce the above rights. For instance, if a Participant requests a copy of Plan documents and does not receive them within 30 days, such Participant may file suit in a federal court. In such a case, the court may require the Plan Administrator to provide the materials and pay such Participant up to $110 a day until Participant receives the materials, unless the materials were not sent because of reasons beyond the control of the Plan Administrator. If a Participant has a claim for benefits which is denied or ignored, in whole or in part, such Participant may file suit in a state or federal court. If a Participant is discriminated against for asserting such Participant's rights, such Participant may seek assistance from the U.S. Department of Labor, or may file suit in a federal court. The court will decide who should pay court costs and legal fees. If a Participant is successful, the court may order the person such Participant has sued to pay these costs and fees. If a Participant loses, the court may order such Participant to pay these costs and fees, for example, if it finds such Participant's claim is frivolous.

 Assistance with Participant Question

If a Participant has any questions about the Plan, such Participant should contact the Plan Administrator. If a Participant has any questions about this statement or about such Participant's rights under ERISA, or if a Participant needs assistance in obtaining documents from the Plan Administrator, such Participant should contact the nearest office of the Employee Benefits Security Administration, U.S. Department of Labor, listed in such Participant's telephone directory or the Division of Technical Assistance and Inquiries, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue N.W., Washington, D.C. 20210. A Participant may also obtain certain publications about such Participant's rights and responsibilities under ERISA by calling the publications hotline of the Employee Benefits Security Administration

ARTICLE 12. SUMMARY INFORMATION
 Name of Plan: The name of the plan under which benefits are provided is the Amended and Restated Contura Energy, Inc. Key Employee Separation Plan.

 Plan Sponsor: The Sponsor of the Plan is: 
Contura Energy, Inc.
P.O. Box 848
340 Martin Luther King Jr. Blvd.
Bristol, TN 37620

 Plan Administrator: The Plan Administrator is:

The Compensation Committee of the Board of Directors of Contura Energy, Inc.
P.O. Box 848
340 Martin Luther King Jr. Blvd.
Bristol, TN 37620

 Employer Identification Number and Plan Number: The Employer Identification Number (EIN) assigned to the Plan Sponsor by the Internal Revenue Service is 81-3015061.

 Type of Plan: Severance Pay Employee Welfare Benefit Plan.

 Type of Administration: The Plan is self-administered.

 Funding: Benefits payable under the Plan are provided from the general assets of the Company.

 Agent for Service of Legal Process: For disputes arising under the Plan, service of legal process may be made upon the General Counsel of Plan Sponsor.

 Plan Year: The Plan's fiscal records are kept on a calendar year basis (January 1 to December 31).

 EXHIBIT A

 GENERAL RELEASE, NON-DISPARAGEMENT AND NON-COMPETITION
 AGREEMENT
THIS GENERAL RELEASE, NON-DISPARAGEMENT AND NON-COMPETITION
AGREEMENT (the "Agreement") is made as of this    day of     ,    , by and between         (the "Company") and                        ("Employee").

WHEREAS, the Employee formerly was employed by the Company;

WHEREAS, Employee was designated by the Compensation Committee of the Board of Directors (the "Board") of Contura Energy, Inc. to receive certain severance benefits in the event of a termination of Employee's employment under the circumstances set forth in the Key Employee Separation Plan (the "Plan") and;

WHEREAS, an express condition of the Employee's entitlement to the payments and benefits under the Plan is the execution without revocation of this Agreement; and

WHEREAS, the Employee and the Company mutually desire to effectuate a full and final general release of all claims and rights the Employee may have against the Company to the fullest extent permitted by law, excepting only those rights and claims that cannot, as a matter of law, be released with this Agreement; and

WHEREAS, the Employee and the Company mutually desire to terminate the Employee's employment effective      , ("Date of Termination"); and

WHEREAS, the Company advises the Employee to consult with an attorney before signing this Agreement.

NOW, THEREFORE, IT IS HEREBY AGREED by and between the Employee and the Company as follows:

1.    (a) The Employee, for and in consideration of the commitments of the Company as set forth in paragraph 7 of this Agreement and the Plan, and intending to be legally bound, does hereby REMISE, RELEASE AND FOREVER DISCHARGE the Company, its affiliates, predecessors, subsidiaries and parents, and their present or former officers, directors, managers, stockholders, employees, members and agents, and its and their respective successors, assigns, heirs, executors, and administrators and the current and former trustees or administrators of any pension or other benefit plan applicable to the employees or former employees of the Company (collectively, "Releasees") from all causes of action, suits, debts, claims and demands whatsoever in law or in equity, which the Employee ever had, now has, or hereafter may have, whether known or unknown, or which the Employee's heirs, executors, or administrators may have, by reason of any matter, cause or thing whatsoever, from any time prior to the date of this 

Agreement, and particularly, but without limitation of the foregoing general terms, any claims arising from or relating in any way to the Employee's employment relationship with the Company, the terms and conditions of that employment relationship, and the termination of that employment relationship, including, but not limited to, any claims arising under the Age Discrimination in Employment Act, the Older Workers Benefit Protection Act, Title VII of the Civil Rights Act of 1964, the Americans with Disabilities Act, the Employee Retirement Income Security Act of 1974, and any other claims under any federal, state or local common law, statutory, or regulatory provision, now or hereafter recognized, and any claims for attorneys' fees and costs. This Agreement is effective without regard to the legal nature of the claims raised and without regard to whether any such claims are based upon tort, equity, implied or express contract or discrimination of any sort.

(b)    To the fullest extent permitted by law, and subject to the provisions of paragraph 12 and paragraph 14 below, the Employee represents and affirms that the Employee has not filed or caused to be filed on the Employee's behalf any charge, complaint or claim for relief against the Company or any Releasee and, to the best of the Employee's knowledge and belief, no outstanding charges, complaints or claims for relief have been filed or asserted against the Company or any Releasee on the Employee's behalf; and the Employee has not reported any improper, unethical or illegal conduct or activities to any supervisor, manager, department head, human resources representative, agent or other representative of the Company or any Releasee, to any member of the Company's or any Releasee's legal or compliance departments, or to the ethics hotline, and has no knowledge of any such improper, unethical or illegal conduct or activities. In the event that there is outstanding any such charge, complaint or claim for relief, Employee agrees to seek its immediate withdrawal and dismissal with prejudice. In the event that for any reason said charge, complaint or claim for relief cannot be immediately withdrawn with prejudice, Employee shall execute such other papers or documents as the Company’s counsel determines may be necessary from time to time to have said charge, complaint or claim for relief dismissed with prejudice at the earliest appropriate time. Nothing herein shall prevent Employee from testifying in any cause of action when required to do so by process of law. Employee shall promptly inform the Company if called upon to testify on matters relating to the Company.

(c)    Employee does not waive any right to file a charge with the Equal Employment Opportunity Commission ("EEOC") or participate in an investigation or proceeding conducted by the EEOC, but explicitly waives any right to file a personal lawsuit or receive monetary damages that the EEOC might recover if said charge results in an EEOC lawsuit against the Company or Releasees.

(d)    Employee does not waive the right to challenge the validity of this Agreement as a release of claims arising under the federal Age Discrimination in Employment Act.

(e)    Employee does not waive rights or claims that may arise after the date this Agreement is executed.

2.    In consideration of the Company's agreements as set forth in paragraph 7 herein, the Employee agrees to comply with the limitations set forth in paragraphs 3 and 4 of this Agreement.

3.     Ownership and Protection of Intellectual Property and Confidential Information.

(a)    All information, ideas, concepts, improvements, innovations, developments, methods, processes, designs, analyses, drawings, reports, discoveries, and inventions, whether patentable or not or reduced to practice, which are conceived, made, developed or acquired by Employee, individually or in conjunction with others, during Employee's employment by the Company or any of its affiliates, both before and after the date hereof (whether during business hours or otherwise and whether on the Company's premises or otherwise) which relate to the business, products or services of the Company or its affiliates (including, without limitation, all such information relating to corporate opportunities, research, financial and sales data, pricing and trading terms, evaluations, opinions, interpretations, acquisition prospects, the identity of customers or their requirements, the identity of key contacts within the customer's organizations or within the organization of acquisition prospects, or marketing and merchandising techniques, prospective names, marks, and any copyrightable work, trade mark, trade secret or other intellectual property rights (whether or not composing confidential information, and all writings or materials of any type embodying any of such items (collectively, "Work Product"), shall be the sole and exclusive property of the Company or a Company affiliate, as the case may be, and shall be treated as "work for hire." It is recognized that Employee is an experienced executive in the business of the Company and its affiliates and through several decades of prior work in the industry acquired and retains knowledge, contacts, and information which are not bound by this Section 3.

(b)    Employee shall promptly and fully disclose all Work Product to the Company and shall cooperate and perform all actions reasonably requested by the Company (whether during or after the term of employment) to establish, confirm and protect the Company's and/or its affiliates' right, title and interest in such Work Product. Without limiting the generality of the foregoing, Employee agrees to assist the Company, at the Company's expense, to secure the Company's and its affiliates' rights in the Work Product in any and all countries, including the execution by Employee of all applications and all other instruments and documents which the Company and/or its affiliates shall deem necessary in order to apply for and obtain rights in such Work Product and in order to assign and convey to the Company and/or its affiliates the sole and exclusive right, title and interest in and to such Work Product. If the Company is unable because of Employee's mental or physical incapacity or for any other reason (including Employee's refusal to do so after request therefor is made by the Company) to secure Employee's signature to apply for or to pursue any application for any United States or foreign patents or copyright registrations covering Work Product belonging to or assigned to the Company and/or its affiliates pursuant to Section 3(a) above, then Employee by this Agreement irrevocably designates and appoints the Company and its duly authorized officers and agents as Employee's agent and attorney-in-fact to act for and in Employee's behalf and stead to execute and file any such applications and to do all other lawfully permitted acts to further the prosecution and issuance of patents or copyright 

registrations thereon with the same legal force and effect as if executed by Employee. Employee agrees not to apply for or pursue any application for any United States or foreign patents or copyright registrations covering any Work Product other than pursuant to this paragraph in circumstances where such patents or copyright registrations are or have been or are required to be assigned to the Company or any of its affiliates.

(c)    Employee acknowledges that the businesses of the Company and its affiliates are highly competitive and that their strategies, methods, books, records, and documents, their technical information concerning their products, equipment, services, and processes, procurement procedures and pricing techniques, the names of and other information (such as credit and financial data) concerning their former, present or prospective customers and business affiliates, all comprise confidential business information and trade secrets which are valuable, special, and unique assets which the Company and/or its affiliates use in their business to obtain a competitive advantage over their competitors. Employee further acknowledges that protection of such confidential business information and trade secrets against unauthorized disclosure and use is of critical importance to the Company and its affiliates in maintaining their competitive position. Employee acknowledges that by reason of Employee's duties to, and association with, the Company and its affiliates, Employee has had and will have access to, and has and will become informed of, confidential business information which is a competitive asset of the Company and its affiliates. Employee hereby agrees that Employee will not, at any time during or after his or her employment by the Company, make any unauthorized disclosure of any confidential business information or trade secrets of the Company or its affiliates, or make any use thereof, except in the carrying out of his employment responsibilities hereunder. Employee shall take all necessary and appropriate steps to safeguard confidential business information and protect it against disclosure, misappropriation, misuse, loss and theft. Confidential business information shall not include information in the public domain (but only if the same becomes part of the public domain through a means other than a disclosure prohibited hereunder). The above notwithstanding, a disclosure shall not be unauthorized if (i) it is required by law or by a court of competent jurisdiction or (ii) it is in connection with any judicial, arbitration, dispute resolution or other legal proceeding in which Employee's legal rights and obligations as an employee or under this Agreement are at issue; provided, however, that Employee shall, to the extent practicable and lawful in any such events, give prior notice to the Company of his or her intent to disclose any such confidential business information in such context so as to allow the Company or its affiliates an opportunity (which Employee will not oppose) to obtain such protective orders or similar relief with respect thereto as may be deemed appropriate. Any information not specifically related to the Company and its affiliates would not be considered confidential to the Company and its affiliates.

(d)    All written materials, records, and other documents made by, or coming into the possession of, Employee during the period of Employee's employment by the Company which contain or disclose confidential business information or trade secrets of the Company or its affiliates, or which relate to Employee's Work Product described in paragraph 3(a) above, shall be and remain the property of the Company, or its affiliates, as the case may be. Upon termination of Employee's employment, for any reason, Employee promptly shall deliver the same, and all copies thereof, to the Company.

4.     Covenant Not To Compete.

In the event of the Employee's Covered Change in Control Termination (as defined in the Plan) or Covered Termination Prior to a Change in Control (as defined in the plan), as the case may be, the Company's obligations to provide the payments and benefits set forth in Sections 4.2 or 4.3, as the case may be, of the Plan shall be expressly conditioned upon the Employee's covenants of confidentiality, not to compete and not to solicit as provided herein.

In the event the Employee breaches his obligations to the Company as provided herein, the Company's obligations to provide the payments and benefits set forth in Sections 4.2 or 4.3, as the case may be, of the Plan shall cease without prejudice to any other remedies that may be available to the Company.

(a)    If the Employee is receiving payment and benefits under Sections 4.2 or 4.3 of the Plan, Employee agrees that, for a period of one year following Employee's Date of Termination (the "Non-Compete Period"), he or she will not, in association with or as an officer, principal, manager, member, advisor, agent, partner, director, material stockholder, employee or consultant of any corporation (or sub-unit, in the case of a diversified business) or other enterprise, entity or association, work on the acquisition or development of, or engage in any line of business, property or project which is, directly or indirectly, competitive with any business that the Company or any of its affiliates engages in or is planning to engage in during the term of Employee's employment with the Company or any affiliate of the Company, including but not limited to, the mining, processing, transportation, distribution, trading and sale of synfuel, coal and coal byproducts (the "Business"). Such restriction shall cover Employee's activities anywhere in the contiguous United States.

(b)    If the Employee is receiving payments and benefits under Sections 4.2 or 4.3 of the Plan, during the Non-Compete Period, Employee will not solicit or induce any person who is or was employed by any of the Company or its affiliates at any time during such term or period (i) to interfere with the activities or businesses of the Company or any of its affiliates or (ii) to discontinue his or her employment with the Company or any of its affiliates.

(c)    If the Employee is receiving payments and benefits under Section 4.2 or Section 4.3, as the case may be, of the Plan, during the Non-Compete Period, Employee will not, directly or indirectly, influence or attempt to influence any customers, distributors or suppliers of the Company or any of its affiliates to divert their business to any competitor of the Company or any of its affiliates or in any way interfere with the relationship between any such customer, distributor or supplier and the Company and/or any of its affiliates (including, without limitation, making any negative statements or communications about the Company and its affiliates). During such Non-Compete Period, Employee will not, directly or indirectly, acquire or attempt to acquire any business in the contiguous United States to which the Company or any of its affiliates, prior to the Employee's Date of Termination, has made an acquisition proposal relating to the possible acquisition of such business by the Company or any of its affiliates, or has planned, discussed or contemplated making such an acquisition 

proposal (such business, an "Acquisition Target"), or take any action to induce or attempt to induce any Acquisition Target to consummate any acquisition, investment or other similar transaction with any person other than the Company or any of its affiliates.

(d)    Employee understands that the provisions of paragraphs 4(a), 4(b) and 4(c) hereof may limit his ability to earn a livelihood in a business in which he or she is involved, but as a member of the management group of the Company and its affiliates he or she nevertheless agrees and hereby acknowledges that: (i) such provisions do not impose a greater restraint than is necessary to protect the goodwill or other business interests of the Company and any its affiliates; (ii) such provisions contain reasonable limitations as to time, scope of activity, and geographical area to be restrained; and (iii) the consideration provided hereunder, including without limitation, any amounts or benefits provided under Section 4.2 and Section 4.3, as the case may be, of the Plan, is sufficient to compensate Employee for the restrictions contained in paragraphs 4(a), 4(b) and 4(c) hereof. In consideration of the foregoing and in light of Employee's education, skills and abilities, Employee agrees that he will not assert that, and it should not be considered that, any provisions of paragraphs 4(a), 4(b) and 4(c) otherwise are void, voidable or unenforceable or should be voided or held unenforceable.

