Document:

Exhibit 10.3

	

	

	

	

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	AWARD/CONTRACT
	1.  THIS CONTRACT IS A RATED ORDER
	RATING
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	   1    61

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	 UNDER DPAS (15 CFR 700)
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	2.  CONTRACT (Proc. Inst. Ident.) NO.
	3.  EFFECTIVE DATE  
	4.  REQUISITION/PURCHASE REQUEST/PROJECT NO.

	75A50120C00159
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	See Block 20C OS263097

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	5.  ISSUED BY
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	ASPR-BARDA

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	ASPR-BARDA
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	200 Independence Ave.,
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	S.W. Room 640-G
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	Washington DC 20201
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	7.  NAME AND ADDRESS OF CONTRACTOR
	8.  DELIVERY
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	      (No., street, country, State and ZIP Code)
	          FOB ORIGIN        X
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	           ☐           ☐
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	MARINUS 
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	9.  DISCOUNT FOR PROMPT PAYMENT

	PHARMACEUTICALS INC
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	1564975
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	10.  SUBMIT INVOICES

	Attn: MICHAEL
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	(4 copies unless otherwise specified) TO THE ADDRESS

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	MCNAMARA
MARINUS PHARMACEUTICALS, INC.
100 MATSONFORD RD 
STE 304 RADNOR 
PA 190874558
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	CODE
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	1564975
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	11.  SHIP TO/MARK FOR
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	CODE
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	HHS/OS/ASPR
200 C St SW 
WASHINGTON DC 20201
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	13.  AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:
	14. ACCOUNTING AND APPROPRIATION DATA

	              10 U.S.C. 2304 (c) ( )
	X  41 U.S.C. 3304 (a) ( )

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	15A. ITEM NO
	15B. SUPPLIES/SERVICES

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	QUANTITY  UNIT
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Continued

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15G. TOTAL AMOUNT OF CONTRACT$21,338,880.00
16.  TABLE OF CONTENTS
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	(X)

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	DESCRIPTION

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	DESCRIPTION

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	PART I - THE SCHEDULE

	PART II - CONTRACT CLAUSES

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	A

	SOLICITATION/CONTRACT FORM

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	CONTRACT  CLAUSES

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	B

	SUPPLIES OR SERVICES AND PRICES/COSTS

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	PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

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	DESCRIPTION/SPECS./WORK   STATEMENT

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	LIST OF ATTACHMENTS

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	PACKAGING AND MARKING

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	PART IV - REPRESENTATIONS AND INSTRUCTIONS

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	INSPECTION AND ACCEPTANCE

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	REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS
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	DELIVERIES OR PERFORMANCE

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	CONTRACT ADMINISTRATION DATA

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	INSTRS., CONDS., AND NOTICES TO OFFERORS

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	SPECIAL CONTRACT REQUIREMENTS

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	EVALUATION FACTORS FOR AWARD

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CONTRACTING OFFICER WILL COMPLETE ITEM 17 (SEALED-BID OR NEGOTIATED PROCUREMENT) OR 18 (SEALED-BID PROCUREMENT) AS APPLICABLE
	17.CONTRACTOR' S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return​ ​copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the solicitation, if any, and (c) such provisions,
representations, certifications, and specifications, as are attached or incorporated by reference herein.  (Attachments are listed herein.)

	18. X SEALED-BID AWARD (Contractor is not required to sign this document.)  Your bid on Solicitation Number​ ​,
including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your bid, and (b) this award/contract.
No further contractual document is necessary. (Block 18 should be checked only when awarding a sealed-bid contract.)

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

	20A. NAME OF CONTRACTING OFFICER
James P. Bowers

	19B. 
MARINUS  PHARMACEUTICALS INC
1564975
BY /s/ Edward Smtih, Chief Financial Officer
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(Signature of person authorized to sign)

	19C.  DATE SIGNED
9/8/2020
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	20B. UNITED STATES OF AMERICA
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BY     /s/ James P. Bowers
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(Signature of the Contracting Officer)

	20C. DATE SIGNED
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9/8/2020

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AUTHORIZED FOR LOCAL REPRODUCTION
Previous edition is NOT usable

STANDARD FORM 26 (Rev. 3/2013)
Prescribed by GSA - FAR (48 CFR) 53.214(a)
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	CONTINUATION SHEET
	REFERENCE NO. OF DOCUMENT BEING CONTINUED
75A50120C00159
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	ITEM NO.
(A)

	SUPPLIES/SERVICES
(B)

	QUANTITY
(C)

	UNIT
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	UNIT PRICE
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	AMOUNT
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	Tax ID Number:20-0198082

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	DUNS Number:141007232

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	ASPR-20-03076 -- Base Period fund to Marinus Pharm

	aceuti

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	-- Ganaxolo

	e for the

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	Treatment of Status Epilepticus (SE)

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	Delivery: 08/03/2020

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	Appr. Yr.: 2020 CAN: 1992020 Object Class: 25106

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	FOB: Destination

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ASPR-20-03076 -- Base Period fund to Marinus

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21,338,880.0

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	Pharmaceuticals -- Ganaxolone for the Treatment

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	of Status Epilepticus (SE)

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	Obligated Amount: $21,338,880.00

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NAME OF OFFEROR OR CONTRACTOR
MARINUS PHARMACEUTICALS INC 1564975
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AUTHORIZED FOR LOCAL REPROPTIONAL FORM 336 (4-86)
Sponsored by GSA FAR (48 CFR) 53.110
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CONTRACT TABLE OF CONTENTS
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PART I – THE SCHEDULE‌4
SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS‌4
SECTION C – DESCRIPTIONS/SPECIFICATIONS/WORK STATEMENT‌9
SECTION D – PACKAGING, MARKING, & SHIPPING‌11
SECTION E – INSPECTION AND ACCEPTANCE‌12
SECTION F – DELIVERIES OR PERFORMANCE‌13
SECTION G – CONTRACT ADMINISTRATION DATA‌33
SECTION H – SPECIAL CONTRACT REQUIREMENTS‌39
PART II – CONTRACT CLAUSES‌53
SECTION I – CONTRACT CLAUSES‌53
PART III – LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS‌61
SECTION J – LIST OF ATTACHMENTS‌61
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PART I – THE SCHEDULE
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SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS
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B.1. BRIEF DESCRIPTION OF SUPPLIES OR SERVICES
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The Pandemic and All Hazards Preparedness Act (PAHPA) of 2006 established the Biomedical Advanced Research and Development Authority (BARDA) and was reauthorized under the PAHPA of 2013 to support development and acquisition of medical countermeasure (MCMs) to prevent or treat the medical consequences of chemical, biological, radiological, and nuclear (CBRN) threats, pandemic influenza (PI), and emerging infectious diseases (EID). These MCMs include vaccines, therapeutics, diagnostics, and medical devices. Additionally, BARDA is entrusted to foster innovation of technologies that enable better manufacturing, testing, and utilization of these medical countermeasures.
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Marinus Pharmaceuticals (Marinus) is developing an intravenous (IV) formulation of the synthetic neurosteroid ganaxolone (GNX) as a treatment for status epilepticus (SE) in patients who are refractory to second line anti-epileptic drugs (AEDs). GNX is a positive GABA-A receptor modulator with a well- defined anti-epileptic mechanism of action. GNX, like benzodiazepines, modulates synaptic GABA-A receptors (γ-subunit containing receptors). However, GNX has four key advantages over benzodiazepines: 1) Unlike benzodiazepines, GNX modulates extrasynaptic GABA-A receptors (δ- subunit containing receptors); 2) Unlike benzodiazepines, repeated GNX administration does not induce tolerance to the anticonvulsant response; 3) There is greater separation between anticonvulsant and sedating doses; and 4) A wider therapeutic window that allows it to work at times when benzodiazepines are no longer effective.
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Marinus proposes to complete the preclinical and clinical development activities for IV GNX to support FDA approval. For this project Marinus will: 1) Complete the scale up of the GNX drug substance (DS) and drug product (DP) to the commercial scale; 2) Complete a Phase 3 efficacy and safety trial designed based on FDA feedback in patients 12 years old and above with SE who are refractory to 2nd line AEDs;
3) Complete and file a New Drug Application (NDA) for IV GNX; 4) Complete studies that confirm that IV GNX is an effective treatment for SE due chemical nerve agent exposure using standard of care animal models; 5) Complete studies to support and file a supplemental NDA (sNDA) for IV GNX use in patients younger than 12 years of age; and 6) On-shore all manufacturing activities.
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The Government has determined a Bona Fide Need for each non-severable discrete work segment which will conclude upon the completion of a defined task or defined tasks that provide(s) independent merit and value to the Government. The Contractor's success in completing the required tasks under the work segments must be demonstrated through the Deliverables and Milestones specified under Article F of this contract. As set forth in the Contract WBS Milestones/Deliverables and Technical Deliverables chart under Article F of this contract, the GO/NO GO Contract Milestones and Decision Gates will constitute the basis for the Government’s decision, at its sole discretion, to exercise any follow-on option period(s).
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The base and option period segments are event driven work segments rather than time driven CLINs. The funds for each independent, non-severable discrete work segment (requirement), regardless of duration, shall only be used for the scope of work covered in each discrete work segment (i.e., the base period work segment and each option work segment). The periods of performance listed under each of the CLINs under Article B.2 and Article B.3 below are estimated time periods. Those individual time periods may be extended to complete the tasks required under each work segment. It is possible that more than one option period (requirement), may be awarded at one time and that individual CLINs may overlap and/or proceed concurrently.
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		B.2	BASE PERIOD

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		1.	The total estimated cost of the base period of this contract is $84,048,150.00..

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		2.	The Contractor shall maintain records of all contract costs (to include contractor share) and such records shall be subject to FAR 52.215-2 (Oct 2010), Audit and Records – Negotiation and incorporated by reference into the contract in SECTION I.	

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		3.	The amount currently obligated will cover base performance of the contract through September 1, 2022.	

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	CLIN

	Period of Performance

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	Total Estimated Cost

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0001

	9/15/2020 to
9/1/2022

	Pre-clinical Efficacy in a nerve agent model; Phase 3 Clinical Trial; Pre-NDA Meeting

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$21,338,880 (52%)

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$19,455,822 (48%)

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$40,794,702

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		B.3.	OPTION PERIODS

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		B.3.1	COST REIMBURSMENT OPTIONS

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		a.	The contract includes optional, cost reimbursement CLINs 0002, 0003, and 0004. The Government may exercise Option Periods in accordance with FAR 52.217-9 Option to Extend the Term of the Contract (March 2000), as set forth in Section I of the contract.	

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		b.	Unless the government exercises its option pursuant to the option clause contained in ARTICLE I.2, the contract consists only of the Base Work segment specified in the Statement of Work as defined in SECTONS C and F, for the price set forth in ARTICLE B.2 of the contract.	

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		c.	The Government may modify the contract unilaterally and require the contractor to provide supplies and services for Option Periods listed below, in accordance with FAR 52.217-9.	

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		d.	If the Government decides to exercise an option(s), the Government will provide the Contractor a preliminary written notice of its intent as referenced in the clause. Specific information regarding the time frame for this notice is set forth in the OPTION CLAUSE Article in SECTION G of this contract. The estimated cost of the contract will be increased as set forth below:	

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Option

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CLIN

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0002

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01/3/2022 –
06/30/2023

	Option 1 Period: Juvenile Toxicology Studies; Status Epilepticus NDA submission

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$11,330,470 (93%)

	$895,175 (7%)

	$12,225,645

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0003

	9/1/2022 –
12/31/2026

	Option 2 Period: Completion of API On-shoring

	$11,539,230 (70%)

	$4,945,385 (30%)

	$16,484,615

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4/1/2023 –
11/1/2024

	Option 3 Period: Pediatric Phase III Clinical Trial; sNDA submission

	$7,271,594 (50%)

	$7,271,594 (50%)

	$14,543,188

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	TOTALS

	Only option years

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$30,141,294

	$13,112,154

	$43,253,448

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	TOTALS

	Base + options

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$51,480,174

	$32,567,976

	$84,048,150

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B.4 ESTIMATED COST - COST SHARING
This is a cost-sharing contract. The total estimated BARDA cost sharing for performing the work under this contract is $51,480,174 ( Base: $21,338,880, Option 1, $11,330,470, Option 2:
$11,539,230 and Option 3: $7,271,594 ). For further provisions regarding the specific cost-sharing arrangement, see the ADVANCE UNDERSTANDINGS Article in SECTION B of the Contract.
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		B.5.	LIMITATIONS APPLICABLE TO DIRECT COSTS

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		a.	Items Unallowable Unless Otherwise Provided

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Notwithstanding the clauses and unless authorized in writing by the Contracting Officer or set forth in the Statement of Work, the cost of the following items or activities shall be unallowable as direct costs:
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		1)	Acquisition, by purchase or lease, of any interest in real property;

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		2)	Special rearrangement or alteration of facilities;

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		3)	Accountable Government Property (see the HHS Contracting Guide for Control for Government Property incorporated by Section G.9. of this contract);	

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Note: this includes the lease or purchase of any item of general purpose office furniture or office equipment regardless of dollar value.
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		4)	Purchase or lease of scientific instruments or equipment over $10,000 except for instruments and equipment specifically included in the Statement of Work;	

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		5)	Travel to attend general scientific meetings/conferences;

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		6)	Printing Costs (as defined in the Government Printing and Binding Regulations);

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		7)	Overtime (premium) compensation

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		8)	Entering into certain types of subcontracting arrangements (See Section B.5(c) for specific obligations). Note that most consulting agreements require CO’s written consent.	

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		9)	Foreign Travel (see Subparagraph b.3);

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		10)	Patient care costs (see Section J-List of Attachments);

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		11)	Light Refreshment and Meal Expenditures - Requests to use contract funds to provide

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light refreshments and/or meals to either federal or nonfederal employees must be submitted to the Contracting Officer’s Representative (COR), with a copy to the Contracting Officer, at least six (6) weeks in advance of the event and are subject to “HHS Policy on Promoting Efficient Spending: Use of Appropriate Funding for Conferences and Meetings, Food and Promotional Items and Printing and Publications.” The request shall contain the following information: (a) name, date, and location of the event at which the light refreshments and/or meals will be provide; (b) a brief description of the purpose of the event; (c) a cost breakdown of the estimated light refreshments and/or meals costs;
(d) the number of nonfederal and federal attendees receiving light refreshments and/or meals; and (e) if the event will be held at a government facility.
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		b.	Travel Costs

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		1)	Total expenditures for travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract during the Base Period (CLIN 0001) shall not exceed $42,310 (BARDA share) without the prior written approval of the Contracting Officer. The Contractor shall notify the Contracting Officer in writing when travel expenditures have exceeded 80% of the base period travel expenses. Costs must be consistent with Federal Acquisition Regulations (FAR) 52.247-63 – Preference for U.S. Air Flag carriers.	

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		2)	Subject to the dollar limitation specified under B.5.b.1. above, the Contactor shall invoice and be reimbursed for all travel costs in accordance with Federal Acquisition Regulation (FAR) 31.2 – Contracts with Commercial Organizations, Sub-Section 31.205- 46, Travel Costs.	

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		3)	If foreign travel is necessary, a Contracting Officer Authorization (COA) will be required. Expenditures for foreign travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed the amount specified in each approved COA, without the prior written approval of the Contracting Officer.	

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Requests for foreign travel must be submitted at least four weeks in advance and shall contain the following:
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		•	Meeting(s) and place(s) to be visited, with costs and dates; name(s) and title(s) of Contractor personnel to travel and their functions in the contract project;	

		•	Contract purposes to be served by the travel;

		•	How travel of Contractor personnel will benefit and contribute to accomplishing the contract project, or will otherwise justify the expenditure of BARDA contract funds;	

		•	How such advantages justify the costs for travel and absence from the project of more than one person if such are suggested; and	

		•	What additional functions may be performed by the travelers to accomplish other purposes of the contract and thus further benefit the project.	

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		B.6.	ADVANCE UNDERSTANDINGS

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		a.	Person-in-Plant

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With seven (7) days advance notice to the Contractor in writing from the Contracting Officer, the Government may place a man-in-plant in the Contractor’s or Subcontractor’s facility, who shall be subject to the Contractor’s or Subcontractor’s policies and procedures regarding security and facility access at all times while in the Contractor’s or Subcontractor’s facility.
The Government’s representative shall be provided reasonable access, during normal
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business hours, of the production areas being utilized in performance on the Contract. As determined by federal law, no Government representative shall publish, divulge, disclose, or make known in any manner, or to any extent not authorized by law, any information coming to him in the course of employment or official duties, while stationed in a contractor or subcontractor plant.
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An article substantially similar to this Person-in-Plant article shall be incorporated into any subcontract for experimental or manufacturing work.
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		b.	Security

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No security plan is required at this point for this effort. It is anticipated that a security waiver will be approved.
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		c.	Subcontracts

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Prior written consent from the Contracting Officer in the form of Contracting Officer Authorization (COA) is required for any subcontract that:
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		●	Is of the cost-reimbursement type and exceeds $150,000; or

		●	Is of the fixed price type and exceeds $150,000 or 5% of the contract, whichever is less.	

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The Contracting Officer shall request appropriate supporting documentation in order to review and determine authorization, pursuant with FAR Clause 52.244-2, Subcontracts. After receiving written consent of the subcontract by the Contracting Officer, the Contractor shall provide a copy of the signed, executed subcontract and consulting agreement to the Contracting Officer within ten (10) calendar days.
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Note: Consulting services are treated as subcontracts and subject to the ‘consent to subcontract’ provisions set forth in this Section.
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		d.	Overtime Compensation

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No overtime (premium) compensation is authorized under the subject contract.
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		e.	Sharing of contract deliverables within United States Government (USG)

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In an effort to build a robust medical countermeasure pipeline through increased collaboration, the Government may share technical deliverables with Government entities responsible for Medical Countermeasure Development. In accordance with recommendations from the Public Health Emergency Medical Countermeasure Enterprise Review, agreements established in the Integrated Portfolio Advisory Committee (PAC) Charter, and agreements between BARDA and the Department of Defense, the National Institutes of Health, the Centers for Disease Control, and the Food and Drug Administration, BARDA may share technical deliverables and test results created in the performance  of this Contract with colleagues within the Integrated Portfolio.
This advance understanding does not authorize the Government to share financial information outside of the United States Government. The Contractor is advised to review the terms of FAR 52.227-14, Rights in Data – General, regarding the government’s rights to deliverables
submitted during performance as well as the government’s rights to data contained within those deliverables.
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		f.	Approval of Human and Animal Protocols

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The Contractor shall submit all human and animal protocols and human informed consent documents as referenced under this Contract to the COR for review and approval prior to seeking other approvals (Institutional Review Board, Human Use Committee, Institutional Animal Care and Use Committee) unless the contractor already had such approvals prior to contract award. The Government requires no fewer than eight (8) business days to perform a review. The Contractor shall take this review time into account and submit protocols as early as possible to avoid delays. The Government’s comments and feedback shall be addressed prior to approval. The COR will review and provide approval of protocols. Human informed consents shall also be submitted and reviewed with any human protocol.
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		g.	Rights in Data

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The contract will incorporate the FAR Clause 52.227-14, Rights in Data—General. The Contractor is advised to review the terms of FAR 52.227-14, Rights in Data, regarding the government’s rights to deliverables submitted during performance as well as the government’s rights to data contained within those deliverables.
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		h.	Invoice Submission during end of Fiscal Year

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The government will not accept invoices for processing from Sep 6th through Oct 5th because of end of year fiscal requirements. Any invoices received from September 6th through October 5th will be canceled and returned to the Contractor for resubmission beginning on October 6th.
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		i.	Cost Sharing

		1.	This is a cost-sharing contract. Monies shall be provided for the total cost of performance from the BARDA and  Marinus Pharmaceuticals.	

		2.	The Government shall provide monies in an amount not to exceed $51,480,174. The Contractor's share is estimated at $32,567,975.	

		3.	The Contractor shall maintain records of all contract costs (including costs claimed by the Contractor as being its share) and such records shall be subject to the Audit and Records-Negotiation and Final Decisions on Audit Findings clauses of the General Clauses.	

