Document:

EX-10.6

 Exhibit 10.6 

DEVELOPMENT SERVICES AGREEMENT 

BETWEEN 

ACHAOGEN INC. 

AND 
 ARK
DIAGNOSTICS, INC. 
 August 19, 2013 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 

 TABLE OF CONTENTS 

 

							
			
	1.	  	Definitions	  	 	2	  
			
	2.	  	Services to be Provided	  	 	7	  
			
	3.	  	Fees and Payments	  	 	11	  
			
	4.	  	Joint Development Committee	  	 	12	  
			
	5.	  	Proprietary Rights	  	 	13	  
			
	6.	  	Patent Prosecution and Defense	  	 	16	  
			
	7.	  	BARDA Requirements	  	 	18	  
			
	8.	  	Commercialization	  	 	19	  
			
	9.	  	Confidentiality	  	 	23	  
			
	10.	  	Representations, Warranties and Covenants	  	 	24	  
			
	11.	  	Testing of the Assays and Other Work Products	  	 	26	  
			
	12.	  	Indemnities	  	 	26	  
			
	13.	  	Limitation of Liability	  	 	27	  
			
	14.	  	Term and Termination of this Agreement	  	 	27	  
			
	15.	  	Notices	  	 	28	  
			
	16.	  	Miscellaneous	  	 	29	  

  

			
	EXHIBITS	  	
	 Exhibit A
	  	Statement of Work
	 Exhibit B
	  	U.S. Government Rights
	 Exhibit C
	  	Applicable Prime Contract Provisions
	 Exhibit D
	  	Animal Use Provisions
		  	
	ATTACHMENT	  	
	 Attachment A
	  	Background IP

  
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 DEVELOPMENT SERVICES AGREEMENT 

This Development Services Agreement (this “Agreement”), effective as of August 19, 2013 (the “Effective
Date”), is made by and between Achaogen Inc. (“Achaogen”), a corporation with offices at 7000 Shoreline Court, Suite 371, South San Francisco, California 94080, and ARK Diagnostics, Inc. (“Ark”), a
corporation with offices at 48089 Fremont Boulevard, Fremont, California 94538 (each a “Party,” and collectively the “Parties”). 

WHEREAS, Achaogen is a biopharmaceutical company focused on the discovery and development of new antibacterials for the
treatment of multi-drug resistant (“MDR”) gram-negative bacterial infections; 
 WHEREAS, Achaogen’s
lead compound, ACHN-490 or plazomicin, is a novel aminoglycoside antibiotic, and Phase 1 and 2 studies of plazomicin support its progression to Phase 3 clinical development; 

WHEREAS, plazomicin, like other aminoglycosides, is cleared through the kidneys and dose adjustment may be required in patients
with moderate or severe renal impairment; 
 WHEREAS, to facilitate plazomicin dose monitoring and adjustment, Achaogen
wishes to develop an Assay (as defined herein); 
 WHEREAS, Achaogen receives Federal funding from BARDA in support of
Achaogen’s discovery and development of new antibacterial for the treatment of MDR gram-negative bacterial infections pursuant to the Prime Contract (as defined herein) 

WHEREAS, Ark is a diagnostics company focused on, among other things, homogenous enzyme immunoassays for therapeutic drug
monitoring; and 
 WHEREAS, Achaogen and Ark have previously entered into a Material Transfer Agreement (as defined herein)
pursuant to which Achaogen provided selected materials to Ark and Ark began selected Assay preparatory work; 
 WHEREAS,
Achaogen wishes to retain Ark (in part as a subcontractor under the Prime Contract) to further develop the Assay and to provide clinical supply of Assays for the Trial (as defined herein). 

NOW, THEREFORE, in consideration of the mutual promises contained in this Agreement and for other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties, intending to be legally bound, hereby agree as follows. 

 1. Definitions 

(a) “Achaogen” means Achaogen Inc., as identified in the opening paragraph of this Agreement. 

(b) “Achaogen Background IP” means all Background IP owned or controlled by Achaogen, including, but not limited to, all such
Background IP identified on Attachment A hereof, all Intellectual Property [***], and all Intellectual Property [***]. 
 (c)
“Achaogen Improvements” means all Foreground IP which constitutes any improvements or modifications to Achaogen Background IP. 

(d) “Achaogen Materials” means all Specifications, and all other technology, processes, equipment, software, documentation
and other materials provided to Ark by or on behalf of Achaogen under this Agreement, including any Antibodies provided to Ark by Achaogen. 

(e) “Antibody” means any antibody [***] under this Agreement or the Material Transfer Agreement which [***], including but
not limited to[***]. 
 (f) “Applicable Laws” means all applicable federal, state, and local laws, statutes, ordinances,
rules, and regulations, and any applicable orders, injunctions, or decrees of any court, administrative agency, or similar authority, and the rules and regulations of the FDA or any other regulatory authority in any jurisdiction in the world having
jurisdiction over the development, manufacture or supply of the Assay, including without limitation the U.S. Federal Food, Drug, and Cosmetic Act, as amended from time to time (21 U.S.C. § 301 et seq.), all requirements related to the
methods used in, and the facilities and controls for, developing, manufacturing, testing, packaging, labeling, storing, shipping and distributing drugs, as addressed in the FDA’s Quality System Regulation (21 CFR Part 820), and all
requirements pertaining to the lawful marketing of the Assay. 
 (g) “Ark” means ARK Diagnostics, Inc., as identified in
the opening paragraph of this Agreement. 
 (h) “Ark Background IP” means all Background IP owned or controlled by Ark,
including but not limited to all such Background IP identified on Attachment A hereof and [***]. 
 (i) “Ark
Improvements” means all Foreground IP which constitutes any improvements or modifications to Ark Background IP, specifically excluding all Antibodies and the Assay. 

(j) “Ark Materials” means all technology, processes, equipment, software, documentation and other materials provided to
Achaogen by or on behalf of Ark under this Agreement. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 (k) “Assay” means a homogenous therapeutic drug monitoring immunoassay developed
under this Agreement in accordance with the Specifications, including calibrators and controls, for the quantitative measurement of plazomicin in serum or plasma. 

(l) “Assay Components” means proprietary components of the Assay sufficient to allow a Third Party manufacturer to package,
label and finish (collectively, “Finish”) into the Assay using commercially available reagents and materials. 
 (m)
“Background IP” means all Intellectual Property (i) developed or owned by a Party prior to the Effective Date, or (ii) developed or owned by a Party after the Effective Date but not developed (x) in the course of
performing under this Agreement, or (y) directly or indirectly based on any work with or information received from the other Party. 

(n) “BARDA” means the Biomedical Advanced Research and Development Authority within the Office of the Assistant Secretary for
Preparedness and Response in the U.S. Department of Health and Human Services. 
 (o) “[***] Antibody” means that certain
antibody which [***]. 
 (p) “Claims” has the meaning set forth in Section 12(a) of this Agreement. 

(q) “Commercialization Agreement” means the agreement governing the commercial sale and marketing of Assays by the Parties,
and/or the supply of Assays or Assay Components by Ark, to be negotiated between the Parties in accordance with Section 8(a) of this Agreement. 

(r) “Compound” means Achaogen’s lead compound, ACHN-490, also known as plazomicin. 

(s) “Confidential Information” means any information or material disclosed by either Party to the other Party, directly or
indirectly, in writing, orally, visually or by inspection of tangible objects, including, without limitation, any and all information relating to such Party’s or its business partners’ research, development, know-how, products, product
plans, services, customers, customer lists, markets, software, developments, inventions, processes, formulas, technology, designs, drawings, marketing, finances, or other business information or trade secrets, that is designated as
“confidential”, “proprietary” or the like, or that should reasonably be understood to be confidential or proprietary based on the nature of such information or the circumstances of its disclosure. For purposes of this Agreement,
the terms of this Agreement shall be deemed to be Confidential Information of both Parties. All [***] shall be deemed to be Confidential Information of Achaogen. [***] shall be deemed Confidential Information of Ark. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 (t) “Effective Date” has the meaning set forth in the opening paragraph of this
Agreement. 
 (u) “European Union” means all member states of the European Union as may be updated from time to time. 

(v) “FDA” means the U.S. Food and Drug Administration. 

(w) “Finish” or “Finishing” has the meaning set forth in Section 1(l) of this Agreement. 

(x) “Foreground IP” means any Intellectual Property that is conceived, reduced to practice, discovered, developed or
otherwise made by or on behalf of a Party after the Effective Date (i) [***], or (ii) [***]. 
 (y) “IDE
Approval” means approval of the Assay by the FDA of an Investigational Device Exemption. 
 (z) “Indemnitee” has
the meaning set forth in Section 12(c) of this Agreement. 
 (aa) “Intellectual Property” means all new or improved
apparatuses, designs, processes, formulae, information, products, inventions, discoveries, ideas, suggestions, materials, data, equipment, designs, drawings, prototypes, molds, masks, tooling, reports, computer software, documentation, proprietary
information and other intellectual property and know-how. 
 (bb) “Intellectual Property Rights” means all patent, trade
secret, copyright, know-how and other proprietary rights with respect to any present or future Intellectual Property that may be secured in any place under laws now or hereafter in effect. 

(cc) “Interim Supply Date” has the meaning set forth in Section 8(c)(1) of this Agreement. 

(dd) “Interim Supply Period” has the meaning set forth in Section 8(c)(1) of this Agreement. 

(ee) “Joint Development Committee” has the meaning set forth in Article 4 of this Agreement. 

(ff) “Joint Patents” has the meaning set forth in Section 6(c)(1) of this Agreement. 

(gg) “Losses” has the meaning set forth in Section 12(a) of this Agreement. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 (hh) “Marketing Registrations” means any Registration Applications and other
regulatory filings and approvals necessary for marketing the Assay. 
 (ii) “Material Transfer Agreement” means that
certain Material Transfer Agreement by and between Ark and Achaogen as of October 24, 2012. 
 (jj) “MDR” has the
meaning set forth in the first WHEREAS clause of this Agreement. 
 (kk) “NDA” means a new drug application
filed with the FDA as more fully defined in U.S. 21 C.F.R. §314.50 et. seq. or any similar application or submission filed with or submitted to any Regulatory Authority outside of the U.S. to obtain permission to commence marketing and sales of
the Compound. 
 (ll) “Nondisclosure Agreement” means that certain Mutual Nondisclosure Agreement by and between Ark and
Achaogen as of July 24, 2012. 
 (mm) “Party” or “Parties” has the meaning set forth in the opening
paragraph of this Agreement. 
 (nn) “Patents” means any U.S. provisional or nonprovisional patent application, including
any continuations, divisionals, and continuations-in-part, and any substitute patents, any reissues or re-examinations of any such applications, as well as any foreign equivalent of any of the foregoing or Patent Cooperation Treaty (“PCT”)
filings, and any patents issuing from any of the foregoing, and any renewal or extension of the term of any such patent. 
 (oo)
“Patent Expenses” means all [***]costs for patent filing, prosecution, and maintenance of [***] that are incurred pursuant to this Agreement. [***]. 

(pp) “Prime Contract” means Contract No. HHSO 100201000046C between Achaogen and BARDA (as modified). 

(qq) “Registration Application” means any filing(s) made with the Regulatory Authority in any country in the Territory for
regulatory approval or clearance (including pricing approval when applicable) necessary to commence marketing and sale of the Assay in such country. 

(rr) “Regulatory Authority” means the FDA or the authority(ies) in each country in the world that are comparable to the FDA
and have responsibility for granting regulatory approval or clearance for the manufacture, use and sale of medical products, including the Assay in such country, including but not limited to pricing and reimbursement approvals. 

(ss) “Resolution Officers” has the meaning set forth in Section 4(c) of this Agreement. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 (tt) “ROW Marketing Registrations” has the meaning set forth in
Section 2(c)(2)(iv) of this Agreement. 
 (uu) “Services” has the meaning set forth in Section 2(a)(1) of this
Agreement. 
 (vv) “Selected Antibody” means any [***]. 

(ww) “Side Letter” has the meaning set forth in Section 8(d)(1) of this Agreement. 

(xx) “Specifications” has the meaning set forth in Section 2(a)(1) of this Agreement. 

(yy) “Statement of Work” or “SOW” has the meaning set forth in Section 2(a)(1) of this Agreement. 

(zz) “Technology Transfer and License Agreement” has the meaning set forth in Section 8(d)(1) of this Agreement. 

(aaa) “Term” has the meaning set forth in Section 14(a) of this Agreement. 

(bbb) “Third Party” means any individual, corporation, partnership, company or similar entity who or which is neither a Party
nor an Affiliate of a Party. 
 (ccc) “Third Party Material” has the meaning set forth in Section 5(g) of this
Agreement. 
 (ddd) “Third Party Supplier” has the meaning set forth in Section 8(d)(1) of this Agreement. 

(eee) “Trial” means Achaogen’s global Phase 3 clinical trial program for the Compound, including a randomized Phase
3 study and an open-label safety study. 
 (fff) “Trial Registrations” means any Registration Applications and other
regulatory filings and approvals necessary for clinical use of the Assay in the Trial. 
 (ggg) “United States” means the
United States of America and its possessions and territories. 
 (hhh) “US/EU Marketing Registrations” has the meaning set
forth in 2(c)(2)(i) 
 (iii) “Verification” means a determination that [***]. 