(e)    If, at the time of enforcement of paragraphs 3 or 4 of this Agreement, a court shall hold that the duration, scope, or area restrictions stated herein are unreasonable under circumstances then existing, the parties hereto agree that the maximum period, scope or geographical area reasonable under such circumstances shall be substituted for the stated period, scope or area and that the court shall be allowed and directed to revise the restrictions contained herein to cover the maximum period, scope and area permitted by law. Employee acknowledges that he or she is a member of the Company's and its affiliates' management group with access to the Company's and its affiliates' confidential business information and his services are unique to the Company and its affiliates. Employee therefore agrees that the remedy at law for any breach by him of any of the covenants and agreements set forth in paragraphs 3 and 4 will be inadequate and that in the event of any such breach, the Company and its affiliates may, in addition to the other remedies which may be available to them at law, apply to any court of competent jurisdiction to obtain specific performance and/or injunctive relief prohibiting Employee (together with all those persons associated with him or her) from the breach of such covenants and agreements and to enforce, or prevent any violations of, the provisions of this Agreement. In addition, in the event of a breach or violation by Employee of this paragraph 4, the Non-Compete Period set forth in this paragraph shall be tolled until such breach or violation has been cured.

(f)    Each of the covenants of paragraphs 3 and 4 are given by Employee as part of the consideration for the benefits to be received by Employee under the Plan and as an inducement to the Company to grant such benefits under the Plan and accept the obligations thereunder.

(g)    Provisions of paragraph 4 shall not be binding on Employee if the Company fails to perform any material obligation under the Plan, including, without limitation, the failure of the Company to make timely payments of monies due to Employee 

under Section 4.2 or Section 4.3, as the case may be, of the Plan; provided, that (i) Employee has notified the Company in writing within 30 days of the date of the failure of the Company to perform such material obligation and (ii) such failure remains uncorrected and/or uncontested by the Company for 15 days following the date of such notice.

5.    The Employee further agrees and recognizes that the Employee has permanently and irrevocably severed the Employee's employment relationship with the Company, that the Employee shall not seek employment with the Company or any affiliated entity at any time in the future, and that the Company has no obligation to employ him or her in the future. Employee agrees that if he submits an application for employment with the Company or any affiliated entity, such application may be summarily rejected without consideration and without notice to Employee.

6.    The Employee further agrees that the Employee will not disparage or subvert the Company or any Releasee, or make any statement reflecting negatively on the Company, its affiliated corporations or entities, or any of their officers, directors, managers, members, employees, agents or representatives, including, but not limited to, any matters relating to the operation or management of the Company or any Releasee, the Employee's employment and the termination of the Employee's employment, irrespective of the truthfulness or falsity of such statement.

7.    In consideration for the Employee's promises, as set forth herein, the Company agrees to pay or provide to or for the Employee the payments and benefits described in the Plan, the provisions of which are incorporated herein by reference. Except as set forth in this Agreement, it is expressly agreed and understood that Releasees do not have, and will not have, any obligations to provide the Employee at any time in the future with any payments, benefits or considerations other than those recited in this paragraph, or those required by law, other than under the terms of any benefit plans which provide benefits or payments to former employees according to their terms.

8.    The Employee understands and agrees that the payments, benefits and agreements provided in this Agreement are being provided to him or her in consideration for the Employee's acceptance and execution of, and in reliance upon the Employee's representations in, this Agreement. The Employee acknowledges that if the Employee had not executed this Agreement containing a release of all claims against the Releasees, including, without limitation, the covenants relating to confidentiality, non-competition and non-disparagement, the Employee would not have been entitled to the payments and benefits set forth in the Plan.

9.    The Employee acknowledges and agrees that this Agreement and the Plan supersede any other agreement the Employee has with the Company or any Releasee as to the subjects set forth in this Agreement. To the extent Employee has entered into any other enforceable written agreement with the Company or any Releasee that contains provisions that are outside the scope of this Agreement and the Plan and are not in direct conflict with the provisions in this Agreement or the Plan, the terms in this Agreement and the Plan shall not supercede, but shall be in addition to, any other such agreement. Except as set forth expressly 

herein, no promises or representations have been made to Employee in connection with the termination of the Employee's employment agreement, if any, or offer letter, if any, with the Company, or the terms of this Agreement or the Plan.

10.    The Employee agrees not to disclose the terms of this Agreement or the Plan to anyone, except the Employee's spouse, attorney and, as necessary, tax/financial advisor. It is expressly understood that any violation of the confidentiality obligation imposed hereunder constitutes a material breach of this Agreement.

11.    The Employee represents that the Employee does not, without the Company's prior written consent, presently have in the Employee's possession any records and business documents, whether on computer or hard copy, and other materials (including but not limited to computer disks and tapes, computer programs and software, office keys, correspondence, files, customer lists, technical information, customer information, pricing information, business strategies and plans, sales records and all copies thereof) (collectively, the "Corporate Records") provided by the Company and/or its predecessors, subsidiaries or affiliates or obtained as a result of the Employee's prior employment with the Company and/or its predecessors, subsidiaries or affiliates, or created by the Employee while employed by or rendering services to the Company and/or its predecessors, subsidiaries or affiliates. The Employee acknowledges that all such Corporate Records are the property of the Company. In addition, the Employee shall promptly return in good condition any and all Company owned equipment or property, including, but not limited to, automobiles, personal data assistants, facsimile machines, copy machines, pagers, credit cards, cellular telephone equipment, business cards, laptops, computers, and any other items requested by the Company. As of the Date of Termination, the Company will make arrangements to remove, terminate or transfer any and all business communication lines including network access, cellular phone, fax line and other business numbers.

12.    Nothing in this Agreement shall prohibit or restrict the Employee from:
(i) making any disclosure of information required by law; (ii) providing information to, or testifying or otherwise assisting in any investigation or proceeding brought by, any federal regulatory or law enforcement agency or legislative body, any self-regulatory organization, or the Company's designated legal, compliance or human resources officers; or (iii) filing, testifying, participating in or otherwise assisting in a proceeding relating to an alleged violation of any federal, state or municipal law relating to fraud, or any rule or regulation of the Securities and Exchange Commission or any self-regulatory organization.

13.    The parties agree and acknowledge that the agreement by the Company described herein, and the settlement and termination of any asserted or unasserted claims against the Releasees, are not and shall not be construed to be an admission of any violation of any federal, state or local statute or regulation, or of any duty owed by any of the Releasees to the Employee.

14.    The Employee agrees and recognizes that should the Employee breach any of the obligations or covenants set forth in this Agreement, the Company will have no further obligation to provide the Employee with the consideration set forth herein, and will have the right to seek repayment of all consideration paid up to the time of any such breach. Further, the Employee acknowledges in the event of a breach of this Agreement, Releasees may seek any and 

all appropriate relief for any such breach, including equitable relief and/or money damages, attorneys' fees and costs. Notwithstanding the foregoing, in the event the Company fails to perform any material obligation under the Plan, including, without limitation, the failure of the Company to make timely payments of monies due to Employee under Section 4.2 or Section 4.3, as the case may be, of the Plan, this Release shall be null and void and Employee shall have the right to pursue any and all appropriate relief for any such failure, including monetary damages, attorneys' fees and costs; provided, that (i) Employee has notified the Company in writing within 30 days of the date of the failure of the Company to perform such material obligation and (ii) such failure remains uncorrected and/or uncontested by the Company for 15 days following the date of such notice.

15.    The Employee further agrees that the Company shall be entitled to preliminary and permanent injunctive relief, without the necessity of proving actual damages, as well as to an equitable accounting of all earnings, profits and other benefits arising from any violations of this Agreement, which rights shall be cumulative and in addition to any other rights or remedies to which the Company may be entitled.

16.    This Agreement and the obligations of the parties hereunder shall be construed, interpreted and enforced in accordance with the laws of the State of Delaware.

17.    The parties agree that this Agreement shall be deemed to have been made and entered into in Bristol, Virginia. Jurisdiction and venue in any proceeding by the Company or Employee to enforce their rights hereunder is specifically limited to any court geographically located in Virginia.

18.    The Employee certifies and acknowledges as follows:

(a)    That the Employee has read the terms of this Agreement, and that the Employee understands its terms and effects, including the fact that the Employee has agreed to RELEASE AND FOREVER DISCHARGE the Releasees from any legal action arising out of the Employee's employment relationship with the Company and the termination of that employment relationship; and

(b)    That the Employee has signed this Agreement voluntarily and knowingly in exchange for the consideration described herein, which the Employee acknowledges is adequate and satisfactory to him and which the Employee acknowledges is in addition to any other benefits to which the Employee is otherwise entitled; and

(c)    That the Company advises the Employee (in writing) to consult with an attorney before signing this Agreement; and

(d)    That the Employee does not waive rights or claims that may arise after the date this Agreement is executed; and

(e)    That the Company has provided Employee with a period of forty-five

(45) days within which to consider this Agreement, and that the Employee has signed on the date indicated below after concluding that this General Release, Non-Disparagement and Non-
Competition Agreement is satisfactory to Employee; and

(f)    The Employee acknowledges that this Agreement may be revoked by him within seven (7) days after execution, and it shall not become effective until the expiration of such seven (7) day revocation period. In the event of a timely revocation by the Employee, this Agreement will be deemed null and void and the Company will have no obligations hereunder.

[SIGNATURE PAGE FOLLOWS]

Intending to be legally bound hereby, the Employee and the Company executed the foregoing General Release, Non-Disparagement and Non-Competition Agreement this        day of     ,    .

									
	 	Witness:	
	EMPLOYEE	

												
	[COMPANY]		
				
	By:		Witness:	
	Name:			
	Title:Document

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

																											
	SOLICITATION/CONTRACT/ORDER  FOR  COMMERCIAL ITEMS
OFFEROR TO COMPLETE BLOCKS 12, 17, 23, 24, & 30O
	1. REQUISITION NUMBER
5763920
	PAGE OF 
1    /  34

	2. CONTRACT NO.
75N92020C00009
		3. AWARD/ 
EFFECTIVE DATE

		4. ORDER NUMBER.

	1 5. SOLICITATION NUMBER 	 6 . SOLICITATION
ISSUE DATE
	7.  FOR SOLICITATION INFORMATION CALL:

		a. NAME
LINDA SMITH
		b. TELEPHONE NUMBERT             (No collect calls)
+1 301 827-7741
	8. OFFER DUE DATE/LOCAL TIME                                                   
	9. ISSUED BY    CODE
National Institutes of Health National Heart, Lung, and Blood Institute
Bethesda, MD 20892-7511
	NHLBI		10. THIS ACQUISITION IS       x UNRESTRICTED OR       ☐      SET ASIDE:                          % FOR:
        ☐  SMALL BUSINESS                ☐ WOMEN-OWNED SMALL BUSINESS 
                                                               (WOSB) ELIGIBLE UNDER THE WOMEN-OWNED
 ☐  HUBZONE SMALL                    SMALL BUSINESS  PROGRAM                                  NAICS:334516 
       BUSINESS                           ☐ EDWOSB

 ☐  SERVICE-DISABLED            ☐ 8(A)
      VETERAN-OWNED                                                                                                         SIZE STANDARD:   1,000
      SMALL BUSINESS

		
	11.    DELIVERY FOR FOB DESTINA- 
TION UNLESS BLOCK IS MARKED
x 
SEE SCHEDULE
	12. DISCOUNT TERMS
		     ☐ 13a.  THIS CONTRACT IS A 
                  RATED  ORDER  UNDER
                   DPAS (15 CFR 700)
	13b.RATING

		14. METHOD OF SOLICITATION
  ☐ RFQ                  ☐   IFB              ☐ RFP

	15 DELIVER TO
	CODE	TDP, BTHOFF
		TDP, BTHOFF
	CODE	NIBIB

	Two Democracy Plaza, Bethesda Off C
2 Democracy Plaza
6707 Democracy Blvd
Bethesda MD 20817
	National Institutes of Health
National Institute of Biomedical
Imaging and Bioengineering
Bethesda, MD 20892-7511

	17a. CONTRACTOR/               CODE
        OFFEROR
		FACILITY
CODE
		18a. PAYMENT WILL BE MADE BY                                                                         CODE	NHLBI INV-BR-A

	

FLUIDIGM CORPORATION:1157584
2 TOWER PLACE SUITE 2000
SOUTH SAN FRANCISCO CA 940801826
TELEPHONE NO.    -                  

		

Approved By, NHLBI Branch A Invoice Paid By: NIH Commercial Accounts Br 2115 East Jefferson St, MSC 8500 Room 4B-432
Bethesda, MD 20892-8500

	
	
	17b. CHECK IF REMITTANCE IS DIFFERENT AND PUT SUCH ADDRESS IN OFFER
	18b. SUBMIT INVOICES TO ADDRESS SHOWN IN BLOCK 18a UNLESS BLOCK  BELOW
 IS CHECKED     ☐ SEE ADDENDUM

																		
	19.
ITEM NO.
	20.
SCHEDULE OF SUPPLIES/SERVICES
	21
QUANTITY	22. UNIT	23.
UNIT PRICE
	24.
AMOUNT

	1	NIBID: 75N92020C00009 Rapid Acceleration of 
Diagnostics ( RADx) Program: Tech Project # 6114 
Fluidigm - Advanta Dx SARS-CoV-2 RT-PCR Assay for 
Saliva
Period of Performance: 07/30/2020 to 07/29/2021

Stage 1 - Test Verification
Obligated Amount: [***]
Delivery To: Bldg.31/RM 1C31 
Continued ...
(Use Reverse and!or Attach Additional Sheets as Necessary)
		[***]
	25. ACCOUNTING AND APPROPRIATION DATA
	26. TOTAL AWARD AMOUNT (For Govt. Use Only)
$12,151,000.00

☐ 27a. SOLICITATION INCORPORATES BY REFERENCE FAR 52.212-1, 52.212-4. FAR 52.212-3 AND 52.212-5 ARE ATTACHED.  ADDENDA    ☐ ARE  ☐ ARE NOT ATTACHED
x 27b. CONTRACT/PURCHASE ORDER INCORPORATES BY REFERENCE FAR 52.212-4. FAR 52.212-5 IS ATTACHED.             ADDENDA    x ARE  x ARE NOT ATTACHED
Except as provided herein, all terms and conditions of the document referenced in Item 9 A or 10A, as heretofore changed, remains unchanged and in full force and effect.
																		