		4.	Costs contributed by the Contractor shall not be charged to the Government under any other contract, grant, or cooperative agreement (including allocation to other grants, contracts, or cooperative agreements as part of an independent research and development program). The Contractor shall report the organization's share of the costs expended by category, on the Financial Report of Individual Project/Contract as referenced in the CONTRACT FINANCIAL REPORT Article in SECTION G of this contract.	

SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT
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		C.1.	STATEMENT OF WORK

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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 Work attached to this contract as Attachment 1 (Section J - List of Attachments).
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		C.2.	REPORTING REQUIREMENTS

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Refer to Section F.2 for specific instructions regarding Reporting Requirements.
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		C.3.	PROJECT MEETING CONFERENCE CALLS

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A conference call between the Contract Officer, the Contracting Officer’s Representative (COR) and
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designees and the Contractor’s Project Leader/delegate and designees shall occur bi-weekly or as otherwise mutually agreed upon by the Government and the Contractor or determined by the Contracting Officer. During this call the Contractor’s Project Leader/delegate and designees will discuss the activities  since the last call, any problems that have arisen and the activities planned until the next call takes place. The Contractor’s Project Leader/delegate may choose to include other key personnel on the conference call to give detailed updates on specific projects or this may be requested by the Contracting Officer’s Representative. Electronic copy of conference call meeting  minutes/summaries shall be provided via e-mail to the CO, COR, and uploaded in eRoom by the Contractor within five (5) business days after the conference call is held.
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		C.4.	PROJECT MEETINGS

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The Contractor shall participate in Project Meetings to coordinate the performance of the contract, as requested by the COR.  These meetings may include face-to-face meetings with BARDA in Washington,
D.C.and at work sites of the Contractor and its subcontractors. Such meetings may include, but are not limited to, meetings of the Contractor (and subcontractors invited by the Contractor) to discuss study designs, site visits to the Contractor’s and subcontractor’s facilities, and meetings with the Contractor and HHS officials to discuss the technical, regulatory, and ethical aspects of the program. The Contractor must provide data, reports, and presentations to groups of outside experts (subject to appropriate protections for Contractor confidential or proprietary data) and Government personnel as required by the COR in order to facilitate review of contract activities.
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		a.	Kickoff Meeting

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The Contractor and Government shall conduct a kickoff meeting within 45 calendar days after contract award to review HHS procedures, processes and expectations. Contractor shall provide an itinerary/agenda no later than 5 business days before meeting. Minutes from the kickoff meeting must be provided within 10 business days of  the event.
​
		b.	Semi-annual and Ad-Hoc Meetings

​
At the discretion of the CO or COR, the Contractor shall participate in Project Meetings to coordinate the performance of the contract, as requested by the Contracting Officer’s Representative. These meetings may be conducted via teleconferences or face-to-face meetings in Washington, D.C. or at work sites of the Contractor and its subcontractors. Such meetings may include, but are not limited to, meetings of the Contractor (and subcontractors invited by the Contractor) to discuss study designs, site visits to the Contractor’s and subcontractor’s facilities, and meetings with the Contractor and HHS officials to discuss the technical, regulatory, and ethical aspects of the program. The Contractor must provide data, reports, and presentations to groups of outside experts (subject to appropriate protections for Contractor’s confidential or proprietary data) and Government personnel as required by the Contracting Officer’s Representative, giving reasonable prior notice of such requirement to Contractor, in order to facilitate review of contract activities.
​
Contractor shall provide itinerary/agenda at least 5 business days in advance of face-to-face meeting.
​
		c.	Face-to-Face Project Review Meetings

​
The Contractor shall, at a time to be determined later, present a comprehensive review of contract progress to date in a face-to-face meeting in Washington, DC. The Contractor will be responsible for updating the BARDA program on technical progress under the Statement of Work. Presentation must be delivered seven (7) business days prior to the scheduled meeting.
​

​

​

		C.5	RISK MANAGEMENT

​
The Contractor shall establish and maintain an active, enterprise-wide risk management system as well as a specific risk management plan that includes the SOPs governing risk management, a description of the risk management activities required to oversee the project across its range of scope, and the processes for reviewing completed risk mitigations. The Contractor shall complete risk management documentation for the program as applicable.
​
		C.6	REGULATORY ACTIVITIES

​
The Contractor shall provide the COR the opportunity to review and comment upon any draft documents, including draft pre-submission packages, and meeting requests, to be submitted to the FDA or other regulatory agency. The Contractor shall provide the COR with five (5) business days for review and comments. An acceptable version shall be provided to the COR prior to FDA submission.
​
The Contractor shall provide the COR initial draft minutes and final draft minutes of any - meeting with the FDA and other regulatory agencies.
​
The Contractor shall communicate the dates and times of any meeting with the FDA and other regulatory agencies to the COR and ensure participation for appropriate COR and BARDA SME staff to attend the meetings.
​
The Contractor shall forward Standard Operating Procedures (SOPs) upon request from Contracting Officer’s Representative /Contracting Officer.
​
The Contractor shall work to support BARDA in development of FDA submissions and meeting for seeking a Pre-Emergency Use Authorization if deemed necessary by BARDA. The support may require the Contractor to develop unique deliverables other than the ones related to the SOW for submission to the FDA by BARDA.
​
The Contractor shall support FDA audits. Within thirty (30) calendar days of an FDA audit of Contractor or subcontractor facilities, the Contractor shall provide copies of the audit findings, final report, and a plan for addressing areas of nonconformance to FDA regulations and guidance for GLP, GMP or GCP guidelines as identified in the final audit report.
​
		C.7	QUALITY

​
The Contractor shall establish and maintain a Quality Management System with sufficient content to include but not limited to the elements contained in the Code of Federal Regulations Title 21 Part 820.
​
The Contractor shall establish routine internal reviews, documentation, and evidence of the ability to maintain, and adhere to the Code of Federal Regulations Title 21 Part 820.
​
The Contractor shall contract for an independent audit of its system quality system adherence, resolve any issues noted by the auditor, and provide the audit findings and resolutions to the Government.
​
SECTION D – PACKAGING, MARKING, AND SHIPPING
​
All deliverables required under this contract shall be packaged, marked and shipped in accordance with Government specifications and Section F. At a minimum, all deliverables shall be marked with the contract number and Contractor name. The Contractor shall guarantee that all required materials shall be delivered in immediate usable and acceptable condition
​
Unless otherwise specified by the CO, delivery of reports to be furnished to the Government under this
​

​

​

contract (including invoices) shall be delivered to the CO and COR electronically along with a concurrent email notification to the CO and COR (as defined in Section F.3. Electronic Submission) summarizing the electronic delivery:
​
SECTION E – INSPECTION AND ACCEPTANCE
​
		E.1.	FAR 52.252-2, CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998)

​
This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at: https://www.acquisition.gov/FAR/ HHSAR Clauses at: http://www.hhs.gov/policies/hhsar/subpart352.html.
​
FAR ClauseTitle and Date​ ​
​
FAR 52.246-3, Inspection of Supplies – Cost-Reimbursement (May 2001)
FAR 52.246-9, Inspection of Research and Development (Short Form) (April 1984) FAR 52.246-16, Responsibility for Supplies (April 1984)
​
		E.2.	DESIGNATION OF GOVERNMENT PERSONNEL

​
For the purpose of this Section E, the designated Contracting Officer’s Representative (COR) is the authorized representative of the Contracting Officer. The COR will assist in resolving technical issues that arise during performance. The COR however is not authorized to change any contract terms or authorize any changes in the Statement of Work or modify or extend the period of performance, or authorize reimbursement of any costs incurred during performance.
​
		E.3.	INSPECTION, ACCEPTANCE AND CONTRACT MONITORING

​
Inspection and acceptance of the product, services, and documentation called for herein shall be accomplished by the Contracting Officer or a duly authorized representative. Delivery, technical inspection and acceptance will take place at a location designated by the Contracting Officer or at:
​
Office of the Assistant Secretary for Preparedness and Response Biomedical Advanced Research and Development Authority O’Neill House Office Building
Washington, DC 20515
​
		a.	Site Visits and Inspections

​
At the discretion of the Government and independent of activities conducted by the Contractor, with 48 hours’ notice to the Contractor, the Government reserves the right to conduct site visits and inspections related to this Contract on an as needed basis during normal business hours, including collection of product samples and  intermediates held at the location of the Contractor, or its subcontractor. All costs reasonably incurred by the Contractor and subcontractor for such visit and/or inspection shall be allowable costs subject to the Allowable cost requirements in FAR Subpart 31.2. The Contractor shall coordinate these visits and shall have the opportunity to accompany the Government on any such visits. Under time-sensitive or critical situations, the Government reserves the right to suspend the 48 hour notice to the Contractor. The areas included under the site visit could include, but are not limited to: security, regulatory and quality systems, manufacturing processes and   cGMP/GLP/GCPcompliance related to activities funded under this Contract.
​
If the Government, Contractor, or other party identifies any issues during an audit, the Contractor shall capture the issues, identify potential solutions, and provide a report to the Government for review and
​

​

​

acceptance:
​
		●	If issues are identified during the audit, the Contractor shall submit a report to the CO and COR within five (5) business days detailing the finding and corrective action(s)  of the audit.	

		●	COR and CO will review the report and provide a response to the Contractor within ten (10) business days.	

		●	Once corrective action is completed, the Contractor will provide a final report to the CO and COR.	

​
SECTION F – DELIVERIES OR PERFORMANCE
​
		F.1.	ESTIMATED PERIOD OF PERFORMANCE

​
The estimated period of performance for this contract shall be consistent with the dates set forth in the Base Period in Section B.2. If the Government exercises the Options Period(s) pursuant to the Option Clause in Section I.3 of the contract, the period of performance shall be increased as shown in the table in Section B.3.
​
		F.2.	DELIVERABLES

​
Successful performance of the final contract shall be deemed to occur upon completion of performance of the work set forth in the Statement of Work dated August 5, 2020, set forth in Section J - List of Attachments of this contract and upon delivery and acceptance, as required by the Statement of Work, by the COR, of each of the deliverables described in Section C, Section F, and Section J.
​
All deliverables and reporting documents listed within this Section shall be delivered electronically (as defined in Section F.3 Electronic Submission) to the CO, CS, and the COR unless otherwise specified by the CO.
​
Unless otherwise specified by the CO, the deliverables identified in this Section F shall also be delivered electronically to the designated eRoom along with a concurrent email notification sent to the CO, CS, COR, and Alternate COR stating delivery has been made.
​
All paper/hardcopy documents/reports submitted under this contract shall be printed or copied, double-sided, on at least 30 percent post-consumer fiber paper, whenever practicable, in accordance with FAR 4.302(b). Hard copies of deliverables and reports furnished to the Government under the resultant Contract (including invoices) shall be addressed as follows:
​
HHS/ASPR/BARDA/CMA:
​
ATTN: James Bowers (Contracting Officer)
U.S. Department of Health & Human Services
Office of the Assistant Secretary for Preparedness and Response Biomedical Research and Development Authority (BARDA) Contract Management and Acquisition (CMA)
O’Neill House Office Building Room Number: 22G11 Washington, DC 20515
Email: carl.newman@hhs.gov
​
HHS/ASPR/BARDA:
​
ATTN: Michael Schwartz (COR)
		U.S.	Department of Health & Human Services

​

​

​

Office of the Assistant Secretary for Preparedness and Response Biomedical Advanced Research & Development Authority (BARDA) O’Neill House Office Building
Room Number: 24K14 Washington, DC 20515
Email: michael.schwartz@hhs.gov
​
Contract Data Requirements List (CDRLs)
​
	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	01

	Kickoff Meeting

	The Contractor shall complete a Kickoff meeting after contract award

	
●
Within 45 calendar days after contract award.

●
Materials: Contractor shall provide itinerary and agenda to CO and COR at least 5 business days in advance of meeting. CO approves and the COR distributes itinerary and agenda within 3 business days.

●
Due out: Contractor provides meeting minutes to CO and COR within 5 business days after the meeting. The CO and COR reviews, comments, and the CO approves minutes within 10 business days of the event.

	02

	Semi-annual Meetings

	At the discretion of the government the Contractor shall hold recurring teleconference or face-to- face Project Review Meetings up to two per year either in Washington D.C or at work sites of the Contractor or subcontractors. Face-to-face meetings shall alternate between Washington DC and Contractor, sub-contractor sites. The meetings will be used to discuss contract progress in relation to the Program Management deliverables described below as well as study designs, technical, regulatory, and

	
●
Materials: Contractor shall provide itinerary and agenda to CO and COR at least 5 business days in advance of meeting. The COR approves and distributes itinerary and agenda within 3 business days.

●
Due out: Contractor provides meeting minutes to the CO and the COR within 5 business days after the meeting. The CO and COR reviews, comments, and the CO approves minutes

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	ethical aspects of the program.

	within 10 business days.

	03

	Biweekly Teleconference Meetings

	The Contractor shall participate in teleconferences every two weeks with the CO and the COR to discuss the performance of the contract.

	
●
Materials: Contractor provides agenda to the CO and COR no later than 2 business days in advance of meeting. The COR approves and distributes agenda prior to meeting.

●
Due out: Contractor provides meeting minutes to the CO and COR within 5 business days following the meeting. The CO and COR reviews, comments, and the COR approves minutes within 10 business days following the meeting.

	04
(Monthly) 05
(Annual)

	Monthly & Annual Technical Progress Reports

	The Monthly and Annual Technical Progress report shall address each of the below items and be cross- referenced to the Work Breakdown Structure (WBS), Statement of Work (SOW), Integrated Master Schedule (IMS), and Contract Performance Report (CPR).

1.
An Executive Summary highlighting the progress, issues and relevant manufacturing, non- clinical, clinical and regulatory activities. The Executive Summary should highlight only critical issues for that reporting period and resolution approach; limited to 2-3 pages.

2.
Progress in meeting contract milestones – broken out by subtasks

	
●
Due: Monthly Reports shall be submitted on the 15th day of the month after the end of each month with an Annual Report submitted on the 30th calendar day of the final month of each contract year for the previous twelve calendar months.

●
When the 15th or 30th falls on a weekend or a US Holiday, the reports will be due the next business day.

●
Monthly progress reports are not required for the periods when the Annual Report(s) and Final Report are due.

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	within each milestone, overall project assessment, problems encountered and recommended solutions. The reports shall detail the planned and actual progress during the period covered, explaining occurrences of any differences between the two and the corrective steps.

3.
The reports shall also include a three-month rolling forecast of the key planned activities, referencing the WBS/IMS.

4.
A tracking log of progress on regulatory submissions with the FDA number, description of submission, date of submission, status of submission and next steps.

5.
Estimated and Actual Expenses.

6.
This report shall also contain a narrative or table detailing whether there is a significant discrepancy (>10%) at this time between the % of work completed and the cumulative costs incurred to date. Monthly and actual expenses should be broken down to the appropriate WBS level. This section of the report should also contain estimates for the Subcontractors’ expenses from the previous month if the Subcontractor did not submit a bill in the previous month. If the subcontractor(s) was not working or did not incur any costs in the previous month, then a statement to this effect should be included in this report for

	The CO and the COR will review the monthly reports and provide feedback within 5 business days of receiving the report. The CO approves acceptance of monthly and annual reports.

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	those respective subcontractors.

	​

	06

	Risk  Management Plan

	The Contractor shall provide a Risk Management Plan that outlines the impacts of each risk in relation to the cost, schedule, and performance objectives. The plan shall include risk mitigation strategies. Each risk mitigation strategy will capture how the corrective action will reduce impacts on cost, schedule and performance.

	
●
Due: Within 90 days of contract award.

●
Due out: Contractor provides updated Risk Management Plan in Monthly Progress Report. The COR shall provide Contractor with written comments in response submitted plan. Contractor must address, in writing, all commercially reasonable concerns raised by the COR within 20 business days of Contractor’s receipt of COR’s concerns for CO approval.

	07

	Deviation Notification and Mitigation Strategy

	Process for changing IMS activities associated with cost and schedule. Contractor shall notify BARDA of significant changes the IMS defined as increases in cost above 5% or schedule slippage of more than 30 days, which would require a PoP extension.
Contractor shall provide a high-level management strategy for risk mitigation.

	
●
Due: As needed and communicated by the COR/CO.

	08

	Go/No-Go In- Process Review (IPR) or Decision Gate  Presentation

	Contractor shall provide a presentation detailing technical progress made towards completion of Go/No-Go decision gate milestones following a prescribed template provided by BARDA prior to the IPR.

	
●
Materials: Contractor shall provide presentation materials to the CO and COR 10 business days prior to the In- Process Review (IPR). Contractor shall submit written justification of progress towards satisfying Go/No-Go criteria. After reviewing, the CO and COR will provide a written response

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	​

	within 10 business days.

	​
09

	​
​
Incident Report

	​
Contractor shall communicate and document all critical programmatic concerns, risks, or potential risks with the CO and COR.

	​

●
Due: Within 48 hours of activity or incident or within 24 hours for a security activity or incident via email or telephone, with written follow-up to the CO and COR. Additional updates due within 48 hours of additional developments.

●
Due out: Contractor shall submit, within 5 business days, a Corrective Action Plan (if deemed necessary by either party) to address any potential issues. If corrective action is deemed necessary, Contractor must address in writing, its consideration of concerns raised by the CO, within 5 business days of receiving such concerns in writing.

	10

	Draft and Final Reports for Clinical and Non- Clinical Studies

	Contractor shall provide Draft and Final Clinical/Non-Clinical Study Reports to the CO and COR for review and comment.

	
●
Draft - within 45 calendar days after completion of analysis and at least 15 business days prior to submission to FDA. Subcontractor prepared reports received by the Contractor shall be submitted to the CO and COR for review and comment no later than 5 business days after receipt by Contractor. The CO shall provide written comments to the Draft Final Report for Clinical and Non-

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	​

	Clinical Studies within 15 business days after the submission.

●
Final - due 30 calendar days after receiving comments on the Draft Final Report for Clinical and Non-Clinical Studies. If corrective action is recommended, Contractor must address, in writing, all reasonable concerns raised by the CO in writing. Contractor shall consider revising reports to address CO’s recommendations prior to FDA submission.

●
Final FDA submissions shall be provided to the CO and COR concurrently or no later than 5 business days after submission to the FDA.

	11

	Standard Operating Procedures

	The Contractor shall make internal and, to the extent possible, subcontractor Standard Operating Procedures (SOPs) available for review electronically.

	Upon request from the CO.

	12

	FDA
Correspondence

	The Contractor shall memorialize any correspondence between Contractor and FDA and submit to the CO and COR. All documents shall be duly marked as either “Draft” or “Final”.

	

●
Due: Contractor shall provide written summary of any FDA correspondence within 5 business days of correspondence.

	13

	FDA Meetings

	The Contractor shall forward the dates and times of any meeting with the FDA to the CO and COR and make arrangements for appropriate government staff to attend the FDA meetings.
Government staff shall

	
●
Contractor shall schedule upcoming FDA meetings, so at a minimum the CO, COR, and RQA persons from BARDA can attend. Additionally, a pre-

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	include up to a maximum of four people (COR, CO and up to 2 subject matter experts).

	meeting needs to be held with BARDA to review slides and discuss meeting strategies.

●
Contractor shall notify the CO and COR of upcoming FDA meeting within 24 hours of scheduling.

●
The Contractor shall forward initial Contractor and FDA- issued draft minutes and final minutes of any meeting with the FDA to the CO and COR within 5 business days of receipt. All documents shall be duly marked as either “Draft” or “Final”.

	14

	FDA Submissions

	The Contractor shall provide the CO and COR the opportunity to review and comment upon all draft submissions before submission to the FDA. Contractor shall provide the CO and COR with an electronic copy of the final FDA submission. All documents shall be duly marked as either “Draft” or “Final”.

	
●
Due: Contractor shall submit draft FDA submissions to the CO and COR at least 15 business days prior to FDA submission. The CO and COR will provide feedback to Contractor within 10 business days of receipt.

●
Due out: If corrective action is recommended, the Contractor must address, in writing, its consideration of all concerns raised by the CO.