(jjj) “Work Products” means all documentation, works of authorship, and data generated as part of the Agreement, including
clinical data, and all other work 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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products created or made by or on behalf of Ark pursuant to this Agreement as provided in the applicable SOW, but not including [***]. 

2. Services to be Provided 

(a) General 
 (1) Ark
shall provide services to support the development and regulatory approval of the Assay, based on designs and specifications developed in collaboration by the Parties (collectively, the “Specifications”), pursuant to this Agreement
and each Statement of Work attached hereto as Exhibit A as agreed from time to time by the Parties (each, a “Statement of Work” or “SOW”). The term “Services” refers to all work performed by
Ark pursuant to this Agreement, each Statement of Work and the Material Transfer Agreement, including, without limitation, the design, development and delivery of all Work Products and the Assay. 

(2) In the event of a conflict between the terms and conditions of this Agreement and the terms and conditions of any Statement of Work or
any other documentation exchanged between the Parties, the terms and conditions of this Agreement shall prevail. 
 (3) Notwithstanding any
provision of this Agreement to the contrary, it is understood that (i) neither Party guarantees that the development of the Assay will be successful or the Assay will be approved by any Regulatory Authority for use in the Trial or for
commercial sale in any territory, and (ii) there are uncertainties and potentially technical challenges beyond the control of the Parties in the development of the Assay that could adversely affect the successful and/or timely completion of the
Assay according to the Specifications, which could require good faith discussions between the Parties to revise the Specification, Statement of Work, and/or terms of this Agreement. 

(b) Development and Clinical Supply Services 

(1) Ark shall develop the Assay according to the Specifications. Ark shall be responsible for [***], including [***]. Ark shall perform
analytical Verification studies of the Assay to support IDE Approval, and shall timely provide all necessary information and materials and provide other cooperation reasonably required for the IDE preparation, submission, and Approval, including
without limitation, those responsibilities allocated to Ark as set forth in the SOW. Achaogen shall timely provide all necessary information and materials and provide other cooperation reasonably required for the development and analytical
Verification studies of the Assay. 
 (2)Ark shall manufacture and supply to Achaogen the Assay in sufficient quantities but in no event
exceed [***] for use by Achaogen in the Trial in accordance with the Statement of Work, and according to a schedule agreed upon with 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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Achaogen based on projected shelf life of kits and length of Trial. In the event that more than [***] are required for the Trial, Ark and Achaogen will [***]. 

(3) The rights and obligations of the Parties with respect to any Antibodies owned or controlled by Achaogen and provided by Achaogen to Ark
in connection with Assay development, validation, manufacture or supply shall be governed by the terms and conditions of the Material Transfer Agreement, except as expressly otherwise provided herein. 

(4) ARK shall provide additional services to support Achaogen’s conduct of the Trial as defined in the SOW, including but not limited to
training personnel at a Contract Research Organization designated by Achaogen on how to train clinical laboratory site(s) in performance of the Assay, and providing ongoing support to clinical laboratory sites in operation of the assay, including
troubleshooting for out-of-specification assay results. ARK will also perform specimen testing and primary analysis for the method comparison between the ARK immunoassay and the reference method in support of market registrations. ARK will provide
the aforementioned support at ARK’s facility in Fremont, CA or by teleconference and/or electronically. 
 (c) Regulatory
Services. The Parties shall consult and collaborate on the most effective and expeditious plan for obtaining regulatory clearance for investigational use and commercial marketing of the Assay. 

(1) Trial Registrations 

(i) Ark and Achaogen shall be responsible for formulating regulatory strategy, preparing, filing and obtaining IDE Approval, with Achaogen
being the lead party and formal holder of the IDE. 
 (ii) ARK is responsible for preparing and providing all technical and manufacturing
information required for IDE approval 
 (iii) Achaogen is responsible for preparing and providing all information related to the
investigational plan for IDE approval 
 (iv) Achaogen is responsible for compiling and submitting the IDE applications, and scheduling and
managing meetings and teleconferences with the FDA. 
 (v) Ark shall be included in all meetings with the FDA and in all scheduled
teleconferences with the FDA and, to the extent practicable, unscheduled teleconferences with the FDA. 
 (vi) Except as provided in
Section 2(c)(1)(i), and unless otherwise expressly agreed by the Parties under any SOW, Achaogen shall be responsible for formulating regulatory strategy, preparing, filing and obtaining all Trial Registrations necessary for use of the Assay in
the Trial throughout the world with Ark’s support and 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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involvement as reasonably required or as otherwise agreed by the Parties from time to time. 

(vii) Achaogen shall own all Trial Registrations (including IDE Approval). Any expenses [***]. 

(2) Marketing Registrations 

(i) In the event Ark will be commercializing the Assay in the US and EU, Ark shall be responsible for formulating regulatory strategy,
preparing, filing and obtaining all Marketing Registrations necessary for marketing the Assay in the United States and European Union, with Achaogen’s active support and involvement as reasonably required or as otherwise agreed by the
Parties from time to time. Ark shall own all such Marketing Registrations for the Assay in the United States and European Union (collectively, the “US/EU Marketing Registrations”), and shall be responsible for and conduct all
interactions with such United States and European Union Regulatory Authorities involving such US/EU Marketing Registrations. Ark shall [***]. Achaogen shall be included in all meetings with the US and EU regulatory authorities and in all planned
teleconferences. To the extent possible, Achaogen will be included in impromptu teleconferences with US and EU regulatory authorities. 

(ii) In the event Achaogen will be commercializing the Assay in the US and EU, and Ark remains the manufacturer/supplier of the Assay,
Achaogen shall be responsible for formulating regulatory strategy, preparing, filing and obtaining all Marketing Registrations necessary for marketing the Assay in the United States and European Union, with Ark’s support and involvement as
reasonably required or as otherwise agreed by the Parties from time to time. Achaogen shall own all such Marketing Registrations for the Assay in the United States and European Union (collectively, the “US/EU Marketing
Registrations”), and shall be responsible for and conduct all interactions with such United States and European Union Regulatory Authorities involving such US/EU Marketing Registrations. Achaogen shall [***]. Ark shall be included in all
meetings with the US and EU regulatory authorities and in all planned teleconferences. To the extent possible, Ark will be included in impromptu teleconferences with US and EU regulatory authorities. 

(iii)In the event Achaogen will be commercializing the Assay in the US and EU, and Ark will remain the manufacturer/supplier of the Assay,
Ark shall be responsible for ensuring that all applicable manufacturing regulations are met, including but not limited to the manufacture of the Assay under FDA current Good Manufacturing Practices and maintenance of Ark’s certification under
ISO 13485. Ark shall support Achaogen’s ongoing maintenance of the Market Registrations (e.g., the filing of annual reports or audits by regulatory agencies), including but not limited to the provision of materials and information, as
reasonably required or as otherwise agreed by the Parties from time to time. In this case, Ark will work with Achaogen to ensure the Assay manufacturing conforms to Achaogen’s Quality System for ensuring compliance with Quality System
Regulations. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 (iv) Achaogen shall be responsible for formulating regulatory strategy, preparing, filing and
obtaining all Marketing Registrations necessary for marketing the Assay in all jurisdictions and territories in the world other than the United States and the European Union, with Ark’s support and involvement as reasonably required or as
otherwise agreed by the Parties from time to time. For clarity, Ark shall not be responsible for conducting any additional studies for obtaining any ROW Marketing Registrations, provided that, [***], Ark will provide reasonable cooperation to
Achaogen and its designees in performing any such additional studies required for obtaining ROW Marketing Registrations, as well as supporting Achaogen’s ongoing maintenance of the ROW Market Registrations (e.g., the filing of periodic reports
or audits by regulatory agencies). Achaogen shall own all such Marketing Registrations for the Assay (collectively, the “ROW Marketing Registrations”), and shall be responsible for and conduct all interactions with Regulatory
Authorities involving such ROW Marketing Registrations. Achaogen shall [***]. 
 (3) License to Registrations. Ark hereby grants to
Achaogen a nonexclusive, sublicensable and transferable license under any US/EU Marketing Registrations and data required for any ROW Marketing Registrations for the purpose of (i) applying for and obtaining ROW Marketing Registrations and
(ii) Finishing and commercializing the Assay in all jurisdictions and territories in the world (excluding United States and the European Union in the event Ark has exercised its right to commercialize the Assay in the United States and European
Union pursuant to the Commercialization Agreement). Achaogen hereby grants to Ark a nonexclusive, sublicensable and transferable license under any ROW Marketing Registrations and data required for any US/EU Marketing Registrations for the purpose of
(i) applying for and obtaining US/EU Marketing Registrations and (ii) Finishing and commercializing the Assay in United States and European Union in the event Ark has exercised its right to commercialize the Assay in the United States and
European Union pursuant to the Commercialization Agreement. 
 (d) Delivery of Work Products and Assays. Ark shall prepare the Work
Products and the Assays identified in each Statement of Work, and shall provide to Achaogen the Work Products and the Assays in accordance with the schedule for performance and delivery set forth in the applicable Statement of Work. During the
course of performing the Services, Ark shall consult with Achaogen as requested by Achaogen, and shall address feedback received from Achaogen relating to each project. 

(e) Conformance with Specifications. If Achaogen reasonably determines that the Assay or any Work Products do not materially conform to
the applicable Specifications or other requirements set forth in a Statement of Work, Ark promptly shall, subject to Section 2(a)(3), correct the nonconformance to Achaogen’s reasonable satisfaction, at no cost to Achaogen. In the event
Achaogen requests any change to the Specification or other requirement for the Assay, Ark agrees to use commercially reasonable efforts to accept such request to the extent reasonable and practicable, provided that in no event shall Ark be obligated
to incur any additional costs and expenses required for implementing any such change. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

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 3. Fees and Payments. The following payments shall be made for the Services: 

(a) Prepaid Fee. Ark acknowledges that on [***], Achaogen paid to Ark a fee of [***] Dollars ($[***]) in [***], which amount is
nonrefundable and noncreditable. 
 (b) Development and Regulatory Milestones 

(1) Achaogen shall pay to Ark nonrefundable, noncreditable milestone payments in consideration for the achievement of the following one-time
development and regulatory milestone events for the Assay: 
  

					
	 No.
	  	 Event
	  	 Payment

	[***]	  		  	

  

	*	For clarity, the determination as to whether milestones [***] shall be paid [***] as mutually agreed by the Parties. Also, for clarity, [***]. 

(2) Achaogen shall pay all milestone payments due to Ark under Section 3(b)(1) within [***] days of receiving notice of the occurrence
of such milestone, except that the Parties acknowledge and agree that [***] has been achieved prior to the execution of this Agreement and the corresponding milestone payment in the amount of $[***] shall be payable upon execution of this Agreement.

  

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 (c) Complete Compensation; Currency. Without limiting Achaogen’s payment obligation
under Section 14(d), the payments required by Sections 3(a) and 3(b) shall constitute [***]. All amounts payable under this Agreement shall be invoiced to and paid by Achaogen in U.S. dollars. 

(d) Books and Records; Audit. Ark shall maintain complete and accurate records relating to its performance under this Agreement. Ark
shall retain such records for the longer of [***] years after the termination or expiration of this Agreement or the period of time required by Applicable Laws and shall make such records available to Achaogen or its representative upon request
during the record-keeping period set forth herein. Ark shall cooperate in any audit of such records that Achaogen or its representative may undertake, at no additional cost to Achaogen; provided, however, that Achaogen shall be responsible for any
expenses directly incurred by Achaogen or its representative in connection with the audit. 
 4. Joint Development Committee. Within
thirty (30) days from the Effective Date, the Parties shall establish a joint development committee (the “Joint Development Committee”) to coordinate and oversee the development of the Assay in the Territory. 

(a) Composition of the Joint Development Committee. The Joint Development Committee is, and at all times during the Term shall be,
comprised of [***] representatives from each Party, each of whom has relevant experience and skill appropriate for service on the Joint Development Committee, such as heads of clinical development and manufacturing. The Parties may establish and
later change the number of representatives that each Party has on the Joint Development Committee, as long as [***] voting representatives from [***] is maintained (unless a Party desires to have fewer representatives). Each Party may change any of
its representatives on the Joint Development Committee at any time upon notice to the other Party. 
 (b) Activities of the Joint
Development Committee. The Joint Development Committee shall be responsible for establishing and approving plans and activates relating to development of the Assay, evaluating Ark’s progress under such plans, discussing any changes to such
plans, and determining the successful completion of milestone events associated with the development of the Assay. The Joint Development Committee may also provide a forum for discussion of [***]. For clarity, the Joint Development Committee shall
not have the authority to amend any terms or conditions of this Agreement or any SOW. 
 (c) Decisions of the Joint Development
Committee. It is understood that Achaogen shall have final authority to approve the Specifications or any modifications thereto, in each case which are initially proposed by Ark. For any other matter within the jurisdiction of the Joint
Development Committee as to which the Joint Development Committee cannot reach a decision, such matter under dispute shall first be referred to the Vice-President of Corporate Development of Achaogen and the president or chief executive officer of
Ark (together, the “Resolution Officers”), for attempted resolution by good faith negotiations within [***] of notice thereof. Except as otherwise 

  

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provided in this Agreement, any dispute, other than one for which Achaogen has final decision-making authority, that cannot be resolved by the Resolution Officers may be resolved pursuant to
Section 16(c). 
 (d) Meetings of the Joint Development Committee. The Joint Development Committee shall hold its first meeting
within [***] after the Effective Date and shall meet thereafter on a schedule and at locations mutually determined by the Parties. Ad hoc meetings of the Joint Development Committee may be called by either Party upon reasonable advance notice to the
other. Subject to the Parties’ mutual agreement, regular and ad hoc meetings may be face-to-face or by teleconference or videoconference. 