	☐ 28. CONTRACTOR IS REQUIRED TO SIGN THIS DOCUMENT AND RETURN            1               
COPIES TO ISSUING OFFICE. CONTRACTOR AGREES TO FURNISH AND DELIVER
      ALL ITEMS SET FORTH OR OTHERWISE IDENTIFIED ABOVE AND ON ANY ADDITIONAL

     SHEETS SUBJECT TO THE TERMS AND CONDITIONS SPECIFIED.
	☐ 29. AWARD OF CONTRACT:                                                                               OFFER       DATED       . YOUR OFFER ON SOLICITATION (BLOCK 5),
 INCLUDING ANY ADDITIONS OR CHANGES WHICH ARE SET FORTH
 HEREIN, IS ACCEPTED AS TO ITEMS:

	30a. SIGNATURE OF OFFEROR/CONTRACTOR

/s/ S. Christopher Linthwaite
	1        16B. UNITED STATES OF AMERICA (SIGNATURE OFCONTRACTING OFFICER)

/s/ Roxane S. Burkett -S       Digitally signed by Roxane S. Burkett -S

                                              Date: 2020.07.30 077:36:45 -04'00'

	30b. NAME AND TITLE OF SIGNER (Type or print)

S. Christopher Linthwaite, President and CEO)
	30C. DATE SIGNED
7/29/2020	31b. NAME OF CONTRACTING OFFICER (Type or print)
ROxANE S. BURKETT
	31c. DATE SIGNED

AUTHORIZED FOR LOCAL REPRODUCTION    STANDARD FORM 1449 (REV. 2/2012)3)
PREVIOUS EDITION IS NOT USABLE    Prescribed by GSA - FAR (48 CFR) 53.212

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

2 of 20
																		
	19.
ITEM NO.

	20.
SCHEDULE OF SUPPLIES/SERVICES

	21.
QUANTITY

	22.
UNIT

	23.
UNIT PRICE

	24.
AMOUNT

		Product/Service Code:  Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING

Delivery: 08/08/2020
				
	2	Stage 1A - Design Review
Obligated Amount: [***] 
Delivery To: Bldg.31/RM 1C31 
Product/Service Code:                       Q301
Product/Service Description: MEDICAL- LABORATORY TESTING

Delivery: 09/12/2020
				[***]

  32a. QUANTITY IN COLUMN 21 HAS BEEN

☐RECEIVED                          ☐   INSPECTED       ☐   ACCEPTED, AND CONFORMS TO THE CONTRACT, EXCEPT AS NOTED:                                                                                                                            
																												
	32b. SIGNATURE OF AUTHORIZED GOVERNMENT REPRESENTATIVE
	32c. DAT
	32d. PRINTED NAME AND TITLE OF AUTHORIZED GOVERNMENT REPRESENTATIVE
	
	2e. MAILING ADDRESS OF AUTHORIZED GOVERNMENT  REPRESENTATIVE
	32f. TELEPHONE NUMBER OF AUTHORIZED GOVERNMENT  REPRESENTATIVE
	
	32g. E-MAIL OF AUTHORIZED GOVERNMENT  REPRESENTATIVE
	
	33. SHIP NUMB
	34. VOUCHER NUMBER
	35. AMOUNT VERIFIED CORRECT
	36. PAYMENT

COMPLETE PARTIAL FINAL
	37. CHECK NUMBER
	
	PARTIAL FINAL
	
	38. S/R ACCOUNT NUMBER
	39. S/R VOUCHER NUMBER
	40. PAID BY
	
	41a. I CERTIFY THIS ACCOUNT IS CORRECT AND PROPER FOR PAYMENT
	42a. RECEIVED BY (Print)
	
	41b. SIGNATURE AND TITLE OF CERTIFYING OFFICERFFI
	41c. DATE
	
	42b. RECEIVED AT (Locatiion)
	
	42c. DATE REC'D (YY!MM!/DD)
	42d. TOTAL CONTAINEERS
	

    
STANDARD FORM1449 (REV. 2/2012)BACK

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS 

ARTICLE B.1. BRIEF DESCRIPTION OF SERVICES
This Letter Contract forms a preliminary understanding between Fluidigm Corporation and the National Institutes of Health (NIH) and is issued as a result of the Rapid Acceleration of Diagnostics Advanced Technology Platforms (RADx-ATP) to increase the testing capacity of high throughput labs by scaling up late stage testing platforms for detecting SARS-CoV-2, the virus that causes COVID-19. Issuance of this Letter Contract authorizes the Contractor to immediately begin the activities necessary to perform the requirements as identified in the Statement of Objectives covering the full range of activities needed to increase capacity and optimize throughput necessary to distribute a viable product to the public.
The scope of work executed under this contract, includes completing the validation, approval, and production processes in order to deliver a viable product in a scaled up capacity to the U.S. public. Fluidigm technology to support this effort will be to scale up the Integrated Fluidic Circuit (IFC) and completion of the multiplex assay development system for rapid acceleration of testing.
This Letter Contract has been issued based on the application and preliminary work file submitted by the contractor and subsequent documentation submitted during the Point of Care Teachnology Research Network (POCTRN) application review process.  The Contractor’s inability to meet the requirements as defined within this Letter Contract and proposed within the POCTRN application process may result in the termination of the Letter Contract in accordance with the termination clauses contained herein.
ARTICLE B.2. PRICES

a.The total Firm Fixed Price (FFP) amount for this Letter Contract is $12,151,000.

						
	Payment Schedule
[See complete breakdown in Deliverable Schedule]

	Milestone	Amount
	Stage 1 – Test Verification	[***]
	Stage 1A – Design Review	[***]
	Total	$12,151,000

ARTICLE B.3. ADVANCE UNDERSTANDINGS

a.The parties acknowledge and agree that the situation around COVID-19 is highly dynamic, evolving rapidly, and subject to significant uncertainty. The Letter Contract is being executed on an expedited timeline to meet an urgent and compelling government need without the benefit of prior negotiation. Thus, the parties will negotiate in good faith to ensure that the definitized contract reflects an appropriate allocation of risk and responsibility and that it is consistent with the application and preliminary work file submitted by the contractor and subsequent documentation submitted during the application review process and the discussions between the parties that have taken place between date of application submission through Letter Contract issuance. Until the Performance Work Statement (PWS) is finalized the Statement of Objective (SOO) will govern.

b.The parties anticipate that the definitive contract resulting from this Letter Contract will include a 
Contract number: 75N92020C00009                                Page 1

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

negotiated firm fixed price not to exceed $36,834,000.  The amount of funding provided for this Letter Contract is stated in Article B.2 avove, the contractor shall not incur costs in excess of this amount.

c.Commercial Item Status: The services provided by the Contractor under the Letter Contract and any definitized contract constitute commercial item services, and the terms of any definitized contract will reflect that understanding.

d.Performance Work Statement: The parties will negotiate the Performance Work Statement in the process of contract definitization to fairly reflect the application and preliminary work file submitted by the contractor and subsequent documentation submitted during the application review process and the discussions between the parties that have taken place between application submission through letter contract issuance.

e.HHS reserves the right to exercise priorities and allocations authority with respect to this contract, to include rating this order in accordance with 45 CFR Part 101, Subpart A—Health Resources Priorities and Allocations System.

f.The parties agree prior to negotiate further the terms of milestone payments to include in the definitized contract.  In the negotiation, the parties will consider terms addressing liquidation of milestone payments.

g.Successful performance under this contract requires the Contractor obtain and maintain an Emergency Use Authorization (EUA) from the Food and Drug Administration (FDA); the Contractor shall copy us on all FDA correspondence related to the project, including email communications to and from the FDA. The FDA EUA services provided under this Letter Contract constitute a commercial service to detect SARS-CoV-2.            

h.Fair Pricing: The Rapid Acceleration of Diagnostics (RADx) application review process determined the cost per test is competitive with the current market price. The Contractor must comply with applicable federal law to ensure that prices to consumers are offered at fair market rate and at a rate consistent with the objective to increase and improve testing in the United States and its territories. 

i.In accordance with the goals of the RADx program, the tests produced under this contract are to be sold within the U.S. and its territories; provided, however, that, to the extent there is insufficient demand within the U.S. and its territories for the tests produced up to the additional manufacturing capacity funded by NIH and then available (as described in the Schedule of Deliverables), contractor will be permitted to sell such tests outside the U.S. and its territories.  The factors, process and mechanism to determine whether contractor has insufficient demand for the tests up to the then-available capacity will be determined in the definitive contract.

j.Sharing Data and Reports:  The Contractor will be required to provide data and reports (e.g., manufacturing, supply chain, production rates), which NIH will use to evaluate completion or achievement of milestones, progress toward deliverables, and compliance with the requirements of this Letter Contract.  NIH may use the data to coordinate with other U.S. Government Agencies to accelerate development and deployment of innovative COVID-19 diagnostic tests, and ensure effective stewardship of federal funds.  Sharing data within the federal government enables NIH to discuss the project’s challenges and progress with federal agencies offering scientific, manufacturing, and logistics expertise.  To ensure that innovations are available to the public as quickly as possible, NIH will leverage 
Contract number: 75N92020C00009                                Page 2

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

established partnerships with federal agencies, such as FDA, CDC, CMS, ASPR/BARDA, and the Department of Defense, and partnerships with State agencies to propel technologies developed by RADx into widespread use.

k.Contractor Facilities: The contractor shall certify that they will maintain their Facility and Equipment in satisfactory operating condition, as required to enable the contractor to perform the deliverables and achieve the milestones in accordance with the Statement of Objectives and all other applicable laws, regulations, rules or orders. Routine repairs, preventive maintenance, and service contracts for the Facility and Equipment shall be arranged by contractor at no additional cost to the Government.   

l.FAR 52.212-4 (l), the Government reserves the right to terminate this contract, or any part hereof, for its sole convenience. In the event of such termination, the Contractor shall immediately stop all work hereunder and shall immediately cause any and all of its suppliers and subcontractors to cease work. Subject to the terms of this contract, the Contractor shall be paid a percentage of the contract price reflecting the percentage of the work performed prior to the notice of termination, plus reasonable charges the Contractor can demonstrate to the satisfaction of the Government using its standard record keeping system, have resulted from the termination. The Contractor shall not be required to comply with the cost accounting standards or contract cost principles for this purpose. This paragraph does not give the Government any right to audit the Contractor’s records. The Contractor shall not be paid for any work performed or costs incurred which reasonably could have been avoided.

m.Letter Contract Termination: In accordance with FAR 52.212-4(m), the Government may terminate this contract, or any part hereof, for cause in the event of any default by the Contractor, or if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance. In the event of termination for cause, the Government shall not be liable to the Contractor for any amount for supplies or services not accepted, and the Contractor shall be liable to the Government for any and all rights and remedies provided by law. If it is determined that the Government improperly terminated this contract for default, such termination shall be deemed a termination for convenience.

n.Security and Privacy of Protected Health Information (PHI) processed under this contract:  The Contractor , shall meet the definition of either a Covered Entity or Business Associate under the Health Insurance Portability and Accountability Act of 1996 (HIPAA).  The contractor shall therefore comply with the HIPAA regulatory standards set forth in the Code of Federal Regulations (CFR) 45 C.F.R. Part 160, Part 162, and Part 164.  To the extent that the Contractor engages subcontractors or other Business Associates to provide services under this Contract, and such Subcontractors or Business Associates will receive or create protected health information (PHI) on behalf of the contractor, the contractor shall obtain satisfactory assurances from its business associate that the business associate will appropriately safeguard the protected health information. The satisfactory assurances must be in writing, whether in the form of a contract or other agreement between the Contractor and the business associate.  In the event of a suspected or known security or privacy breach, in addition to following the procedures set forth in 45 C.F.R. Part 164, the contractor shall also immediately notify the NIH via the Contracting Officer (CO)and the Contracting Officer’s Representative (COR).

o.The parties agree to address HHS Information Security and Privacy Requirements, as applicable, during definitization of the contract.

Contract number: 75N92020C00009                                Page 3

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT 

ARTICLE C.1. STATEMENT OF OBJECTIVES

Independently and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities, not otherwise provided by the Government as needed to perform the Statement of Objectives, dated July 27, 2020, set forth in SECTION J – List of Attachments, attached hereto and made a part of this Leter Contract. Work to be performed shall be consistent with the application and preliminary work file submitted by the Contractor and subsequent documentation submitted during the application review process and the discussions between the parties that have taken place between date of application submission through Letter Contract issuance.

ARTICLE C.2. REPORTING REQUIREMENTS

All reports required herein shall be submitted in electronic format only. All electronic reports submitted shall be compliant with Section 508 of the Rehabilitation Act of 1973. Additional information about testing documents for Section 508 compliance, including guidance and specific checklists, by application, can be found at: http://www.hhs.gov/web/508/index.html under "Making Files Accessible."

Reporting requirements TBD.
Placeholder: De-identified data for NIH research database

SECTION D – PACKAGING, MARKING, AND SHIPPING

There are no additional instructions or specifications applicable to this contract other than the delivery instructions contained herein.

SECTION E - INSPECTION AND ACCEPTANCE

a.The Contracting Officer or the duly authorized Contracting Officer’s Representative (COR) will perform inspection and acceptance of deliverables to be performed and the milestones to be achieved.
b.Inspection and acceptance will be performed as identified in the contract requirements.

SECTION F - DELIVERIES OR PERFORMANCE ARTICLE F.1. PERIOD OF PERFORMANCE

The period of performance of the contract is anticipated to be July 30, 2020 through July 29, 2021.

ARTICLE F.2. DELIVERIES

Satisfactory performance shall be deemed to occur upon performance of the work described in the Statement of Objectives Article in SECTION C of this Letter Contract and upon notice and acceptance by the Contracting Officer, or the duly authorized representative, in accordance with the stated deliverables schedule.
         
The deliverables or documentation there of shall be submitted to the Contracting Officer or designated Contracting Officer Representative (COR).

Contract number: 75N92020C00009                                Page 4

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

SECTION G - CONTRACT ADMINISTRATION DATA

ARTICLE G.1. CONTRACTING OFFICER (CO)

The following Contracting Officer (CO) will represent the Government for the purpose of this contract:
Name: Roxane Burkett    
Telephone: 301-827-7535
Email: burkettr@nih.nhlbi.gov 

The Contracting Officer is the only person with authority to act as agent of the Government
under this task order. Only the Contracting Officer has authority to:
1) direct or negotiate any changes in the statement of work;
2) modify or extend the period of performance;
3) change the delivery schedule;
4) authorize reimbursement to the Contractor for any costs incurred during the performance of this contract; 
5) otherwise change any terms and conditions of this contract; or
6) sign written licensing agreements. Any signed agreement shall be incorporated by reference in Section K of the contract.

All correspondence (including invoices) that proposes or otherwise involves waivers, deviations, or modifications to requirement shall be provided to the CO issuing the task order and the COR supporting the CO.

ARTICLE G.2. CONTRACTING OFFICER'S REPRESENTATIVE (COR)

The following Contracting Officer's Representative (COR) is anticipated to represent the Government for the purpose of this contract:

Olga Hartman, PhD
Telephone: 443-350-7696
Email: olga.hartman.civ@mail.mil 

The COR is responsible for: 
(1) monitoring the Contractor's technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements; 
(2) interpreting the Statement of Objectives and any other technical performance requirements; 
(3) performing technical evaluation as required; 
(4) performing technical inspections and acceptances required by this Letter Contract; and 
(5) assisting in the resolution of technical problems encountered during performance.

The Government may unilaterally change the COR designation.

ARTICLE G.3. PRIMARY PROGRAM MANAGER

The Primary Program Manager specified in this task order is considered to be essential to work performance. At least 30 days prior to any changes to the individual listed below to other programs or task orders (or as soon as reasonably possible, if an individual must be replaced, for example, as a result of 
Contract number: 75N92020C00009                                Page 5

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

leaving the employ of the Contractor), the Contractor shall notify the Contracting Officer and shall submit comprehensive justification for the change request (including proposed substitutions for primary program manager) to permit evaluation by the Government of the impact on performance under this task order. The Contractor shall not replace any primary program manager without the written consent of the Contracting Officer. The Government may modify the task order to add or delete primary program manager at the request of the contractor or Government. In no case shall the individual’s effort exceed 100% across all task orders.