●
The Contractor shall consider revising their documents to address CO’s concerns and/or recommendations prior to FDA submission.

●
Final FDA submissions shall be submitted to the CO and COR concurrently

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	​

	or no later than 5 calendar day of its submission to CDER.

	15

	FDA Audits

	In the event of an FDA inspection which occurs as a result of this contract and for the product, or for any other FDA inspection that has the reasonable potential to impact the performance of this contract, the Contractor shall provide the Government with an exact copy (non- redacted) of the FDA Form 483 and the Establishment Inspection Report (EIR). The Contractor shall provide the COR and CO with copies of the plan for addressing areas of non-conformance to FDA regulations for GLP, GMP, or GCP guidelines as identified in the audit report, status updates during the plans execution and a copy of all final responses to the FDA. The Contractor shall also provide redacted copies of any FDA audits received from subcontractors that occur as a result of this contract or for this product. The Contractor shall make arrangements for BARDA representative(s) to be present during the final debrief by the regulatory inspector.

	
●
Contractor shall notify the CO and COR within 10 business days of a scheduled FDA audit or within 24 hours of an ad hoc site visit/audit if the FDA does not provide advanced notice.

●
Contractor shall provide copies of any FDA audit report received from subcontractors that occur as a result of this contract or for this product within 5 business days of receiving correspondence from the FDA or third party.

●
Within 10 business days of audit report, Contractor shall provide CO with a plan for addressing areas of nonconformance, if any are identified.

	16

	QA Audit Reports

	BARDA Quality group and /or their qualified representatives reserves the right to participate in QA audits. Upon completion of the audit/site visit the Contractor shall provide a report capturing the findings, results and next steps in proceeding with the subcontractor. If action is requested of the subcontractor, detailed concerns for addressing areas of non-conformance to FDA regulations for GLP, GMP, or

	
●
Contractor shall notify the CO and COR 10 days in advance of upcoming, ongoing, or recent audits/site visits of subcontractors as part of weekly communications.

●
Contractor shall notify the CO and COR within 5 business days of report completion.

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	GCP guidelines, as identified in the audit report, must be provided to the CO and COR. The Contractor shall provide responses from the subcontractors to address these concerns and plans for corrective action execution.

	​

	17

	BARDA Audit

	Contractor shall accommodate periodic or ad hoc site visits by the CO and COR.
Contractor shall also accommodate any ‘for cause’ audit if and when there are potential issues identified in the program during the period of performance. Such issues include but are not limited to stability failures, GLP issues etc.
If the CO, COR, Contractor, or other parties identifies any issues during an audit, the Contractor shall capture the issues, identify potential solutions, and provide a report to the CO and COR.

	
●
If issues are identified during the audit, Contractor shall submit a report to the CO and COR detailing the finding and corrective action(s) within 10 business days of the audit.

●
Due out: The CO and COR will review the report and provide a response to the Contractor with 10 business days. Once corrective action is completed, the Contractor will provide a final report to the CO and COR.

	18

	Technical Documents

	Upon request, Contractor shall provide CO and COR with deliverables from the following contract funded activities: process Development Reports, Assay Qualification Plan/Report, Assay Validation Plan/Report, Assay Technology Transfer Report, Batch Records, SOPs, Master Production Records, Certificate of Analysis, Clinical Studies Data or Reports. The CO and COR reserve the right to request within the PoP a non-proprietary technical document for distribution within the Government.

	
●
Contractor shall provide technical document within 10 business days of COR’s request. Contractor can request additional time on an as needed basis.

●
If corrective action is recommended by the COR, the Contractor must address, in writing, concerns raised by the COR to the COR and CO in writing.

	19

	Raw Data or Data Analysis

	Contractor shall provide raw data and/or data analysis to the CO and COR upon request.
Contractor shall address and adjudicate all concerns from

	
●
Contractor shall provide data or data analysis to the CO and COR within 20 business days of request.

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	BARDA review of the data/analysis and amend the reports as required.

	
●
Contractor shall amend the reports if required and adjudicate all comments.

	20

	Publications

	Any manuscript or scientific meeting abstract containing data generated under this contract must be submitted to the CO and COR for review prior to submission.

	

●
Contractor must submit all manuscript or scientific meeting abstract to the CO and COR within 30 days for manuscripts and 15 days for abstracts.

●
Contractor must address in writing all concerns raised by the CO and COR in writing.

●
Final submissions shall be submitted to the CO and COR concurrently or no later than five (5) calendar days after its submission.

	21

	Press Releases

	Contractor agrees to accurately and factually represent the work conducted under this contract in all press releases.

	

●
With the exception of ad-hoc press releases required by applicable law or regulations, Contractor shall ensure that the CO and COR has received and approved an advanced copy of any draft press release to this contract not less than 2 business days prior to the issuance of the press release. The CO shall reply with comments within 1 business day of receipt of the draft press release. Should no comments be forthcoming from the CO by end of the 1st business day, Contractor will be permitted to issue the press release

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	​

	

●
If corrective action is required, the Contractor agrees to accurately and factually represent the work conducted under this contract in all press releases.

●
Any final press releases shall be submitted to the CO and COR no later than 1 (one) calendar day prior to its release.

	22

	Integrated Master Schedule (IMS)-Gantt

	The Contractor shall provide an IMS including WBS, critical path, and milestones.

	
●
Due: Contractor shall provide the draft IMS- Gantt within 90 days of contract award with final due 8 months after award and updated monthly as part of the Monthly Progress Report.

●
Contractor must address, in writing, all concerns raised by the COR in writing and provide response to the CO and COR.

	23

	Draft and Final Technical Progress Report

	A Draft Final Technical Progress Report containing a summation of the work performed and the results obtained for the entire contract PoP. The draft report shall be duly marked as ’Draft’.
​
The Final Technical Progress Report incorporating feedback received from the CO and COR and containing a summation of the work performed and the results obtained for the entire contract PoP. The final report shall document the results of the entire contract. This report shall be in sufficient detail to fully describe the progress achieved under all

	
●
Due: Contractor shall provide a draft Technical Progress Report 75 calendar days before the end of the PoP and the Final Technical Progress Report on or before the completion date of the PoP.

●
Subcontractor prepared reports received by the Contractor shall be submitted to the CO and COR for review and comment no later than 5 business days after receipt by the Contractor.

●
Due out: the CO shall provide feedback on

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​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	milestones. The final report shall be duly marked as ’Final’.

	draft report within 15 calendar days of receipt, which the Contractor shall consider incorporating into the Final Report.

●
Contractor shall submit, with the Final Technical Progress Report, a summary (not to exceed 200 words) of salient results achieved during the performance of the contract.

	​
24

	​
Draft and Final Study Protocols

	​
Contractor shall provide all Draft and Final Study Protocols to the
COR for evaluation. (The CO and COR reserves the right to request within the period of performance a non- proprietary Study Protocol for distribution within the US Government.

	​

●
The Contractor will submit all proposed protocols to the CO and COR at least 10 business days prior to study start. If corrective action is required, the Contractor must address in writing all concerns raised by the CO and COR to

the satisfaction of the COR before study execution and provide the CO and COR a revised draft protocol that addresses the CO’s comments and requested changes.

●
After receiving the revised Study Protocol that satisfies the COR, the CO will approve the revised Study Protocol and will provide a written approval to the Contractor that provides authorization to the Contractor to execute the specific study.

​

​

​

	CDRL#

	Deliverable

	Description

	Reporting Procedures and Due Dates

	​

	​

	​

	
●
Contractor shall not proceed with any study protocol until the COR gives its approval and the Contractor has provided the CO and COR with a final and approved Study Protocol.

	​
​
25

	​
​
Clinical Study Status Update

	​
​
Contractor shall provide COR with a status update of clinical studies that are actively enrolling patients to include by study site: cumulative enrollment; new enrollments; screen failures; patients dropped from study; AE and SAEs; activation or inactivation of study sites; investigator appointments or changes; and status of IRB/IEC review/approval/renewal.
Contractor will provide proposed format for the COR’s review and approval.

	​
​

●
Update will be submitted by e-mail or other electronic format to be provided by the COR by the end of the 25th business day of each new month.

●
When the 25th falls on a weekend or US Holiday, the update will be due the next business day.

●
Updates, to the extent they are available, will be presented during biweekly teleconferences.

●
If no changes have occurred since the prior update only a simple statement that there is no new data is required.

​
NOTE: Pursuant to federal law, no Government personnel shall publish, divulge, disclose, or otherwise make known to any non-Government entity any Contractor data marked according to FAR 52.227-14, unless permitted to do so by law or regulation.
​
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​
​
Detailed Description of Select Contract Deliverables
​

		A.	Monthly and Annual Progress Reports

​
In addition to those reports required by the other terms of this contract, the Contractor shall prepare and submit the following reports in the manner stated below and in accordance with this
​

​

​

Section F of this contract, and in the Statement of Work, attached to this contract (see Section J- List of Attachments).
​
		i.	Monthly Progress Report

​
This report shall include a description of the activities during the reporting period, and the activities planned for the ensuing reporting period. The first reporting period consists of the first full month of performance plus any fractional part of the initial month. Thereafter, the reporting period shall consist of each calendar month.
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The Contractor shall submit a Monthly Progress Report according to the dates set forth in the summary table (“Summary of Contract Deliverables”) under this Section. The progress report shall conform to the requirements set forth in the Deliverables Chart in Section F of this contract.
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The format should include:
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		●	A cover page that includes the contract number and title; the type of report and period that it covers; the Contractor’s name, address, telephone number, fax number, and e-mail address; and the date of submission;	

		●	SECTION I – EXECUTIVE SUMMARY

		●	SECTION II - PROGRESS

		●	SECTION II Part A: OVERALL PROGRESS - A description of overall progress.

		●	SECTION II Part B: MANAGEMENT AND ADMINISTRATIVE UPDATE - A description of all meetings, conference calls, etc. that have taken place during the reporting period. Include progress on administration and management issues (e.g., evaluating, and managing subcontractor performance, and personnel changes).	

		●	SECTION II Part C: TECHNICAL PROGRESS - For each activity related to Gantt chart, document the results of work completed and cost incurred during the period covered in relation to proposed progress, effort and budget. The report shall be in sufficient detail to explain comprehensively the results achieved. The description shall include pertinent data and/or graphs in sufficient detail to explain any significant results achieved and preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the contract. The report shall include a description of problems encountered and proposed corrective action; differences between planned and actual progress, why the differences have occurred and what corrective actions are planned; preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the project.	

		●	SECTION II Part D: PROPOSED WORK - A summary of work proposed related to Gantt chart for the next reporting period and preprints/reprints of papers and abstracts.	

		●	SECTION III: Estimated and Actual Expenses.

a.This Section of the report shall contain a narrative or table detailing whether there is a significant discrepancy (>10%) at this time between the % of work completed and the cumulative costs incurred to date. Monthly and actual expenses should be broken down to the appropriate WBS level.
b.This Section of the report should also contain estimates for the Subcontractors’ expenses from the previous month if the Subcontractor did not submit a bill in the previous month. If the subcontractor(s) was not working or did not incur any costs in the previous month, then a statement
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to this effect should be included in this report for those respective subcontractors.
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A Monthly Progress Report will not be required in the same month that the Annual Progress Report is submitted.
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		ii.	Annual Progress Report

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This report shall include a summation of the results of the entire contract work for the period covered. Monthly Progress Reports shall not be submitted in the same month when an Annual Progress Report is due. Furthermore, an Annual Progress Report will not be required for the period when the Final Report is due. The first Annual Progress Report shall be submitted in accordance with the date set forth in the table (“Summary of Contract Deliverables”) under Section F.2. of this contract. The progress report shall conform to the requirements set forth in the Deliverables Chart in Section F of this contract.
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Each Annual Progress Report shall include:
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		●	A Cover page that includes the contract number and title; the type of report and period that it covers; the Contractor's name, address, telephone number, fax number, and email address; and the date of submission;	

		●	SECTION I: EXECUTIVE SUMMARY - A brief overview of the work completed, and the major accomplishments achieved during the reporting period.	

		●	SECTION II: PROGRESS

		●	SECTION II Part A: OVERALL PROGRESS - A description of overall progress.

		●	SECTION II Part B: MANAGEMENT AND ADMINISTRATIVE UPDATE -

A high level summary of critical meetings, etc. that have taken place during the reporting period. Include progress on administration and management to critical factors of the project (e.g. regulatory compliance
audits and key personnel changes).
		●	SECTION II Part C: TECHNICAL PROGRESS - A detailed description of the work performed structured to follow the activities and decision gates outlined at the Integrated Baseline Review and as described in the Integrated Master Schedule. The Report should include a description of any problems (technical or financial) that occurred or were identified during the reporting period, and how these problems were resolved.	

		●	SECTION II Part D: PROPOSED WORK - A summary of work proposed for the next year period to include an updated Gantt Chart.	

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Contractor also should include the following in the Annual Progress Report:
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		1.	Copies of manuscripts (published and unpublished), abstracts, and any protocols or methods developed specifically under the contract during the reporting period; and	

		2.	A summary of any Subject Inventions per the requirements under FAR Clause 52.227-11.	

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		iii.	Draft Final Report and Final Report

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These reports are to include a summation of the work performed and results obtained for the entire contract period of performance. This report shall be in sufficient detail to describe comprehensively the results achieved. The Draft Final
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Report and Final Report shall be submitted in accordance with the Deliverables Chart in Section F of the contract. An Annual Progress Report will not be required for the period when the Final Report is due. The Draft Final Report and the Final Report shall be submitted in accordance with the dates set forth in the table (“Summary of Contract Deliverables”) under SECTION F.2. of this contract. The report shall conform to the following format:
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		1.	Cover page to include the contract number, contract title, performance period covered, Contractor's name and address, telephone number, fax number, email address and submission date.	

		2.	SECTION I: EXECUTIVE SUMMARY - Summarize the purpose and scope of the contract effort including a summary of the major accomplishments relative to the specific activities set forth in the Statement of Work.	

		3.	SECTION II: RESULTS - A detailed description of the work performed related to WBS and Gantt chart, the results obtained, and the impact of the results on the scientific and/or public health community including a listing of all manuscripts (published and in preparation) and abstracts presented during the entire period of performance and a summary of all inventions.	

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Draft Final Report: The Contractor is required to submit the Draft Final Report to the Contracting Officer’s Representative and Contracting Officer. The Contracting Officer’s Representative and Contracting Officer will review the Draft Final Report and provide the Contractor with comments in accordance with the dates set forth in Section F.2. of the contract.
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Final Report: The Contractor will deliver the final version of the Final Report on or before the completion date of the contract. The final version shall include or address the COR’s and CO’s written comments on the draft report. Final Report shall be submitted on or before the completion date of the contract.
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		iv.	Summary of Salient Results

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The Contractor shall submit, with the Final Report, a summary of salient results achieved during the performance of the contract.
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		v.	Audit Reports

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Within thirty (30) calendar days of an audit related to conformance to FDA regulations and guidance, including adherence to GLP, GMP, GCP guidelines, the Contractor shall provide copies of the audit report (so long as received from the FDA) and a plan for addressing areas of nonconformance to FDA regulations and guidelines for GLP, GMP, or GCP guidelines as identified in the final audit report and as related to activities funded under this contract.
		vi.	Periodic Document Review

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Upon request, Contractor shall provide CO and COR with the following contract funded documents as specified below but not limited to: Process Development Reports; Assay Qualification Plan/Report, Assay Validation Plan/Report, Assay Technology Transfer Report, Batch Records, Contractor/Subcontractor Standard Operating Procedures (SOP’s), Master Production Records, Certificate of Analysis, Clinical Studies Data or Reports. The CO and COR reserve the right to request within
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the Period of Performance a non-proprietary technical document for distribution within the Government. Contractor shall provide technical document within 10 business days of CO or COR request. Contractor can request additional time on an as needed basis. If edits are recommended, the Contractor must address, in writing, concerns raised by BARDA in writing.
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		vii.	Risk Management Plan

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The Contractor shall provide a Risk Management Plan that outlines the impacts of each risk in relation to the cost, schedule, and performance objectives. The plan shall include risk mitigation strategies. Each risk mitigation strategy will capture how the corrective action will reduce impacts on cost, schedule and performance.
		●	Due within 180 days of contract award

		●	Contractor provides updated Risk Management Plan in Monthly Progress Report	

		●	The COR shall provide Contractor with a written list of concerns in response plan submitted	

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Contractor must address, in writing, all concerns raised by COR within 20 business days of Contractor’s receipt of COR’s concerns.
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		B.	Deliverables Arising from FDA Correspondence

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		i.	FDA Meetings

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The Contractor shall forward the dates and times of any meeting with the FDA to BARDA and make arrangements for appropriate BARDA staff to attend the FDA meetings. BARDA staff shall include up to a maximum of four people (COR, CO and up to 2 subject matter experts).
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		●	Contractor shall notify BARDA of upcoming FDA meeting within 24 hours of scheduling.	

		●	The Contractor shall forward initial Contractor and FDA-issued draft minutes and final minutes of any meeting with the FDA to the CO and COR within 5 business days of receipt. All documents shall be duly marked as either “Draft” or “Final.”	

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		ii.	FDA Submissions

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The Contractor shall provide the COR all documents submitted to the FDA.
Contractor shall provide the COR with an electronic copy of the final FDA submission. All documents shall be duly marked as either “Draft” or “Final.”
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		●	If draft documents are submitted to the COR for review, the COR will provide feedback to Contractor within 10 business days of receipt.	

		●	If BARDA reviews draft documents, the Contractor shall revise their documents to address BARDA’s written concerns and/or recommendations prior to FDA submission.	

		●	Final FDA submissions shall be submitted to the CO and COR concurrently or no later than 5 calendar days of their submission to FDA.	

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		iii.	FDA Audits

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In the event of an FDA inspection which occurs as a result of this contract and for the product, or for any other FDA inspection that has the reasonable potential to impact the
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performance of this contract, the Contractor shall provide the CO and COR with an exact copy
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(non-redacted) of the FDA Form 483 and the Establishment Inspection Report (EIR) within five (5) business days after the Contractors receipt of those documents. The Contractor shall provide the COR and CO with copies of the plan for addressing areas of non-conformance to FDA regulations for GLP, GMP, or GCP guidelines as identified in the audit report, status updates during the plans execution and a copy of all final responses to the FDA. The Contractor shall also provide redacted copies of any FDA audits received from subcontractors that occur as a result of this contract or for this product. The Contractor shall make arrangements for BARDA representative(s) to be present during the final debrief by the regulatory inspector.
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		●	Contractor shall notify CO and COR within 10 business days of a scheduled FDA audit or within 24 hours of an ad hoc site visit/audit if the FDA does not provide advanced notice.	

		●	Contractor shall provide copies of any FDA audit report received from subcontractors that occur as a result of this contract or for this product within 5 business days of receiving correspondence from the FDA, Subcontractor, or third party.	

		●	Within 15 business days of audit report, Contractor shall provide CO with a plan for addressing areas of nonconformance, if any are identified.	