(e) Joint Development Committee Expenses. Each Party shall bear the expense of the participation of its representatives on the Joint
Development Committee and in Joint Development Committee meetings. 
 5. Proprietary Rights 

(a) Background IP 
 (1)
All right, title and interest, including all Intellectual Property Rights, in and to all Achaogen Background IP and all Achaogen Materials shall be and remain the exclusive property of Achaogen. 

(2) All right, title and interest, including all Intellectual Property Rights, in and to all Ark Background IP and all Ark Materials shall be
and remain the exclusive property of Ark. 
 (b) Improvements, Work Products, Antibodies and the Assay 

(1) Achaogen shall have sole and exclusive ownership of all right, title and interest in all Achaogen Improvements, and any and all
Intellectual Property Rights with respect thereto, regardless of whether such Achaogen Improvements were conceived, reduced to practice, discovered, developed or otherwise generated by Ark, by Achaogen, or jointly by the Parties. 

(2) As between the Parties, Achaogen shall have sole and exclusive ownership of all right, title and interest in all Antibodies developed or
acquired by Ark in the course of providing Services, and any and all Intellectual Property Rights with respect thereto, regardless of whether such Antibodies were conceived, reduced to practice, discovered, developed or otherwise generated by or on
behalf of Ark, by or on behalf of Achaogen, or jointly by or on behalf of the Parties. 
 (3) Ark shall have sole and exclusive ownership
of all right, title and interest in all Ark Improvements, and any and all Intellectual Property Rights with respect thereto, regardless of whether such Ark Improvements were conceived, 

  

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reduced to practice, discovered, developed or otherwise generated by Ark, by Achaogen, or jointly by the Parties. 

(4) The Parties shall jointly own all right, title and interest in all [***], and any and all Intellectual Property Rights with respect
thereto, regardless of whether such [***] was conceived, reduced to practice, discovered, developed or otherwise generated by Ark, by Achaogen, or jointly by the Parties. Ark shall disclose to Achaogen any subject inventions, as further described in
Exhibits B and C, within [***] days of their conception or reduction to practice, so as to permit Achaogen to comply with its obligations under Article 7. 

(5) Ark shall disclose all Achaogen Improvements and all Ark improvements to Achaogen, to the extent they are conceived, reduced to practice,
discovered, identified or otherwise created in whole or in part by Ark, promptly and, in any event, within [***] of such conception or reduction to practice, so as to permit Achaogen to comply with its obligations under Article 7. 

(c) Other Foreground IP 

(1) All Foreground IP that is not otherwise owned as specifically provided in Section 5(b), and that is conceived, reduced to practice,
discovered, developed or otherwise generated solely by employees or consultants of a Party, shall be owned by such Party. 
 (2) All
Foreground IP that is not otherwise owned as specifically provided in Section 5(b), and that is conceived, reduced to practice, discovered, developed or otherwise generated by employees or consultants of both Parties, shall be owned jointly by
the Parties. 
 (d) Assignment 

(1) To the extent, if any, that [***] or any of its employees or others providing Services has rights in any [***], then, notwithstanding
Section 5(b)(1) and Section 5(b)(2), [***] hereby irrevocably assigns to [***]) all right, title and interest in and to such [***], as applicable, including without limitation all Intellectual Property Rights therein. Upon the request of
[***], [***] shall sign and deliver, and shall cause its personnel to sign and deliver, any assignments or other necessary documents and otherwise assist [***] to obtain, maintain, perfect or enforce any of [***] rights hereunder. 

(2) To the extent, if any, that [***]or any of its employees has rights in any Ark Improvements, then, notwithstanding Section 5(b)(3),
[***] hereby irrevocably assigns to [***] all right, title and interest in and to such [***], including without limitation all Intellectual Property Rights therein. Upon the request of [***], [***] shall sign and deliver, and shall cause its
personnel to sign and deliver, any assignments or other necessary documents and otherwise assist Ark to obtain, maintain, perfect or enforce any of [***] rights hereunder. 

  

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 (e) Licenses 

(1) Achaogen hereby grants to Ark a nonexclusive, worldwide, royalty-free, nonsublicensable and nontransferable (except in connection with
the assignment permitted under Section 16(g) license to use the Achaogen Materials to the limited extent necessary to perform the Services in accordance with the terms and conditions of this Agreement. Ark shall not have the right to use the
Achaogen Materials for any other purpose, and shall return to Achaogen all Achaogen Materials following the earlier of completion of the Services or expiration or termination of this Agreement, or earlier at Achaogen’s request. 

(2) Achaogen hereby grants to Ark a nonexclusive, worldwide, royalty-free, nonsublicensable and nontransferable (except in connection with
the assignment permitted under Section 16(g)) license under the Achaogen Background IP, the Achaogen Improvements, Antibodies, and any other Foreground IP owned or controlled by Achaogen to the limited extent necessary to perform the Services
in accordance with the terms and conditions of this Agreement. 
 (3) Ark hereby grants to Achaogen a nonexclusive, worldwide,
royalty-free, irrevocable, perpetual, fully paid up, sublicensable and nontransferable (except in connection with the assignment permitted under Section 16(g)) license under the Ark Background IP, the Ark Materials and the Ark Improvements
solely to the extent necessary to use the Assays and any Work Products for Achaogen’s (i) development of the Compound, and (ii) use of the Assay in the Trial. 

(4) Ark hereby grants to Achaogen a nonexclusive, worldwide, royalty-free, irrevocable, perpetual, fully paid up, sublicensable and
nontransferable (except in connection with the assignment permitted under Section 16(g)) license under any Foreground IP owned or controlled by Ark and which is not an Ark Improvement, solely to the extent necessary to use the Assays and any
Work Products for Achaogen’s (i) development of the Compound, (ii) use of the Assay in the Trial, and (iii) development, manufacture, use or sale of any other assays which may be used in connection with the Compound. 

(5) Any rights granted to Achaogen under this Agreement that are sublicensable pursuant to this Agreement, including any rights granted to
Achaogen under this Article 5 and Article 6 shall also inure to the benefit of, and be enforceable by, any sublicensee of any rights granted to Achaogen under this Agreement, provided that such sublicensee agrees in writing to be bound by
the applicable terms and conditions set forth herein. 
 (f) Reservation of Rights. Neither Party shall acquire, directly, indirectly
or by estoppel or implication, any rights in or under any Intellectual Property or Intellectual Property Rights of the other Party except as expressly provided herein or in any other written agreement between the Parties. 

  
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 (g) Original Work. All Work Products shall be the original work of Ark and its employees
or others providing Services, except for any portion of any Work Products that consist of material created by a Third Party and with respect to which Ark has advised Achaogen in writing of such material’s Third Party origin (“Third
Party Material”). Ark shall not disclose to Achaogen or knowingly induce Achaogen to use any confidential, proprietary or trade secret information of any Third Party unless it has a sublicensable or assignable right to such Third Party
information. Ark shall not knowingly incorporate any Third Party Material into any Work Product without obtaining Achaogen’s prior written approval. To the extent that Third Party Material is included or incorporated into any Work Products, Ark
hereby grants to Achaogen a nonexclusive, worldwide, royalty-free, irrevocable, perpetual, fully paid up, sublicensable and nontransferable (except in connection with the assignment permitted under Section 16(g)) license under Ark’s rights
in the Intellectual Property Rights in such Third Party Materials (i) to use the Assay and any Work Products for Achaogen’s development of the Compound and use of the Assay in the Trial; and (ii) to use, make, have made, offer for
sale, sell and import the Assays and the Work Products in accordance with the terms and conditions of the Commercialization Agreement, if and when entered into. 

(h) Covenant Not to Sue. Ark covenants that it shall not enforce its Intellectual Property Right against Achaogen or any of its
designees for any proper exercise of any license of Intellectual Property Rights granted by Ark to Achaogen pursuant to this Agreement. 

6. Patent Prosecution and Defense 

(a) Achaogen IP. As between the Parties, Achaogen shall have the sole right, at its expense, for managing the filing, prosecution and
maintenance of all Patents directed to [***] in accordance with Section 5(c)(1) of this Agreement. 
 (b) Ark IP. As between the
Parties, Ark shall have the sole right, at its expense, for managing the filing, prosecution and maintenance of all Patents directed to [***] in accordance with Section 5(c)(1) of this Agreement. 

(c) Jointly-Owned IP 

(1) Achaogen shall be responsible for managing the filing, prosecution and maintenance of all Patents directed to any [***] in accordance
with Section 5(c)(2) of this Agreement (collectively, the “Joint Patents”). Achaogen shall consult with Ark on a timely basis on all significant matters relating to the Joint Patents (including providing a copy of any patent
application and any material correspondence with the applicable patent office reasonably in advance of its filing or submission) and consider in good faith Ark’s reasonable comments or suggestions with respect thereto. Achaogen shall not [***]
without prior written notice to Ark, which notice shall be given sufficiently in advance of any statutory bar or other deadline that would cause such Joint Patents to be abandoned or otherwise lapse. 

  

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 (2) Achaogen shall, or shall instruct patent counsel to, promptly provide copies to Ark of all
Joint Patents, as well as patents, patent documents and correspondence pertaining to the Joint Patents. Ark shall be allowed to review and provide comment thereon. Achaogen will consider any comments provided by Ark in good faith. 

(3) Subject to Section 6(c)(4) below, Achaogen shall be responsible for [***] percent ([***]%) of the Patent Expenses, and Ark shall be
responsible for [***] percent ([***]%) of the Patent Expenses. In the event Achaogen has paid a Patent Expense without receiving a prepayment from Ark of its proportionate share of such Patent Expense, Achaogen shall provide written notification to
Ark of the nature, amount and date of payment of such Patent Expense, together with the receipt or other appropriate documentation, and subject to Section 6(c)(4) below, Ark shall reimburse Achaogen its share of the Patent Expenses within
thirty (30) days of receipt of such notification. 
 (4) [***], shall determine the countries or jurisdictions where Joint Patents
will be filed, prosecuted, and maintained. If, during the term of this Agreement, either Party [***] with respect to any Joint Patent in any country or jurisdiction, the other Party may pay all such expenses but thereafter, the paying Party shall
have sole authority over licensing and patent prosecution of the Joint Patents in any such country or jurisdiction and the non-paying Party shall assign to the paying Party all of its right, title and interest in and to such Joint Patents in such
country or jurisdiction. 
 (d) Patent Infringement and Defense 

(1) In the event either Party learns of the actual or threatened infringement of a Joint Patent by a Third Party, the Party that learned of
the infringement shall promptly notify the other Party in writing and will provide the other Party with all available evidence of such infringement. Achaogen, in cooperation with Ark, will have the first right, but not the obligation, to use
commercially reasonable efforts to eliminate the infringement without litigation. If Achaogen does not within a reasonable period of time notify the infringer of the infringement, then Ark, after providing notice to Achaogen of its intent to do so,
may use commercially reasonable efforts to eliminate the infringement without litigation. 
 (2) If the infringement has not ceased within
[***] of the infringer being notified of the infringement, Achaogen and Ark shall confer regarding possible courses of action. 
 (3)
Neither Party has an obligation under this Agreement to bring an infringement action; provided, however, that as between Achaogen and Ark, Achaogen shall have the first right to bring such an action. If Achaogen has not brought such an action within
[***] after conferring with Ark as provided in Section 6(d)(2), then Ark shall have the right to bring such an action after providing notice to Achaogen of its intent to do so. Unless otherwise mutually agreed by the Parties in writing,
(i) the Party 

  

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controlling the enforcement action shall [***], and (ii) any recovery resulting from a settlement or judgment on an infringement action will be first used to reimburse the controlling Party
of the costs of litigation and the remainder of the recovery, if any, shall be divided between the controlling Party and non-controlling party on a [***] basis. 

(4) In the event that a Third Party commences an action challenging any of the Joint Patents, Achaogen shall have the first right to defend
such Joint Patents against such challenge. If Achaogen does not commence the defense against such challenge within [***] of Ark’s request to do so, then Ark shall have the right to defend such challenge after providing notice to Achaogen of its
intent to do so; provided, however, that if Ark reasonably believes it must [***]. The controlling Party shall bear its own costs and expenses associated with any defense undertaken pursuant to this Section 6(d)(4). 