[***]
[***] 

ARTICLE G.4. INVOICE SUBMISSION

In addition to the requirements specified in FAR 32.905 for a proper invoice, the Contractor shall include the following information on the face page of all task order payment requests:
a.The Contract Title is:  “Rapid Acceleration of Diagnostics ( RADx) Program: Tech Project # 6114 Fluidigm – Advanta Dx SARS-CoV-2 RT-PCR Assay for Saliva” 
b.The Contract Line Items are defined within the Section 20. Schedule of Supplies/Services of the Standard Form 1449.
c.Invoice Instructions are attached and made part of this task order. The Contractor shall follow the attached instructions and submission procedures specified below to meet the requirements of a "proper invoice" pursuant to FAR Subpart 32.9, Prompt Payment. 
1.Payment requests shall be submitted to the offices identified below. Do not submit supporting documentation (e.g., receipts, time sheets, vendor invoices, etc.) with your payment request unless specified elsewhere in the contract or requested by the Contracting Officer.
a.One copy of the invoice shall be submitted to the approving official at the following email addresses:
NHLBI Branch B Central Mailbox (NHLBIContractsBranchB@mail.nih.gov) 

NIH centralized invoice email box: invoicing@nih.gov 
2.    E-Mail: The Contractor shall submit an electronic copy of the payment request to the approving official instead of a paper copy. The payment request shall be transmitted as an attachment via e-mail to the address listed above in one of the following formats:  MSWord, MS Excel, or Adobe Portable Document Format (PDF).  Only one payment request shall be submitted per e-mail and the subject line of the e-mail shall include the Contractor's name, contract number, and unique invoice number.    
3.    In addition to the requirements specified in FAR 32.905 for a proper invoice, the Contractor shall include the following information on the face page of all payment requests (invoices):
a.Name of the Office of Acquisitions. The Office of Acquisitions for this task order is NHLBI. 
b.Central Point of Distribution. For the purpose of this Task Order, the Central Point of Distribution is NHLBI Branch B Invoices.
c.Federal Taxpayer Identification Number (TIN).  If the Contractor does not have a valid TIN, it shall identify the Vendor Identification Number (VIN) on the payment request.  The VIN is the number that appears after the Contractor's name on the face page of the contract.  [Note:  A VIN is 
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assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.]   If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer.  
d.DUNS or DUNS+4 Number.  The DUNS number must identify the Contractor's name and address exactly as stated in the contract and as registered in the Central Contractor Registration (CCR) database.  If the Contractor does not have a valid DUNS number, it shall identify the Vendor Identification Number (VIN) on the payment request.  The VIN is the number that appears after the Contractor's name on the face page of the contract.  [Note: A VIN is assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.]   If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer.
e.Invoice Matching Option.  This Task Order requires a two-way match.
f.Unique Invoice Number.  Each payment request must be identified by a unique invoice number, which can only be used one time regardless of the number of contracts or orders held by an organization.
g.PRISM/NBS Line Item Number and associated PRISM/NBS Line Item Period of Performance (see SF 1449, Attachment #2).
(d)  Inquiries regarding payment of invoices shall be directed to the designated billing office, (301) 496-6088.

SECTION H - ADDITONAL CONTRACT CLAUSES    

ARTICLE H.1. CONFIDENTIALITY OF INFORMATION

a.Confidential information, as used in this article, means information or data of a personal nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization.

b.The Contracting Officer and the Contractor may, by mutual consent, identify elsewhere in this contract specific information and/or categories of information which the Government will furnish to the Contractor or that the Contractor is expected to generate which is confidential. Similarly, the Contracting Officer and the Contractor may, by mutual consent, identify such confidential information from time to time during the performance of the contract. Failure to agree will be settled pursuant to the "Disputes" clause.

c.If it is established elsewhere in this contract that information to be utilized under this contract, or a portion thereof, is subject to the Privacy Act, the Contractor will follow the rules and procedures of disclosure set forth in the Privacy Act of 1974, 5 U.S.C. 552a, and implementing regulations and policies, with respect to systems of records determined to be subject to the Privacy Act.

d.Confidential information, as defined in paragraph (a) of this article, shall not be disclosed without the prior written consent of the individual, institution, or organization.

e.Whenever the Contractor is uncertain with regard to the proper handling of material under the contract, or if the material in question is subject to the Privacy Act or is confidential information subject to the provisions of this article, the Contractor should obtain a written determination
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 from the Contracting Officer prior to any release, disclosure, dissemination, or publication.

f.Contracting Officer determinations will reflect the result of internal coordination with appropriate program and legal officials.

g.The provisions of paragraph (d) of this article shall not apply to conflicting or overlapping provisions in other Federal, State or local laws.

ARTICLE H.2. PUBLICATION AND PUBLICITY

In addition to the requirements set forth in HHSAR Clause 352.227-70, Publications and Publicity incorporated by reference in SECTION I of this contract, the Contractor shall acknowledge the support of the National Institutes of Health whenever publicizing the work under this contract in any media by including an acknowledgment substantially as follows:

"This project has been funded in whole or in part with Federal funds from the National Institutes of Health, Department of Health and Human Services, under Contract No: 75N92020C00009.”

ARTICLE H.3. REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE

Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in NIH funded programs is encouraged to report such matters to the HHS Inspector General's Office in writing or on the Inspector General's Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled confidentially. The website to file a complaint on-line is: http://oig.hhs.gov/fraud/hotline/ and the mailing address is:
US Department of Health and Human Services Office of Inspector General
ATTN: OIG HOTLINE OPERATIONS
P.O. Box 23489 Washington, D.C. 20026

PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES
Selections will be made by the Contracting Officer during definitization

ARTICLE I.1. ADDITIONAL CONTRACT CLAUSES

This contract incorporates the following clauses by reference, (unless otherwise noted), 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.

a.FAR Clause 52.212-3 Offeror Representations and Certifications – Commercial Items (Jun 2020)
a.FAR Clause 52.212-4 Contract Terms and Conditions – Commercial Items (Oct 2018)
b.FAR Clause 52.203-13, Contractor Code of Business Ethics and Conduct (October 2015)
c.FAR Clause 52.204-2, Security Requirements (August 1996).
d.FAR Clause 52.204-9, Personal Identity Verification of Contractor Personnel (January 2011).
e.FAR Clause 52.204-13, System for Award Management Maintenance
f.FAR Clause 52.204-18 Commercial and Government Entity Code Maintenance (July 2016)
g.FAR Clause 52.204-23 Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities
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h.FAR Clause 52.209-10, Prohibition on Contracting With Inverted Domestic Corporations(November 2015).
i.FAR Clause 52.222-4, Contract Work Hours and Safety Standards - Overtime Compensation -General (May 2014).
j.FAR Clause 52.222-29, Notification of Visa Denial (April 2015).
k.FAR Clause 52.223-15, Energy Efficiency in Energy-Consuming Products (December 2007).
l.FAR Clause 52.224-1, Privacy Act Notification (April 1984).
m.FAR Clause 52.224-2, Privacy Act (April 1984).
n.FAR Clause 52.227-1, Aughorization and Consent (Jun 2020).
o.FAR Clause 52.227-3 Patent Indemnity (Apr 1984).
p.FAR Claus 52.227-11 Patent Rights-Ownership by the Contractor (May 2014).
q.FAR Clause 52.227-14, Rights in Data - General (May 2014).
r.FAR Clause 52.227-14, Rights in Data - General (May 2014) Alternate II (Dec 2007).
s.FAR Clause 52.232-40, Providing Accelerated Payments to Small Business Subcontractors (Dec 2013)

ARTICLE I.3. ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT
a.FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES

Additional clauses other than those listed below which are based on the type of contract/Contractor shall be determined during definitization. This contract incorporates the following clauses in full text.

1.FAR 52.216-23 - EXECUTION AND COMMENCMENT OF WORK (APR 1984)
The Contractor shall indicate acceptance of this letter contract by signing One Copy of the contract and returning them to the Contracting Officer not later than July 29, 2020 at 4:00 p.m. Eastern. Upon acceptance by both parties, the Contractor shall proceed with performance of the work, including purchase of necessary materials.

2.FAR 52.216-24 - LIMITATION OF GOVERNMENT LIABILITY (APR 1984)

(a)In performing this contract, the Contractor is not authorized to make expenditures or incur obligations exceeding $12,151,000 dollars.

(b)The maximum amount for which the Government shall be liable if this contract is  terminated is $12,151,000 dollars.

3.FAR 52.216-25 - CONTRACT DEFINITIZATION (OCT 2010)

(a) A Firm Fixed Price (FFP) definitive contract is contemplated. The Contractor agrees to begin promptly negotiating with the Contracting Officer the terms of a definitive contract that will include (1) all clauses required by the Federal Acquisition Regulation (FAR) on the date of execution of the letter contract, (2) all clauses required by law on the date of execution of the definitive contract, and (3) any other mutually agreeable clauses, terms, and conditions. The Contractor agrees to submit a Firm Fixed Price proposal, including data other than certified cost or pricing data, and certified cost or pricing data, in accordance with FAR 15.408, Table  15-2, supporting its proposal.

(b)The schedule for definitizing this contract is as follows: 
Estimated date for start of negotiations:   8/3/2020
Target date for definitization:  9/25/2020
						
	Definitization Schedule	Date
	Statement of Work Review	7/27/2020

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	Issuance of Letter Contract	7/30/2020
	Letter Contract Post Award Kick Off meeting	7/31/2020
	Contractor Price Proposal Submittal	8/5/2020
	Business and Technical Review	8/12/2020
	Negotiations Start	8/13/2020
	Request Budget and Price Breakdown	9/7/2020
	Definitization of Letter Contract	9/25/2020

(c)If agreement on a definitive contract to supersede this letter contract is not reached by the target date in paragraph (b) of this section, or within any extension of it granted by the Contracting Officer, the Contracting Officer may, with the approval of the head of the contracting activity, determine a reasonable price or fee in accordance with subpart 15.4 and part 31 of the FAR, subject to Contractor appeal as provided in the Disputes clause. In any event, the Contractor shall proceed with completion of the contract, subject only to the Limitation of Government Liability clause.
(1)After the Contracting Officer’s determination of price or fee, the contract shall be governed by-
(i)All clauses required by the FAR on the date of execution of this letter contract for either fixed-price or cost-reimbursement contracts, as determined by the Contracting Officer under this paragraph (c);
(ii)All clauses required by law as of the date of the Contracting Officer’s determination; and
(iii) Any other clauses, terms, and conditions mutually agreed upon.

(2)   To the extent consistent with paragraph (c)(1) of this section, all clauses, terms, and conditions included in this letter contract shall continue in effect, except those that by their nature apply only to a letter contract.

4.FAR Clause 52.204-21, Basic Safeguarding of Covered Contractor Information Systems (Jun 2016)

      (a) Definitions. As used in this clause–

Covered contractor information system means an information system that is owned or operated by a contractor that processes, stores, or transmits Federal contract information.

Federal contract information means information, not intended for public release, that is provided by or generated for the Government under a contract to develop or deliver a product or service to the Government, but not including information provided by the Government to the public (such as on public websites) or simple transactional information, such as necessary to process payments.

Information means any communication or representation of knowledge such as facts, data, or opinions, in any medium or form, including textual, numerical, graphic, cartographic, narrative, or audiovisual (Committee on National Security Systems Instruction (CNSSI) 4009).
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Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

Information system means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502).

Safeguarding means measures or controls that are prescribed to protect information systems.

      (b) Safeguarding requirements and procedures.

(1) The Contractor shall apply the following basic safeguarding requirements and procedures to protect covered contractor information systems. Requirements and procedures for basic safeguarding of covered contractor information systems shall include, at a minimum, the following security controls:

(i) Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).

(ii) Limit information system access to the types of transactions and functions that authorized users are permitted to execute.

(iii) Verify and control/limit connections to and use of external information systems.

(iv) Control information posted or processed on publicly accessible information systems.

(v) Identify information system users, processes acting on behalf of users, or devices.

(vi) Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.

(vii) Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.

(viii) Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.

(ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access; and control and manage physical access devices.
(x) Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.

(xi) Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

(xii) Identify, report, and correct information and information system flaws in a timely manner.

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(xiii) Provide protection from malicious code at appropriate locations within organizational information systems.

(xiv) Update malicious code protection mechanisms when new releases are available.

(xv) Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.

(2) Other requirements. This clause does not relieve the Contractor of any other specific safeguarding requirements specified by Federal agencies and departments relating to covered contractor information systems generally or other Federal safeguarding requirements for controlled unclassified information (CUI) as established by Executive Order 13556.

(c) Subcontracts. The Contractor shall include the substance of this clause, including this paragraph (c), in subcontracts under this contract (including subcontracts for the acquisition of commercial items, other than commercially available off-the-shelf items), in which the subcontractor may have Federal contract information residing in or transiting through its information system.    

(End of clause)

5.FAR 52.214-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items (Jul 2020)
(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).
(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91).    
(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (Aug 2019) (Section 889(a)(1)(A) of Pub. L. 115-232).           
(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015).           
(5) 52.233-3, Protest After Award (Aug 1996) (31 U.S.C. 3553).           
(6) 52.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Public Laws 108-77 and 108-78 ( 19 U.S.C. 3805 note)).
  

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(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items. Selections will be made by the Contracting Officer during definitization:

__ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (June 2020), with Alternate I (Oct 1995) ( 41U.S.C.4704 and 10 U.S.C. 2402).
__ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509)).
__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (Jun 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)
__ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020) (Pub. L. 109-282) ( 31 U.S.C. 6101 note).
__ (5) [Reserved].
__ (6) 52.204-14, Service Contract Reporting Requirements (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).
__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).
__ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (Jun 2020) (31 U.S.C. 6101 note).
__ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Oct 2018) (41 U.S.C. 2313).
__ (10) [Reserved].
__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Mar 2020) (15 U.S.C. 657a).
__ (ii) Alternate I (Mar 2020) of 52.219-3.
__ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Mar 2020) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).
__ (ii) Alternate I (Mar 2020) of 52.219-4.
__ (13) [Reserved]
__ (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (Mar 2020) of 52.219-6 (15 U.S.C. 644).
__ (ii) Alternate I (Mar 2020) of 52.219-6 .
__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (Mar 2020) (15 U.S.C. 644).
__ (ii) Alternate I (Mar 2020) of 52.219-7.
__ (16) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)).
__ (17) (i) 52.219-9, Small Business Subcontracting Plan (Jun 2020) (15 U.S.C. 637(d)(4)).
__ (ii) Alternate I (Nov 2016) of 52.219-9.
__ (iii) Alternate II (Nov 2016) of 52.219-9.
__ (iv)Alternate III (Jun 2020) of 52.219-9.
__ (v)Alternate IV (Jun 2020) of 52.219-9
__ (18) (i) 52.219-13, Notice of Set-Aside of Orders (Mar 2020) (15 U.S.C. 644(r)).
__ (ii) Alternate I (Mar 2020) of 52.219-13.
__ (19) 52.219-14, Limitations on Subcontracting (Mar 2020) (15 U.S.C. 637(a)(14)).
__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (Jan 1999) (15 U.S.C. 637(d)(4)(F)(i)).
__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Mar 
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                                   2020) (15 U.S.C. 657f).
__ (22) (i) 52.219-28, Post Award Small Business Program Rerepresentation (May 2020) (15 U.S.C. 632(a)(2)).
__ (ii) Alternate I (MAR 2020) of 52.219-28.
__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged Women-Owned Small Business Concerns (Mar 2020) (15 U.S.C. 637(m)).
__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business Concerns Eligible Under the Women-Owned Small Business Program (Mar2020) (15 U.S.C. 637(m)).
__ (25)  52.219-32, Orders Issued Directly Under Small Business Reserves (Mar 2020)(15 U.S.C. 644(r)). 
__ (26) 52.219-33, Nonmanufacturer Rule (Mar 2020) (15U.S.C. 637(a)(17)).
__ (27) 52.222-3, Convict Labor (Jun 2003) (E.O.11755).
__ (28) 52.222-19, Child Labor- Cooperation with Authorities and Remedies (Jan2020) (E.O.13126)  
__ (29) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).
__ (30) (i) 52.222-26, Equal Opportunity (Sep 2016) (E.O.11246).
__ (ii) Alternate I (Feb 1999) of 52.222-26.
__ (31) (i) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).
__ (ii) Alternate I (Jul 2014) of 52.222-35.
__ (32) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).
__ (ii) Alternate I (Jul 2014) of 52.222-36.
__ (33) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).
__ (34) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) (E.O. 13496).
__ (35) (i) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O. 13627).
__ (ii) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).
__ (36) 52.222-54, Employment Eligibility Verification (Oct 2015). (Executive Order 12989). (Not applicable to the acquisition of commercially available off-the-shelf items or certain other types of commercial items as prescribed in 22.1803.)
__ (37) (i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA–Designated Items (May 2008) ( 42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially available off-the-shelf items.)
__ (ii) Alternate I (May 2008) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)). (Not applicable to the acquisition of commercially available off-the-shelf items.)
__ (38) 52.223-11, Ozone-Depleting Substances and High Global Warming Potential Hydrofluorocarbons (Jun 2016) (E.O. 13693).
__ (39) 52.223-12, Maintenance, Service, Repair, or Disposal of Refrigeration Equipment and Air Conditioners (Jun 2016) (E.O. 13693).
__ (40) (i) 52.223-13, Acquisition of EPEAT®-Registered Imaging Equipment (Jun 2014) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Oct 2015) of 52.223-13.
__ (41) (i) 52.223-14, Acquisition of EPEAT®-Registered Televisions (Jun 2014) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Jun2014) of 52.223-14.
__ (42) 52.223-15, Energy Efficiency in Energy-Consuming Products (May 2020) (42 U.S.C. 8259b).