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		iv.	Other FDA Correspondence

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The Contractor shall memorialize any correspondence between Contractor and FDA as related to activities funded under this contract and submit to BARDA. All documents shall be duly marked as either “Draft” or “Final.” Contractor shall provide written summary of any FDA correspondence within 5 business days of correspondence.
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		F.3.	ELECTRONIC SUBMISSION

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For electronic delivery, the Contractor shall upload documents to the appropriate folder on https://eroom.bardatools.hhs.gov/eRoom (“eRoom”) which is the designated Government file sharing system. The Government shall provide two contractor representatives authorized log in access to the file share program. Each representative must complete a mandatory training provided by the Government prior to gaining user access. A notification email should be sent to the CO and COR upon electronic delivery of any documents.
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		F.4.	SUBJECT INVENTION REPORTING REQUIREMENT

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All reports and documentation required by FAR Clause 52.227-11, Patent Rights-Ownership by the Contractor, including, but not limited to, the invention disclosure report, the confirmatory license, and the Government support certification, one copy of an annual utilization report, and a copy of the final invention statement, shall be submitted to the Contracting Officer. A final invention statement (see FAR
27.303 (b)(2)(ii)) shall be submitted to the Contracting Officer on the expiration date of the contract.
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Reports and documentation submitted to the Contracting Officer shall be sent to the address set forth in Section G – Contract Administration Data.
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If no invention is disclosed or no activity has occurred on a previously disclosed invention during the applicable reporting period, a negative report shall be submitted to the Contracting Officer at the address listed above.
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		F.5.	FEDERAL ACQUISITION REGULATION CLAUSES INCORPORATED BY REFERENCE

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This contract incorporates the following clause(s) by reference, with the same force and effect as if it were given in full text. Upon request, the Contracting Officer will make its full text available. The full text of each clause may be accessed electronically at this address: http://www.acquisition.gov/comp/far/index.html.
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FAR 52.242-15, Stop Work Order (August 1989), Alternate 1 (April 1984)
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SECTION G - CONTRACT ADMINISTRATION DATA
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G.1.CONTRACTING OFFICER
The following Contracting Officers (CO) will represent the Government for the purpose of this contract: DHHS/OS/ASPR/DCMA
James P. Bowers Contracting Officer
Room 21B05 –O’Neill House Office ‘Building Washington D.C. 20515
Phone 202 205 4857
Email: james.bowers@hhs.gov
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		1)	The Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds. No person other than the Contracting Officer can make any changes to the terms, conditions, general provisions, or other stipulations of this contract.	

		2)	The Contracting Officer is the only person with the 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 work; (2) modify or extend the period of performance; (3) change the delivery schedule; (4) authorize reimburse to the Contractor of any costs incurred during the performance of this contract; (5) otherwise change any terms and conditions of this contract.	

		3)	No information other than that which may be contained in an authorized modification to this contract, duly issued by the Contracting Officer, which may be received from any person employed by the US Government, other otherwise, shall be considered grounds for deviation from any stipulation of this contract.	

		4)	The Government may unilaterally change its CO designation, after which it will notify the Contractor in writing of such change.

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

The following Contracting Officer's Representative (COR) will represent the Government for the purpose of this contract: ATTN: Michael Schwartz (COR)
		U.S.	Department of Health & Human Services

Office of the Assistant Secretary for Preparedness and Response Biomedical Advanced Research & Development Authority (BARDA) O’Neill House Office Building
Room Number: 24K14 Washington, DC 20515
Email: michael.schwartz@hhs.gov
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The COR is responsible for:
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		1)	Monitoring the Contractor's technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements;	

		2)	Assisting the Contracting Officer in interpreting the statement of work 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 its COR designation, after which it will notify Contractor in writing of such change.	

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		G.3.	KEY PERSONNEL

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Pursuant to the Key Personnel clause incorporated in Section I of this contract, the following individuals are considered to be essential to the work being performed hereunder:
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	Name

	Title

	Michael Saporito

	Principal Investigator

	Tony DiPaolo

	Project Manager

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The key personnel specified in this contract are considered to be essential to work performance. At least 30 days prior to diverting any of the specified individuals to other programs or contracts (or as soon as 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 diversion or replacement request (including proposed substitutions for key personnel) and qualifications of the individual proposed as a substitute to permit evaluation by the Government of the impact on performance under this contract. The Contractor shall not divert or otherwise replace any key personnel without the written consent of the Contracting Officer. The Government may modify the contract to add or delete key personnel at the request of the contractor or Government.  At a minimum, the key personnel should include the project manager, principal investigator, radiation biologist, quality control manager, quality assurance director, regulatory lead, and manufacturing lead.
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		G.4.	CONTRACT FINANCIAL REPORT

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		a.	Financial reports on the attached Financial Report of Individual Project/Contract shall be submitted by the Contractor to the CO with a copy to the COR in accordance with the instructions for completing this form, which accompany the form, in an original and one electronic copy, not later than the 30th business day after the close of the reporting period. The line entries for subdivisions of work and elements of cost (expenditure categories), which shall be reported within the total contract, are discussed in paragraph e., below. Subsequent changes and/or additions in the line entries shall be made in writing.	

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		b.	Unless otherwise stated in the instructions for completing this form, all columns A through J, shall be completed for each report submitted.	

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		c.	The first financial report shall cover the period consisting of the first full three calendar months following the date of the contract, in addition to any fractional part of the initial month. Thereafter, reports will be on a quarterly basis.	

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		d.	The Contracting Officer may require the Contractor to submit detailed support for costs contained in one or more interim financial reports. This clause does not supersede the record retention requirements in FAR Part 4.7.	

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		e.	The listing of expenditure categories to be reported is incorporated as a part of this contract and can be found under Section J entitled, "Financial Report of Individual Project/Contract,".	

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		f.	Monthly invoices must include the cumulative total expenses to date, adjusted (as applicable) to show any amounts suspended by the Government.	

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		g.	Contractor invoices/financial reports shall conform to the form, format, and content requirements of the instructions for Invoice/Financing requests and Contract Financial Reporting, and be sent to the following points of contact:	

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	O

	COR

	PSC

	James Bowers(Contracting Officer) HHS/ASPR/BARDA/CMA
O’Neill House Office Building
Room Number: 22G11 Washington, DC 20515 james.bowers@hhs.gov

	Michael Schwartz COR HHS/ASPR/BARDA
O’Neill House Office Building
Room Number: 24K14 Washington, DC 20515
202- 260 0849 (Office)
michael.schwartz@hhs.gov

	PSC_Invoices@psc.hhs.gov &
“e-Room”

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The Contractor agrees to immediately notify the CO in writing if there is an anticipated overrun (any amount) or unexpended balance (greater than 10%) of the estimated costs for the base period or any option period(s) (See estimated costs under Section B) and the reasons for the variance. These requirements are in addition to the specified requirements of FAR Clause 52.232-20, Limitation of Cost that is incorporated by reference under Section I.1 which states;
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Limitation of Cost (Apr 1984)
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•The parties estimate that performance of this contract, exclusive of any fee, will not cost the Government more than (1) the estimated cost specified in the Schedule or, (2) if this is a cost-sharing contract, the Government’s share of the estimated cost specified in the Schedule. The Contractor agrees to use its best efforts to perform the work specified in the Schedule and all obligations under this contract within the estimated cost, which, if this is a cost-sharing contract, includes both the Government’s and the Contractor’s share of the cost.
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		•	The Contractor shall notify the Contracting Officer in writing whenever it has reason to believe that—

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•The costs the Contractor expects to incur under this contract in the next 60 days, when added to all costs previously incurred, will exceed 75 percent of the estimated cost specified in the Schedule; or
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•The total cost for the performance of this contract, exclusive of any fee, will be either greater or substantially less than had been previously estimated.
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•As part of the notification, the Contractor shall provide the Contracting Officer a revised estimate of the total cost of performing this contract.
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•Except as required by other provisions of this contract, specifically citing and stated to be an exception to this clause—
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•The Government is not obligated to reimburse the Contractor for costs incurred in excess of (i) the estimated cost specified in the Schedule or, (ii) if this is a cost-sharing contract, the estimated cost to the Government specified in the Schedule; and
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•The Contractor is not obligated to continue performance under this contract (including actions under the Termination clause of this contract) or otherwise incur costs in excess of the estimated cost specified in the Schedule, until the Contracting Officer (i) notifies the Contractor in writing that the estimated cost has been increased and (ii) provides a revised estimated total cost of performing this contract. If this is a cost-sharing contract, the increase shall be allocated in accordance with the formula specified in the Schedule.
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•No notice, communication, or representation in any form other than that specified in paragraph (d)(2) of this clause, or from any person other than the Contracting Officer, shall affect this contract’s estimated cost to the Government. In the absence of the specified notice, the Government is not obligated to reimburse the Contractor for any costs in excess of the estimated cost or, if this is a cost-sharing contract, for any costs in excess of the estimated cost to the Government specified in the Schedule, whether those excess costs were incurred during the course of the contract or as a result of termination.
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•If the estimated cost specified in the Schedule is increased, any costs the Contractor incurs before the increase that are in excess of the previously estimated cost shall be allowable to the same extent as if incurred afterward, unless the Contracting Officer issues a termination or other notice directing that the increase is solely to cover termination or other specified expenses.
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•Change orders shall not be considered an authorization to exceed the estimated cost to the Government specified in the Schedule, unless they contain a statement increasing the estimated cost.
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•If this contract is terminated or the estimated cost is not increased, the Government and the Contractor shall negotiate an equitable distribution of all property produced or purchased under the contract, based upon the share of costs incurred by each.
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		h.	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.	

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		i.	An electronic copy of the payment request shall be uploaded into the designated eRoom (as defined in Section F.3 ELECTRONIC SUBMISSION) and an e-mail notification of the upload will be provided to the CO and COR.	

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		j.	All invoice submissions shall be in accordance with FAR Clause 52.232-25, Prompt Payment (Oct 2008).

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		k.	Invoices - Cost and Personnel Reporting, and Variances from the Negotiated Budget.

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The Contractor agrees to provide a detailed breakdown on invoices of the following cost categories:
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		1.	Direct Labor - List individuals by name, title/position, hourly/annual rate, level of effort (actual hours or % of effort), and amount claimed.	

		2.	Fringe Benefits - Cite rate and amount

		3.	Overhead - Cite rate and amount

		4.	Materials & Supplies - Include detailed breakdown when total amount is over

$10,000.
		5.	Travel - Identify travelers, dates, destination, purpose of trip, and total breaking out amounts for transportation (plane, car etc), lodging, M&IE. Cite COA, if appropriate. List separately, domestic travel, general scientific meeting travel, and foreign travel.	

		6.	Consultant Fees - Identify individuals, amounts and activities. Cite appropriate COA

		7.	Subcontracts - Attach subcontractor invoice(s). Cite appropriate COA

		8.	Equipment - Cite authorization and amount. Cite appropriate COA

		9.	Other Direct Costs - Include detailed breakdown when total amount is over

$10,000.
		10.	G&A - Cite rate and amount.

		11.	Total Cost (and applicable cost-shared ratio)

		12.	Fixed Fee (if applicable)

		13.	Total Cost Plus Fixed Fee

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Additional instructions and an invoice template are provided in Section J-List of Attachments, Invoice/Financing Request Instructions and Contract Financial Reporting Instructions for Cost- Reimbursement Contracts. All invoices must be signed by a representative of the contractor authorized to certify listed charges are accurate and comply with government regulations. Invoices shall be signed and submitted electronically (in accordance with Section F.3 Electronic Submission).
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If applicable, the Contractor shall convert any foreign currency amount(s) in the monthly invoice to U.S. dollars each month, on the 1st of the month, using the foreign exchange rate index published on www.federalreserve.gov. Payment of invoices is subject to the U.S. dollar limits within the Total Costs of CLIN 0001 in Section B of the contract.
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The Government shall use electronic funds transfer to the maximum extent possible when making payments under this contract. FAR 52.232-33, Payment by Electronic Funds Transfer–System for Award Management, in Section I requires the Contractor to designate in writing a financial institution for receipt of electronic funds transfer payments.
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		G.5.	REIMBURSEMENT OF COST

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The Government shall reimburse the Contractor the cost determined by the Contracting Officer to be allowable (hereinafter referred
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to as allowable cost) in accordance with FAR Clause 52.216-7, Allowable Cost and Payment incorporated by reference in Section I, Contract Clauses, of this contract, and FAR Subpart 31.2. Examples of allowable costs include, but are not limited to, the following:
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		a)	All direct materials and supplies that are used in performing the work provided for under the contract, including those purchased for subcontracts and purchase orders.	

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		b)	All direct labor, including supervisory, that is properly chargeable directly to the contract, plus fringe benefits.

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		c)	All other items of cost budgeted for and accepted in the negotiation of this basic contract or modifications thereto.

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		d)	Travel costs including per diem or actual subsistence for personnel while in an actual travel status in direct performance of the work and services required under this contract subject to the following:	

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		(i)	Air travel shall be by the most direct route using “air coach” or “air tourist” (less than first class) unless it is clearly unreasonable or impractical (e.g., not available for reasons other than avoidable delay in making reservations, would require circuitous routing or entail additional expense offsetting the savings on fare, or would not make necessary connections).	

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		(ii)	Rail travel shall be by the most direct route, first class with lower berth or nearest equivalent.

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		(iii)	Costs incurred for lodging, meals, and incidental expenses shall be considered reasonable and allowable to the extent that they do not exceed on a daily basis the per diem rates set forth in the Federal Travel Regulation (FTR).	

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		(iv)	Travel via privately owned automobile shall be reimbursed at not more than the current General Services Administration (GSA) FTR established mileage rate.	

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		G.6.	INDIRECT COST RATES

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The following Contractor established provisional billing rates are incorporated into the contract, and will be utilized for billing purposes during the Base Period (CLIN 0001) and total estimated cost reimbursement Option Periods (CLINs 0002 and 0003) ONLY if exercised by the CO pending the establishment of final indirect cost rates for each fiscal year or until revised by the CO in accordance with the provisions of FAR 42.705-1. FAR clause 52.216-7 will be utilized for billing purposes during both the Base Period (CLIN 0001) and total estimated cost reimbursement Option Periods (CLINs 0002, 0003 and 0004) ONLY if exercised by the CO.
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	Rate Type

	Ceiling

	Allocation Base

	Overhead

	29%

	Applied to total direct labor

	G&A

	20%

	Applied to total direct costs & applicable O/H

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The indirect cost ceilings are established for the Base Period (CLIN 0001) and total estimated cost reimbursement Option Periods (CLINs 0002, 0003 and 0004) ONLY if exercised by the CO. In addition the ceilings are capped. The Contractor cannot seek reimbursement in excess of the Indirect Cost Ceilings. In the event the final indirect cost rates are less than the established ceiling rates above, the established rates will be reduced to conform to the lower rates.
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Use of the above provisional rates does not change any cost ceilings, contract obligations, or specific allowance or disallowance provided for in the contract.
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Final rate proposals must be sent to the CO, within 6 months subsequent to the fiscal year end. (See also FAR Clause 52.216-7 incorporated herein). In the event the final indirect cost rates are less than the established ceiling rates above, the established rates will be reduced to conform to the lower rates.
G.7.POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE Contractor Performance Evaluations
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Interim and final evaluations of Contractor performance will be prepared on this contract in accordance with FAR Subpart 42.15. The final performance evaluation will be prepared at the time of completion of work. In addition to the final evaluation, an interim evaluation shall be submitted annually.
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Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the evaluation. The Contractor will be permitted thirty days to review the document and to submit additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level above the Contracting Officer whose decision will be final.
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Copies of the evaluations, Contractor responses, and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions.
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Electronic Access to Contractor Performance Evaluations
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Contractors that have Internet capability may access evaluations through a secure Web site for review and comment by completing the registration form that can be obtained at the following address:
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http://www.cpars.csd.disa.mil/cparsmain.htm
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The registration process requires the Contractor to identify an individual that will serve as a primary contact and who will be authorized access to the evaluation for review and comment. In addition, the Contractor will be required to identify an alternate contact that will be responsible for notifying the cognizant contracting official in the event the primary contact is unavailable to process the evaluation within the required 30-day time frame.
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		G.8.	CONTRACT COMMUNICATIONS/CORRESPONDENCE (JULY 1999)

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The Contractor shall identify all correspondence, reports, and other data pertinent to this contract by imprinting the contract number from Page 1 of the contract.
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		G.9.	GOVERNMENT PROPERTY

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In addition to the requirements of the Government Property clause incorporated in Section I of this contract, the Contractor shall comply with the provisions of HHS Publication, "HHS Contracting Guide for Control of Government Property," which is incorporated into this contract by reference. This document can be accessed at:
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https://archive.org/details/contractorsguide00unit
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Among other issues, this publication provides a summary of the Contractor's responsibilities regarding purchasing authorizations and inventory and reporting requirements under the contract.
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Notwithstanding the provisions outlined in the HHS Publication, "HHS Contracting Guide for Control of Government Property," which is incorporated in this contract in paragraph 1 above, the Contractor shall use the form entitled, "Report of Government Owned, Contractor Held Property" for submitting summary reports required under this contract, as directed by the Contracting Officer or his/her designee. This form is attached to this contract (see Section J- List of Attachments). Title will vest in the Government for equipment purchased as a direct cost.
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SECTION H - SPECIAL CONTRACT REQUIREMENTS
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The Contractor, depending upon the nature of the work, is responsible for following the provisions below in conducting its own work under this contract. The Contractor also is responsible for incorporating these provisions into any subcontract awarded, if applicable to the specific nature of the work in the subcontract. Accordingly, those provisions shall be flowed-down as applicable.
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H.1 CLINICAL AND NON-CLINICAL TERMS OF AWARD
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BARDA has a responsibility to obtain documentation concerning mechanisms and procedures that are in place to protect the safety of participants and animals in BARDA funded clinical trials and non-clinical studies. Therefore, the Contractor shall develop a protocol for each clinical trial and non-clinical study funded under this contract and submit all such protocols and protocol amendments to the Contracting Officer’s Representative (COR) for evaluation and comment.
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Approval by the COR is required before work under a protocol may begin. The COR comments will be forwarded to the Contractor within ten (10) business days. The Contractor must address, in
writing, all concerns (e.g. study design, safety, regulatory, ethical, and conflict of interest) noted by the COR.
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If the draft protocols are to be submitted to the FDA, the COR review shall occur before submission, pursuant to the terms set forth by Section F.2 of this contract. The Contractor shall revise their protocols to address BARDA’s concerns and recommendations prior to FDA submission. The Contractor must provide BARDA with a copy of FDA submissions, within the time frame set forth by Section

		F.2	of this contract.

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Execution of clinical and non-clinical studies requires written authorization from the Government. The Government will provide written authorization to the Contractor upon either 1) receiving documentation in which all COR comments have been satisfactorily addressed; or 2) receiving documentation that the FDA has reviewed and commented on the protocol.
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The Government shall have unlimited rights to all protocols, data resulting from execution of these protocols, and final reports funded by BARDA under this contract, as set forth in the FAR clauses referenced in PART II of this contract. The Government reserves the right to request that the Contractor provide any contract deliverable in a non-proprietary form to ensure the Government has the ability to review and distribute the deliverables as the Government deems necessary. Important information regarding performing human subject research is available at https://www.niaid.nih.gov/research/clinical-research.
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Any updates to technical reports are to be addressed in the Monthly and Annual Progress Reports. The Contractor shall advise the Contracting Officer’s Representative or designee in writing and via electronic communication in a timely manner of any issues potentially affecting contract performance.
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		1.	Non-Clinical Terms of Award

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This contract does not involve the use of animals.
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		2.	Clinical Terms of Award

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These Clinical Terms of Award detail an agreement between the Government and the Contractor; they apply to all grants and contracts that involve clinical research.
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BARDA shall have unlimited rights to all protocols, data generated from the execution of these protocols, and final reports, funded by BARDA under this contract, as defined in Rights in Data Clause in FAR 52.227-14. BARDA reserves the right to request that the Contractor provide any contract deliverable in a without any restrictive legends to ensure BARDA has the ability to review and distribute the deliverables, as BARDA deems necessary.
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		a.	Safety and Monitoring Issues

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i.Institutional Review Board or Independent Ethics Committee Approval
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Within 30 days of award and then with the annual progress report, the Contractor must submit to the COR a copy of the current IRB-or IEC-approved informed consent document, documentation of continuing review and approval and the OHRP federal wide assurance number for the institution or site.
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If other institutions are involved in the research (e.g., a multicenter clinical trial or study), each institution’s IRB or IEC must review and approve the protocol. They must also provide BARDA initial and annual documentation of
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continuing review and approval, including the current approved informed consent document and federal wide number.
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The Contractor must ensure that the application as well as all protocols is reviewed by their IRB or IEC.
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To help ensure the safety of participants enrolled in BARDA-funded studies, the Contractor must provide the COR copies of documents related to all major changes in the status of ongoing protocols, including the following:
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		●	All amendments or changes to the protocol, identified by protocol version number, date, or both and dates it is valid.	

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		●	All changes in informed consent documents, identified by version number, dates, or both and dates it is valid.	

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		●	Termination or temporary suspension of patient accrual.