(5) At the controlling Party’s request and expense, the non-controlling Party shall cooperate fully with the controlling Party in any
action brought to enforce the Joint Patents against an infringer and in any defense of the Joint Patents against a challenge by a Third Party. 

7. BARDA Requirements 

(a) U.S. Government Rights. The rights and obligations of the Parties in Articles 5 and 6 of this Agreement are subject to
the terms and conditions of Exhibit B, which are included herewith in compliance with Achaogen’s obligations to BARDA under the Prime Contract. In accordance with the terms of the Prime Contract, the language in Exhibit B has been
reproduced verbatim from the Prime Contract except as otherwise instructed therein, including all defined terms and related conventions. 

(b) Applicable Prime Contract Provisions. The rights and obligations of the Parties in this Agreement are subject to the Prime Contract
terms and conditions listed in Exhibit C, which are included herewith in compliance with Achaogen’s obligations to BARDA under the Prime Contract. 

(c) Animal Use Provisions. The rights and obligations of Ark in this Agreement are subject to the animal use provisions listed in
Exhibit D, which are included herewith in compliance with Achaogen’s obligations to BARDA under the Prime Contract. 
 (d)
Correspondence. Ark shall provide Achaogen and BARDA with electronic copies of all written materials submitted to any Regulatory Authority upon submission, and of all written correspondence sent to or received from any Regulatory Authority upon
delivery. To the extent reasonably practicable, Ark shall share with Achaogen drafts of any written materials in advance of submitting such materials to a Regulatory Authority so as to allow for comment by Achaogen and/or BARDA. 

  

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 (e) Meetings. Ark may, from time to time, schedule meetings between Ark and a
Regulatory Authority to discuss issues relevant to Ark’s performance of the Services hereunder. Ark shall notify Achaogen of the date and time of any such scheduled meeting as soon as possible, targeting within [***] within scheduling
meeting. In addition, with respect to FDA meetings, Ark shall coordinate with FDA to enable at least [***] personnel total from Achaogen and BARDA to attend as observers. 

8. Commercialization 

(a) Terms. On or before October 31, 2013, the Parties shall commence good faith negotiations of a Commercialization Agreement
consistent and in coordination with Achaogen’s plans for global commercialization of the Compound. The Commercialization Agreement shall include the following: 

(1) Ark shall have the first right, but not the obligation, to commercialize (itself or through one or more designees) the Assay in the United
States and European Union. Achaogen shall have the first right, but not the obligation, to commercialize (itself or through one or more designees) the Assay in any countries and territories other than the United States and European Union. If, for
any reason, Ark elects not to exercise its right to commercialize the Assay in the United States and/or the European Union, Achaogen shall have the right to commercialize or appoint a distributor to commercialize the Assay in those territories; 

(2) Subject to Section 8(a)(10), Ark shall have [***] right to manufacture and supply the Assay and Assay Components for
commercialization. It is understood that with respect to any territory in which Ark does not commercialize the Assay (itself or through one or more designees), Ark will manufacture (or have manufactured) and supply either Assays or Assay Components
which may be Finished by Achaogen or its designees (the provision of Assays or Assay Components to be determined in Ark’s reasonable discretion, unless otherwise outlined herein) such that Achaogen or its designees in the applicable territory
may commercialize the Finished Assay in the applicable territory; 
 (3) A license under [***] solely to the extent necessary for [***] to
commercially market and sell directly the Assay, or to sublicense the marketing and sale of the Assay, to a commercial partner, wherever the Compound is approved for such sale and marketing; 

(4) A license under [***], solely to the extent necessary for Achaogen to develop, manufacture, use and sell any other assays which may be
used in connection with the Compound; 
 (5) A provision that each Party and its sublicensees shall retain [***]; 

  

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 (6) Terms addressing Ark’s [***] Assays by reference to agreed-upon conditions, including
the [***]; 
 (7) Terms for the supply of Assays for sale by Achaogen or a co-promotion partner of Achaogen on [***], taking into
consideration all relevant factors including without limitation, market size and volume of orders; 
 (8) Appropriate protections for
continuity of supply, including [***]; 
 (9) [***]; 

(10) In the event that (x) for specified reasons, including, but not limited to, [***], or (y) [***], Achaogen would have the
limited right to elect to make or have made the Assays for sale in any jurisdiction in the world, and Ark would have the obligation to provide to Achaogen or its designated Third Party manufacturer [***]; 

(11) To mitigate the risk of supply interruption of Assays for any reason, commencing with commercialization activities involving the Assays,
Ark would maintain and store, at its expense, a stockpile of Assays that the Parties agree is reasonably sufficient to supply the global market for a period equal to a conservative, good faith estimate of the time necessary to establish, qualify and
start up a new, Third Party Assay manufacturing capacity. The extent of this stockpile would be reassessed by the Parties every [***], based on a [***]; and 

(12) Necessary and appropriate terms for development and regulatory activities in jurisdictions where Regulatory Approvals for the Assay have
not been received. 
 (b) Process for Entering Into Commercialization Agreement. If, by April 1, 2014, the Parties have been
unable to agree on the terms and conditions of a Commercialization Agreement pursuant to Section 8(a), either Party may send the other Party a written notice that such Party wishes to appoint an expert panel made up of [***] to establish any
unresolved terms for a Commercialization Agreement consistent with Section 8(a). 
 (1) In furtherance of this Subsection 8(b), each
Party shall, within [***] of receipt of the notice seeking to establish such a panel, appoint [***] member of the panel who is not affiliated with either Party, and the [***] appointed members] shall, within [***] days of such notice, appoint
the [***] member of the panel, who also shall [***]. Each appointed member shall also have demonstrated [***]. 
 (2)Each appointed member
shall enter into a written agreement providing for such member’s compensation, and binding such member to confidentiality and non-use provisions no less stringent than those contained in this Agreement. Each panel member shall be compensated at
a rate to be agreed to by the Parties, and the fees and disbursements of the panel shall be [***]. 

  

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 (3) The Parties may submit such materials and arguments to the panel at a hearing to be held
within [***] days of the appointment of the [***] of the panel, and the panel shall render its judgment [***] days of such hearing. Such terms shall be [***] and shall be [***]. 

(4) The [***] decision of the panel shall be binding upon the Parties, and the Parties shall [***]. 

(c) Interim Supply Period 

(1) If, by [***], 2016 (the “Interim Supply Date”), the Parties have been unable to agree on the terms and conditions of a
Commercialization Agreement pursuant to Section 8(a), Ark shall supply the Assay or Assay Components to Achaogen and its designees at a price that [***], for a period of five (5) years after the date Achaogen receives approval of the NDA
for the Compound (the “Interim Supply Period”). Ark to supply Assays instead of Assay Components in the US and EU for at least the first two (2) years of the five (5) year supply period. 

(2) The Parties may extend the Interim Supply Period by mutual agreement in writing. 

(3) As of the Interim Supply Date, if no Commercialization Agreement has been entered into, Ark hereby grants to Achaogen and its designees a
nonexclusive, nontransferable (except in connection with the assignment permitted under Section 16(g)), royalty-free, fully paid up license under the Ark Background IP, Ark Improvements and any Foreground IP owned or controlled by Ark solely to
the extent necessary for Achaogen or such designee to Finish and commercialize the Assay during the Interim Supply Period. 
 (4) As of the
Interim Supply Date, if no Commercialization Agreement has been entered into, Achaogen hereby grants to Ark and its designees a nonexclusive, nontransferable (except in connection with the assignment permitted under Section 16(g)),
royalty-free, fully paid up license under Achaogen Background IP, Achaogen Improvements, Antibodies, and any other Foreground IP owned or controlled by Achaogen solely to the extent necessary for Ark or its designee to manufacture and supply the
Assay to Achaogen and its designees during the Interim Supply Period. 
 (5) It is understood that prior to or after the Interim Supply
Date the Parties may negotiate additional terms and conditions for the supply of Assays and/or Assay Components during the Interim Supply Period, provided, however, that such additional terms and conditions shall be customary, commercially
reasonable and otherwise consistent with the applicable terms and conditions of this Agreement, and further provided that Ark’s obligations to supply Assays and/or Assay Components in accordance with this Section 8(c)(5) shall take effect
as of the Interim Supply Date regardless of whether the Parties agree to any such additional terms and conditions. Unless and until such other terms are negotiated, the applicable terms and conditions of

  

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this Agreement shall continue to apply, to the extent practicable, including but not limited to the provisions of Articles 7, 9, 10, 12 and 14. 

(6) During the Interim Supply Period, the Parties shall continue to use good faith efforts to negotiate and execute the Commercialization
Agreement. 
 (d) Third Party Supplier 

(1) If, by January 1, 2018, the Parties have been unable to agree on the terms and conditions of a Commercialization Agreement pursuant
to Section 8(b), at Achaogen’s request, Ark, Achaogen and a Third Party manufacturer that is reasonably acceptable by Ark (a “Third Party Supplier”) shall negotiate and enter into a technology transfer and license
agreement (the “Technology Transfer and License Agreement”) pursuant to which, subject to commercially reasonable terms and conditions, Ark grants such Third Party Supplier a nonexclusive, nontransferable license under Ark
Background IP and Foreground IP owned by Ark hereunder and provide reasonable know-how transfer to such Third Party Supplier; in each case to the extent necessary and solely for the purpose of manufacturing and supplying the Assay to Achaogen for
use or commercialization by Achaogen and its designees. With respect to the Parties’ choice of Third Party Supplier, [***], provided that such Third Party Supplier has agreed to the requirements of confidentiality and the restrictions contained
in the license as provided in this Section 8(d). 
 (2) Such Third Party Supplier would enter into a supply agreement directly with
Achaogen on such terms as the Third Party Supplier and Achaogen may agree. 
 (3) If the Parties and such Third Party Supplier cannot agree
on the terms and conditions of the Technology Transfer and License Agreement prior to [***], then either Party may send the other Party a written notice that such Party wishes to appoint an expert panel as provided pursuant to Section 8(b). For
purposes of this Section 8(d), all of the provisions of Section 8(b) shall apply under such circumstances, but references to Commercialization Agreement shall constitute references to such Technology Transfer and License Agreement and
references to 8(a) shall constitute references to this Section 8(d). 
 (4) For the avoidance of doubt, the Third Party Supplier shall
be bound by reasonable confidentiality obligations with respect to any information, materials and know-how provided by Ark pursuant to the Technology Transfer and License Agreement. Without limiting the foregoing, the Technology Transfer and License
Agreement shall provide the right for Ark to [***]. Achaogen agrees to reasonably cooperate with Ark to [***]. 

  

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 9. Confidentiality 

(a) Effectiveness of the Nondisclosure Agreement. The terms and conditions of the Nondisclosure Agreement are hereby superseded by this
Agreement and all Confidential Information furnished by one Party to the other under the Nondisclosure Agreement prior to the Effective Date shall be deemed Confidential Information under this Agreement and subject to the terms and conditions of
this Article 9. 
 (b) Use of Confidential Information. Except to the extent expressly authorized by this Agreement or
otherwise agreed in writing, the Parties agree that, during the Term and for [***] years thereafter, the receiving Party shall keep, and shall ensure that its employees, officers and directors keep, completely confidential and shall not publish or
otherwise disclose and shall not use for any purpose any Confidential Information of the other Party, except to the extent that it can be established by the receiving Party by competent proof that such Confidential Information: (i) was already
known to the receiving Party, other than under an obligation of confidentiality, at the time of disclosure by the other Party; (ii) was generally available to the public or otherwise part of the public domain at the time of its disclosure to
the receiving Party; (iii) became generally available to the public or was otherwise part of the public domain after its disclosure and other than through any act or omission of the receiving Party in breach of this Agreement; (iv) was
disclosed to the receiving Party, other than under an obligation of confidentiality, by a Third Party who had no obligation to the disclosing Party not to disclose such information to others; or (v) was developed by the receiving Party
independent of any disclosure received under this Agreement as shown by written records prepared by the receiving Party contemporaneously with such independent development. 

(c) Authorized Disclosures. Each Party may disclose Confidential Information of the other Party to the extent such disclosure is
reasonably necessary in the following instances: (i) is submitted by the recipient to governmental authorities to facilitate the issuance of Trial Registrations and/or Marketing Registrations for the Assay, provided that reasonable measures
shall be taken to assure confidential treatment of such information; (ii) is provided by the recipient to Third Parties under confidentiality agreements having provisions at least as stringent as those in this Article 9, for consulting,
manufacturing development, manufacturing, external testing, marketing trials, in each case to the extent necessary to perform its obligations or exercise its rights under this Agreement; (iii) to its actual or prospective investors or
collaborators, or its accountants, attorneys and other professional advisors, in each case under confidentiality agreements having provisions at least as stringent as those in this Article 9; or (iv) is otherwise required to be disclosed
in compliance with Applicable Laws (including any securities laws or rules of any recognized stock exchange) order by a court or other regulatory body having competent jurisdiction; provided that if a Party is required to make any such disclosure of
the other Party’s Confidential Information such Party will give reasonable advance written notice to the other Party of such disclosure requirement and, except to the extent inappropriate in the case of patent applications, will use its
reasonable efforts in assisting the disclosing Party to secure confidential treatment of such Confidential Information required to be disclosed. 