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__ (43) (i) 52.223-16, Acquisition of EPEAT®-Registered Personal Computer Products (Oct 2015) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Jun 2014) of 52.223-16.
_ (44) 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (Jun 2020) (E.O. 13513).
__ (45) 52.223-20, Aerosols (Jun 2016) (E.O. 13693).
__ (46) 52.223-21, Foams (Jun2016) (E.O. 13693).
__ (47) (i) 52.224-3 Privacy Training (Jan 2017) (5 U.S.C. 552 a).
__ (ii) Alternate I (Jan 2017) of 52.224-3.
__ (48) 52.225-1, Buy American-Supplies (May 2014) (41 U.S.C. chapter 83).
__ (49) (i) 52.225-3, Buy American-Free Trade Agreements-Israeli Trade Act (May 2014) (41 U.S.C.chapter83, 19 U.S.C. 3301 note, 19 U.S.C. 2112 note, 19 U.S.C. 3805 note, 19 U.S.C. 4001 note, Pub. L. 103-182, 108-77, 108-78, 108-286, 108-302, 109-53, 109-169, 109-283, 110-138, 112-41, 112-42, and 112-43.
__ (ii) Alternate I (May 2014) of 52.225-3.
__ (iii) Alternate II (May 2014) of 52.225-3.
__ (iv) Alternate III (May 2014) of 52.225-3.
__ (50) 52.225-5, Trade Agreements (Oct 2019) (19 U.S.C. 2501, et seq., 19 U.S.C. 3301 note).
__ (51) 52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008) (E.O.’s, proclamations, and statutes administered by the Office of Foreign Assets Control of the Department of the Treasury).
__ (52) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10 U.S.C. 2302Note).
__ (53) 52.226-4, Notice of Disaster or Emergency Area Set-Aside (Nov2007) (42 U.S.C. 5150).
__ (54) 52.226-5, Restrictions on Subcontracting Outside Disaster or Emergency Area (Nov2007) (42 U.S.C. 5150).
__ (55) 52.229-12, Tax on Certain Foreign Procurements (Jun 2020).
__ (56) 52.232-29, Terms for Financing of Purchases of Commercial Items (Feb 2002) (41 U.S.C. 4505, 10 U.S.C. 2307(f)).
__ (57) 52.232-30, Installment Payments for Commercial Items (Jan2017) (41 U.S.C. 4505, 10 U.S.C. 2307(f)_ (58) 52.232-33, Payment by Electronic Funds Transfer-System for Award Management (Oct2018) (31 U.S.C. 3332).
__ (59) 52.232-34, Payment by Electronic Funds Transfer-Other than System for Award Management (Jul 2013) (31 U.S.C. 3332).
__ (60) 52.232-36, Payment by Third Party (May 2014) (31 U.S.C. 3332).
__ (61) 52.239-1, Privacy or Security Safeguards (Aug 1996) (5 U.S.C. 552a).
__ (62) 52.242-5, Payments to Small Business Subcontractors (Jan 2017) (15 U.S.C. 637(d)(13)).
__ (63) (i) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631).
__ (ii) Alternate I (Apr 2003) of 52.247-64.
__ (iii) Alternate II (Feb 2006) of 52.247-64.
 (c) The Contractor shall comply with the FAR clauses in this paragraph (c), applicable to commercial services, that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
__ (1) 52.222-41, Service Contract Labor Standards (Aug 2018) (41 U.S.C. chapter67).
__ (2) 52.222-42, Statement of Equivalent Rates for Federal Hires (May 
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Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

       2014) (29 U.S.C. 206 and 41 U.S.C. chapter 67).
__ (3) 52.222-43, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (Multiple Year and Option Contracts) (Aug 2018) (29 U.S.C. 206 and 41 U.S.C. chapter 67).
__ (4) 52.222-44, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (May 2014) ( 29U.S.C.206 and 41 U.S.C. chapter 67).
__ (5) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May 2014) (41 U.S.C. chapter 67).
__ (6) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Requirements (May 2014) (41 U.S.C. chapter 67).
__ (7) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015).
__ (8) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706).
__ (9) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C. 1792).

 (d) Comptroller General Examination of Record. The Contractor shall comply with the provisions of this paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified acquisition threshold, as defined in FAR 2.101, on the date of award of this contract, and does not contain the clause at 52.215-2, Audit and Records-Negotiation.
 (1) The Comptroller General of the United States, or an authorized representative of the Comptroller General, shall have access to and right to examine any of the Contractor’s directly pertinent records involving transactions related to this contract.
 (2) The Contractor shall make available at its offices at all reasonable times the records, materials, and other evidence for examination, audit, or reproduction, until 3 years after final payment under this contract or for any shorter period specified in FAR subpart 4.7, Contractor Records Retention, of the other clauses of this contract. If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlement. Records relating to appeals under the disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are finally resolved.
 (3) As used in this clause, records include books, documents, accounting procedures and practices, and other data, regardless of type and regardless of form. This does not require the Contractor to create or maintain any record that the Contractor does not maintain in the ordinary course of business or pursuant to a provision of law.
 (e)(1) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c), and (d) of this clause, the Contractor is not required to flow down any FAR clause, other than those in this paragraph (e)(1) in a subcontract for commercial items. Unless otherwise indicated below, the extent of the flow down shall be as required by the clause-
 (i) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509).
 (ii) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).

Contract number: 75N92020C00009                                Page 16

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

 (iii) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91).
 (iv) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (Aug 2019) (Section 889(a)(1)(A) of Pub. L. 115-232).
 (v) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)), in all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business concerns) exceeds the applicable threshold specified in FAR 19.702(a) on the date of subcontract award, the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities.
 (vi) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).
 (vii) 52.222-26, Equal Opportunity (Sep 2015) (E.O.11246).
 (viii) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).
 (ix) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).
 (x) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).
 (xi) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) (E.O. 13496). Flow down required in accordance with paragraph (f) of FAR clause 52.222-40.
 (xii) 52.222-41, Service Contract Labor Standards (Aug2018) (41 U.S.C. chapter 67).
 (xiii) (A) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O 13627).
 (B) Alternate I (Mar2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).
 (xiv) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May2014) (41 U.S.C. chapter 67).
 (xv) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Requirements (May2014) (41 U.S.C. chapter 67).
 (xvi) 52.222-54, Employment Eligibility Verification (Oct 2015) (E.O. 12989).
 (xvii) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015).
 (xviii) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706).
 (xix) (A) 52.224-3, Privacy Training (Jan 2017) (5 U.S.C. 552a).
 (B) Alternate I (Jan 2017) of 52.224-3.
 (xx) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10 U.S.C. 2302 Note).
 (xxi) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C. 1792). Flow down required in accordance with paragraph (e) of FAR clause 52.226-6.
 (xxii) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631). Flow down required in accordance with paragraph (d) of FAR clause 52.247-64.
 (2) While not required, the Contractor may include in its subcontracts for commercial items a minimal number of additional clauses necessary to satisfy its contractual obligations.

(End of clause)

Contract number: 75N92020C00009                                Page 17

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed. 

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 

SECTION J LIST OF ATTACHMENTS
1.Statement of Objectives
i. Appendix 1: Contract Deliverables

Contract number: 75N92020C00009                                Page 18

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

Attachment 1 – Statement of Objectives

Statement of Objectives

Program Title: Rapid Acceleration of Diagnostics (RADx) – Tech
Project Title: Rapid Acceleration of Diagnostics ( RADx) Program: Tech Project # 6114 Fluidigm – Advanta Dx SARS-CoV-2RT-PCR Assay for Saliva
Agency: National Institute of Biomedical Imaging and Bioengineering (NIBIB) / National Institutes of Health (NIH)

 1.   Background    

The National Institute of Biomedical Imaging and Bioengineering (NIBIB) has a requirement for proposals to provide up to $500 million  across  multiple projects to rapidly  produce innovative SARS-CoV-2 diagnostic tests that will assist the public’s safe return to normal activities. Rapid Acceleration of Diagnostics  (RADx), is a fast-track technology development program that leverages the National Institutes of Health (NIH) Point-of- Care Technology Research Network (POCTRN). RADx will support novel solutions that build the U.S. capacity for SARS-CoV-2 testing up to 100-fold above what is  achievable with standard approaches. RADx is structured to deliver innovative testing strategies to the public as soon as late summer 2020 and is an accelerated and comprehensive multi-pronged effort by NIH to make SARS-CoV-2 testing readily available to every American.

2. Purpose and Objectives

NIBIB is providing substantial support to accelerate the development, validation, and commercialization of innovative point-of-care and home-based tests, as well as improvements to clinical laboratory tests, that can directly detect SARS-CoV-2, the virus that causes COVID-19. NIBIB will support the full range of product development including commercialization and product distribution. The ultimate goal of the RADx program
–across multiple projects/contracts – is to make millions of tests per week available to the American public, particularly those most vulnerable to and/or disproportionately impacted by COVID-19, in the late summer of 2020, and having even more tests available in time for the 2020–2021 flu season.

To meet the accelerated timelines, RADx has assembled a national network of expert technical, clinical, manufacturing, and regulatory advisors who will provide individualized assistance for project development and commercialization. Funding for projects selected for this program will be dependent on successfully meeting aggressive project milestones. Through the POCTRN grants, NIBIB provides financial and in-kind support to accelerate the entire product life-cycle, from design to market, for projects that meet milestones successfully. To ensure that innovations are available to the public as quickly as possible, NIH will leverage established partnerships with federal agencies, such as FDA, CDC, CMS, ASPR/BARDA, the Department of Defense, as well as commercial and private entities to propel technologies developed by RADx into widespread use.

The RADx program will consider innovations at all stages of readiness to circumvent current limitations to SARS-CoV-2 testing capacity, including:
◦Early stage: transformative innovations based on novel testing strategies that have potential for major scale up
◦Mid stage: technologies using novel testing strategies that have demonstrated capability but need further validation, regulatory approval, and scale up
◦Advanced stage (RADx ATP): modification and optimization of existing SARS-CoV-2 testing approaches, including clinical laboratory tests, that can dramatically increase testing capacity. Note: This arm of the RADx program is addressed under separate Acquisition Plan.

Page 1 of 3

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

Attachment 1 – Statement of Objectives

Design features might include technical innovations that:
◦Improve analytical performance, e.g., sensitivity, specificity, dynamic range, limit of detection, reliability, accuracy, speed (time to test result) and throughput
◦Enhance operational performance through, e.g., development of a patient- and user-friendly design, use of alternative sampling strategies (e.g., saliva, exhaled breath), integration with mobile-devices, designs for home-based use or strategies to overcome bottlenecks with current testing approaches
◦Improve access and reduce the cost of testing.

 3.   Scope    

RADx-Tech is a two-phase program. All applications undergo an intensive week-long risk assessment by a panel of expert technical, clinical, manufacturing, and regulatory advisors. If the proposed technology meets viability metrics, projects may be selected to enter phase one.

Phase one, performed under separate funding mechanism, consists of an accelerated research and development program in which the awardee receives both financial support and in-kind services through RADx grant funding. This outcome of this work is a fully instantiated technology ready for clinical validation, regulatory authorization, production and commercialization.

Phase two, or Work Package 2, of the program, executed under this contract, includes completing the validation, approval, and production processes in order to deliver a viable product in a scaled up capacity to the U.S. public.

4. Performance Objectives (Required Results)

A.Contract recipients have completed major research and development efforts and are focused in phase two on completion of required clinical validation, preparation of regulatory submissions, scale-up of production capabilities, and preparation for full commercialization of their product – a testing technology. Every contract will encompass similar expectations and milestones concerned with:
1.meeting regulatory requirements, resulting in regulatory authorization for sale and use of the test;
2.instantiation of agreed-upon production capacity;
3.meeting agreed-upon production goals; and
4.implementation of an agreed-upon commercial strategy to bring the test to market in a timeframe that will impact the COVID-19 pandemic as soon as possible.

B.Contract funding in phase two is structured in order to reduce risk to the Government, and is dependent on achievement of specific milestones in the Schedule of Deliverables, according to the Payment Schedule.

C.The contractor must use a SARS-Cov-2 test with FDA EUA (or will have EUA near the time of award), indicating a combination of sensitivity, specificity, and usability appropriate to the intended use according to FDA and/or CDC guidance, as applicable.

D.The contractor must make the product available for a confidential independent regulatory/validation assessment. The independent assessor will be selected by the Government and specified in the contract.

E.The contractor must provide a risk mitigation plan for each identified risk and update and inform

Page 2 of 3

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Attachment 1 – Statement of Objectives

NIH on any changes/newly identified risks in an ongoing manner.

 5.   Contract Type    
The contract type is Firm Fixed Price.

 6.   Place of Performance    
Place of Performance will be at the contractor’s site(s).

 7.   Period of Performance    
The period of performance of the contract is anticipated to be July 30, 2020 through July 29, 2021.

 8.    Deliverables/Delivery Schedule    
See the attached Appendix 1: Schedule of Deliverables.

 9.    Other Requirements    

A. The contractor must meet regularly (at least weekly) with NIH officials to update on progress toward deliverables; anticipated and ongoing issues and problems; and timelines for deliverable completion. When guided by NIH officials, the contractor must be willing to collaborate and cooperate under reasonable confidentiality terms with external organizations as needed to meet the contract goals in a manner which will not infringe contractor commercial or intellectual property rights.
Page 3 of 3

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

Appendix 1 - Deliverables

																					
	No.	Objective
Defined
	Milestone Defined	Deliverable	Success Criteria	Est. Deliverable
Due Date
	Stage
	

1
	[***]	[***]	[***]	[***]	[***]	1
	

2
	[***]	[***]	[***]	[***]	[***]	2
	

3
	[***]	[***]	[***]	[***]	[***]	3
	

4
	[***]	[***]	[***]	[***]	[***]	

3

	

5
	[***]	[***]	[***]	[***]	[***]	

4

	

6
	[***]	[***]	[***]	[***]	[***]	4
	

7
	[***]	[***]	[***]	[***]	[***]	

5

	

8
	[***]	[***]	[***]	[***]	[***]	

5

SubTasks
																					
	No.	Objective
Defined
	Milestone Defined	Deliverable	Success Criteria	Est. Deliverable
Due Date
	Stage
	

A
	[***]	[***]	[***]	[***]	[***]	1A
	

B **
	[***]	[***]	[***]	[***]	[***]	1A
	

C
	[***]	[***]	[***]	[***]	[***]	2A

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

																											
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	1. CONTRACT ID CODE	PAGE OF PAGES
1    /  34

	2. AMENDMENT/MODIFICATION NO.
P00001
		3. EFFECTIVE DATE
09/25/2020
		4. REQUISITION/PURCHASE REQ. NO.
5830960
	5. PROJECT NO. (If applicable)

	6. ISSUED BY    CODE
National Institutes of Health National Heart, Lung, and Blood Institute
Bethesda, MD 20892-7511
	NHLBI		7. ADMINISTERED BY (If other than item 6)    CODE
 National Institutes of Health 
 National Institute of Biomedical 
 Imaging and Bioengineering 
 Bethesda, MD 20892-7511
	NIBIB
			
	8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)
FLUIDIGM CORPORATION:1157584
2 TOWER PLACE SUITE 2000
SOUTH SAN FRANCISCO CA 940801826
		(x) 
	9A. AMENDMENT OF SOLICITATION NO.
		9B.DATED (SEE ITEM 11)

	x	10A.MODIFICATION OF CONTRACT/ORDER NO.
75N92020C00009

	10B. (SEE ITEM 13)
07/30/2020

	CODE		FACILITY CODE	
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

☐The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers    ☐ is extended.  ☐ is not extended. 
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended , by one of the following methods: (a) By completing
Items 8 and 15, and returning ____________  copies of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted ; or (c) By
separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT
THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER If by 
virtue of this amendment you desire to change an offer already submitted , such change may be made by telegram or letter, provided each telegram or letter makes
reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 
															
	

12. ACCOUNTING AND APPROPRIATION DATA (If required)    Net Increase:    $21,865,056.00
															
	

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
						
	CHECK ONE	A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
 ORDER NO. IN ITEM 10A.