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		●	Termination or temporary suspension of the protocol.

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		●	Any change in IRB approval.

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		●	Any other problems or issues that could affect the participants in the studies.

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The Contractor must notify the COR and CO of any of the above changes within five (5) working days by email or fax, followed by a letter signed by the institutional business official, detailing notification of the change of status to the local IRB and a copy of any responses from the IRB or IEC.
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If a clinical protocol has been reviewed by an institutional biosafety committee (IBC) or the NIH Recombinant DNA Advisory Committee (RAC), the Contractor must provide information about the initial and ongoing review and approval, if
any. See the NIH Guidelines for Research Involving Recombinant DNA Molecules.
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		ii.	Data and Safety Monitoring Requirements

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BARDA strongly recommends independent safety monitoring for clinical trials of investigational drugs, devices, or biologics; clinical trial of licensed products; and clinical research of any type involving more than minimal risk to volunteers. Independent monitoring can take a variety of forms. Phase III clinical trials must be reviewed by an independent data and safety monitoring board (DSMB); other trials may require DSMB oversight as well. The Contractor shall inform BARDA of any upcoming site visits and/or audits of CRO facilities funded under this effort. BARDA reserves the right to accompany the Contractor on site visits and/or audits of CROs as BARDA deems necessary.
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A risk is minimal where the probability and magnitude of harm or discomfort anticipated in the proposed research and not greater than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests. For examples, the risk of drawing a small amount of blood from a healthy individual for research purposes is no greater than the risk of doing so as part of a routine physical examination (45 CFR 46.102I).
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Final decisions regarding the type of monitoring to be used must be made jointly by BARDA and the Contractor before enrollment starts. Discussions with the responsible BARDA Project Officer regarding appropriate safety monitoring and approval of the final monitoring plan by BARDA must occur before patient enrollment begins and may include discussions about the appointment of one of the following.
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		◾	Independent Safety Monitor – a physician or other appropriate expert who

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is independent of the study and available in real time to review and recommend appropriate action regarding adverse events and other safety issues.
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		◾	Independent Monitoring Committee (IMC) or Safety Monitoring Committee (SMC) – a small group of independent investigators and biostatisticians who review data from a particular study.	

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		◾	Data and Safety Monitoring Board – an independent committee charged with reviewing safety and trial progress and providing advice with respect to study continuation, modification, and termination. The Contractor may be required to use an established BARDA DSMB or to organize an independent DSMB. All phase III clinical trials must be reviewed by a DSMB; other trials may require DSMB oversight as well. Please refer to: NIAID Principles for Use of a Data and Safety Monitoring Board (DSMB) For Oversight of Clinical Trials Policy	

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When a monitor or monitoring board is organized, a description of it, its charter or operating procedures (including a proposed meeting schedule and plan for review of adverse events), and roster and curriculum vitae from all members must be submitted to and approved by the COR before enrollment starts. The Contractor will also ensure that the monitors and board members report any conflicts of interest and the Contractor will maintain a record of this. The Contractor will share conflict of interest reports with the CO and COR.
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Additionally, the Contractor must submit written summaries of all reviews conducted by the monitoring group to the BARDA within thirty (30) days of reviews or meetings.
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iii.BARDA Protocol Review Process Before Patient Enrollment Begins The COR has a responsibility to ensure that mechanisms and procedures are in place to protect the safety of participants in BARDA-supported clinical trials. Therefore, before patient accrual or participant enrollment, the Contractor must ensure the following (as applicable) are in place at each participating institution, prior to patient accrual or enrollment:
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		●	IRB- or IEC-approved clinical research protocol identified by version number, date, or both, including details of study design, proposed interventions, patient eligibility, and exclusion criteria.	

		●	Documentation of IRB or IEC approval, including OHRP federal wide number, IRB or IEC registration number, and IRB and IEC name.	

		●	IRB- or IEC- approved informed consent document, identified by version number, date, or both and dates it is valid.	

		●	Plans for the management of side effects.

		●	Procedures for assessing and reporting adverse events.

		●	Plans for data and safety monitoring (see above) and monitoring of the clinical study site, pharmacy, and laboratory.	

		●	Documentation that the Contractor and all study staff responsible for the design or conduct of the research have received training in the protection of human subjects.	

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Documentation to demonstrate that each of the above items are in place shall be submitted to the COR) for evaluation and comment in conjunction with the protocol. Execution of clinical studies requires written authorization from the COR in accordance with this Section of this contract.
		iv.	Investigational New drug or Investigational Device Exemption Requirements

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Consistent with federal regulations, clinical research projects involving the use of investigational therapeutics, vaccines, or other medical interventions (including licensed products and devices for a purpose other than that for which they were licensed) in humans under a research protocol must be performed under a Food and Drug Administration (FDA) investigational new drug (IND) or investigational device exemption (IDE).
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Exceptions must be granted in writing by FDA. If the proposed clinical trial will be performed under an IND or IDE, the Contractor must provide BARDA with the name and institution of the IND or IDE sponsor, the date the IND or IDE was filed with FDA, the FDA IND or IDE number, any written comments from FDA, and the written responses to those comments.
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Unless FDA notifies Contractor otherwise, The Contractor must wait thirty (30) calendar days from FDA receipt of an initial IND or IDE application before initiating a clinical trial.
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The Contractor must notify BARDA if the FDA places the study on clinical hold and provide BARDA any written comments from FDA, written responses to the comments, and documentation in writing that the hold has been lifted. The Contractor must not use grant or contract funds during a clinical hold to fund clinical studies that are on hold. The Contractor must not enter into any new financial obligations related to clinical activities for the clinical trial on clinical hold.
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		v.	Required Time-Sensitive Notification

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Under an IND or IDE, the sponsor must provide FDA safety reports of serious adverse events. Under these Clinical Terms of Award, the Contractor must submit copies to the responsible Contracting Officer’s Representative (COR) as follows:
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i.Expedited safety report of unexpected or life-threatening experience or death:
A copy of any report of unexpected or life-threatening experience or death associated with the use of an IND drug, which must be reported to FDA by telephone or fax as soon as possible but no later than seven
(7) days after
the IND sponsor’s receipt of the information, must be submitted to the COR within 24 hours of FDA notification.
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ii.Expedited safety reports of serious and unexpected adverse experiences: A copy of any report of unexpected and serious adverse experience
associated with use of an IND drug or any finding from tests in laboratory animals that suggests a significant risk for human subjects, which must be reported in writing to FDA as soon as possible but no later than 15 days after the IND sponsor’s receipt of the information, must be submitted to the COR within 24 hours of FDA notification. For medical devices, adverse events should be reported under the MedWatch (MDR) program with reporting timelines of 5 days for serious adverse events or 30 days for reportable events.
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		iii.	IDE reports of unanticipated adverse device effect:

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A copy of any reports of unanticipated adverse device effect submitted to FDA must be submitted to the COR within 24 hours of FDA notification.
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		iv.	Expedited safety reports: Sent to the COR concurrently with the report to FDA.

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		v.	Other adverse events documented during the course of the trial should be included in the annual IND or IDE report and reported to BARDA annually.	

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In case of problems or issues, the Contracting Officer’s Representative will contact the Contractor within ten (10) business days by email or fax, followed within thirty (30) calendar days by an official letter to the Contractor’s Project Manager, with a copy to the institutions’ office of sponsored programs, listing issues and appropriate actions to be discussed.
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		vi.	Safety reporting for research not performed under an IND or IDE.

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Final decisions regarding ongoing safety reporting requirements for research not performed under an IND or IDE must be made jointly by the Contracting Officer’s Representative and the Contractor.
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H.2.PROTECTION OF HUMAN SUBJECTS, HHSAR 352.270-4(b) (December 2015)
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		a.	The Contractor agrees that the rights and welfare of human subjects involved in research under this contract shall be protected in accordance with 45 CFR Part 46 and with the Contractor's current federal wide Assurance of Compliance on file with the Office for Human Research Protections (OHRP), Department of Health and Human Services. The Contractor further agrees to provide certification at least annually that the Institutional Review Board has reviewed and approved the procedures, which involve human subjects in accordance with 45 CFR Part 46 and the Assurance of Compliance.	

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		b.	The Contractor shall bear full responsibility for the performance of all work and services involving the use of human subjects under this contract and shall ensure that work is conducted in a proper manner and as safely as is feasible. The parties hereto agree that the Contractor retains the right to control and direct the performance of all work under this contract. The Contractor shall not deem anything in this contract to constitute the Contractor or any subcontractor, agent or employee of the Contractor, or any other person, organization, institution, or group of any kind whatsoever, as the agent or employee of the Government. The Contractor agrees that it has entered into this contract and will discharge its obligations, duties, and undertakings and the work pursuant thereto, whether requiring professional judgment or otherwise, as an independent contractor without imputing liability on the part of the Government for the acts of the Contractor or its employees.	

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		c.	Contractors involving other agencies or institutions in activities considered to be engaged in research involving human subjects must ensure that such other agencies or institutions obtain their own FWA if they are routinely engaged in research involving human subjects or ensure that such agencies or institutions are covered by the Contractors' FW’ via designation as agents of the institution of via individual investigator agreements (see OHRP website at: http//:www.hhs.gov/ohrp/policy/guidanceonalternativeofwa.pdf).	

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		d.	If at any time during the performance of this contract, the Contractor is not in compliance with any of the requirements and/or standards stated in paragraphs (a) and (b) above, the Contracting Officer may immediately suspend, in whole or in part, work and further payments under this contract until the Contractor corrects the noncompliance. The Contracting Officer may communicate the notice of suspension by telephone with confirmation in writing. If the Contractor fails to complete corrective action within the period of time designated in the Contracting Officer's written notice of suspension, the Contracting Officer may, after consultation with OHRP, terminate this contract in whole or in part.	

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		H.3.	HUMAN MATERIALS (ASSURANCE OF OHRP COMPLIANCE)

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The acquisition and supply of all human specimen material (including fetal material) used under this contract shall be obtained by the Contractor in full compliance with applicable Federal, State and Local laws and the provisions of the Uniform Anatomical Gift Act in the United States, and no undue inducements, monetary or otherwise, will be offered to any person to influence their donation of human material.
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The Contractor shall provide written documentation that all human materials obtained as a result of research involving human subjects conducted under this contract, by collaborating sites, or by subcontractors identified under this contract, were obtained with prior approval by the Office for Human Research Protections (OHRP) of an Assurance to comply with the requirements of
45 CFR 46 to protect human research subjects. This restriction applies to all collaborating sites without OHRP- approved Assurances, whether domestic or foreign, and compliance must be ensured by the Contractor.
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Provision by the Contractor to the Contracting Officer of a properly completed "Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption", Form OMB No. 0990-0263(formerly Optional Form 310), certifying IRB review and approval of the protocol from which the human materials were obtained constitutes the written documentation required. The human subject certification can be met by submission of a self-designated form provided that it contains the information required by the "Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption", Form OMB No. 0990-0263 (formerly Optional Form 310).
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		H.4.	RESEARCH INVOLVING HUMAN FETAL TISSUE

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All research involving human fetal tissue shall be conducted in accordance with the Public Health Service Act, 42 U.S.C. 289g-1 and 289g-2. Implementing regulations and guidance for conducting research on human fetal tissue may be found at 45 CFR 46, Subpart B
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and http://grants1.nih.gov/grants/guide/notice-files/not93-235.html and any subsequent revisions to this NIH Guide to Grants and Contracts ("Guide") Notice.
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The Contractor shall make available, for audit by the Secretary, HHS, the physician statements and informed consents required by 42 USC 289g-1(b) and (c), or ensure HHS access to those records, if maintained by an entity other than the Contractor.
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		H.5.	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 BARDA funded programs should 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 e-mail address is Htips@os.dhhs.gov and the mailing address is:
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Office of Inspector General
Department of Health and Human Services TIPS HOTLINE
P.O. Box 23489 Washington, D.C. 20026
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		H.6.	PROHIBITION ON CONTRACTOR INVOLVEMENT WITH TERRORIST ACTIVITIES

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The Contractor acknowledges that U.S. Executive Orders and Laws, including but not limited to 13224 and P.L. 107-56, prohibit transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the Contractor to ensure compliance with these Executive Orders and Laws. This clause must be included in all subcontracts issued under this contract.
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		H.7.	IDENTIFICATION AND DISPOSITION OF DATA

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The Contractor will be required to provide certain data generated under this contract to the Department of Health and Human Services (DHHS). DHHS reserves the right to review any other data determined by DHHS to be relevant to this contract. The Contractor shall keep copies of all data required by the Food and Drug Administration (FDA) relevant to this contract for the time specified by the FDA.
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		H.8.	EXPORT CONTROL NOTIFICATION

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Contractors are responsible for ensuring compliance with all export control laws and regulations that may be applicable to the export of and foreign access to their proposed technologies. Contractors may consult with the Department of State with any questions regarding the International Traffic in Arms Regulation (ITAR) (22 CRF Parts 120-130) and /or the Department of Commerce regarding the Export Administration Regulations (15 CRF Parts 730-774).
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		H.9.	CONFLICT OF INTEREST

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The Contractor represents and warrants that, to the best of the Contractor's knowledge and belief, there are no relevant facts or circumstances which could give rise to an organizational conflict of interest, as defined in FAR 2.101 and Subpart 9.5, and that the Contractor has disclosed all such relevant information. Prior to commencement of any work, the Contractor agrees to notify the Contracting Officer promptly that, to the best of its knowledge and belief, no actual or potential conflict of interest exists or to identify to the Contracting Officer any actual or potential conflict of interest the firm may have. In emergency situations, however, work may begin but notification shall be made within five (5) working days. The Contractor agrees that if an actual or potential organizational conflict of interest is identified during performance, the Contractor shall promptly make a full disclosure in writing to the Contracting Officer. This disclosure shall include a description of actions which the Contractor has taken or proposes to take, after consultation with the Contracting Officer, to avoid, mitigate, or neutralize the actual or potential conflict of interest. The Contractor shall continue performance until notified by the Contracting Officer of any contrary action to be taken. Remedies include termination of this contract for convenience, in whole or in part, if the Contracting Officer deems such termination necessary to avoid an organizational conflict of interest. If the Contractor was aware of a potential organizational conflict of interest prior to award or discovered an actual or potential conflict after award and did not disclose it or misrepresented relevant information to the
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Contracting Officer, the Government may terminate the contract for default, debar the Contractor from Government contracting, or pursue such other remedies as may be permitted by law or this contract.
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		H.10.	NEEDLE DISTRIBUTION

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The Contractor shall not use contract funds to carry out any program of distributing sterile needles or syringes for the hypodermic injection of any illegal drug.
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		H.11.	RESTRICTION ON ABORTIONS

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The Contractor shall not use contract funds for any abortion.
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		H.12.	CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH

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The Contractor shall not use contract funds for (1) the creation of a human embryo or embryos for research purposes; or (2) research in which a human embryo or embryos are destroyed, discarded, or knowingly subjected to risk of injury or death greater than that allowed for research on fetuses in utero under 45 CFR 46.204(b) and Section 498(b) of the Public Health Service Act (42
U.S.C. 289g(b)). The term "human embryo or embryos" includes any organism, not protected as a human subject under 45 CFR 46 as of the date of the enactment of this Act, that is derived by fertilization, parthenogenesis, cloning, or any other means from one or more human gametes or human diploid cells.
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Additionally, in accordance with a March 4, 1997 Presidential Memorandum, Federal funds may not be used for cloning of human beings.
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		H.13.	DISSEMINATION OF FALSE OR DELIBERATELY MISLEADING INFORMATION

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The Contractor shall not use contract funds to disseminate information that is deliberately false or misleading.
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		H.14.	ACCESS TO DOCUMENTATION/DATA

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The Government shall have physical and electronic access to all documentation and data generated under this contract, including: all data documenting Contractor performance; all data generated; all communications and correspondence with regulatory agencies and bodies to include all audit observations, inspection reports, milestone completion documents, and all Offeror commitments and responses. Contractor shall provide the Government with an electronic copy of all correspondence and submissions to the FDA within 5 business days of receipt. The Government shall acquire unlimited rights to all data funded or furnished without proprietary restrictions under this contract in accordance with FAR Subpart 27.4 and FAR Clause 52.227-14.
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		H.15.	EPA ENERGY STAR REQUIREMENTS

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In compliance with Executive Order 12845 (requiring Agencies to purchase energy efficient computer equipment), all microcomputers, including personal computers, monitors, and printers that are purchased using Government funds in performance of a contract shall be equipped with or meet the energy efficient low-power standby feature as defined by the EPA Energy Star program unless the equipment always meets EPA Energy Star efficiency levels. The microcomputer, as configured with all components, must be Energy Star compliant.
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This low-power feature must already be activated when the computer equipment is delivered to the agency and be of equivalent functionality of similar power managed models. If the equipment will be used on a local area network, the vendor must provide equipment that is fully compatible with the network environment. In addition, the equipment will run commercial off-the-shelf software both before and after recovery from its energy conservation mode.
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		H.16.	ACKNOWLEDGMENT OF FEDERAL FUNDING

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Section 507 of P.L. 104-208 mandates that Contractors funded with Federal dollars, in whole or in part, acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid solicitations and other documents. This requirement is in addition to the continuing requirement to provide an acknowledgment of support and disclaimer on any publication reporting the results of a contract funded activity.
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Publication and Publicity
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No information related to data obtained under this contract shall be released or publicized without providing BARDA with at least thirty (30) days advanced notice and an opportunity to review the proposed release or publication.
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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, Section 507 of P.L. 104-208 mandates that Contractors funded with Federal dollars, in whole or in part, acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid solicitations and other documents. Contractors are required to state:
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(1)The percentage and dollar amounts of the total program or project costs financed with Federal money and;
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(2)The percentage and dollar amount of the total costs financed by non-governmental sources. For purposes of this contract “publication” is defined as an issue of printed material offered for distribution or any communication or oral presentation of information, including any manuscript or scientific meeting abstract. Any publication containing data generated under this contract must be submitted for BARDA review no less than thirty (30) calendar days for manuscripts and fifteen (15) calendar days for abstracts
before submission for public presentation or publication. Contract support shall be acknowledged in all such publications substantially as follows:
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“This project has been funded in whole or in part with Federal funds from the Department of Health and Human Services; Office of the Assistant Secretary for Preparedness and Response; Biomedical Advanced Research and Development Authority, under Contract No. HHSO100201800013C.”
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Press Releases
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Misrepresenting contract results or releasing information that is injurious to the integrity of BARDA may be construed as improper conduct. Press releases shall be considered to include the public release of information to any medium, excluding peer-reviewed scientific publications. With the exception of ad-hoc press releases required by applicable law or regulations, the Contractor shall ensure that the COR has received an advance copy of any press release related to the contract not less than two (2) business days prior to the issuance of the press release.
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The Contractor shall acknowledge the support of the Department of Health and Human Service, Office of the Assistant Secretary for Preparedness and Response, Biomedical Advanced Research and Development Authority, whenever publicizing the work under this contract in any media by including an acknowledgment substantially as follows:
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“This project has been funded in whole or in part with Federal funds from the Department of Health and Human Services; Office of the Assistant Secretary for Preparedness and Response; Biomedical Advanced Research and Development Authority, under Contract No. HHSO100201800013C.”
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H.17.PROHIBITION ON THE USE OF APPROPRIATED FUNDS FOR LOBBYING ACTIVITIES AND HHSAR 352.203-70 ANTI-LOBBYING (December 2015)
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Pursuant to the HHS annual appropriations acts, except for normal and recognized executive- legislative relationships, the Contractor shall not use any HHS contract funds for:
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		(a)	Publicity or propaganda purposes;

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		(b)	The preparation, distribution, or use of any kit, pamphlet, booklet, publication, electronic communication, radio, television, or video presentation designed to support or defeat the enactment of legislation before the Congress or any State or local legislature or legislative body, except in presentation to the Congress or any state or local legislature	

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itself; or designed to support or defeat any proposed or pending regulation,
administrative action, or order issued by the executive branch of any state or local government, except in presentation to the executive branch of any state or local government itself; or
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		(c)	Payment of salary or expenses of the Contractor, or any agent acting for the Contractor, related to any activity designed to influence the enactment of legislation, appropriations, regulation, administrative action, or Executive order proposed or pending before the Congress or any state government, state legislature or local legislature or legislative body, other than for normal and recognized executive-	

legislative relationships or participation by an agency or officer of a state, local, or tribal government in policymaking and administrative processes within the executive branch of that government.
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		(d)	The prohibitions in subSections (a), (b), and (c) above shall include any activity to advocate or promote any proposed, pending, or future federal, state, or local tax increase, or any proposed, pending, or future requirement for, or restriction on, any legal consumer product, including its sale or marketing, including, but not limited to, the	

advocacy or promotion of gun control.
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		H.18.	PRIVACY ACT APPLICABILITY

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Notification is hereby given that the Contractor and its employees are subject to criminal penalties for violation of the Privacy Act to the same extent as employees of the Government. The Contractor shall assure that each of its employees knows the prescribed rules of conduct and that each is aware that he or she can be subjected to criminal penalty for violation of the Act. A copy of 45 CFR Part 5b, Privacy Act Regulations, may be obtained at https://www.gpo.gov/fdsys/granule/CFR-2007-title45-vol1/CFR-2007-title45-vol1- part5b
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The Project Officer is hereby designated as the official who is responsible for monitoring contractor compliance with the Privacy Act.
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The Contractor shall follow the Privacy Act guidance as contained in the Privacy Act System of Records number 09-25-0200. This document may be obtained at the following link: http://oma.od.nih.gov/ms/privacy/pa-files/0200.htm
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		H.19.	LABORATORY LICENSE REQUIREMENTS

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The Contractor shall comply with all applicable requirements of Section 353 of the Public Health Service Act (Clinical Laboratory Improvement Act as amended) (42 U.S.C. 263a and 42 CFR Part 493). This requirement shall also be included in any subcontract for services under the contract
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		H.20.	QUALITY ASSURANCE (QA) AUDIT REPORTS

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BARDA reserves the right to participate in QA audits as related to activities funded under this contract. Upon completion of the audit/site visit the Contractor shall provide a report capturing the findings, results and next steps in proceeding with the subcontractor. If action is requested of the subcontractor, detailed concerns for addressing areas of non-conformance to FDA regulations for GLP, GMP, or GCP guidelines, as identified in the audit report, must be provided to BARDA. The Contractor shall provide responses from the subcontractors to address these concerns and plans for corrective action execution.
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		●	Contractor shall notify CO and COR of upcoming, ongoing, or recent audits/site visits of subcontractors as part of weekly communications.	