  

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 (d) Limitations on Use. Each Party shall use any Confidential Information obtained
by such Party from the other Party and its Affiliates pursuant to this Agreement or otherwise, solely in connection with the activities or transactions contemplated by this Agreement. 

(e) Publication. Neither Party shall publish any manuscript, abstract, text or any other material containing any Work Product or
Foreground IP without the other Party’s prior written approval, with such approval not to be unreasonably withheld. 
 (f)
Injunctive Relief. Each Party acknowledges and agrees that its actual or threatened breach of this Article 9 would cause the other irreparable injury for which it may not have an adequate remedy at law. Each Party shall be entitled, in
addition to any other right or remedy it may have, at law or in equity, to seek an injunction, without the posting of any bond or other security, enjoining or restraining the other Party from any violation or threatened violation of this
Article 9. 
 (g) Return or Destruction of Confidential Information. Upon the disclosing Party’s written request at any
time or upon expiration or termination of this Agreement, the receiving Party shall: 
 (1) immediately cease use of use of Confidential
Information of the disclosing Party as well as any information or materials that contain, incorporate or are derived from such Confidential Information; and 

(2) return to the disclosing Party or shall destroy, at the disclosing Party’s discretion, any and all Confidential Information of the
disclosing Party (including all copies and reproductions thereof), provided, however, that the receiving Party may retain one (1) copy of such Confidential Information solely for archival purposes. Notwithstanding the return or destruction of
the Confidential Information, the receiving Party and its Representatives will continue to be bound by their obligations under the Agreement. 

10. Representations, Warranties and Covenants 

(a) Authority Relative to this Agreement. Each Party represents and warrants to the other Party, as of the Effective Date, that: 

(1) such Party is duly organized and validly existing under the laws of the jurisdiction of its incorporation and has full corporate power and
authority to enter into this Agreement and to carry out the provisions hereof; 
 (2) such Party is free to enter into this Agreement; 

(3) in entering into this Agreement, such Party will not violate any other agreement to which it is a party; and 

  
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 (4) such Party has taken all corporate action necessary to authorize the execution and delivery
of this Agreement and the performance of its obligations under this Agreement. 
 (b) Standard of Performance. Ark represents,
warrants and covenants that it shall provide the Services in a good and workmanlike manner, in accordance with (i) applicable industry standards, (ii) the standards of care and diligence and the level of skill, knowledge and judgment
customarily practiced by companies in the same industry in performing services of a similar nature, (iii) all quality control requirements that Achaogen provides to Ark at the time of this Agreement or as specified in any Statement of Work and
(iv) all terms and conditions of this Agreement and each Statement of Work. 
 (c) Conformance with Specifications. Ark
represents, warrants and covenants that the Work Products, including the Assay, shall conform to the applicable Specifications or other requirements set forth in a Statement of Work, and free of defects in material and workmanship. 

(d) No Infringement of Third Party Rights. Ark represents, warrants and covenants that to its actual knowledge, its performance of the
Services, and all Third Party Material and Ark Materials that Ark incorporates into any Work Products, and Achaogen’s use of any such Work Products, shall not infringe or misappropriate any Intellectual Property Rights of any Third Party or
otherwise conflict with the rights of any Third Party. Achaogen represents, warrants and covenants that to its actual knowledge, the performance of the Services in accordance with the Specifications and the use of any Achaogen Materials in
accordance with the terms and conditions of this Agreement shall not infringe or misappropriate any Intellectual Property Rights of any Third Party or otherwise conflict with the rights of any Third Party. 

(e) Compliance With Applicable Laws 

(1) The Parties represent, warrant and covenant that they shall perform all activities hereunder in accordance with, and shall develop,
manufacture, supply and market all Assays in accordance with, the terms and conditions of this Agreement and all Applicable Laws. 
 (2)
Ark shall obtain and maintain, at its expense, all licenses, permits and approvals necessary for it to provide the Services. Ark shall provide Achaogen with copies of any such licenses, permits and approvals upon request. 

(f) Debarment. Each Party represents and warrants to the other Party that it has not used, and covenants that they shall not use, the
services of any Person or entity in any capacity who has been debarred, disqualified, excluded, suspended, or is otherwise ineligible to: (i) participate in any federal health care program as provided under 42 U.S.C. § 1320a-7, or in any other federal payment or procurement program, or (ii) engage in activities subject to regulation by U.S. government (including the FDA) relating to any drug product. Each
Party shall notify the other Party in writing if any Person or entity in any capacity connected with the development, manufacture, supply or 

  
 - 25 - 

 
marketing of the Assay pursuant to this Agreement is or becomes debarred, disqualified, excluded, suspended, or is otherwise ineligible to participate in any federal health care program. 

11. Testing of the Assays and Other Work Products. Except as otherwise provided herein or in an applicable Statement of Work, Achaogen
acknowledges and agrees that Ark is not responsible for testing the Assays or the other Work Products provided by Ark or for ensuring that it is tested, manufactured, packaged, labeled (including adequate warnings and users manuals), sold, or used
in a safe and careful manner. 
 12. Indemnities 

(a) Indemnification by Ark. Ark shall defend, indemnify and hold harmless Achaogen, its affiliates, and its and their respective
directors, officers, attorneys, agents, employees and assigns from and against all liabilities, losses, damages and expenses, including without limitation costs and reasonable attorneys’ fees (collectively, “Losses”) resulting
from any claims, suits, demands or proceedings brought by any Third Party, including without limitation, Third Party claims for [***] (collectively, “Claims”) arising from (i) [***]; (ii) [***] acts or omissions of Ark or
its employees or other Ark personnel in providing the Services; or (iii) Ark’s breach of any of its representations, warranties or obligations under this Agreement, including, without limitation, Ark’s failure to comply with all laws
and regulations applicable to its provision of the Services, failure to obtain and maintain all licenses, permits and approvals necessary for it to provide the Services or otherwise required hereunder or failure to comply with the terms of
Exhibit B; in each case, except to the extent any such Losses result from any Claim for which Achaogen is obligated to indemnify Ark pursuant to Section 12(b). 

(b) Indemnification by Achaogen. Achaogen shall defend, indemnify and hold harmless Ark, its affiliates, and its and their respective
directors, officers, attorneys, agents, employees and assigns from and against all Losses resulting from Claims arising from (i) [***]; (ii) [***]; or (iii) [***]; (iv) [***] acts or omissions of Achaogen or its employees or
other Achaogen personnel in performing its activities under this Agreement; or (v) Achaogen’s breach of any of its representations, warranties or obligations under this Agreement; in each case, except to the extent any such Losses result
from any Claim for which Ark is obligated to indemnify Achaogen pursuant to Section 12(a). 
 (c) Notice. In the event that any
individual, corporation, partnership, company or similar entity (an “Indemnitee”) entitled to indemnification under Section 12(a) or 12(b), or under any other indemnity in this Agreement, is seeking such indemnification, such
Indemnitee shall inform the indemnifying Party of the claim as soon as reasonably practicable after such Indemnitee receives notice of such claim, shall permit the indemnifying Party to assume direction and control of the defense of the claim
(including the sole right to settle it at the sole discretion of the indemnifying Party, 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 -
 26
 - 

 
provided that such settlement does not impose any obligation on the Indemnitee) and shall cooperate as reasonably requested (and at the expense of the indemnifying Party) in the defense of the
claim. 
 (d) Complete Indemnification. As the Parties intend complete indemnification, [***]. 

13. Limitation of Liability. Except for (i) [***], (ii) each Party’s breach of any provision of Article 9, and
(iii) any indemnity claim under Article 12, to the extent permitted by law, neither Party shall be liable for any indirect, incidental or consequential losses. In no event shall Ark’s total liabilities under this Agreement exceed
[***]. These exclusions and limitations on damages apply to any loss or damage however caused and on any theory of liability, whether in contract, tort or otherwise. 

14. Term and Termination of this Agreement 

(a) Term. The term of this Agreement shall commence on the Effective Date and shall continue until the later of the completion of the
Services and January 1, 2020 (the “Term”). The Term may be extended by the mutual written agreement of the Parties. 

(b) Termination for Breach. If either Party materially breaches this Agreement and fails to remedy that breach within thirty
(30) days of receiving written notice of that breach from the other Party, the non-breaching Party may terminate this Agreement by providing written notice of termination to the breaching Party; provided, however, that in the event of a good
faith dispute with respect to the existence of a material breach, this Agreement shall not be terminated unless it is finally determined by a court of competent jurisdiction or through any other mutually agreed dispute resolution mechanism that this
Agreement was materially breached, and the breaching Party fails to cure such breach within thirty (30) days after such determination. 

(c) Termination for Convenience. Achaogen may terminate this Agreement at any time, for any reason or no reason (such as, for example,
on cancellation of the Trial), upon sixty (60) days’ written notice to Ark. 
 (d) Effect of Expiration or Termination 

(1) Upon the expiration or termination of this Agreement, Ark shall cease providing Services under all Statements of Work in effect and
promptly deliver to Achaogen all Work Products and Assays created pursuant to this Agreement up to the date of expiration or termination, whether completed or work in progress. 

(2) In the event of termination by Achaogen pursuant to Section 14(b), Ark shall: 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 -
 27
 - 

 (i) assist Achaogen by [***]. Any information so provided by Ark shall be deemed Ark’s
Confidential Information and may only be used by Achaogen for the sole purpose of [***]; and 
 (ii) immediately renounce in favor of
Achaogen or its nominee and surrender automatically to Achaogen or its nominee any import permits, registrations, licenses, exemptions from customs duties and government consents of any nature whatsoever which Ark may have or retain directly or
indirectly in connection with the Assay. 
 (3) In the event of termination pursuant to Section 14(c), Achaogen shall pay to Ark an
amount equal (i) [***] of the [***] of this Agreement pursuant to Section 14(c), minus (ii) [***]; provided that no such amount shall be payable unless [***]. Achaogen shall pay such amount within [***] of receipt from Ark of an
invoice containing reasonable supporting detail concerning such expenses. 
 (e) Survival. The provisions of Articles 1, 6, 7, 9, 12,
13, 14, 15 and 16, and Sections 2(c)(3), 3(d), 7(e), 8(c) and 8(d) shall survive the termination or expiration of this Agreement. 
 15.
Notices 
 (a) Delivery of Notices. All notices sent under this Agreement shall be in writing and (i) hand delivered;
(ii) transmitted by legible facsimile with a copy sent concurrently by certified mail, return receipt requested; or (iii) delivered by prepaid priority delivery service. 

(b) Addresses for Notices. Notices shall be sent to the Parties at the following addresses or such other addresses as the Parties
subsequently may provide: 
  

							
	 If to Achaogen:
	  	 7000 Shoreline Court
 Suite
371
 South San Francisco, CA 94080
	  	
				
		  	 Attention:
	  	[***]	  	
		  	 Telephone:
	  	[***]	  	
		  	 Fax:
	  	[***]	  	

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 -
 28
 - 

							
	 If to Ark:
	  	 48089 Fremont Boulevard

Fremont, CA 94538
	  	
				
		  	 Attention:
	  	[***]	  	
		  	 Telephone:
	  	[***]	  	
		  	 Fax:
	  	[***]	  	

 16. Miscellaneous 

(a) Use of Names. Neither Party shall, without the prior written approval of the other Party, (i) advertise or otherwise publicize
the existence or terms of this Agreement or any other aspect of the relationship between Achaogen and Ark or (ii) use the other Party’s name or any trade name, trademark or service mark belonging to such other Party in press releases or in
any form of advertising. Notwithstanding the foregoing, each Party shall have the right to disclose this Agreement, without the other Party’s approval, (a) to any existing or potential investors or collaborators, or its advisors (including
financial advisors, lawyers and accountants) who are bound by confidentiality obligations no less restrictive than those provided in this Agreement, each on a need-to-know basis, or (b) to comply with any Applicable Laws including securities
laws and rules of recognized stock exchange; provided that prior to such disclosure the disclosing Party shall notify the other Party and reasonably assist the other Party to limit such disclosure. 

(b) Force Majeure. Neither Party shall have any liability to the other due to a delay or failure to perform under this Agreement which
results without fault or negligence on the part of the Party involved and which is due to causes beyond its control including, without being limited to, acts of God or of the public enemy, any preference, priority or allocation order issued by the
state or federal government or any other act of state or federal government, fires, floods, epidemics, quarantine restrictions, freight embargoes, and unusually severe weather. Each Party shall promptly notify the other in writing of any such delay
and the cause thereof. 
 (c) Governing Law; Jurisdiction. This Agreement shall be governed by and construed in accordance with the
law of the State of California, without regard to its conflict of laws principles. For the adjudication of any disputes arising under this Agreement, the Parties hereby consent to personal jurisdiction in the applicable state or federal courts in
the State of California. 
 (d) Severability. The provisions of this Agreement are severable, and the unenforceability of any
provision of this Agreement shall not affect the enforceability of the remainder of this Agreement. The Parties acknowledge that it is their intention that if any provision of this Agreement is determined by a court to be unenforceable as drafted,
that provision should be construed in a manner designed to effectuate the purpose of that provision to the greatest extent possible under Applicable Laws. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 -
 29
 - 

 (e) Construction of Agreement. The Parties acknowledge that they thoroughly have reviewed
this Agreement and bargained over its terms. Accordingly, this Agreement shall be construed without regard to the Party or Parties responsible for its preparation, and shall be deemed to have been prepared jointly by the Parties. 