	
		B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, 
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

		C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
	X	OTHER (Specify type of modification and authority)
FAR 52.216-25 — Contract Definitization

E. IMPORTANT:    Contractor    ☐ is not.    ☒ is required to sign this document and return     1     copies to the issuing office.
															
	

14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
TITLE: RADx Tech Project # 6114 Fluidigm Corporation, Inc. "Advanta Dx SARS—CoV-2 RT—PCR 
Assay for Saliva"
PURPOSE: To definitize the letter contract.
Delivery Location Code: TDP, BTHOFF
Two Democracy Plaza, Bethesda Off C
2 Democracy Plaza
6707 Democracy Blvd
Bethesda MD 20817 US
Continued ...
Except as provided herein, all terms and conditions of the document referenced in Item 9 A or 10A, as heretofore changed, remains unchanged and in full force and effect.
																		
	15A. NAME AND TITLE OF SIGNER (Type or print)
Andrew Quong, Chief Science Officer
	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
ROXANE S. BURKETT

	15B. CONTRACTOR/OFFEROR
/s/ Andrew Quong
	Digitally signed by Andrew Quong
                 
Date: 2020.09.28 13:10:54 -07'00'
	15C. DATE SIGNED

	1        16B. UNITED STATES OF AMERICA
/s/ Roxane S. Burkett -S 
	Digitally signed by Roxane S. Burkett -S

Date: 2020.09.28 17:34:18 -04'00'
	16C. DATE SIGNED

	(Signature of person authorized to sign)		(Signature of Contracting Office!)	

NSN 7540-01-152-8070    STANDARD FORM 30 (REV. 10-83)
Previous edition unusable    Prescribed by GSA
FAR (48 CFR) 53.243

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

												
	CONTINUATION SHEET
	REFERENCE NO. OF DOCUMENT BEING CONTINUED
75N92020C00009/P00001

	PAGE       OF
    2     /    34

			

NAME OF OFFEROR OR CONTRACTOR
FLUIDIGM CORPORATION:1157584
																		
	ITEM NO.
(A)
	SUPPLIES/SERVICES
(B)
	QUANTITY
(C)
	UNIT
(D)
	UNIT PRICE
(E)
	AMOUNT
(F)

		Payment:
Approved By, NHLBI Branch A Invoice Paid By: NIH Commercial Accounts Br 2115 East Jefferson St, MSC 8500 Room 4B-432
Bethesda, MD 20892-8500
Period of Performance: [***]
Add Item 3 as follows:				
	3	Operation established - Phase I
Obligated Amount:    [***]
 Delivery To: Bldg.31/RM 1C31
Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING
Delivery:     [***]
Add Item 4 as follows:				[***]
	4	Submit FDA EUA
Obligated Amount:    [***]
Delivery To: Bldg.31/RM 1C31
Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING
Delivery:    [***]
Add Item 5 as follows:				[***]
	5	Clinical Samples
Obligated Amount:    [***]
Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING
Delivery:    [***] 
 Add Item 6 as follows:				[***]
	6	Facility Construction Initiated
Obligated Amount:    [***] 
Delivery To: Bldg.31/RM 1C31 
 Continued ...				[***]

NSN 7540-01-152-8067    OPTIONAL FORM 336 (4-86)
Sponsored by GSA
FAR (48 CFR) 53.110

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

									
	CONTINUATION SHEET
	REFERENCE NO. OF DOCUMENT BEING CONTINUED
75N92020C00009/P00001
	PAGE      OF
3      /     34

NAME OF OFFEROR OR CONTRACTOR
FLUIDIGM CORPORATION:1157584
																		
	ITEM NO.
(A)
	SUPPLIES/SERVICES
(B)
	QUANTITY
(C)
	UNIT
(D)
	UNIT PRICE
(E)
	AMOUNT
(F)

		Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING

Delivery:     [***]
Add Item 7 as follows:
				
	7	Additional Production Lines Initiated
 Obligated Amount:    [***] 
 Delivery To: Bldg.31/RM 1C31
Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING

 Delivery:    [***]
Add Item 8 as follows:

				[***]
	8	Full production capacity on all 3 lines.
Obligated Amount:    [***] 
Delivery To: Bldg.31/RM 1C31
Product/Service Code:    Q301
Product/Service Description: MEDICAL- LABORATORY
TESTING
Delivery:     [***]
				[***]

NSN 7540-01-152-8067    OPTIONAL FORM 336 (4-86)
Sponsored by GSA
FAR (48 CFR) 53.110

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

PART I – THE SCHEDULE 

SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS 

ARTICLE B.1. BRIEF DESCRIPTION OF SERVICES

This contract is part of the Rapid Acceleration of Diagnostics (RADx) Tech program which is structured to deliver innovative testing strategies to the public and is an accelerated and comprehensive multi-pronged effort by NIH to make SARS-CoV-2 testing readily available to every American. The scope of work executed under this contract includes completing the validation, approval, and production processes in order to deliver a viable product in a scaled-up capacity to the U.S. public. Fluidigm technology to support this effort will be to scale up the Integrated Fluidic Circuit (IFC) and completion of the multiplex assay development system for rapid acceleration of testing.

ARTICLE B.2. PRICES

a.The total Firm Fixed Price (FFP) amount for this contract is $34,016,056.

															
	Prism Line Item	Milestone	Description	Date	Amount
	1	1	Stage 1 Test Verification - [***]
	[***]	[***]
	2	A1	Stage 1A- Design Review - [***]
	[***]	[***]
	3	2	Operation established - Phase I - [***]
	[***]	[***]
	4	A2	Submit FDA EUA - [***]
	[***]	[***]
	5	A3	Clinical samples – [***]
	[***]	[***]
	6	3	Facility Construction Initiated - [***]
	[***]	[***]
	7	4	Additional Production Lines Initiated - [***]
	[***]	[***]

Contract number 75N92020C00009                                Page 7

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

															
					
	8	5	Full production capacity on all 3 lines - [***]

	[***]	[***]
		Total			$34,016,056

ARTICLE B.3. ADVANCE UNDERSTANDINGS

a.Commercial Item Status: The services provided by the Contractor under this definitized contract constitutes commercial item services.

b.HHS reserves the right to exercise priorities and allocations authority with respect to this contract, to include rating this order in accordance with 45 CFR Part 101, Subpart A—Health Resources Priorities and Allocations System.

c.Liquidated Damages – Milestone-Based Payments
If the Contractor fails to deliver the supplies or perform the services within the time specified in this contract, and fails to cure within the time specified by the Government and the Government terminates this contract in whole or in part for cause, the Contractor shall, in place of actual damages, pay to the Government liquidated damages in the amount of 33% of the amount(s) already disbursed to date under the contract.  Any liquidated damaged owed by the Contractor shall be paid to the Government no later than 6 months from the date of termination.  

The Contractor will not be charged with liquidated damages when the delay in delivery or performance is beyond the control and without the fault or negligence of the Contractor as defined in FAR Clause 52.212-4, Contract Terms and Conditions-Commercial Items, incorporated in this contract.

d.Successful performance under this contract requires the Contractor obtain and maintain an Emergency Use Authorization (EUA) from the Food and Drug Administration (FDA); the Contractor shall copy us on all FDA correspondence related to the project, including email communications to and from the FDA. The FDA EUA services provided under this Contract constitute a commercial service to detect SARS-CoV-2. 
   
e.Fair Pricing: The Rapid Acceleration of Diagnostics (RADx) application review process determined the cost per test is competitive with the current market price. The Contractor must comply with applicable federal law to ensure that prices to consumers are offered at fair market rate and at a rate consistent with the objective to increase and improve testing in the United States. 

Contract number 75N92020C00009                                Page 8

Certain identified information marked with [***] has been excluded from this exhibit because it is not material and would be competitively harmful if publicly disclosed.

f.Security and Privacy of Protected Health Information (PHI) processed under this contract:  In the event the Contractor meets the definition of either a Covered Entity or Business Associate under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), the Contractor shall comply with the HIPAA regulatory standards set forth in the Code of Federal Regulations (CFR) 45 C.F.R. Part 160, Part 162, and Part 164.  To the extent that the Contractor engages subcontractors or other Business Associates to provide services under this Contract, and such Subcontractors or Business Associates will receive or create protected health information (PHI) on behalf of the contractor, the contractor shall obtain satisfactory assurances from its business associate that the business associate will appropriately safeguard the protected health information. The satisfactory assurances must be in writing, whether in the form of a contract or other agreement between the Contractor and the business associate.  In the event of a suspected or known security or privacy breach, in addition to following the procedures set forth in 45 C.F.R. Part 164, the contractor shall also immediately notify the NIH via the Contracting Officer (CO)and the Contracting Officer’s Representative (COR).

g.Sharing Data and Reports:  The Contractor will be required to provide data and reports (e.g., manufacturing, supply chain, production rates), which NIH will use to evaluate completion or achievement of milestones, progress toward deliverables, and compliance with the requirements of this contract.  NIH may use the data to coordinate with other U.S. Government Agencies to accelerate development and deployment of innovative COVID-19 diagnostic tests, and ensure effective stewardship of federal funds.  The reports and data shall not be disclosed outside of the U.S. Government. Sharing data within the federal government enables NIH to discuss the project’s challenges and progress with federal agencies offering scientific, manufacturing, and logistics expertise.  To ensure that innovations are available to the public as quickly as possible, NIH will leverage established partnerships with federal agencies, such as FDA, CDC, CMS, ASPR/BARDA, and the Department of Defense, and partnerships with State agencies to propel technologies developed by RADx into widespread use.

h.Contractor Facilities: The contractor shall certify that they will maintain their Facility and Equipment in satisfactory operating condition, as required to enable the contractor to perform the deliverables and achieve the milestones in accordance with the Statement of Objectives and all other applicable laws, regulations, rules or orders. Routine repairs, preventive maintenance, and service contracts for the Facility and Equipment beyond that accounted for in the contract shall be arranged by contractor at no additional cost to the Government.   

i.The novel coronavirus (COVID-19) pandemic has introduced new cybersecurity risks both at the NIH and across the globe. NIH and NIBIB recognize that that the high profile nature of the RADx response may attract the attention of highly motivated malicious actors and want vendors to understand that the risks are real and there is a strong interest in protecting the valued work being conducted through these contracts. NIH and NIBIB are asking vendors to consider their current security posture and to make all reasonable efforts to protect their environment, Information technology, and the products that are being produced.  NIST Special Publication 800-171 can be a useful tool or measuring stick to understand your current security posture as it relates to government computer security standards.  Templates can be found at https://csrc.nist.gov/publications/detail/sp/800-171/rev-2/final .

j.Contract Termination: In accordance with FAR 52.212-4 (l) Termination for the Government’s convenience. The Government reserves the right to terminate this contract, or any part hereof, for its sole convenience. In the event of such termination, the Contractor shall immediately stop all work hereunder and shall immediately cause any and all of its suppliers and subcontractors to cease work. 
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Subject to the terms of this contract, the Contractor shall be paid a percentage of the contract price reflecting the percentage of the work performed prior to the notice of termination, plus reasonable charges the Contractor can demonstrate to the satisfaction of the Government using its standard record keeping system, have resulted from the termination. The Contractor shall not be required to comply with the cost accounting standards or contract cost principles for this purpose. This paragraph does not give the Government any right to audit the Contractor’s records. The Contractor shall not be paid for any work performed or costs incurred which reasonably could have been avoided.

k.Contract Termination: In accordance with FAR 52.212-4(m), the Government may terminate this contract, or any part hereof, for cause in the event of any default by the Contractor, or if the Contractor fails to comply with any contract terms and conditions, or fails to provide the Government, upon request, with adequate assurances of future performance. In the event of termination for cause, the Government shall not be liable to the Contractor for any amount for supplies or services not accepted, and the Contractor shall be liable to the Government for any and all rights and remedies provided by law. If it is determined that the Government improperly terminated this contract for default, such termination shall be deemed a termination for convenience.

l.Any imported materials must be FDA-approved for use in the U.S.

m.In accordance with the goals of the RADx program, during the Period of Performance (as defined below) the tests manufactured under this contract are to be sold within the U.S. and its territories; provided, however, that, to the extent there is insufficient demand within the U.S. and its territories for the tests produced up to the additional manufacturing capacity funded by NIH and then available (as described in the Schedule of Deliverables), contractor will be permitted to sell such tests outside the U.S. and its territories. The factors, process and mechanism to determine whether contractor has insufficient demand for the tests up to the then-available capacity will be determined on a case by case basis and with approval of the Contracting Officer.

n.Purchase of clinical samples is permited under this contract and identified as a separate line item.  If samples are not purchased this line item will not be billed against and therefore deobligated from the contract.

SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT 

ARTICLE C.1. STATEMENT OF OBJECTIVES

Independently and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities, not otherwise provided by the Government as needed to perform the Statement of Objectives, dated July 27, 2020 and the Performance Work Statement (PWS) dated August 31, 2020, set forth in SECTION J – List of Attachments, attached hereto and made a part of this Contract. Work to be performed shall be consistent with the application and preliminary work file submitted by the Contractor and subsequent documentation submitted during the application review process and the discussions between the parties that have taken place between date of application submission through contract award. 

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ARTICLE C.2. REPORTING REQUIREMENTS

All reports required herein shall be submitted in electronic format only. All electronic reports submitted shall be compliant with Section 508 of the Rehabilitation Act of 1973. Additional information about testing documents for Section 508 compliance, including guidance and specific checklists, by application, can be found at: http://www.hhs.gov/web/508/index.html under "Making Files Accessible."

The following reporting requirements shall be submitted electronically to the Contracting Officer and Contracting Officer’s Representative in accordance with the due dates specified below: 

									
	Item No.	Reporting Requirements	Due Date
	1	Bi-weekly Production Status Report – to include the following:
•current plant production capacity and output on a per-week basis, 
•a breakdown of capacity and output on a per-line/per week basis, 
•a description of any issues/problems encountered with plans for solution/mitigation (e.g., delays in meeting deliverables, supply chain issues, design/validation issues, etc.)
•sales reporting to include the name and kind of organization, as well as the number of IFCs sold to that organization during the reporting period.  Sales reports may be submitted in every other bi-weekly report (i.e. monthly).

	[***]

	2	Final Report  - Summary of salient results of the entire contract period, including number of lines built, production capacity over time, production output over time, and a summary of the sales reports. It shall include evidence of sustained production at capacity levels or higher assuming demand has not decreased.	[***]

 

SECTION D – PACKAGING, MARKING, AND SHIPPING

There are no additional instructions or specifications applicable to this contract other than the delivery instructions contained herein.

SECTION E - INSPECTION AND ACCEPTANCE

a.The Contracting Officer or the duly authorized Contracting Officer’s Representative (COR) will perform inspection and acceptance of deliverables to be performed and the milestones to be achieved.

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b.Inspection and acceptance will be performed utilizing the success criteria outlined in the deliverable schedule.

SECTION F - DELIVERIES OR PERFORMANCE 

ARTICLE F.1. PERIOD OF PERFORMANCE

The period of performance of the contract is [***].

ARTICLE F.2. DELIVERIES

Satisfactory performance shall be deemed to occur upon performance of the work described in the Statement of Objectives Article in SECTION C of this Contract and upon notice and acceptance by the Contracting Officer, or the duly authorized representative, in accordance with the stated deliverables schedule  as listed in the Performance Work Statement (PWS) (See Attachment 2).

The deliverables or documentation shall be submitted to the Contracting Officer and designated Contracting Officer Representative (COR) by email.