		●	Contractor shall notify the COR and CO within five (5) business days of report completion.

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		H.21.	BARDA AUDITS

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Contractor shall accommodate periodic or reasonable ad hoc site visits during normal business hours by the Government with forty- eight (48) hours advance notice. If the Government, the Contractor, or other parties identifies any issues during an audit, the Contractor shall capture the issues, identify potential solutions, and provide a report to the Government.
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		●	If issues are identified during the audit, Contractor shall submit a report to the CO and COR detailing the finding and corrective action(s) within 10 business days of the audit.	

		●	COR and CO will review the report and provide a response to the Contractor with ten (10) business days.

		●	Once corrective action is completed, the Contractor will provide a final report to the CO and COR.

​
		H.22.	RESTRICTION ON EMPLOYMENT OF UNAUTHORIZED ALIEN WORKERS

​
The Contractor shall not use contract funds to employ workers described in Section 274A (h)(3) of the Immigration and National Act, which reads as follows:
​
“(3) Definition of unauthorized alien – As used in this Section, the term ‘unauthorized alien’ with respect to the employment of an alien at a particular time, that the alien is not at that time either an alien lawfully admitted for permanent residence, or (B) authorized to be so employed by this Act or by the Attorney General.”
​
		H.23.	NOTIFICATION OF CRITICAL PROGRAMMATIC CONCERNS, RISKS, OR POTENTIAL RISKS

​
If any action occurs that creates a cause for critical programmatic concern, risk, or potential risk to BARDA or the Contractor and Incident Report shall be delivered to BARDA.
​
		●	Within 48 hours of activity or incident or within 24 hours for a security related activity or incident, Contractor must notify BARDA.	

		●	Additional updates due to COR and CO within 48 hours of additional developments.

		●	Contractor shall submit within 5 business days a Corrective Action Plan (if deemed necessary by either party) to address any potential issues.	

​
If corrective action is deemed necessary, Contractor must address in writing, its consideration of concerns raised by BARDA within 5 business days.
​
​
		H.24.	DISSEMINATION OF INFORMATION (May 2004)

​
Other than scientific and technical Sections for which the contractor can assert a copyright under FAR Clause 52.227-14 I no information related to data obtained under this contract shall be released or publicized without the prior written consent of the Contracting Officer. In the event that the contractor seeks to publicize data through a scientific or technical Section, the contractor shall provide BARDA, through the COR, with a minimum of thirty (30) business days to review the Section prior to publication.
​
​
H.25.REGISTRATION WITH THE SELECT AGENT PROGRAM FOR WORK INVOLVING THE POSSESSION, USE, AND/OR TRANSFER OF SELECT BIOLOGICAL AGENTS OR TOXINS
​
Work involving select biological agents or toxins shall not be conducted under this contract until the Contractor and any affected subcontractor(s) are granted a certificate of registration or are authorized to work with the applicable select agents.
​
For prime or subcontract awards to domestic institutions who possess, use, and/or transfer Select Agents under this contract, the institution must complete registration with the Centers for Disease Control and Prevention (CDC), Department of Health and Human Services (DHHS) or the Animal and Plant Health Inspection Services (APHIS), U.S. Department of Agriculture (USDA), as applicable, before performing work involving Select Agents, in accordance with 42 CFR 73. No Government funds can be used for work involving Select Agents, as defined in 42 CFR 73, if the final registration certificate is denied.
​

​

​

For prime or subcontract awards to foreign institutions who possess, use, and/or transfer Select Agents under this contract, the institution must provide information satisfactory to the Government that a process equivalent to that described in 42 CFR 73 (https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=8a4be60456973b5ec6bef5dfeaffd49a&r=PART&n=42y1.0.1.6.61) for U.S. institutions is in place and will be administered on behalf of all Select Agent work sponsored by these funds before using these funds for any work directly involving the Select Agents. The Contractor must provide information addressing the following key elements appropriate for the foreign institution: safety, security, training, procedures for ensuring that only approved/appropriate individuals have access to the Select Agents, and any applicable laws, regulations and policies equivalent to 42 CFR 73. The Government will assess the policies and procedures for comparability to the U.S. requirements described in 42 CFR Part 73. When requested by the contracting officer, the Contractor shall provide key information delineating any laws, regulations, policies, and procedures applicable to the foreign institution for the safe and secure possession, use, and transfer of Select Agents. This includes summaries of safety, security, and training plans, and applicable laws, regulations, and policies. For the purpose of security risk assessments, the Contractor must provide the names of all individuals at the foreign institution who will have access to the Select Agents and procedures for ensuring that only approved and appropriate individuals have access to Select Agents under the contract.
​
Listings of HHS select agents and toxins, biologic agents and toxins, and overlap agents or toxins as well as information about the registration process, can be obtained on the Select Agent Program Web site at https://www.selectagents.gov/regulations.html
​
		H.26.	MANUFACTURING STANDARDS

​
The Good Manufacturing Practice Regulations (GMP)(21 CFR Parts 820) will be the standard to be applied for manufacturing, processing, packaging, storage and delivery of this product.
​
If at any time during the life of the contract, the Contractor fails to comply with GMP in the manufacturing, processing, packaging, storage, stability and other testing of the manufactured drug substance or product and delivery of this product and such failure results in a material adverse effect on the safety, purity or potency of the product (a material failure) as identified by the FDA, the Contractor shall have thirty (30) calendar days from the time such material failure is identified to cure such material failure. If, within the thirty (30) calendar day period, the Contractor fails to take such an action to the satisfaction of the Government Project Officer, or fails to provide a remediation plan that is acceptable to the COR, then the contract may be terminated.
​
​
		H.27.	IN-PROCESS REVIEW

​
In Process Reviews (IPR) will be conducted at the discretion of the Government to discuss the progression of the milestones. The Government reserves the right to revise the milestones and budget pending the development of the project. Deliverables such as an overall project summary report and/or slides will be required when the IPRs are conducted. The Contractor’s success in completing the required tasks under each work segment must be demonstrated through the Deliverables and Milestones specified under Section F. Those deliverables will constitute the basis for the Government’s decision, at its sole discretion, to proceed with the work segment, or institute changes to the work segment, or terminate the work segment.
​
IPRs may be scheduled at the discretion of the Government to discuss progression of the contract. The Contractor shall provide a presentation following a prescribed template which will be provided by the Government at least 30 business days prior to the IPR. Subsequently, the contractor will be requested to provide a revised/final presentation to the Contracting Officer at least 10 business days prior to the IPR.
​
​
		H.28.	HUMAN SUBJECTS

​
The Contractor shall submit all human clinical protocols and informed consent documents to BARDA for review and comment prior to submission to another entity.
​
Research involving human subjects shall not be conducted under this contract until the study protocol has been approved by the Department of Health and Human Services, written notice of such approval has been provided by the CO, and the Contractor has provided to the CO a properly completed “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310) certifying IRB review and approval of the protocol. The human
​

​

​

subject certification can be met by submission of the Contractor’s self-designated form, provided that it contains the information required by the “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310).
​
When research involving Human Subjects will take place at collaborating sites or other performance sites, the Contractor shall obtain, and keep on file, a properly completed “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310) certifying IRB review and approval of the research.
​
		H.29.	SHARING RESEARCH DATA

​
The Contractor’s data sharing plan, due date to be determined at contract award, is hereby incorporated by reference. The Contractor agrees to adhere to its plan and shall request prior approval of the Contracting Officer for any changes in its plan.
​
BARDA endorses the sharing of final research data to serve health. This contract is expected to generate research data that must be shared with the public and other researchers.
​
BARDA recognizes that data sharing may be complicated or limited, in some cases, by institutional policies, local IRB rules, as well as local, state and Federal laws and regulations, including the Privacy Rule (see HHS-published documentation on the Health Information Privacy at http://www.hhs.gov/ocr/privacy/index.html). The rights and privacy of people who participate in BARDA- funded research must be protected at all times; thus, data intended for broader use should be free of identifiers that would permit linkages to individual research participants and variables that could lead to deductive disclosure of the identity of individual subjects.
​
H.30.CONTINUED BAN ON FUNDING ABORTION AND CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH, HHSAR 352.270-13 (December 2015)
​
		a.	The Contractor shall not use any funds obligated under this contract for any abortion.

		b.	The Contractor shall not use any funds obligated under this contract for the following:

		i.	The creation of a human embryo or embryos for research purposes; or	

		ii.	Research in which a human embryo or embryos are destroyed,

discarded, or knowingly subjected to risk of injury of death greater than that allowed for research on fetuses in utero under 45 CFR part 46 and Section 498(b) of the Public Health Service Act (42 U.S.C. 289g(b)).
		c.	The term ``human embryo or embryos’’ includes any organism, not protected as a human subject under 45 CFR part 46 as of the date of the enactment of this Act, that is derived by fertilization, parthenogenesis, cloning, or any other means from one or more human	

gametes of human diploid cells.
		d.	The Contractor shall not use any Federal funds for the cloning of human beings.

​
​
		H.31.	PUBLIC ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM ASPR FUNDED RESEARCH

​
All ASPR-funded investigators shall submit to the NIH National Library of Medicine’s (NLM) PubMed Central (PMC) an electronic version of the author’s final manuscript, upon acceptance for publication, of any peer-reviewed scientific publications resulting from research supported in whole or in part with Federal funds from the Department of Health and Human Services; Office of the Assistant Secretary for Preparedness and Response. ASPR defines the author’s final manuscript as the final version accepted for journal publication, and includes all modifications from the publishing peer review process. The PMC archive will preserve permanently these manuscripts for use by the public, health care providers, educators, scientists, and ASPR. The Policy directs electronic submissions to the NIH/NLM/PMC: http://www.pubmedcentral.nih.gov.
​
		H.32.	INSTITUTIONAL RESPONSIBILITY REGARDING CONFLICTING INTERESTS OF INVESTIGATORS

​
The Contractor shall comply with the requirements of 45 CFR Part 94, Responsible Prospective
Contractors, which promotes objectivity in research by establishing standards to ensure that investigators (defined as the principal investigator and any other person who is responsible for the design, conduct, or reporting of research funded under BARDA contracts) will not be biased by any conflicting financial interest. 45 CFR Part 94 is available at the following Web site:
​

​

​

https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title45/45cfr94_main_02.tpl 
​
As required by 45 CFR Part 94, the Contractor shall, at a minimum:
​
		a.	Maintain a written, enforceable policy on conflict of interest that complies with 45 CFR Part 94 and inform each investigator of the policy, the investigator’s reporting responsibilities, and the applicable regulations. The Contractor must take reasonable steps to ensure that investigators working as collaborators or subcontractors comply with the regulations.	

​

		b.	Designate an official(s) to solicit and review financial disclosure statements from each investigator participating in BARDA- funded research. Based on established guidelines consistent with the regulations, the designated official(s) must determine whether a conflict of interest exists, and if so, determine what actions should be taken to manage, reduce, or eliminate such conflict. A conflict of interest exists when the designated official(s) reasonably determines that a Significant Financial Interest could directly and significantly affect the design, conduct, or reporting of the BARDA-funded research. The Contractor may require the management of other conflicting financial interests in addition to those described in this paragraph, as it deems appropriate. Examples of conditions or restrictions that might be imposed to manage actual or potential conflicts of interests are included in 45 CFR Part 94, under Management of Conflicting Interests.	

​
		c.	Require all financial disclosures to be updated during the period of the award, either on an annual basis or as new reportable Significant Financial Interests are obtained.	

​
		d.	Maintain records, identifiable to each award, of all financial disclosures and all actions taken by the Contractor with respect to each conflicting interest 3 years after final payment or, where applicable, for the other time periods specified in 48 CFR Part 4, subpart 4.7, Contract Records Retention.	

​

		e.	Establish adequate enforcement mechanisms and provide for sanctions where appropriate.

​
If a conflict of interest is identified, the Contractor shall report to the Contracting Officer, the existence of the conflicting interest found. This report shall be made and the conflicting interest managed, reduced, or eliminated, at least on a temporary basis, within sixty (60) days of that identification.
​
If the failure of an investigator to comply with the conflict of interest policy has biased the design, conduct, or reporting of the BARDA-funded research, the Contractor must promptly notify the Contracting Officer of the corrective action taken or to be taken. The Contracting Officer will take appropriate action or refer the matter to the Contractor for further action, which may include directions to the Contractor on how to maintain appropriate objectivity in the funded research.
​
The Contracting Officer may at any time inquire into the Contractor’s procedures and actions regarding conflicts of interests in BARDA-funded research, including a review of all records pertinent to compliance with 45 CFR Part 94. The Contracting Officer may require submission of the records or review them on site. On the basis of this review, the Contracting Officer may decide that a particular conflict of interest will bias the objectivity of the BARDA-funded research to such an extent that further corrective action is needed or that the Contractor has not managed, reduced, or eliminated the conflict of interest. The issuance of a Stop Work Order by the Contracting Officer may be necessary until the matter is resolved.
​
If the Contracting Officer determines that BARDA-funded clinical research, whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment, has been designed, conducted, or reported by an investigator with a conflict of interest that was not disclosed or managed, the Contractor must require disclosure of the conflict of interest in each public presentation of the results of the research.
​
H-33 FOREIGN TRANSFER OF ASSETS OR TECHNOLOGY
​
This clause shall remain in effect during the term of the Contract and for five (5) years thereafter.
​
		a.	Definitions

​
AFFILIATES: Associated business concerns, non-profit organizations, or individuals if, directly or indirectly, (1) either one controls or can control the other; or (2) a third party controls or can control both.
​

​

​

​
ASSET(S): Tangible or intangible manifestations of technologies having economic value and capable of being conveyed between economic or Governmental entities that is the focus/scope of development by the U.S. Government (“USG”) and Contactor in this Contract.
​
ASSET(S): Tangible or intangible manifestations of technologies having economic value and capable of being conveyed between economic or Governmental entities that is the focus/scope of development by the U.S. Government (the “USG”) and Contactor in this Contract.
​
FOREIGN FIRM OR INSTITUTION: A firm or institution organized or existing under the laws of a country other than the United States of America (U.S.), its territories, or possessions. The term includes, for purposes of this Contract, any agency or instrumentality of a foreign government; and firms, institutions or business organizations which are owned or substantially controlled by foreign governments, firms, institutions, or individuals.
​
TECHNOLOGY: Technical Data, Computer Software, manufactured materials and Subject Inventions funded by the USG under this Contract. Technology also includes contractor know how and personnel expertise, as well as other Assets necessary to assure successful completion of this Contract.
​
U.S. FIRM OR INSTITUTION: A firm or institution organized or existing under the laws of the United States, its territories, or possessions. The term includes, for purposes of this Contract, any agency or instrumentality of the USG; and firms, institutions or business organizations which are owned or substantially controlled by U.S. citizens, firms, institutions, governmental agencies or individuals.
​
		b.	General

​
The Parties agree that research findings and technological developments made under this Contract constitute an investment by the USG on behalf of its citizens in the interest of their economic and national health security. These investments are made for the primary benefit of the citizenry of the U.S. with those same benefits potentially accruing to the people of all nations. Therefore, the USG has a fiduciary responsibility to protect the full invested value of the Assets and Technology developed under this Contract. The USG is also cognizant of the duty the Contractor has to its shareholders and other stakeholders with a vested interested in the economic success of the Contractor.  At times both parties are aware their respective interests may diverge.  Therefore, in the course of conducting business though the Contract, access to technology developments under this Contract by Foreign Firms or Institutions must be carefully considered.
​
		c.	Export Controls

​
Contractor agrees to comply with all applicable laws regarding export controls and not to export any Asset or Technology to any U.S. embargoed countries.
​
		d.	Post-award Transfer of Ownership of Assets or Technology

​
The Contractor shall provide notice to the Contracting Officer and COR within three (3) business days of any discussions of a proposed transfer of ownership or establishment of a licensing agreement of any Asset or Technology funded under this Contract from the Contractor to a Foreign Firm or Institution. Notice will also be given within three (3) business days of any discussions of a proposed transfer of operational, corporate, or economic control of Assets and Technology funded under this Contract to Foreign Firms or Institutions. This Article shall not apply to transfers by the Contractor to Affiliated entities of the Contractor, as well as technology transfers for the purposes of manufacturing in accordance with the Statement of Work.
​
Prior to transferring any Asset funded by the USG under this Contract, the Contractor should carefully review the USG rights under FAR Subpart 42.12 pertaining to Novation, specifically FAR section 42.1204. That provision provides that the USG may recognize a third party assignment only if the transfer of Assets and Technology is determined to be in the USG’s interests.  The Contractor should be aware that the USG is under no obligation to recognize a successor in interest. If the Contracting Officer determines that a transfer of Assets and Technology may have adverse consequences to the economic well-being or national health security interests of the U.S., the Contractor, and the Contracting Officer shall jointly endeavor to find alternatives to the proposed transfer which obviate or mitigate potential adverse consequences of the transfer but which may provide substantially equivalent benefits to the
​

​

​

Contractor.
​
In addition to the USG licensing rights to subject inventions and technical data funded under this Contract, see FAR clause 52.227-11 (Patent Rights-Ownership by the Contractor) and FAR Clause 52.227-14 (Rights in Data - General), the USG shall have a first right of refusal for the purchase of the Asset and/or Technology funded under the Contract. The USG may waive this first right of refusal in writing submitted to the Contractor within ninety (90) calendar days of the initial notification to the USG of the Contractor’s intent to conduct any form of Asset or corporate transfer.
​
Except for transfers to affiliates of the Contractor, including those entities necessary to complete the Statement of Work, the Contractor shall provide written notice to the Contracting Officer and COR of the scheduled transfer to a Foreign Firm or Institution at least ninety (90) calendar days prior to the scheduled date of transfer. Such notice shall cite this Article and shall specifically identify the Asset or Technology proposed for the transfer and the general terms of the transfer. No transfer shall take place without written concurrence from the Contracting Officer.
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		e.	Transfer to a Prohibited Source