(f) Cumulative Rights and Remedies. The rights and remedies provided in this Agreement and all other rights and remedies available to
either Party at law or in equity are, to the extent permitted by law, cumulative and not exclusive of any other right or remedy now or hereafter available at law or in equity. Neither asserting a right nor employing a remedy shall preclude the
concurrent assertion of any other right or employment of any other remedy, nor shall the failure to assert any right or remedy constitute a waiver of that right or remedy. 

(g) Assignment. Neither Party may assign any of its rights or obligations under this Agreement without the prior written consent of the
other Party; provided that each Party may assign this Agreement to a successor of all or substantially all of its business or assets to which this Agreement pertains, whether by merger, sale, reorganization, reincorporation, operations of law or
otherwise. Any purported assignment in violation of the foregoing shall be void. For clarity, each Party may subcontract or otherwise delegate any of its rights, obligations, or duties to any Third Party by providing prior written notice to the
other Party; provided that each Party shall be fully responsible for any breach of or noncompliance with the applicable terms and conditions of this Agreement by such Third Party. 

(h) Binding Effect. This Agreement shall be binding upon and inure to the benefit of the Parties and their respective successors,
permitted assigns and legal representatives. 
 (i) Headings. All headings in this Agreement are included solely for convenient
reference, are not intended to be full and accurate descriptions of the contents of this Agreement, shall not be deemed a part of this Agreement, and shall not affect the meaning or interpretation of this Agreement. 

(j) Relationship of the Parties. The Parties are independent contractors, and nothing in this Agreement shall be construed as creating
a partnership, joint venture, employment or agency relationship between the Parties, or between a Party and any employee of the other Party, or as authorizing either Party to act as agent for the other or to enter into contracts on behalf of the
other. 
 (k) Amendments. This Agreement may be modified or amended only by written agreement of the Parties. 

(l) Entire Agreement. This Agreement, each Statement of Work (all of which are incorporated herein by reference), all exhibits attached
hereto or thereto, the Material Transfer Agreement and the Side Letter constitute the entire agreement between the Parties concerning the subject matter of this Agreement and each Statement of Work, and, except as otherwise provided herein,
supersede all prior agreements between the 

  
 - 30 - 

 
Parties concerning the subject matter hereof. To the extent there is any conflict between any provision of this Agreement, a Statement of Work or an exhibit attached hereto or thereto and any
provision of the Material Transfer Agreement, this Agreement, Statement of Work or exhibit (as appropriate) shall govern and supersede such term of the Material Transfer Agreement. 

END OF PAGE 

[signatures appear on following page] 

  
 - 31 - 

 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective
duly authorized officers as of the Effective Date. 
  

									
	ACHAOGEN INC.	 		 	ARK DIAGNOSTICS, INC.
					
	By:	 	/s/ Dennis Hom	 		 	By:	 	/s/ Johnny Valdez
	Name:	 	Dennis Hom	 		 	Name:	 	Johnny Valdez
	Title:	 	VP Finance & Corporate Development	 		 	Title:	 	President & CEO

 [signature page to DEVELOPMENT SERVICES AGREEMENT] 

 EXHIBIT A 

STATEMENT OF WORK 

Achaogen Inc. (“Achaogen”) and Ark Diagnostics, Inc. (“Ark”) are entering into this Statement of Work pursuant to the
Development Services Agreement (the “Agreement”) between them dated as of August 19, 2013. Capitalized terms used and not otherwise defined in this Statement of Work shall have the meanings given to them in the Agreement. In
accordance with the Agreement, Ark shall provide the Services and deliverables specified below in accordance with the terms and conditions set forth below. 

  
 A-1 

 PURPOSE OF PLAN 

ARK Diagnostics, Inc. develops, manufactures, and distributes in vitro diagnostic products in the field of therapeutic drug management, or monitoring,
(TDM). Therapeutic Drug Management is a branch of clinical chemistry that specializes in the measurement of medication levels in biological fluids, such as plasma. ARK will collaborate with Achaogen Inc., to develop a TDM enzyme immunoassay for
plazomicin. 
 This document outlines the project plan for the development of the ARKTM Plazomicin Assay. The Project Plan provides a description of the
project, objectives, resources, specifications, timeline and risks. 
 BACKGROUND 

Achaogen is a biopharmaceutical company focused on the discovery and development of new antibiotics for the treatment of serious multi-drug resistant
gram-negative bacterial infections. Plazomicin is an aminoglycoside antibiotic that met all objectives in a multi-national Phase 2 study. Achaogen is developing plazomicin, a next-generation aminoglycoside that overcomes common bacterial
resistance mechanisms, as an intravenous treatment for serious Gram-negative bacterial infections, including those caused by multi-drug resistant Escherichia coli and Klebsiella pneumoniae. 

Plazomicin (Fig. 1) is a broad-spectrum aminoglycoside with differentiated activity against multidrug resistant Enterobacteriaceae and is being developed by
Achaogen, Inc. as a first line treatment for resistant bacterial pathogens. The molecular formula for plazomicin is C25H48N6O10. Its molecular weight is 592.7 and the CAS Registry Number is 1154757-24-0. The chemical structure is shown below: 

 
 

 
 Figure 1. Plazomicin structure. 

PROJECT ROLES 
 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-2 

 [***] 
 PROPOSED
PACKAGE INSERT – INTENDED USE AND INDICATION FOR USE 
 [***] 

TECHNOLOGY – PRINCIPLES OF THE PROCEDURE 
 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-3 

 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-4 

 KIT CONFIGURATIONS 

[***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-5 

 [***] 
 HANDLING
AND STORAGE 
 [***] 
 CLINICAL CHEMISTRY ANALYZER

 [***] 
 DESIGN CHARACTERISTICS 

[***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-6 

 [***] 
  

	[***]	Eight pages have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

 [***] 

REPORTING REQUIREMENTS 
 [***] 

PROJECT TIMELINE 
 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-15 

 [***] 
 IDE
REGULATORY TIMELINE 
 [***] 
 MARKET CLEARANCE, TRIAL
PERFORMANCE, AND REGULATORY TIMELINE 
 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-16 

 [***] 

TECHNICAL RISK MANAGEMENT 
 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-17 

 [***] 

IN WITNESS WHEREOF, the Parties have caused this Statement of Work to be executed by their respective duly authorized officers as of
August 19, 2013. 
  

									
	ACHAOGEN INC.	 		 	ARK DIAGNOSTICS, INC.
					
	By:	 	/s/ Dennis Hom	 		 	By:	 	/s/ Johnny Valdez
	Name:	 	Dennis Hom	 		 	Name:	 	Johnny Valdez
	Title:	 	VP Finance & Corporate Development	 		 	Title:	 	President

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

A-18 

 EXHIBIT B 

U.S. GOVERNMENT RIGHTS 

This Exhibit B to the Development Services Agreement between Achaogen Inc. and ARK Diagnostics, Inc. contains the language referenced in
Section 7(a), in compliance with Achaogen’s obligations to BARDA under the Prime Contract. In accordance with the terms of the Prime Contract, the language in this Exhibit B has been reproduced verbatim from the Prime Contract except
as otherwise instructed therein, including all defined terms and related conventions. 
 Ark understands and agrees that the obligations
created by this Exhibit B constitute a contract between Ark and BARDA with respect to the matters covered by the clause; provided, however, that nothing in this paragraph is intended to confer any jurisdiction under the Contract Disputes Act in
connection with proceedings under paragraph (h) of this clause. 
 To the extent any provisions of Articles 5 (“Proprietary
Rights”) or 6 (“Patent Prosecution and Defense”) of this Agreement could be interpreted to contradict any of (i) Ark’s obligations under this Exhibit B or (ii) Achaogen’s obligations under the Prime Contract,
the Parties shall first perform their obligations to BARDA under this Exhibit B or the Prime Contract, as applicable, and then shall perform any obligations to the other Party remaining under Articles 5 and 6.1 
 (a) As used in this clause— 

“Invention” means any invention or discovery that is or may be patentable or otherwise protectable under title 35 of the U.S. Code,
or any variety of plant that is or may be protectable under the Plant Variety Protection Act (7 U.S.C. § 2321 et seq.) 

“Made” means— 

(1) When used in relation to any invention other than a plant variety, the conception or first actual reduction to practice of the invention;
or 
 (2) When used in relation to a plant variety, that Ark has at least tentatively determined that the variety has been reproduced with
recognized characteristics. 
  

	1 	In order to assure each party retains the IP rights contemplated under this Agreement, each party will need to fully comply with their Government obligations first, and then provide ownership or licenses as provided
herein. For example, if Ark employees invent something during the term of the Agreement, but Achaogen would own it under this agreement, Ark should first comply with its obligations to the Government to ensure that Ark retains title (versus the
Government), and then should execute any necessary assignments to Achaogen. 

  
 B-1 

 “Nonprofit organization” means a university or other institution of higher education or
an organization of the type described in section 501(c)(3) of the Internal Revenue Code of 1954 (26 U.S.C. § 501(c)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. § 501(a)), or any
nonprofit scientific or educational organization qualified under a State nonprofit organization statute. 
 “Practical
application” means to manufacture, in the case of a composition of product; to practice, in the case of a process or method; or to operate, in the case of a machine or system; and, in each case, under such conditions as to establish that the
invention is being utilized and that its benefits are, to the extent permitted by law or Government regulations, available to the public on reasonable terms. 

“Subject invention” means any invention of Ark made in the performance of work under the Prime Contract. 

(b) Ark’s rights 

(1) Ownership. Ark may retain ownership of each subject invention throughout the world in accordance with the provisions of this
clause. 
 (2) License 

(i) Ark shall retain a nonexclusive royalty-free license throughout the world in each subject invention to which the Government obtains
title, unless Ark fails to disclose the invention within the times specified in paragraph (c) of this clause. Ark’s license extends to any domestic subsidiaries and affiliates within the corporate structure of which Ark is a part, and
includes the right to grant sublicenses to the extent Ark was legally obligated to do so at contract award. The license is transferable only with the written approval of the agency, except when transferred to the successor of that part of Ark’s
business to which the invention pertains. 
 (ii) Ark’s license may be revoked or modified by the agency to the extent necessary to
achieve expeditious practical application of the subject invention in a particular country in accordance with the procedures in FAR 27.302(i)(2) and 27.304-1(f). 

(c) Contractor’s obligations 

(1) Ark shall disclose in writing each subject invention to the Contracting Officer and Achaogen within two (2) months after the inventor
discloses it in writing to Contractor personnel responsible for patent matters. The disclosure shall identify the inventor(s) and the Prime Contract under which the subject invention was made. It shall be sufficiently complete in technical detail to
convey a clear understanding of the subject invention. The disclosure shall also identify any publication, on sale (i.e., sale or offer for sale), or public use of the subject invention, or whether a manuscript describing the subject invention has
been submitted for publication and, if so, whether it 

  
 B-2 

 
has been accepted for publication. In addition, after disclosure to the agency, Ark shall promptly notify the Contracting Officer of the acceptance of any manuscript describing the subject
invention for publication and any on sale or public use. 
 (2) Ark shall elect in writing whether or not to retain ownership of any subject
invention by notifying the Contracting Officer and Achaogen within two (2) years of disclosure to the agency. However, in any case where publication, on sale, or public use has initiated the one (1) year statutory period during which valid
patent protection can be obtained in the United States, the period for election of title may be shortened by the agency to a date that is no more than sixty (60) days prior to the end of the statutory period. 

(3) Ark shall file either a provisional or a nonprovisional patent application or a Plant Variety Protection Application on an elected subject
invention within one (1) year after election. However, in any case where a publication, on sale, or public use has initiated the one (1) year statutory period during which valid patent protection can be obtained in the United States, Ark
shall file the application prior to the end of that statutory period. If Ark files a provisional application, it shall file a nonprovisional application within ten (10) months of the filing of the provisional application. Ark shall file patent
applications in additional countries or international patent offices within either ten (10) months of the first filed patent application (whether provisional or nonprovisional) or six (6) months from the date permission is granted by the
Commissioner of Patents to file foreign patent applications where such filing has been prohibited by a Secrecy Order. 
 (4) Ark may request
extensions of time for disclosure, election, or filing under paragraphs (c)(1), (c)(2), and (c)(3) of this clause. 
 (d)
Government’s rights— 
 (1) Ownership. Ark shall assign to the agency, on written request, title to any subject
invention— 
 (i) If Ark fails to disclose or elect ownership to the subject invention within the times specified in paragraph
(c) of this clause, or elects not to retain ownership; provided, that the agency may request title only within sixty (60) days after learning of Ark’s failure to disclose or elect within the specified times. 