SECTION G - CONTRACT ADMINISTRATION DATA

ARTICLE G.1. CONTRACTING OFFICER (CO)

The following Contracting Officer (CO) will represent the Government for the purpose of
this contract:

Name: Roxane Burkett
Telephone: 301.827.7535
Email: burkettr@nhlbi.nih.gov   

The Contracting Officer is the only person with authority to act as agent of the Government
under this contract. Only the Contracting Officer has authority to:
1) direct or negotiate any changes in the Statement of Objectives or Performance Work Statement;
2) modify or extend the period of performance;
3) change the deliverables or milestones schedule;
4) authorize reimbursement to the Contractor for any costs incurred during the performance of this Contract; 
5) otherwise change any terms and conditions of this Contract; 

All correspondence (including invoices) that proposes or otherwise involves waivers, deviations, or modifications to requirement shall be provided to the CO issuing this Contract and the COR supporting the CO.

ARTICLE G.2. CONTRACTING OFFICER'S REPRESENTATIVE (COR)

The following Contracting Officer's Representative (COR) is anticipated to represent the Government for the purpose of this contract:

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Olga Hartman, PhD
Telephone: 443-350-7696
Email: olga.hartman.civ@mail.mil

The COR is responsible for: 
(1) monitoring the Contractor's technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements; 
(2) interpreting the Statement of Objectives and any other technical performance requirements; 
(3) performing technical evaluation as required; 
(4) performing technical inspections and acceptances required by this Contract; and 
(5) assisting in the resolution of technical problems encountered during performance.

The Government may unilaterally change the COR designation.

ARTICLE G.3. PRIMARY PROGRAM MANAGER

The Primary Program Manager specified in this contract is considered to be essential to work performance. At least 30 days prior to any changes to the individual listed below to other programs or contracts (or as soon as reasonably possible, if an individual must be replaced, for example, as a result of leaving the employ of the Contractor), the Contractor shall notify the Contracting Officer and shall submit comprehensive justification for the change request (including proposed substitutions for primary program manager) to permit evaluation by the Government of the impact on performance under this contract. The Contractor shall not replace any primary program manager without the written consent of the Contracting Officer. The Government may modify the contract to add or delete primary program manager at the request of the Contractor or Government. In no case shall the individual’s effort exceed 100% across all contracts.

[***]
[***]

ARTICLE G.4. INVOICE SUBMISSION

In addition to the requirements specified in FAR 32.905 for a proper invoice, the Contractor shall include the following information on the face page of all contract payment requests:
a.The Contract Title is: RADx Tech Fluidigm  6114 – “Advanta Dx SARS-CoV-2 RT-PCR Assay for Saliva”  
b.The Contract Line Items are defined within the Section 20. Schedule of Supplies/Services of the Standard Form 1449.
c.Invoice Instructions are attached and made part of this Contract. The Contractor shall follow the attached instructions and submission procedures specified below to meet the requirements of a "proper invoice" pursuant to FAR Subpart 32.9, Prompt Payment. 
1.Payment requests shall be submitted to the offices identified below. Do not submit supporting documentation (e.g., receipts, time sheets, vendor invoices, etc.) with your payment request unless specified elsewhere in this Contract or requested by the Contracting Officer.

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a.One copy of the invoice shall be submitted to the approving official at the following email addresses:
NHLBI Branch B Central Mailbox (NHLBIContractsBranchB@mail.nih.gov) 

NIH centralized invoice email box: invoicing@nih.gov 
2.E-Mail: The Contractor shall submit an electronic copy of the payment request to the approving official. The payment request shall be transmitted as an attachment via e-mail to the address listed above in one of the following formats:  MSWord, MS Excel, or Adobe Portable Document Format (PDF).  Only one payment request shall be submitted per e-mail and the subject line of the e-mail shall include the Contractor's name, contract number, and unique invoice number.    
3.In addition to the requirements specified in FAR 32.905 for a proper invoice, the Contractor shall include the following information on the face page of all payment requests (invoices):
a.Name of the Office of Acquisitions. The Office of Acquisitions for this contract is NHLBI. 
b.Central Point of Distribution. For the purpose of this contract, the Central Point of Distribution is NHLBI Branch B Invoices.
c.Federal Taxpayer Identification Number (TIN).  If the Contractor does not have a valid TIN, it shall identify the Vendor Identification Number (VIN) on the payment request.  The VIN is the number that appears after the Contractor's name on the face page of the contract.  [Note:  A VIN is assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.]   If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer.  
d.DUNS or DUNS+4 Number.  The DUNS number must identify the Contractor's name and address exactly as stated in the contract and as registered in the Central Contractor Registration (CCR) database.  If the Contractor does not have a valid DUNS number, it shall identify the Vendor Identification Number (VIN) on the payment request.  The VIN is the number that appears after the Contractor's name on the face page of the contract.  [Note: A VIN is assigned to new contracts awarded on or after June 4, 2007, and any existing contract modified to include the VIN number.]   If the Contractor has neither a TIN, DUNS, or VIN, contact the Contracting Officer.
e.Invoice Matching Option.  This Contract requires a two-way match.
f.Unique Invoice Number.  Each payment request must be identified by a unique invoice number, which can only be used one time regardless of the number of contracts or orders held by an organization.
g.PRISM/NBS Line Item Number and associated PRISM/NBS Line Item Period of Performance (see Section B – PRICES/OPTION).
       d.   Inquiries regarding payment of invoices shall be directed to the designated billing office, (301) 496-6088.

SECTION H - ADDITONAL CONTRACT CLAUSES    

ARTICLE H.1. CONFIDENTIALITY OF INFORMATION

a.Confidential information, as used in this article, means information or data of a personal 
Contract number 75N92020C00009                                Page 14

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nature about an individual, or proprietary information or data submitted by or pertaining to an institution or organization.

b.The Contracting Officer and the Contractor may, by mutual consent, identify elsewhere in this  Contract specific information and/or categories of information which the Government will furnish to the Contractor or that the Contractor is expected to generate which is confidential. Similarly, the Contracting Officer and the Contractor may, by mutual consent, identify such confidential information from time to time during the performance of the Contract. Failure to agree will be settled pursuant to the "Disputes" clause.

c.If it is established elsewhere in this Contract that information to be utilized under this contract, or a portion thereof, is subject to the Privacy Act, the Contractor will follow the rules and procedures of disclosure set forth in the Privacy Act of 1974, 5 U.S.C. 552a, and implementing regulations and policies, with respect to systems of records determined to be subject to the Privacy Act.

d.Confidential information, as defined in paragraph (a) of this article, shall not be disclosed without the prior written consent of the individual, institution, or organization.

e.Whenever the Contractor is uncertain with regard to the proper handling of material under the contract, or if the material in question is subject to the Privacy Act or is confidential information subject to the provisions of this article, the Contractor should obtain a written determination from the Contracting Officer prior to any release, disclosure, dissemination, or publication.

f.Contracting Officer determinations will reflect the result of internal coordination with appropriate program and legal officials.

g.The provisions of paragraph (d) of this article shall not apply to conflicting or overlapping provisions in other Federal, State or local laws.

ARTICLE H.2. PUBLICATION AND PUBLICITY

In addition to the requirements set forth in HHSAR Clause 352.227-70, Publications and Publicity incorporated by reference in SECTION I of this contract, the Contractor shall acknowledge the support of the National Institutes of Health whenever publicizing the work under this Contract in any media by including an acknowledgment substantially as follows:

"This project has been funded in whole or in part with Federal funds from the National Institute
of Biomedical Imaging and Bioengineering, National Institutes of Health, Department of Health
and Human Services, under Contract No. 75N92020C0009."

In addition to acknowledging NIH funding, the Contractor shall refer any media inquiries relating to the role of the US Government in their contract to the COR within one day for a response.

ARTICLE H.3. REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE

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Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in NIH funded programs is encouraged to report such matters to the HHS Inspector General's Office in writing or on the Inspector General's Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled confidentially. The website to file a complaint on-line is: http://oig.hhs.gov/fraud/hotline/ and the mailing address is:
US Department of Health and Human Services Office of Inspector General
ATTN: OIG HOTLINE OPERATIONS
P.O. Box 23489 Washington, D.C. 20026

ARTICLE H.4. ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY, HHSAR 352.239-74 (December 2015)  
a.Pursuant to Section 508 of the Rehabilitation Act of 1973(29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998, all electronic and information technology (EIT) supplies and services developed, acquired, or maintained under this contract or order must comply with the "Architectural and Transportation Barriers Compliance Board Electronic and Information Technology (EIT) Accessibility Standards'' set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the "Access Board'') in 36 CFR part 1194. Information about Section 508 is available at http://www.hhs.gov/web/508 . The complete text of Section 508 Final Provisions can be accessed at http://www.access-board.gov/guidelines-and-standards/communications-and-it/about-the-section-508-standards .

b.The Section 508 accessibility standards applicable to this contract or order are identified below. The contractor must provide any necessary updates to the submitted HHS Product Assessment Template(s) at the end of each contract or order exceeding the simplified acquisition threshold (see FAR 2.101) when the contract or order duration is one year or less. If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the contract, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

c.The Section 508 accessibility standards applicable to this contract are:
•300 – Functional Performance Requirements 
•500 – Software Standards General
•600 – Support Services & Documentation Standards
•WCAG Level A Requirements
•WCAG Level AA Requirements

d.In the event of a modification(s) to this contract or order, which adds new EIT supplies or services or revises the type of, or specifications for, supplies or services, the Contracting Officer may require that the contractor submit a completed HHS Section 508 Product Assessment Template and any other additional information necessary to assist the Government in determining that the EIT supplies or services conform to Section 508 accessibility standards. Instructions for documenting accessibility via the HHS Section 508 Product Assessment Template may be found under Section 508 policy on the HHS Web site: ( http://www.hhs.gov/web/508 ). If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the contract, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

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e.If this is an Indefinite Delivery contract, a Blanket Purchase Agreement or a Basic Ordering Agreement, the task/delivery order requests that include EIT supplies or services will define the specifications and accessibility standards for the order. In those cases, the Contractor may be required to provide a completed HHS Section 508 Product Assessment Template and any other additional information necessary to assist the Government in determining that the EIT supplies or services conform to Section 508 accessibility standards. Instructions for documenting accessibility via the HHS Section 508 Product Assessment Template may be found at http://www.hhs.gov/web/508 . If it is determined by the Government that EIT supplies and services provided by the Contractor do not conform to the described accessibility standards in the provided documentation, remediation of the supplies or services to the level of conformance specified in the contract will be the responsibility of the Contractor at its own expense.

    (End of clause)

PART II - CONTRACT CLAUSES 

SECTION I - CONTRACT CLAUSES

ARTICLE I.1. ADDITIONAL CONTRACT CLAUSES

This contract incorporates the following clauses by reference, (unless otherwise noted), with the same force and effect as if they were given in full text. 

1.    FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES
a.FAR Clause 52.202-1 Definitions 
b.FAR Clause 52.203-6 Restrictions on Subcontractor Sales to the Government.
i.Alternate I 52.203-6
c.FAR Clause 52.203-13, Contractor Code of Business Ethics and Conduct (October 2015)
d.FAR Clause 52.203-17 Contractor Employee Whistleblower Rights and Requirement To Inform Employees of Whistleblower Rights.
e.FAR Clause 52.204-9, Personal Identity Verification of Contractor Personnel (January 2011).
f.FAR Clause 52.204-13, System for Award Management Maintenance
g.FAR Clause 52.204-18 Commercial and Government Entity Code Maintenance (July 2016)
h.FAR Clause 52.204-23 Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities
i.FAR Clause 52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services of Equipment (Aug 2020)
j.FAR Clause 52.209-10, Prohibition on Contracting With Inverted Domestic Corporations(November 2015).
k.FAR Provision 52.212-3, Offeror Representations and Certifications – Commercial Items (Jun 2020) 
l.FAR Clause 52.212-4 Contract Terms and Conditions – Commercial Items (Oct 2018)
m.FAR Clause 52.222-4, Contract Work Hours and Safety Standards - Overtime Compensation -General (May 2014).
n.FAR Clause 52.222-29, Notification of Visa Denial (April 2015).
o.FAR Clause 52.223-15, Energy Efficiency in Energy-Consuming Products (December 2007).

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p.FAR Clause 52.227-11 Patent Rights-Ownership by the Contractor
q.FAR Clause 52.227-14, Rights in Data - General (May 2014).
r.FAR Clause 52.227-14, Rights in Data - General (May 2014) Alternate II (Dec 2007).
s.FAR Clause 52.232-40, Providing Accelerated Payments to Small Business Subcontractors

    
2. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CHAPTER CLAUSES:
a.HHSAR Clause 352.227-70, Publications and Publicity

ARTICLE I.2. ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT
a.FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES

This contract incorporates the following clauses in full text.

i.FAR Clause 52.204-21, Basic Safeguarding of Covered Contractor Information Systems (Jun 2016)

      (a) Definitions. As used in this clause–

Covered contractor information system means an information system that is owned or operated by a contractor that processes, stores, or transmits Federal contract information.

Federal contract information means information, not intended for public release, that is provided by or generated for the Government under a contract to develop or deliver a product or service to the Government, but not including information provided by the Government to the public (such as on public websites) or simple transactional information, such as necessary to process payments.

Information means any communication or representation of knowledge such as facts, data, or opinions, in any medium or form, including textual, numerical, graphic, cartographic, narrative, or audiovisual (Committee on National Security Systems Instruction (CNSSI) 4009).

Information system means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information (44 U.S.C. 3502).

Safeguarding means measures or controls that are prescribed to protect information systems.

      (b) Safeguarding requirements and procedures.

(1) The Contractor shall apply the following basic safeguarding requirements and procedures to protect covered contractor information systems. Requirements and procedures for basic safeguarding of covered contractor information systems shall 
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include, at a minimum, the following security controls:

(i) Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).

(ii) Limit information system access to the types of transactions and functions that authorized users are permitted to execute.

(iii) Verify and control/limit connections to and use of external information systems.

(iv) Control information posted or processed on publicly accessible information systems.

(v) Identify information system users, processes acting on behalf of users, or devices.

(vi) Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.

(vii) Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.

(viii) Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.

(ix) Escort visitors and monitor visitor activity; maintain audit logs of physical access; and control and manage physical access devices.
(x) Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.

(xi) Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

(xii) Identify, report, and correct information and information system flaws in a timely manner.

(xiii) Provide protection from malicious code at appropriate locations within organizational information systems.

(xiv) Update malicious code protection mechanisms when new releases are available.

(xv) Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.

(2) Other requirements. This clause does not relieve the Contractor of any other specific safeguarding requirements specified by Federal agencies and departments relating to covered contractor information systems generally or other Federal safeguarding requirements for controlled unclassified information (CUI) as established by Executive 
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Order 13556.

(c) Subcontracts. The Contractor shall include the substance of this clause, including this paragraph (c), in subcontracts under this contract (including subcontracts for the acquisition of commercial items, other than commercially available off-the-shelf items), in which the subcontractor may have Federal contract information residing in or transiting through its information system.    

(End of clause)

ii.FAR 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders-Commercial Items (Aug 2020)

(a) The Contractor shall comply with the following Federal Acquisition Regulation (FAR) clauses, which are incorporated in this contract by reference, to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
(1) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).
(2) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91).    
(3) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (Aug 2020) (Section 889(a)(1)(A) of Pub. L. 115-232).           
(4) 52.209-10, Prohibition on Contracting with Inverted Domestic Corporations (Nov 2015).           
(5) 52.233-3, Protest After Award (Aug 1996) (31 U.S.C. 3553).           
(6) 52.233-4, Applicable Law for Breach of Contract Claim (Oct 2004) (Public Laws 108-77 and 108-78 ( 19 U.S.C. 3805 note)).
  