​
In the event of a transfer of an Asset and/or Technology by the Contractor to a Foreign Firm or Institution which is identified as a Prohibited Source pursuant to Federal Acquisition Regulation Subpart 25.7: (a) the Government may terminate this contract for cause and (b) the license rights to the technical data and subject invention under the relevant FAR IP Clauses (FAR Clause 52.227-11 and FAR Clause 52-227-14) shall survive the termination. Upon request of the USG, the Contractor shall provide written confirmation of such licenses.
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		f.	Lower Tier Agreements

​
The Contractor shall include this Article, suitably modified, to identify the Parties, in all subcontracts or lower tier agreements, regardless of tier.
​
​
PART II – CONTRACT CLAUSES SECTION I – CONTRACT CLAUSES
		I.1.	FAR 52.252-2, CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998)

​

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at: http://www.acquisition.gov/far. HHSAR clauses at http://www.hhs.gov/policies/hhsar/subpart352.html

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General Clauses for Cost-Reimbursement Research and Development Contract
​

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

​
	FAR Clause

	Date

	Clause Title

	52.202-1

	Jun 2020

	Definitions

	52.203-3

	Apr 1984

	Gratuities

	52.203-5

	May 2014

	Covenant Against Contingent Fees

	52.203-6

	Jun 2020

	Restrictions on Subcontractor Sales to the Government

	52.203-7

	Jun 2020

	Anti-Kickback Procedures

	52.203-8

	May 2014

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

	52.203-10

	May 2014

	Price or Fee Adjustment for Illegal or Improper Activity

​

​

​

	52.203-11

	Sept 2007

	Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions

	52.203-12

	Jun 2020

	Limitation on Payments to Influence Certain Federal Transactions

	52.203-13

	Jun 2020

	Contractor Code of Business Ethics and Conduct

	52.203-14

	Jun 2020

	Display of Hotline Poster(s)

	52.203-17

	Jun 2020

	Contractor Employee Whistleblower Rights and Requirement To Inform Employees of Whistleblower Rights

	52.204-4

	May 2011

	Printed or Copied Double-Sided on Postconsumer Fiber Content Paper

	52.204-5

	Oct 2014

	Women-Owned Business (Other Than Small Business)

	52.204-7

	Oct 2016

	System for Award Management

	52.204-10

	Jun 2020

	Reporting Executive Compensation and First-Tier Subcontract Awards

	52.204-13

	Oct 2016

	System for Award Management Maintenance

	52.204-16

	Aug 2020

	Commercial and Government Entity Code Reporting

	52.204-17

	Aug 2020

	Ownership of Control or Offeror

	52.204-18

	Aug 2020

	Commercial and Government Entity Code Maintenance

	52.207-1

	May 2006

	Notice of Standard Competition

	52.209-5

	Oct 2015

	Certification Regarding Responsibility Matters

	52.209-6

	Jun 2020

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

	52.209-9

	Jul 2013

	Updates of Publicly Available Information Regarding Responsibility Matters

	52.209-10

	Nov 2015

	Prohibition on Contracting with Inverted Domestic Corporations

	52.210-1

	Jun 2020

	Market Research

	52.211-5

	Aug 2000

	Material Requirements

	52.215-2

	Jun 2020

	Audit and Records – Negotiation

	52.215-8

	Oct 1997

	Order of Precedence – Uniform Contract Format

	52.215-10

	Aug 2011

	Price Reduction for Defective Cost or Pricing Data

	52.215-11

	Jun 2020

	Price Reduction for Defective Certified Cost or Pricing Data
—Modifications.

	52.215-12

	Jun 2020

	Subcontractor Certified Cost or Pricing Data

	52.215-13

	Jun 2020

	Subcontractor Certified Cost or Pricing Data—Modifications

	52.215-14

	Jun 2020

	Integrity of Unit Prices (Over the Simplified Acquisition Threshold

	52.215-15

	Oct 2010

	Pension Adjustments and Asset Reversions

	52.215-16

	June 2003

	Facilities Capital Cost of Money

	52.215-17

	Oct 1997

	Waiver of Facilities Capital Cost of Money

	52.215-18

	Jul 2005

	Reversion or Adjustment of Plans for Postretirement Benefits (PRB) other than Pensions

	52.215-19

	Oct 1997

	Notification of Ownership Changes

	52.215-20

	Oct 2010

	Requirements for Certified Cost or Pricing Data and Data Other Than Certified Cost or Pricing Data

	52.215-21

	Jun 2020

	Requirements for Certified Cost or Pricing Data and Data Other Than Certified Cost or Pricing Data – Modifications

	52.215-22

	Oct 2009

	Limitations on Pass-Through Charges—Identification of Subcontract Effort

	52.215-23

	Jun 2020

	Limitations on Pass-Through Charges

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​

​

	52.216-7

	Aug 2018

	Allowable Cost and Payment

	52.216-8

	Jun 2011

	Fixed Fee

	52.219-8

	Nov 2018

	Utilization of Small Business Concerns

	52.219-9

	Jun 2020

	Small Business Subcontracting Plan

	52.219-10

	Oct 2014

	Incentive Subcontracting Program

	52.219-14

	Mar 2020

	Limitations on Subcontracting

	52.219-16

	Jan 1999

	Liquidated Damages – Subcontracting Plan

	52.219-28

	May
2020

	Post-Award Small Business Program Representation

	52.222-3

	Jun 2003

	Convict Labor

	52.222-21

	Apr 2015

	Prohibition of Segregated Facilities

	52.222-24

	Feb 1999

	Pre-award On-Site Equal Opportunity Compliance Evaluation

	52.222-25

	Apr 1984

	Affirmative Action Compliance

	52.222-26

	Sept 2016

	Equal Opportunity

	52.222-35

	Jun 2020

	Equal Opportunity for Veterans ($150,000 or more)

	52.222-36

	Jun 2020

	Equal Opportunity for Workers with Disabilities

	52.222-37

	Jun 2020

	Employment Reports on Veterans

	52.222-38

	Feb 2016

	Compliance with Veterans’ Employment Reporting Requirements

	52.222-40

	Dec 2010

	Notification of Employee Rights Under the National Labor Relations Act

	52.222-50

	Mar 2015

	Combating Trafficking in Persons

	52.222-54

	Oct 2015

	Employment Eligibility Verification

	52.222-59

	Dec 2016

	Compliance With Labor Laws (Executive Order 13673)

	52.222-60

	Oct 2016

	Paycheck Transparency (Executive Order 13673)

	52.222-61

	Dec 2016

	Arbitration of Contractor Employee Claims (Executive Order 13673)

	52.222-62

	Jan 2017

	Paid Sick Leave Under Executive Order 13706

	52.223-6

	May 2001

	Drug-Free Workplace

	52.223-18

	Jun 2020

	Encouraging Contractor Policy to Ban Text Messaging While Driving

	52.225-13

	Jun 2008

	Restrictions on Certain Foreign Purchases

	52.225-25

	Jun 2020

	Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran—Representation and Certifications

	52.226-1

	Jun 2000

	Utilization of Indian Organizations and Indian-Owned Economic Enterprises.

	52.227-1

	Jun 2020

	Authorization and Consent, Alternate 1 (APR 1984)

	52.227-2

	Jun 2020

	Notice and Assistance Regarding Patent and Copyright Infringement

	52.227-3

	Apr 1984

	Patent Indemnity

	52.227-11

	May 2014

	Patent Rights – Ownership by the Contractor

	52.227-14

	May 2014

	Rights in Data – General

	52.227-14
Alt. II

	Dec 2007

	Rights in Data – General – Limited Rights Notice

	52.227-15

	Dec 2007

	Representation of Limited Rights Data and Restricted Computer Software

	52.227-16

	June 1987

	Additional Data Requirements

	52.228-7

	Mar 1996

	Insurance – Liability to Third Persons

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​

​

	52.230-2

	Jun 2020

	Cost Accounting Standards

	52.230-3

	Jun 2020

	Disclosure and Consistency of Cost Accounting Practices

	52.230-6

	Jun 2010

	Administration of Cost Accounting Standards

	52.230-7

	Apr 2005

	Proposal Disclosure—Cost Accounting Practice Changes

	52.232-9

	Apr 1984

	Limitation on Withholding of Payments

	52.232-17

	May 2014

	Interest

	52.232-20

	Apr 1984

	Limitation of Cost

	52.232-23

	May 2014

	Assignment of Claims

	52.232-25

	Jan 2017

	Prompt Payment

	52.232-33

	Jul 2013

	Payment by Electronic Funds Transfer–System for Award Management

	52.232.39

	Jun 2013

	Unenforceability of Unauthorized Obligations

	52.232-40

	Dec 2013

	Providing Accelerated Payments to Small Business Subcontractors

	52.233-1

	May 2014

	Disputes

	52.233-3

	Aug 1996

	Protest After Award, Alternate 1 (Jun 1985)

	52.233-4

	Oct 2004

	Applicable Law for Breach of Contract Claim

	52.242-1

	Apr 1984

	Notice of Intent to Disallow Costs

	52.242-3

	May 2014

	Penalties for Unallowable Costs

	52.242-4

	Jan 1997

	Certification of Final Indirect Costs

	52.242-13

	Jul 1995

	Bankruptcy

	52.243-2

	Aug 1987

	Changes – Cost-Reimbursement Alternate V (Apr 1984)

	52.244-2

	Jun 2020

	Subcontracts, Alternate 1 (Jun 2007)

	52.244-5

	Dec 1996

	Competition in Subcontracting

	52.244-6

	Jun 2020

	Subcontracts for Commercial Items

	52.245-1

	Apr 2012

	Government Property

	52.245-9

	Apr 2012

	Use and Charges

	52.246-23

	Feb 1997

	Limitation of Liability

	52.249-6

	May 2004

	Termination (Cost-Reimbursement)

	52.249-14

	Apr 1984

	Excusable Delays

	52.253-1

	Jan 1991

	Computer Generated Forms

​

		b.	DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES:

​
	HHSAR CLAUSE

	​

	​

	352.203-70

	Dec 2015

	Anti-Lobbying

	352.208-70

	Dec 2015

	Printing and Duplication

	352.211-3

	Dec 2015

	Paperwork Reduction Act

	352.219-70

	Dec 2015

	Mentor-Protégé Program

	352.219-71

	Dec 2015

	Mentor-Protégé Program Reporting Requirements

	352.222-70

	Dec 2015

	Contractor Cooperation in Equal Employment Opportunity Investigations

	352.223-70

	Dec 2015

	Safety and Health

	352.224-70

	Dec 2015

	Privacy Act

	352.224-71

	Dec 2016

	Confidential Information

	352.227-70

	Dec 2015

	Publications and Publicity

​

​

​

	352.231-70

	Dec 2015

	Salary Rate Limitation

	352.233-71

	Dec 2015

	Litigation and Claims

	352.237-75

	Dec 2015

	Key Personnel

	352.239-74

	Dec 2015

	Electronic and Information Technology Accessibility

	352.270-9

	Dec 2015

	Non-discrimination for Conscience

​
		I.2.	ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT

​
This contract incorporates the following clauses in full text. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES:
​
FAR Clause 52.217-9, Option to Extend the Term of the Contract (Mar 2000)
​
The Government may extend the term of this contract by written notice to the Contractor within 15 days provided that the Government gives the Contractor a preliminary written notice of its intent to extend at least 30 days before the contract expires. The preliminary notice does not commit the Government to an extension.
​
		•	If the Government exercises this option, the extended contract shall be considered to include this option clause.

​
		•	The total duration of this contract, including the exercise of any options under this clause, shall not exceed 10 years.

​
​
FAR Clause 52.219-28, Post-Award Small Business Program Representation (May 2020) 52.219-28 Post-Award Small Business Program Rerepresentation.
As prescribed in 19.309(c)(1), insert the following clause:
​
Post-Award Small Business Program Rerepresentation (May 2020)
​
(a)Definitions. As used in this clause—
​
Long-term contract means a contract of more than five years in duration, including options. However, the term does not include contracts that exceed five years in duration because the period of performance has been extended for a cumulative period not to exceed six months under the clause at 52.217-8, Option to Extend Services, or other appropriate authority.
​
Small business concern means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR part 121 and the size standard in paragraph (d) of this clause. Such a concern is “not dominant in its field of operation” when it does not exercise a controlling or major influence on a national basis in a kind of business activity in which a number of business concerns are primarily engaged. In determining whether dominance exists, consideration shall be given to all appropriate factors, including volume of business, number of employees, financial resources, competitive status or position, ownership or control of materials, processes, patents, license agreements, facilities, sales territory, and nature of business activity.
​
(b)If the Contractor represented that it was any of the small business concerns identified in 19.000(a)(3) prior to award of this contract, the Contractor shall rerepresent its size and socioeconomic status according to paragraph (f) of this clause or, if applicable, paragraph (h) of this clause, upon occurrence of any of the following:
​
(1)Within 30 days after execution of a novation agreement or within 30 days after modification of the contract to include this clause, if the novation agreement was executed prior to inclusion of this clause in the contract.
​

​

​

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

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

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

​
(c)If the Contractor represented that it was any of the small business concerns identified in 19.000(a)(3) prior to award of this contract, the Contractor shall rerepresent its size and socioeconomic status according to paragraph (f) of this clause or, if applicable, paragraph (h) of this clause, when the Contracting Officer explicitly requires it for an order issued under a multiple-award contract.
​
(d)The Contractor shall rerepresent its size status in accordance with the size standard in effect at the time of this rerepresentation that corresponds to the North American Industry Classification System (NAICS) code(s) assigned to this contract. The small business size standard corresponding to this NAICS code(s) can be found at https://www.sba.gov/document/support--table-size-standards.
​

(e)The small business size standard for a Contractor providing a product which it does not manufacture itself, for a contract other than a construction or service contract, is 500 employees.
​
		(f)	Except as provided in paragraph (h) of this clause, the Contractor shall make the representation(s) required by paragraph (b) and

(c)of this clause by validating or updating all its representations in the Representations and Certifications section of the System for Award Management (SAM) and its other data in SAM, as necessary, to ensure that they reflect the Contractor's current status. The Contractor shall notify the contracting office in writing within the timeframes specified in paragraph (b) of this clause, or with its offer for an order (see paragraph (c) of this clause), that the data have been validated or updated, and provide the date of the validation or update.
​
(g)If the Contractor represented that it was other than a small business concern prior to award of this contract, the Contractor may, but is not required to, take the actions required by paragraphs (f) or (h) of this clause.
​
(h)If the Contractor does not have representations and certifications in SAM, or does not have a representation in SAM for the NAICS code applicable to this contract, the Contractor is required to complete the following rerepresentation and submit it to the contracting office, along with the contract number and the date on which the rerepresentation was completed:
​
(1)The Contractor represents that it □ is, □ is not a small business concern under NAICS Code ​ ​assigned to contract number
 ​ ​.
​
(2)[ Complete only if the Contractor represented itself as a small business concern in paragraph (h)(1) of this clause.] The Contractor represents that it □ is, □ is not, a small disadvantaged business concern as defined in 13 CFR 124.1002.
​
(3)[ Complete only if the Contractor represented itself as a small business concern in paragraph (h)(1) of this clause. ] The Contractor represents that it □ is, □ is not a women-owned small business concern.
​
(4)Women-owned small business (WOSB) concern eligible under the WOSB Program. [Complete only if the Contractor represented itself as a women-owned small business concern in paragraph (h)(3) of this clause.] The Contractor represents that—
​

(i)It □ is, □ is not a WOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and
​
(ii)It □ is, □ is not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (h)(4)(i) of this clause is accurate for each WOSB concern eligible under the WOSB Program participating in the joint venture. [The Contractor shall enter the name or names of the WOSB concern eligible under the WOSB Program and other small businesses that are
​

​

​

participating in the joint venture: ​ ​.] Each WOSB concern eligible under the WOSB Program participating in the joint venture shall submit a separate signed copy of the WOSB representation.
​
(5)Economically disadvantaged women-owned small business (EDWOSB) concern.[Complete only if the Contractor represented itself as a women-owned small business concern eligible under the WOSB Program in (h)(4) of this clause. ] The Contractor represents that—
​
(i)It □ is, □ is not an EDWOSB concern eligible under the WOSB Program, has provided all the required documents to the WOSB Repository, and no change in circumstances or adverse decisions have been issued that affects its eligibility; and
​
(ii)It □ is, □ is not a joint venture that complies with the requirements of 13 CFR part 127, and the representation in paragraph (h)(5)(i) of this clause is accurate for each EDWOSB concern participating in the joint venture. [The Contractor shall enter the name or names of the EDWOSB concern and other small businesses that are participating in the joint venture: ​ ​.] Each EDWOSB concern participating in the joint venture shall submit a separate signed copy of the EDWOSB representation.
​
(6)[ Complete only if the Contractor represented itself as a small business concern in paragraph (h)(1) of this clause. ] The Contractor represents that it □ is, □ is not a veteran-owned small business concern.
​
(7)[ Complete only if the Contractor represented itself as a veteran-owned small business concern in paragraph (h)(6) of this clause.] The Contractor represents that it □ is, □ is not a service-disabled veteran-owned small business concern.
​
(8)[ Complete only if the Contractor represented itself as a small business concern in paragraph (h)(1) of this clause. ] The Contractor represents that—
​
(i)It □ is, □ is not a HUBZone small business concern listed, on the date of this representation, on the List of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration, and no material changes in ownership and control, principal office, or HUBZone employee percentage have occurred since it was certified in accordance with 13 CFR part 126; and
​

(ii)It □ is, □ is not a HUBZone joint venture that complies with the requirements of 13 CFR part 126, and the representation in paragraph (h)(8)(i) of this clause is accurate for each HUBZone small business concern participating in the HUBZone joint venture. [The Contractor shall enter the names of each of the HUBZone small business concerns participating in the HUBZone joint venture: _ ​ ​.] Each HUBZone small business concern participating in the HUBZone joint venture shall submit a separate signed copy of the HUBZone representation.
​
[Contractor to sign and date and insert authorized signer's name and title.] (End of clause)
​
FAR 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 Web sites) 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 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 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)
​
PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS
The following documents are attached and incorporated in this contract:
​
​
		1.	Statement of Work

Statement of Work, dated 08//5/2020, 10 pages
​
		2.	Invoice/Financing Request Instructions for AMCG Cost-Reimbursement Type Contracts,

Invoice/Financing Request Instructions and Contract Financial Reporting Instructions for AMCG Cost-Reimbursement Type Contracts, 2 pages.
		3.	Sample Invoice, 1 page

​
		4.	Financial Report of Individual Project/Contract, 1 page

​
		5.	Instructions for Completing Financial Report of Individual Project/Contract, 2 pages

​
		6.	Inclusion Enrollment Report

Inclusion Enrollment Report, 5/01 (Modified OAMP: 10/01), 1 page.
​
		7.	Research Patient Care Costs

Research Patient Care Costs, 1 page.
​
		8.	Report of Government Owned, Contractor Held Property

Report of Government Owned, Contractor Held Property,1 page. Located at:  ​ ​
		9.	Contract Milestones Table, 2 pages.