(ii) In those countries in which Ark fails to file patent applications within the times specified in paragraph (c) of this clause;
provided, however, that if Ark has filed a patent application in a country after the times specified in paragraph (c) of this clause, but prior to its receipt of the written request of the agency, Ark shall continue to retain ownership in that
country. 

  
 B-3 

 (iii) In any country in which Ark decides not to continue the prosecution of any application
for, to pay the maintenance fees on, or defend in reexamination or opposition proceeding on, a patent on a subject invention. 
 (2)
License. If Ark retains ownership of any subject invention, the Government shall have a nonexclusive, nontransferable, irrevocable, paid-up license to practice, or have practiced for or on its behalf, the subject invention throughout the
world. 
 (e) Contractor action to protect the Government’s interest 

(1) Ark shall execute or have executed and promptly deliver to the agency all instruments necessary to— 

(i) Establish or confirm the rights the Government has throughout the world in those subject inventions in which Ark elects to retain
ownership; and 
 (ii) Assign title to the agency when requested under paragraph (d) of this clause and to enable the Government to
obtain patent protection and plant variety protection for that subject invention in any country. 
 (2) Ark shall require, by written
agreement, its employees, other than clerical and nontechnical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in Ark’s format, each subject invention in order that
Ark can comply with the disclosure provisions of paragraph (c) of this clause, and to execute all papers necessary to file patent applications on subject inventions and to establish the Government’s rights in the subject inventions. The
disclosure format should require, as a minimum, the information required by paragraph (c)(1) of this clause. Ark shall instruct such employees, through employee agreements or other suitable educational programs, as to the importance of reporting
inventions in sufficient time to permit the filing of patent applications prior to U.S. or foreign statutory bars. 
 (3) Ark shall notify
the Contracting Officer and Achaogen of any decisions not to file a nonprovisional patent application, continue the prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent, in any
country, not less than thirty (30) days before the expiration of the response or filing period required by the relevant patent office. 

(4) Ark shall include, within the specification of any United States nonprovisional patent or plant variety protection application and any
patent or plant variety protection certificate issuing thereon covering a subject invention, the following statement, “This invention was made with Government support under (identify the contract) awarded by (identify the agency). The
Government has certain rights in the invention.” 

  
 B-4 

 (f) Reporting on utilization of subject inventions. Ark shall submit, on request, periodic
reports no more frequently than annually on the utilization of a subject invention or on efforts at obtaining utilization of the subject invention that are being made by Ark or its licensees or assignees. The reports shall include information
regarding the status of development, date of first commercial sale or use, gross royalties received by Ark, and other data and information as the agency may reasonably specify. Ark also shall provide additional reports as may be requested by the
agency in connection with any march-in proceeding undertaken by the agency in accordance with paragraph (h) of this clause. Ark also shall mark any utilization report as confidential/proprietary to help prevent inadvertent release outside the
Government. As required by 35 U.S.C. § 202(c)(5), the agency will not disclose that information to persons outside the Government without Ark’s permission. 

(g) Preference for United States industry. Notwithstanding any other provision of this clause, neither Ark nor any assignee shall grant
to any person the exclusive right to use or sell any subject invention in the United States unless the person agrees that any products embodying the subject invention or produced through the use of the subject invention will be manufactured
substantially in the United States. However, in individual cases, the requirement for an agreement may be waived by the agency upon a showing by Ark or its assignee that reasonable but unsuccessful efforts have been made to grant licenses on similar
terms to potential licensees that would be likely to manufacture substantially in the United States, or that under the circumstances domestic manufacture is not commercially feasible. 

(h) March-in rights. Ark acknowledges that, with respect to any subject invention in which it has retained ownership, the agency has
the right to require licensing pursuant to 35 U.S.C. §§ 203 and 210(c), and in accordance with the procedures in 37 CFR Part 401.6 and any supplemental regulations of the agency in effect on the date of contract award. 

(i) Special provisions for contracts with nonprofit organizations. If Ark is a nonprofit organization, it shall— 

(1) Not assign rights to a subject invention in the United States without the written approval of the agency, except where an assignment is
made to an organization that has as one of its primary functions the management of inventions, provided, that the assignee shall be subject to the same provisions as Ark; 

(2) Share royalties collected on a subject invention with the inventor, including Federal employee co-inventors (but through their agency if
the agency deems it appropriate) when the subject invention is assigned in accordance with 35 U.S.C. § 202(e) and 37 CFR Part 401.10; 

(3) Use the balance of any royalties or income earned by Ark with respect to subject inventions, after payment of expenses (including payments
to 

  
 B-5 

 
inventors) incidental to the administration of subject inventions for the support of scientific research or education; and 

(4) Make efforts that are reasonable under the circumstances to attract licensees of subject inventions that are small business concerns, and
give a preference to a small business concern when licensing a subject invention if Ark determines that the small business concern has a plan or proposal for marketing the invention which, if executed, is equally as likely to bring the invention to
practical application as any plans or proposals from applicants that are not small business concerns; provided, that Ark is also satisfied that the small business concern has the capability and resources to carry out its plan or proposal. The
decision whether to give a preference in any specific case will be at the discretion of Ark. 
 (5) Allow the Secretary of Commerce to
review Ark’s licensing program and decisions regarding small business applicants, and negotiate changes to its licensing policies, procedures, or practices with the Secretary of Commerce when the Secretary’s review discloses that Ark could
take reasonable steps to more effectively implement the requirements of paragraph (i)(4) of this clause. 
 (j) Communications. 

For the sole purposes of fulfilling its obligations under this section, Ark shall submit communications to the Contracting Officer at the
following address: 
 Ethan Mueller 

Contracting Officer 
 Office of
Acquisition Management, Contracts and Grants 
 Office of the Assistant Secretary for Preparedness and Response 

United States Department of Health and Human Services 

330 Independence Avenue, SW, Room G640 

Washington, DC 20201 
 Via
e-mail: Ethan.Mueller@hhs.gov 
 ARK shall site the following contract number in all communications with the Contracting Officer:
HHSO100201000046C 
 (k) Subcontracts 

(1) Ark shall include the substance of this clause, including this paragraph (k), in all subcontracts for experimental, developmental, or
research work to be performed by a small business concern or nonprofit organization. 

  
 B-6 

 (2) Ark shall include in all other subcontracts for experimental, developmental, or research work
the substance of the patent rights clause required by FAR Subpart 27.3. 
 (3) At all tiers, the patent rights clause must be modified to
identify the parties as follows: references to the Government are not changed, and the subcontractor has all rights and obligations of Ark in the clause. Ark shall not, as part of the consideration for awarding the subcontract, obtain rights in the
subcontractor’s subject inventions. 
 (4) In subcontracts, at any tier, the agency, the subcontractor, and Ark agree that the mutual
obligations of the parties created by this clause constitute a contract between the subcontractor and the agency with respect to the matters covered by the clause; provided, however, that nothing in this paragraph is intended to confer any
jurisdiction under the Contract Disputes Act in connection with proceedings under paragraph (h) of this clause. 

  
 B-7 

 EXHIBIT C 

APPLICABLE PRIME CONTRACT PROVISIONS 

This Exhibit C to the Development Services Agreement between Achaogen Inc. and ARK Diagnostics, Inc. contains the language referenced in
Section 7(a), in compliance with Achaogen’s obligations to BARDA under the Prime Contract. 
 The following Prime Contract
provisions, as they may be amended by the United States Government over time, are incorporated by reference with the same force and effect as if set forth in full text. For the purposes of this Agreement, the term “contract” shall mean
this Agreement; the term “Contractor” shall mean Ark; the term “prime contractor” shall mean Achaogen; and the terms “Government” and “Contracting Officer” may mean Achaogen or the United States Government
depending on the context in which the term is used. The dollar amount listed parenthetically in the titles of some referenced clauses in this Exhibit is the applicable threshold for the clause. If the total cumulative amounts invoiced by Ark under
the Prime Contract are expected to exceed this amount, the clause applies. 
 FEDERAL ACQUISITION REGULATION 

 

					
	 Clause
	  	 Date
	  	 Title

	FAR 52.202-1	  	Jul-04	  	Definitions (Over $100,000)
			
	FAR 52.203-3	  	Apr-84	  	Gratuities (Over $100,000)
			
	FAR 52.203-5	  	Apr-84	  	Covenant Against Contingent Fees (Over $100,000)
			
	FAR 52.203-6	  	Sep-06	  	Restrictions on Subcontractor Sales to the Government (Over $100,000)
			
	FAR 52.203-7	  	Jul-95	  	Anti-Kickback Procedures (Over $100,000)
			
	FAR 52.203-8	  	Jan-97	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over $100,000)
			
	FAR 52.203-10	  	Jan-97	  	Price or Fee Adjustment for Illegal or Improper Activity (Over $100,000)
			
	FAR 52.203-12	  	Sep-07	  	Limitation on Payments to Influence Certain Federal Transactions (Over $100,000)
			
	FAR 52.203-13	  	Apr-10	  	Contractor Code of Business Ethics and Conduct (applies if Agreement is over $5,000,000 and has a performance period greater than 120 days). Insert “and Achaogen” after “Government” throughout this clause.
Disclosures made under this clause shall be made directly to the government entities listed in the clause.
			
	FAR 52.209-6	  	Sep-06	  	Protecting the Government’s Interests When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)
			
	FAR 52.215-2	  	Mar 09	  	Audit and Records- Negotiation (Over $100,000) Insert “and Achaogen” after “Contracting Officer” and “Comptroller General of the United States”.
			
	FAR 52.215-10	  	Oct-97	  	Price Reduction for Defective Cost or Pricing Data (Over $650,000)
			
	FAR 52.215-12	  	Oct-97	  	Subcontractor Cost or Pricing Data (Over $650,000)
			
	FAR 52.215-21	  	Oct-97	  	Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data –Modifications. Substitute “Achaogen” for “Contracting Officer” throughout this clause.

  
 C-1 

					
	 Clause
	  	 Date
	  	 Title

	FAR 52.219-8	  	May-04	  	Utilization of Small Business Concerns (Over $100,000)
			
	FAR 52.222-21	  	Feb-99	  	Prohibition of Segregated Facilities
			
	FAR 52.222-26	  	Mar-07	  	Equal Opportunity (Over $10,000)
			
	FAR 52.222-35	  	Sept-06	  	Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)
			
	FAR 52.222-36	  	Jun-98	  	Affirmative Action for Workers with Disabilities (Over $10,000)
			
	FAR 52.222-37	  	Sep-06	  	Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)
			
	FAR 52.222-50	  	Feb-09	  	Combating Trafficking in Persons Substitute “Achaogen” for “Contracting Officer” throughout this clause. In paragraph (e), insert “and Achaogen” after “Government”.
			
	FAR 52.222-54	  	Jan-09	  	Employment Eligibility Verification. Applicable to services and construction subcontracts that: (1) exceed $3,000; and (2) include work performed in the United States. This clause does not apply to subcontracts for commercial
services that are (a) part of the purchase of a Commercially Available Off the Shelf (COTS) item (or an item that would be a COTS item, but for minor modifications) (b) performed by the COTS provider, and (c) are normally provided for that COTS
item.
			
	FAR 52.224-1	  	Apr-84	  	Privacy Act Notification (If subcontract requires design, development, or operation of a system of records)
			
	FAR 52.224-2	  	Apr-84	  	Privacy Act (If subcontract requires design, development, or operation of a system of records)
			
	FAR 52.225-1	  	Feb-09	  	Buy American Act- Supplies
			
	FAR 52.225-13	  	Jun-08	  	Restrictions on Certain Foreign Purchases
			
	FAR 52.227-1	  	Dec-07	  	Authorization and Consent, Alternate I (Apr 1984) (Over $100,000)
			
	FAR 52.227-2	  	Dec-07	  	Notice and Assistance Regarding Patent and Copyright Infringement (Over $100,000)
			
	FAR 52.227-11	  	Dec-07	  	Patent Rights –Ownership by the Contractor (Note: In accordance with FAR 27.303(b)(2), paragraph (e) is modified to include the requirements in FAR 27.303(b)(2)(i) through (iv). The frequency of reporting in (i) is
annual
			
	FAR 52.227-16	  	Jun-87	  	Additional Data Requirements. Insert “and Achaogen” after “Government” throughout this clause.
			
	FAR 52.242-15	  	Aug-89	  	Stop Work Order, with Alternate I (April 1984) Substitute “Achaogen” for “Contracting Officer” throughout this clause. In paragraph (e), insert “or Achaogen” after “Government”.
			
	FAR 52.244-5	  	Dec-96	  	Competition in Subcontracting
			
	FAR 52.244-6	  	Jun-10	  	Subcontracts for Commercial Items
			
	FAR 52.245-1	  	Aug-10	  	Government Property Applicable where government property involved in performance of subcontract; “Contracting Officer” means “Achaogen” except in the definition of Property Administrator and in paragraph
h(1)(iii) and where it is unchanged, and in paragraphs (c) and (h)(4) where it includes Achaogen. “Government” is unchanged in the phrases “Government property” and “Government furnished property” and where elsewhere
used except in paragraph (d)(1) where it means Achaogen and except in paragraphs (d)(2) and (g) where the term includes Achaogen.