(b) The Contractor shall comply with the FAR clauses in this paragraph (b) that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
[Contracting Officer check as appropriate.] – 

_X_ (1) 52.203-6, Restrictions on Subcontractor Sales to the Government (June 2020), with Alternate I (Oct 1995) ( 41U.S.C.4704 and 10 U.S.C. 2402).
_X_ (2) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509)).
__ (3) 52.203-15, Whistleblower Protections under the American Recovery and Reinvestment Act of 2009 (Jun 2010) (Section 1553 of Pub. L. 111-5). (Applies to contracts funded by the American Recovery and Reinvestment Act of 2009.)

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_X_ (4) 52.204-10, Reporting Executive Compensation and First-Tier Subcontract Awards (Jun 2020) (Pub. L. 109-282) ( 31 U.S.C. 6101 note).
__ (5) [Reserved].
_X_ (6) 52.204-14, Service Contract Reporting Requirements (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).
__ (7) 52.204-15, Service Contract Reporting Requirements for Indefinite-Delivery Contracts (Oct 2016) (Pub. L. 111-117, section 743 of Div. C).
_X_ (8) 52.209-6, Protecting the Government’s Interest When Subcontracting with Contractors Debarred, Suspended, or Proposed for Debarment. (Jun 2020) (31 U.S.C. 6101 note).
_X_ (9) 52.209-9, Updates of Publicly Available Information Regarding Responsibility Matters (Oct 2018) (41 U.S.C. 2313).
__ (10) [Reserved].
__ (11) (i) 52.219-3, Notice of HUBZone Set-Aside or Sole-Source Award (Mar 2020) (15 U.S.C. 657a).
__ (ii) Alternate I (Mar 2020) of 52.219-3.
__ (12) (i) 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Mar 2020) (if the offeror elects to waive the preference, it shall so indicate in its offer) (15 U.S.C. 657a).
__ (ii) Alternate I (Mar 2020) of 52.219-4.
__ (13) [Reserved]
__ (14) (i) 52.219-6, Notice of Total Small Business Set-Aside (Mar 2020) of 52.219-6 (15 U.S.C. 644).
__ (ii) Alternate I (Mar 2020) of 52.219-6 .
__ (15) (i) 52.219-7, Notice of Partial Small Business Set-Aside (Mar 2020) (15 U.S.C. 644).
__ (ii) Alternate I (Mar 2020) of 52.219-7.
_X_ (16) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)).
__ (17) (i) 52.219-9, Small Business Subcontracting Plan (Jun 2020) (15 U.S.C. 637(d)(4)).
__    (ii) Alternate I (Nov 2016) of 52.219-9.
__   (iii) Alternate II (Nov 2016) of 52.219-9.
__   (iv)Alternate III (Jun 2020) of 52.219-9.
__   (v)Alternate IV (Jun 2020) of 52.219-9
__ (18) (i) 52.219-13, Notice of Set-Aside of Orders (Mar 2020) (15 U.S.C. 644(r)).
__ (ii) Alternate I (Mar 2020) of 52.219-13.
__ (19) 52.219-14, Limitations on Subcontracting (Mar 2020) (15 U.S.C. 637(a)(14)).
__ (20) 52.219-16, Liquidated Damages-Subcontracting Plan (Jan 1999) (15 U.S.C. 637(d)(4)(F)(i)).
__ (21) 52.219-27, Notice of Service-Disabled Veteran-Owned Small Business Set-Aside (Mar 2020) (15 U.S.C. 657f).
__ (22) (i) 52.219-28, Post Award Small Business Program Rerepresentation (May 2020) (15 U.S.C. 632(a)(2)).
__ (ii) Alternate I (MAR 2020) of 52.219-28.
__ (23) 52.219-29, Notice of Set-Aside for, or Sole Source Award to, Economically Disadvantaged Women-Owned Small Business Concerns (Mar 2020) (15 U.S.C. 637(m)).
__ (24) 52.219-30, Notice of Set-Aside for, or Sole Source Award to, Women-Owned Small Business Concerns Eligible Under the Women-Owned Small Business Program (Mar2020) (15 U.S.C. 637(m)).
__ (25)  52.219-32, Orders Issued Directly Under Small Business Reserves (Mar 2020)(15 U.S.C. 
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       644(r)). 
__ (26) 52.219-33, Nonmanufacturer Rule (Mar 2020) (15U.S.C. 637(a)(17)).
_X_ (27) 52.222-3, Convict Labor (Jun 2003) (E.O.11755).
_X_ (28) 52.222-19, Child Labor- Cooperation with Authorities and Remedies (Jan2020) (E.O.13126)  
_X_ (29) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).
_X_ (30) (i) 52.222-26, Equal Opportunity (Sep 2016) (E.O.11246).
__ (ii) Alternate I (Feb 1999) of 52.222-26.
__ (31) (i) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).
__ (ii) Alternate I (Jul 2014) of 52.222-35.
__ (32) (i) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).
__ (ii) Alternate I (Jul 2014) of 52.222-36.
__ (33) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).
_X_ (34) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) (E.O. 13496).
_X_ (35) (i) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O. 13627).
__ (ii) Alternate I (Mar 2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).
__ (36) 52.222-54, Employment Eligibility Verification (Oct 2015). (Executive Order 12989). (Not applicable to the acquisition of commercially available off-the-shelf items or certain other types of commercial items as prescribed in 22.1803.)
__ (37) (i) 52.223-9, Estimate of Percentage of Recovered Material Content for EPA–Designated Items (May 2008) ( 42 U.S.C. 6962(c)(3)(A)(ii)). (Not applicable to the acquisition of commercially available off-the-shelf items.)
__ (ii) Alternate I (May 2008) of 52.223-9 (42 U.S.C. 6962(i)(2)(C)). (Not applicable to the acquisition of commercially available off-the-shelf items.)
__ (38) 52.223-11, Ozone-Depleting Substances and High Global Warming Potential Hydrofluorocarbons (Jun 2016) (E.O. 13693).
__ (39) 52.223-12, Maintenance, Service, Repair, or Disposal of Refrigeration Equipment and Air Conditioners (Jun 2016) (E.O. 13693).
__ (40) (i) 52.223-13, Acquisition of EPEAT®-Registered Imaging Equipment (Jun 2014) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Oct 2015) of 52.223-13.
__ (41) (i) 52.223-14, Acquisition of EPEAT®-Registered Televisions (Jun 2014) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Jun2014) of 52.223-14.
__ (42) 52.223-15, Energy Efficiency in Energy-Consuming Products (May 2020) (42 U.S.C. 8259b).
__ (43) (i) 52.223-16, Acquisition of EPEAT®-Registered Personal Computer Products (Oct 2015) (E.O.s 13423 and 13514).
__ (ii) Alternate I (Jun 2014) of 52.223-16.
_X_ (44) 52.223-18, Encouraging Contractor Policies to Ban Text Messaging While Driving (Jun 2020) (E.O. 13513).
__ (45) 52.223-20, Aerosols (Jun 2016) (E.O. 13693).
__ (46) 52.223-21, Foams (Jun2016) (E.O. 13693).
_ (47) (i) 52.224-3 Privacy Training (Jan 2017) (5 U.S.C. 552 a).
__ (ii) Alternate I (Jan 2017) of 52.224-3.
__ (48) 52.225-1, Buy American-Supplies (May 2014) (41 U.S.C. chapter 83).

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__ (49) (i) 52.225-3, Buy American-Free Trade Agreements-Israeli Trade Act (May 2014) (41 U.S.C.chapter83, 19 U.S.C. 3301 note, 19 U.S.C. 2112 note, 19 U.S.C. 3805 note, 19 U.S.C. 4001 note, Pub. L. 103-182, 108-77, 108-78, 108-286, 108-302, 109-53, 109-169, 109-283, 110-138, 112-41, 112-42, and 112-43.
__ (ii) Alternate I (May 2014) of 52.225-3.
__ (iii) Alternate II (May 2014) of 52.225-3.
__ (iv) Alternate III (May 2014) of 52.225-3.
__ (50) 52.225-5, Trade Agreements (Oct 2019) (19 U.S.C. 2501, et seq., 19 U.S.C. 3301 note).
_X_ (51) 52.225-13, Restrictions on Certain Foreign Purchases (Jun 2008) (E.O.’s, proclamations, and statutes administered by the Office of Foreign Assets Control of the Department of the Treasury).
__ (52) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10 U.S.C. 2302Note).
__ (53) 52.226-4, Notice of Disaster or Emergency Area Set-Aside (Nov2007) (42 U.S.C. 5150).
__ (54) 52.226-5, Restrictions on Subcontracting Outside Disaster or Emergency Area (Nov2007) (42 U.S.C. 5150).
__ (55) 52.229-12, Tax on Certain Foreign Procurements (Jun 2020).
__ (56) 52.232-29, Terms for Financing of Purchases of Commercial Items (Feb 2002) (41 U.S.C. 4505, 10 U.S.C. 2307(f)).
__ (57) 52.232-30, Installment Payments for Commercial Items (Jan2017) (41 U.S.C. 4505, 10 U.S.C. 2307(f)).
_X_ (58) 52.232-33, Payment by Electronic Funds Transfer-System for Award Management (Oct2018) (31 U.S.C. 3332).
__ (59) 52.232-34, Payment by Electronic Funds Transfer-Other than System for Award Management (Jul 2013) (31 U.S.C. 3332).
__ (60) 52.232-36, Payment by Third Party (May 2014) (31 U.S.C. 3332).
__ (61) 52.239-1, Privacy or Security Safeguards (Aug 1996) (5 U.S.C. 552a).
_X_ (62) 52.242-5, Payments to Small Business Subcontractors (Jan 2017) (15 U.S.C. 637(d)(13)).
__ (63) (i) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631).
__ (ii) Alternate I (Apr 2003) of 52.247-64.
__ (iii) Alternate II (Feb 2006) of 52.247-64.
 (c) The Contractor shall comply with the FAR clauses in this paragraph (c), applicable to commercial services, that the Contracting Officer has indicated as being incorporated in this contract by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items:
     [Contracting Officer check as appropriate.]
__ (1) 52.222-41, Service Contract Labor Standards (Aug 2018) (41 U.S.C. chapter67).
__ (2) 52.222-42, Statement of Equivalent Rates for Federal Hires (May 2014) (29 U.S.C. 206 and 41 U.S.C. chapter 67).
__ (3) 52.222-43, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (Multiple Year and Option Contracts) (Aug 2018) (29 U.S.C. 206 and 41 U.S.C. chapter 67).
__ (4) 52.222-44, Fair Labor Standards Act and Service Contract Labor Standards-Price Adjustment (May 2014) ( 29U.S.C.206 and 41 U.S.C. chapter 67).
__ (5) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May 
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        2014) (41 U.S.C. chapter 67).
__ (6) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Requirements (May 2014) (41 U.S.C. chapter 67).
__ (7) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015).
__ (8) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706).
__ (9) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C. 1792).

 (d) Comptroller General Examination of Record. The Contractor shall comply with the provisions of this paragraph (d) if this contract was awarded using other than sealed bid, is in excess of the simplified acquisition threshold, as defined in FAR 2.101, on the date of award of this contract, and does not contain the clause at 52.215-2, Audit and Records-Negotiation.
 (1) The Comptroller General of the United States, or an authorized representative of the Comptroller General, shall have access to and right to examine any of the Contractor’s directly pertinent records involving transactions related to this contract.
 (2) The Contractor shall make available at its offices at all reasonable times the records, materials, and other evidence for examination, audit, or reproduction, until 3 years after final payment under this contract or for any shorter period specified in FAR subpart 4.7, Contractor Records Retention, of the other clauses of this contract. If this contract is completely or partially terminated, the records relating to the work terminated shall be made available for 3 years after any resulting final termination settlement. Records relating to appeals under the disputes clause or to litigation or the settlement of claims arising under or relating to this contract shall be made available until such appeals, litigation, or claims are finally resolved.
 (3) As used in this clause, records include books, documents, accounting procedures and practices, and other data, regardless of type and regardless of form. This does not require the Contractor to create or maintain any record that the Contractor does not maintain in the ordinary course of business or pursuant to a provision of law.
 (e)(1) Notwithstanding the requirements of the clauses in paragraphs (a), (b), (c), and (d) of this clause, the Contractor is not required to flow down any FAR clause, other than those in this paragraph (e)(1) in a subcontract for commercial items. Unless otherwise indicated below, the extent of the flow down shall be as required by the clause-
 (i) 52.203-13, Contractor Code of Business Ethics and Conduct (Jun 2020) (41 U.S.C. 3509).
 (ii) 52.203-19, Prohibition on Requiring Certain Internal Confidentiality Agreements or Statements (Jan 2017) (section 743 of Division E, Title VII, of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) and its successor provisions in subsequent appropriations acts (and as extended in continuing resolutions)).
 (iii) 52.204-23, Prohibition on Contracting for Hardware, Software, and Services Developed or Provided by Kaspersky Lab and Other Covered Entities (Jul 2018) (Section 1634 of Pub. L. 115-91).
 (iv) 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (Aug 2020) (Section 889(a)(1)(A) of Pub. L. 115-232).
 (v) 52.219-8, Utilization of Small Business Concerns (Oct 2018) (15 U.S.C. 637(d)(2) and (3)), in all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business concerns) exceeds the applicable threshold specified in 
Contract number 75N92020C00009                                Page 24

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       FAR 19.702(a) on the date of subcontract award, the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities.
 (vi) 52.222-21, Prohibition of Segregated Facilities (Apr 2015).
 (vii) 52.222-26, Equal Opportunity (Sep 2015) (E.O.11246).
 (viii) 52.222-35, Equal Opportunity for Veterans (Jun 2020) (38 U.S.C. 4212).
 (ix) 52.222-36, Equal Opportunity for Workers with Disabilities (Jun 2020) (29 U.S.C. 793).
 (x) 52.222-37, Employment Reports on Veterans (Jun 2020) (38 U.S.C. 4212).
 (xi) 52.222-40, Notification of Employee Rights Under the National Labor Relations Act (Dec 2010) (E.O. 13496). Flow down required in accordance with paragraph (f) of FAR clause 52.222-40.
 (xii) 52.222-41, Service Contract Labor Standards (Aug2018) (41 U.S.C. chapter 67).
 (xiii) (A) 52.222-50, Combating Trafficking in Persons (Jan 2019) (22 U.S.C. chapter 78 and E.O 13627).
 (B) Alternate I (Mar2015) of 52.222-50 (22 U.S.C. chapter 78 and E.O. 13627).
 (xiv) 52.222-51, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Requirements (May2014) (41 U.S.C. chapter 67).
 (xv) 52.222-53, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services-Requirements (May2014) (41 U.S.C. chapter 67).
 (xvi) 52.222-54, Employment Eligibility Verification (Oct 2015) (E.O. 12989).
 (xvii) 52.222-55, Minimum Wages Under Executive Order 13658 (Dec 2015).
 (xviii) 52.222-62, Paid Sick Leave Under Executive Order 13706 (Jan 2017) (E.O. 13706).
 (xix) (A) 52.224-3, Privacy Training (Jan 2017) (5 U.S.C. 552a).
 (B) Alternate I (Jan 2017) of 52.224-3.
 (xx) 52.225-26, Contractors Performing Private Security Functions Outside the United States (Oct 2016) (Section 862, as amended, of the National Defense Authorization Act for Fiscal Year 2008; 10 U.S.C. 2302 Note).
 (xxi) 52.226-6, Promoting Excess Food Donation to Nonprofit Organizations (Jun 2020) (42 U.S.C. 1792). Flow down required in accordance with paragraph (e) of FAR clause 52.226-6.
 (xxii) 52.247-64, Preference for Privately Owned U.S.-Flag Commercial Vessels (Feb 2006) (46 U.S.C. Appx. 1241(b) and 10 U.S.C. 2631). Flow down required in accordance with paragraph (d) of FAR clause 52.247-64.
 (2) While not required, the Contractor may include in its subcontracts for commercial items a minimal number of additional clauses necessary to satisfy its contractual obligations.

(End of clause)

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 

SECTION J  - LIST OF ATTACHMENTS

a.Statement of Objectives
b.Performance Work Statement
Appendix 1: Cost-Price Quote
Appendix 2: Quality Assurance Surveillance Plan (QASP)

Contract number 75N92020C00009                                Page 25

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