​
END OF CONTRACT 75A50120C00159

​Execution Version

Exhibit 10.4
______________________________________________________________________
​
FOURTH AMENDMENT 
TO
AMENDED & RESTATED
TERM LOAN CREDIT AGREEMENT
AMONG
Sundance Energy INC.,
as parent,
​
Sundance Energy, Inc.,
AS BORROWER,
MORGAN STANLEY CAPITAL ADMINISTRATORS INC.,
AS ADMINISTRATIVE AGENT,
THE LOAN PARTIES PARTY HERETO
AND
THE LENDERS PARTY HERETO
​
Dated as of October 16, 2020
______________________________________________________________________
​
​
​
​
​
​

​

FOURTH AMENDMENT TO AMENDED & RESTATED
TERM LOAN CREDIT AGREEMENT
​
This FOURTH AMENDMENT TO AMENDED & RESTATED TERM LOAN CREDIT AGREEMENT (this “Amendment”) dated as of October 16, 2020 (the “Closing Date”) is among SUNDANCE ENERGY INC., a Delaware corporation (“Parent”), SUNDANCE ENERGY, INC., a Colorado corporation (the “Borrower”), MORGAN STANLEY CAPITAL ADMINISTRATORS INC., as administrative agent for the Lenders (in such capacity, together with its successors, the “Administrative Agent”), each of the Loan Parties party hereto and each of the lenders party hereto (individually a “Lender” and collectively, the “Lenders”).
RECITALS
A.The Parent, the Borrower, the Administrative Agent and the Lenders are parties to that certain Amended & Restated Term Loan Credit Agreement dated as of April 23, 2018 (as further amended, modified, supplemented, restated, replaced or otherwise modified from time to time prior to the date hereof, the “Credit Agreement”) pursuant to which the Lenders have made certain Loans and other credit available to and on behalf of the Borrower.
B.Subject to the terms and conditions set forth herein, the Parent, the Borrower, the Administrative Agent, the Loan Parties party hereto and the Lenders party hereto agree to amend certain provisions of the Credit Agreement as set forth herein.
C.NOW, THEREFORE, in consideration of the promises and the mutual covenants herein contained, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:
Section 1.Defined Terms.  Each capitalized term which is defined in the Credit Agreement, but which is not defined in this Amendment, shall have the meaning ascribed such term in the Credit Agreement.  Unless otherwise indicated, all article and section references in this Amendment refer to the Credit Agreement.
Section 2.Amendments. Upon the Closing Date, the Credit Agreement is hereby amended as follows.
(a)Amendments to Section 1.02. Section 1.02 is hereby amended by:
		(i)	Amending and restating the definition of “Approved Plan of Development” in its entirety as follows:

​

​
	​

	​

	1
	​

	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

​

​

““Approved Plan of Development” means the Borrower’s written plan of development with respect to budgeted development expenditures, Capital Expenditures and other development activities for the period from the Third Amendment Effective Date through and including December 31, 2020 which (a) includes (i) $2,400,000 of Capital Expenditures with respect to the Harlan Bethune 29-32H wells in June 2020 and (ii) $2,600,000 for development expenditures, Capital Expenditures or other development activities to be identified by the Borrower with respect to the Oil and Gas Properties of the Loan Parties and (b) was delivered to the Administrative Agent and the Lenders on the Third Amendment Effective Date; provided that, as of October 16, 2020, the Approved Plan of Development shall be deemed to also include up to $6,100,000 of Capital Expenditures with respect to the completion of the Bracken 19H and 20H wellbores.”
		(ii)	Amending and restating clauses (a)(iv) and (a)(v) of the definition of “General & Administrative Expenses” in their entirety as follows:

“(iv) severance payments (regardless of when offered or accepted) to former employees of the Borrower; provided, that the aggregate amount of such severance payments that may be excluded pursuant to this clause (iv) shall not exceed $375,000 for the period from the Third Amendment Effective Date through October 30, 2020, and (v) share-based compensation expenses; provided, that the aggregate amount of such share-based compensation expenses that may be excluded pursuant to this clause (v) shall not exceed $500,000 for the period from the Third Amendment Effective Date through October 30, 2020”
(b)Amendments to Sections 8.01(c) and 8.12(a).  Sections 8.01(c) and 8.12(a) are each hereby amended by replacing the phrase “September 30, 2020” with the phrase “October 30, 2020” in each instance it appears.
(c)Amendment to Section 8.22.  Section 8.22 is hereby amended by replacing the phrase “September 30, 2020” with the phrase “December 31, 2020”.
(d)Amendment to Section 9.01(b).  Section 9.01(b) is hereby amended by inserting the following at the end thereof:
“; provided that the ratio of Total Proved PV-9 to Total Debt as of June 30, 2020, shall not be tested until the Borrower delivers the July 1, 2020 Reserve Report to the Administrative Agent and the Lenders.”
(e)Amendment to Section 9.24.  Section 9.24 is hereby amended and restated in its entirety as follows: 
​

​
	​

	​

	2
	​

	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

​

​

“Section 9.24Capital Expenditures; General & Administrative Expenses; Approved Plan of Development.  Parent and the Borrower will not, and will not permit any other Loan Party to, make (a)(i) more than $11,100,000 of Capital Expenditures for the period from May 1, 2020 through and including December 31, 2020 or (ii) any Capital Expenditures (which, for the avoidance of doubt, shall exclude expenses associated with any workover, reworking, plugging and abandonment or other operations in respect of existing wells, and which excluded expenses are not involved in the drilling, completion or recompletion of any well) using the proceeds of Revolving Debt permitted to be incurred under Section 9.02(m)(iii), (b) more than $3,000,000 of General & Administrative Expenses per fiscal quarter in any of the fiscal quarters ending June 30, 2020 and September 30, 2020 and more than $3,600,000 of General & Administrative Expenses in the fiscal quarter ending December 31, 2020, and (c) any development expenditures or Capital Expenditures or conduct other development activities prior to December 31, 2020 unless such expenditure or activity is made pursuant to the Approved Plan of Development.”
Section 3.Conditions Precedent.  The effectiveness of this Amendment is subject to the receipt by the Administrative Agent of the following documents and satisfaction of the other conditions provided in this Section 3 (or their waiver in accordance with Section 12.02 of the Credit Agreement), each of which shall be reasonably satisfactory to the Administrative Agent in form and substance:
3.1Amendment.  The Administrative Agent shall have received executed multiple counterparts as requested of this Amendment from the Parent, the Borrower, the other Loan Parties and the Lenders constituting the Required Lenders. 
3.213-Week Forecast. The Administrative Agent shall have received a thirteen-week cash flow forecast for the thirteen-week period that begins with the first full calendar week following the Closing Date (the “13-Week Forecast”), which 13-Week Forecast shall be in form and substance reasonably satisfactory to the Administrative Agent and reflect, for the periods covered thereby, projected weekly disbursements, cash receipts, and ending cash for each week covered by such 13-Week Forecast.
3.3Fees and Expenses.  The Administrative Agent and the Lenders shall have received all fees and other amounts due and payable on or prior to the Closing Date, including, to the extent invoiced, reimbursement or payment of all out-of-pocket expenses (including, to Simpson Thacher & Bartlett LLP, as counsel to the Administrative Agent, (a) all outstanding fees and expenses that have previously been invoiced but not yet paid and (b) a retainer in connection with its engagement by the Administrative Agent in an amount equal to $250,000) required to be reimbursed or paid by the Borrower under the Credit Agreement.
3.4Other.  The Administrative Agent shall have received such other documents as the Administrative Agent or counsel to the Administrative Agent may reasonably request.
​

​
	​

	​

	3
	​

	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

​

​

Without limiting the generality of the provisions of this Section 3, for purposes of determining satisfaction of the conditions specified in this Section 3, each Lender that shall have delivered executed multiple counterparts of this Amendment to the Administrative Agent shall be deemed to have consented to, approved of, or accepted or been satisfied with, each document or other matter required thereunder to be consented to or approved by or acceptable or satisfactory to a Lender unless the Administrative Agent shall have received notice from such Lender prior to the proposed Closing Date specifying its objection thereto.
Section 4.Ratification and Affirmation; Representations and Warranties; Etc.  Each Loan Party hereby (a) ratifies and affirms its obligations under, and acknowledges, renews and extends its continued liability under, each Loan Document to which it is a party and agrees that each Loan Document to which it is a party remains in full force and effect, except as expressly amended hereby, and (b) represents and warrants to the Lenders that, as of the date hereof, after giving effect to the terms of this Amendment: (i) all of the representations and warranties contained in each Loan Document to which it is a party are true and correct in all material respects (unless already qualified by materiality in which case such applicable representation and warranty shall be true and correct), except to the extent any such representations and warranties are expressly limited to an earlier date, in which case, such representations and warranties shall continue to be true and correct in all material respects (unless already qualified by materiality in which case such applicable representation and warranty shall be true and correct) as of such specified earlier date and (ii) no Default or Event of Default has occurred and is continuing.
Section 5.Reference to and Effect Upon the Credit Agreement and other Loan Documents.
5.1Loan Document.  This Amendment shall constitute a Loan Document as such term is defined in the Credit Agreement.
5.2Effect Upon Credit Agreement.  Except as specifically amended hereby, the Credit Agreement shall remain in full force and effect following the effectiveness of this Amendment.
5.3No Waiver; Interpretation.  The Borrower agrees that no Event of Default and no Default has been waived or remedied by the execution of this Amendment by the Administrative Agent and the Lenders, and any such Default or Event of Default heretofore arising and currently continuing shall continue after the execution and delivery hereof. The execution, delivery and effect of this Amendment shall be limited precisely as written and shall not be deemed to (a) be a consent to any waiver of any term or condition, or to any amendment or modification of any term or condition of the Credit Agreement or any other Loan Document (except as specifically set forth in this Amendment) or (b) prejudice any right, power or remedy which the Administrative Agent or any Lender now has or may have in the future under or in connection with the Credit Agreement or any other Loan Document.  Each reference in the Credit Agreement to “this Agreement”, “hereunder”, “hereof”, “herein” or any other word or words of similar import shall mean and be a reference to the Credit Agreement as amended hereby, and each reference in any other Loan Document to the Credit Agreement or any word or words of similar import shall be and mean a reference to the Credit Agreement as amended hereby. 

​
	​

	​

	4
	​

	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

​

​

5.4Violations. Except as expressly provided herein, neither the execution by the Administrative Agent or the Lenders of this Amendment, nor any other act or omission by the Administrative Agent or the Lenders or their respective officers in connection herewith, shall be deemed a waiver by the Administrative Agent or the Lenders of any defaults which may exist or which may occur in the future under the Credit Agreement and/or the other Loan Documents (collectively, “Violations”).  Similarly, nothing contained in this Amendment shall directly or indirectly in any way whatsoever either: (a) impair, prejudice or otherwise adversely affect the Administrative Agent’s or any Lender’s right at any time to exercise any right, privilege or remedy in connection with the Loan Documents with respect to any Violations, (b) amend or alter any provision of the Credit Agreement, the other Loan Documents, or any other contract or instrument, except as expressly set forth herein, or (c) constitute any course of dealing or other basis for altering any obligation of the Borrower or any right, privilege or remedy of the Administrative Agent or the Lenders under the Credit Agreement, the other Loan Documents, or any other contract or instrument.  Section 12.02(a) of the Credit Agreement remains in full force and effect and is hereby ratified by the Borrower.
Section 6.Miscellaneous.
6.1RELEASE.  EACH LOAN PARTY, IN CONSIDERATION OF THE ADMINISTRATIVE AGENT’S AND THE UNDERSIGNED LENDERS’ EXECUTION AND DELIVERY OF THIS AMENDMENT AND FOR OTHER GOOD AND VALUABLE CONSIDERATION, THE RECEIPT AND SUFFICIENCY OF WHICH IS HEREBY ACKNOWLEDGED, UNCONDITIONALLY, FREELY, VOLUNTARILY AND, AFTER CONSULTATION WITH COUNSEL AND BECOMING FULLY AND ADEQUATELY INFORMED AS TO THE RELEVANT FACTS, CIRCUMSTANCES AND CONSEQUENCES, RELEASES, WAIVES AND FOREVER DISCHARGES (AND FURTHER AGREES NOT TO ALLEGE, CLAIM OR PURSUE) ANY AND ALL CLAIMS, RIGHTS, CAUSES OF ACTION, COUNTERCLAIMS OR DEFENSES OF ANY KIND WHATSOEVER, IN CONTRACT, IN TORT, IN LAW OR IN EQUITY, WHETHER KNOWN OR UNKNOWN, DIRECT OR DERIVATIVE, WHICH EACH LOAN PARTY OR ANY PREDECESSOR, SUCCESSOR OR ASSIGN MIGHT OTHERWISE HAVE OR MAY HAVE AGAINST THE ADMINISTRATIVE AGENT, THE LENDERS, THEIR PRESENT OR FORMER SUBSIDIARIES AND AFFILIATES OR ANY OF THE FOREGOING’S OFFICERS, DIRECTORS, EMPLOYEES, ATTORNEYS OR OTHER REPRESENTATIVES OR AGENTS IN EACH CASE ON ACCOUNT OF ANY CONDUCT, CONDITION, ACT, OMISSION, EVENT, CONTRACT, LIABILITY, OBLIGATION, DEMAND, COVENANT, PROMISE, INDEBTEDNESS, CLAIM, RIGHT, CAUSE OF ACTION, SUIT, DAMAGE, DEFENSE, CIRCUMSTANCE OR MATTER OF ANY KIND WHATSOEVER WHICH EXISTED, AROSE OR OCCURRED AT ANY TIME PRIOR TO THE CLOSING DATE RELATING TO THE LOAN DOCUMENTS, THIS AMENDMENT AND/OR THE TRANSACTIONS CONTEMPLATED THEREBY OR HEREBY.  THE FOREGOING RELEASE SHALL SURVIVE THE TERMINATION OF THE LOAN DOCUMENTS AND THIS AMENDMENT.
​

​
	​

	​

	5
	​

	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

​

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6.2Counterparts.  This Amendment may be executed in counterparts (and by different parties hereto on different counterparts), each of which shall constitute an original, but all of which when taken together shall constitute a single contract. Delivery of an executed counterpart of a signature page of this Amendment, and/or any document, amendment, approval, consent, information, notice, certificate, request, statement, disclosure or authorization related to this Amendment and/or the transactions contemplated hereby and/or thereby (each an “Ancillary Document”) that is an electronic sound, symbol, or process attached to, or associated with, a contract or other record and adopted by a Person with the intent to sign, authenticate or accept such contract or record (an “Electronic Signature”) transmitted by telecopy, emailed pdf or any other electronic means that reproduces an image of an actual executed signature page shall be effective as delivery of a manually executed counterpart of this Amendment or such Ancillary Document, as applicable. The words “execution,” “signed,” “signature,” “delivery,” and words of like import in or relating to this Amendment and/or any Ancillary Document shall be deemed to include Electronic Signatures, deliveries or the keeping of records in any electronic form (including deliveries by telecopy, emailed pdf or any other electronic means that reproduces an image of an actual executed signature page), each of which shall be of the same legal effect, validity or enforceability as a manually executed signature, physical delivery thereof or the use of a paper-based recordkeeping system, as the case may be.
6.3No Oral Agreement.  THIS AMENDMENT AND THE OTHER LOAN DOCUMENTS EXECUTED HEREWITH AND THEREWITH REPRESENT THE FINAL AGREEMENT AMONG THE PARTIES HERETO AND THERETO AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE PARTIES.
6.4Severability.  Any provision of this Amendment held to be invalid, illegal or unenforceable in any jurisdiction shall, as to such jurisdiction, be ineffective to the extent of such invalidity, illegality or unenforceability without affecting the validity, legality and enforceability of the remaining provisions hereof or thereof; and the invalidity of a particular provision in a particular jurisdiction shall not invalidate such provision in any other jurisdiction.
6.5Governing Law.  THIS AMENDMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS AMENDMENT SHALL BE GOVERNED BY, CONSTRUED AND INTERPRETED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK.
6.6Headings. Section headings used herein are for convenience of reference only, are not part of this Amendment and shall not affect the construction of, or be taken into consideration in interpreting, this Amendment.
[Signatures Begin Next Page.]
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	6
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	[Fourth Amendment to Amended & Restated Term Loan Credit Agreement]

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IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed effective as of the date first written above.
	

	

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	PARENT:
	Sundance Energy Inc.,

		
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		By:
	/s/ Eric McCrady

			Name:
	Eric McCrady

			Title:
	President & CEO

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	BORROWER:
	Sundance Energy, Inc.,

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		By:
	/s/ Eric McCrady

			Name:
	Eric McCrady

			Title:
	President & CEO

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	OTHER LOAN PARTIES:
	Sea Eagle Ford, LLC

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		By:
	/s/ Eric McCrady

			Name:
	Eric McCrady

			Title:
	CEO

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	Armadillo E&P, Inc.

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		By:
	/s/ Eric McCrady

			Name:
	Eric McCrady

			Title:
	President

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[Signature Page to Sundance Fourth Amendment]

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	ADMINISTRATIVE AGENT:
	MORGAN STANLEY CAPITAL

		ADMINISTRATORS INC., 

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	as Administrative Agent 

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		By:
	/s/ David Lazarus

			Name:
	David Lazarus

			Title:
	Vice President

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	LENDER:
	MORGAN STANLEY CAPITAL GROUP INC.,

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	as a Lender

		
		By:
	/s/ Brent Masucci

			Name:
	Brent Masucci

			Title:
	Vice President

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[Signature Page to Sundance Fourth Amendment]

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	LENDER:
	Ares Capital Corporation,

		By:
	/s/ Penni Roll

			Name:
	Penni Roll

			Title:
	Authorized Signer

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	LENDER:
	CION Ares Diversified Credit Fund,

		By:
	/s/ Penni Roll

			Name:
	Penni Roll

			Title:
	Authorized Signer

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	LENDER:
	Ares Credit Strategies Insurance Dedicated Fund Series of SALI Multi-Series Fund, L.P.

		By:  Ares Management LLC, its investment subadvisor

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	By:  Ares Capital Management LLC, as subadvisor

		By:
	/s/ Penni Roll

			Name:
	Penni Roll

			Title:
	Authorized Signer

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	LENDER:
	Ares Direct Finance I LP

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	By: Ares Capital Management LLC, its investment manager

		By:
	/s/ Penni Roll

			Name:
	Penni Roll

			Title:
	Authorized Signer

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[Signature Page to Sundance Fourth Amendment]

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	Apollo Union Street Partners, L.P. 

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	By: Apollo Union Street Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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	Apollo Kings Alley Credit Fund, L.P. 

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	By: Apollo Kings Alley Credit Fund Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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	Apollo TR Enhanced Levered Yield LLC 

		By: Apollo Total Return Enhanced Management LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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[Signature Page to Sundance Fourth Amendment]

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		Apollo Tower Credit Fund, L.P.

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	By: Apollo Tower Credit Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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	Apollo Moultrie Credit Fund, L.P.

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	By: Apollo Moultrie Capital Fund Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President
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		MPI (London) Limited

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	By: Apollo TRF MP Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President
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		Apollo Tactical Value SPN Investments, L.P.

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	By: Apollo Tactical Value SPN Management, LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President
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[Signature Page to Sundance Fourth Amendment]

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	AMISSIMA DIVERSIFIED INCOME ICAV,

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	an Umbrella Irish Collective Asset-Management Vehicle with Segregated Liability between its Sub-Funds, acting in respect of its Sub-Fund Amissima Assicurazioni Multi-Credit Strategy Fund
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	By: Apollo Management International LLP, solely in its capacity as Portfolio Manager and not in its individual corporate capacity

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	By: AMI (Holdings), LLC, its member

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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		Apollo Atlas Master Fund, LLC

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	By: Apollo Atlas Management, LLC, its investment Manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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	TRANQUILIDADE DIVERSIFIED INCOME ICAV,

		an Umbrella Irish Collective Asset-Management Vehicle with Segregated Liability between its Sub-Funds, 

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	acting in respect of its Sub-Fund, Tranquilidade Multi-Credit Strategy Fund

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	By: Apollo Management International LLP,

		its portfolio manager, solely in its capacity as Portfolio Manager and not in its individual corporate capacity 

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	By: AMI (Holdings), LLC, its member

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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[Signature Page to Sundance Fourth Amendment]

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	Apollo TR Opportunistic Ltd

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	By: Apollo Total Return Management LLC, its investment manager

		And by: Apollo Total Return Enhanced Management LLC, its investment manager

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		By:
	/s/Joseph D. Glatt

			Name:
	Joseph D. Glatt

			Title:
	Vice President

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[Signature Page to Sundance Fourth Amendment]

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	LENDER:
	AG Energy Funding, LLC, 
as a Lender

		By:
	/s/ Todd Dittman

			Name:
	Todd Dittman

			Title:
	Authorized Person

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[Signature Page to Sundance Fourth Amendment]

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