  
 C-2 

 THE DEPARTMENT OF HEALTH AND HUMAN SERVICES 

SUPPLEMENTAL REGULATION PROVISIONS 
  

					
	 Clause
	  	 Date
	  	 Title

	 HHSAR 352.203-70
	  	Jan-06	  	Anti-lobbying
			
	 HHSAR 352.223-70
	  	Jan-06	  	Safety and Health
			
	 HHSAR 352.224-70
	  	Jan-06	  	Privacy Act (if subcontract requires design, development, or operation of a system of records)
			
	 HHSAR 352.234-2
	  	Oct-08	  	Full Earned Value Management System (applies if subcontractor is identified in the Prime Contract as one to whom EVMS will apply).
			
	 HHSAR 325.242-73
	  	Jan-06	  	Withholding of Contract Payments
			
	 HHSAR 352.270-4
	  	Jan-06	  	Protection of Human Subjects
			
	 HHSAR 352.270-5
	  	Jan-06	  	Care of Live Vertebrate Animals
			
	 HHSAR 352.270-6
	  	Jan-06	  	Publications and Publicity

 BARDA REQUIRED PROVISIONS 
  

			
	 Prime Contract Provision
	  	 Clause

	 H.5: Press Releases
	  	Company shall clearly state, when issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money: (1) the percentage
of the total costs of the program or project which will be financed with Federal money; (2) the dollar amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total costs of the project or program that
will be financed by nongovernmental sources.
		
	 H.9: Publications and Publicity
	  	 No information related to data obtained under this contract shall be released or publicized without the prior written consent of Achaogen
and the Contracting Officer Technical Representative.
  
 In addition to the requirements
of HHSAR 352.227-70, Publications and Publicity incorporated by reference in section I of this contract shall acknowledge the support of the Biomedical Advanced Research and Development Authority whenever publicizing the work under this contract in
any media by including an acknowledgment substantially as follows:
  

“This project has been funded in whole or in part with Federal funds from the Biomedical Advanced Research and Development Authority,
office of the Assistant Secretary for Preparedness and response, Office of the Secretary, Department of Health and Human Services, Under Contract No. HHSO100201000046C.”

  
 C-3 

			
	 Prime Contract Provision
	  	 Clause

	H.10: Reporting Matters Involving Fraud, Waste and Abuse	  	 Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in BARDA funded programs is encouraged to report
such matters to the HHS Inspector General’s Office in writing or on the Inspector General’s Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled confidentially. The e-mail address is
Htips@os.dhhs.gov and the mailing address is:
  
 Office
of Inspector General
 Department of Health and Human Services

TIPS HOTLINE
 P.O. Box
23489
 Washington, D.C. 20026.

		
	H.15: Privacy Act Applicability	  	Notification is hereby given that Company and its employees are subject to criminal penalties for violation of the Privacy Act to the same extent as employees of the Government.
		
	H.16: Laboratory license requirement	  	Company shall comply with all applicable requirements of Section 353 of the Public Health Service Act (Clinical Laboratory Improvement Act as Amended). This requirement shall also be included in any subcontract for services under
this contract.
		
	H.17: Dissemination of Information	  	No information related to data obtained under this contract shall be released or publicized without the prior written consent of the Contracting officer, to be obtained through Achaogen.
		
	H.18: Identification and Disposition of Data	  	Company 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 directly related to
and/or generated under this contract. Company shall keep copies of all data required by the Food and Drug Administration (FDA) relevant to this contract for the time period specified by the FDA.

  
 C-4 

			
	 Prime Contract Provision
	  	 Clause

	H.22: Registration with the Select Agent Program for Work involving the possession, use, and/or transfer of select biological agents or toxins	  	 Company shall not conduct work involving select agents or toxins under this contract until it and any associated subcontractor(s) comply
with the following:
  
 For prime or subcontract awards to domestic institutions that
possess, use, and/or transfer Select Agents under this contract, the institution must comply with the provisions of 42 C.F.R. part 73, 7 C.F.R. part 331, and/or 9 C.F.R. part 121 (
http://www.aphis.usda.gov/programs/ag_selectagent/FinalRule3-18-05.pdf ) as required, before using NIH funds for work involving a Select Agent or Toxin. No government funds can be used for research involving a Select Agent or Toxin at a domestic
institution without a valid registration certificate.
  
 For prime or subcontract awards
to foreign institutions that possess, use, and/or transfer a Select Agent or Toxin, before using NIH funds for any work directly involving a Select Agent or Toxin, the foreign institution must provide information satisfactory to the government that
safety, security, and training standards equivalent to those described in 42 C.F.R. part 73, 7 C.F.R. part 331, and/or 9 C.F.R. part 121 are in place and will be administered on behalf of all Select Agent or Toxin work supported by these funds. The
process for making this determination includes inspection of the foreign laboratory facility by a government representative. During this inspection, the foreign institution must provide the following information: concise summaries of safety,
security, and training plans; names of individuals at the foreign institution who will have access to the Select Agents and procedures for ensuring that only approved and appropriate individuals, in accordance with institution procedures, will have
access to the Select Agents under the contract; and copies of or links to any applicable laws, regulations, policies, and procedures applicable to that institution for the safe and secure possession, use, and/or transfer of select agents. No funds
can be used for work involving a Select Agent or Toxin at a foreign institution without written approval from Achaogen.
  

Listings of HHS select agents and toxins, and overlap select agents or toxins as well as information about the registration process for domestic institutions,
are available on the Select Agent Program Web site at http:// www.cdc.gov/od/sap/ and http://www.cdc.gov/od/sap/docs/salist.pdf.
  

Listings of USDA select agents and toxins as well as information about the registration process for domestic institutions are available on the APHIS/USDA
website at: http://www.aphis.usda.gov/programs/ag_selectagent/ index.html and: http://www.aphis.usda.gov/programs/ag_selectagent/ag_bioterr_forms.html
  

For foreign institutions, see the NIAID Select Agent Award information: http://www.niaid.nih.gov/ncn/clinical/default_biodefense.htm.

		
	H.23: EPA Energy Star Requirements	  	All microcomputers, including personal computers, monitors, and printers purchased with government funds in the 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 satisfies Energy Star efficiency levels.

  
 C-5 

			
	 Prime Contract Provision
	  	 Clause

	H.24: Acknowledgement of Federal Funding	  	 (a) 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 (1) the percentage and dollar amounts of the total program or project costs financed with federal money, and
(2) the percentage and dollar amount of the total costs financed by nongovernmental sources. This requirement is in addition to the continuing requirement to provide an acknowledgement of support and disclaimer on any publication reporting the
results of a contract funded activity.
  
 (b) Publication and Publicity. 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: “This project has been funded in whole or in part with Federal funds from the Office of the Assistant Secretary for Preparedness and Response, Biomedical Advanced Research and
Development Authority, under Contract no. HHSO100201000046C.
  
 (c) Press Releases.
Pursuant to Section 508 of Public Law 105-78, the contractor shall clearly state, when issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with
federal money that: (1) the percentage of the total costs of the program or project which will be financed with federal money; (2) the dollar amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total
costs of the project or program that will be financed by nongovernmental sources.

		
	H.25: Manufacturing Standards	  	 The Current Good Manufacturing Practice Regulations (“cGMP”) (21 C.F.R. Parts 210-211) and regulations pertaining to biological
products (21 C.F.R. Part 600) will be the standard to be applied for manufacturing, processing, packing, storage, and delivery of this product.
  

If at any time during the life of the contract, Company fails to comply with cGMP in the manufacturing, processing and packaging of this product and such
failure results in a material adverse effect on the safety, purity or potency of this product (a material failure), the Contractor shall have thirty (30) calendar days from the time such material failure is identified to cure such material failure.
If the Contractor fails to take such an action within the thirty (30) calendar day period, then the contract may be terminated for default.

		
	H.26: Export Control Notification	  	Company is 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.

  
 C-6 

			
	 Prime Contract Provision
	  	 Clause

	H.27: Institutional responsibility Regarding Conflicting Interests of Investigators	  	 Company 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 principle investigator and any other person who is responsible for design, conduct, or reporting of research funded under BARDA contracts) will not be biased by any conflicting
financial interest. For the purposes of this part relating to financial interest, “investigator” includes the investigator’s spouse and dependent children.
  

Company shall at a minimum:
  

(a) maintain a written, enforceable policy on conflict of interest 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 and official to review financial disclosure statements from each
investigator participating in BARDA-funded research. Based on established guidelines consistent with the regulations, the designated official must determine whether a conflict of interest exists, and if so, determine what actions should be taken to
manage, reduce, or eliminate such a conflict.
  
 (c) Require updating of financial
disclosure statements during the period of award.
  
 (d) Maintain records taken under
this provision for three years after final payment.
  
 (e) Establish adequate enforcement
mechanisms.
  
 If a conflict of interest is identified, the Institution shall report to
Achaogen 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 thirty (30) days of that identification.

  
 C-7 

 EXHIBIT D 

ANIMAL USE PROVISIONS 

This Exhibit D to the Development Services Agreement between Achaogen Inc. and ARK Diagnostics, Inc. contains the language referenced in
Section 7(b), in compliance with Achaogen’s obligations to BARDA under the Prime Contract. 
  

	1.0	ANIMAL USES 

  

	 	1.1	Purpose. Projects that involve the use of laboratory animals (“Animal Use”) by Ark or at Ark’s direction are subject to the terms of this section. 

 

	 	1.2	Applicable Rules and Regulations. Ark shall adhere to all applicable rules and regulations related to the conduct and oversight of Projects that involve Animal Use, including but not limited to the following, as
they may be amended or updated over time: 

  

	 	1.2.1	Guide for the Care and Use of Laboratory Animals (NRC, 1996); 

  

	 	1.2.2	United States Public Health Service Policy on Humane Care and Use of Laboratory Animals; 

  

	 	1.2.3	Animal Welfare Act of 1966, as amended (7 U.S.C. 2131 et seq.) and associated regulations (9 C.F.R., subchapter A); 

  

	 	1.2.4	Procedures set forth in NIH Policy Manual 3044-2, entitled, “Protection of NIH Personnel Who Work with Nonhuman Primates;” 

 

	 	1.2.5	Defense Federal Acquisition Regulations Supplement (DFARS) and Health and Human Services Federal Acquisition Regulations Supplement (HHSAR) terms, including: 

 

	 	1.2.5.1	DFARS 252.235-7002 (DEC 91) Animal Welfare; and 

  

	 	1.2.5.2	HHSAR 352.270-9(b) (JAN 06) Care of Live Vertebrate Animals; and 

  

	 	1.2.6	All other applicable national, state and local laws associated with the care and use of laboratory animals. 

  
 D-1 

	 	1.3	Institutional Animal Care and Use Committee (IACUC) 

  

	 	1.3.1	Ark shall maintain an Institutional Animal Care and Use Committee or similar animal use review committee as required by the applicable rules and regulations in Section 1.2 (“IACUC”). 

 

	 	1.3.2	Animal Use shall undergo appropriate review and approval by the IACUC prior to initiation of work under the applicable Project. 

  

	 	1.3.3	Ark shall provide Achaogen the following within one (1) business day of its availability to Ark: 

  

	 	1.3.3.1	IACUC approvals and any regular renewal of Animal Use and associated protocols, including without limitation any amendments; and 

  

	 	1.3.3.2	IACUC-approved modifications, suspensions, and continuing reviews of Animal Use and associated protocols. 

  

	 	1.3.4	Within two (2) business days of receipt of an Achaogen request, Ark shall provide Achaogen with following documentation related to the IACUC and the Project at any time during the Project or within five
(5) years following completion of the Project: 

  

	 	1.3.4.1	Any draft and final IACUC submissions or correspondence related to a Project; and 

  

	 	1.3.4.2	IACUC policies and procedures, identified by version number, date, and all required signatories. 

  

	 	1.3.5	Ark shall notify Achaogen within two (2) business days of any changes to the items in 20.3.4 related to a Project or, if general in nature, that have a material impact on a Project. 

 

	 	1.3.6	Third-Party Inspections and Certifications 

  

	 	1.3.6.1	Upon execution of this Agreement, Ark shall provide Achaogen with the following for each facility that may be involved in a Project under this Agreement: 

 

	 	(a)	Evidence of current accreditation by the Association for Assessment and Accreditation of Laboratory Animal Care (AALAC); 

  
 D-2 

	 	(a)	Evidence of current certification by the Office of Animal Laboratory Welfare of the United States Public Health Service (OLAW); and 

  

	 	(b)	The most recent Facility Inspection Reports issued by the United States Department of Agriculture (USDA) or other applicable national regulatory agency. 

 

	 	1.3.7	Ark shall provide Achaogen within ten (10) business days of availability to Ark regular renewals or changes to the items in 20.4.1. 

 

	 	1.3.8	Ark shall notify Achaogen within two (2) business days of the occurrence of any of the following: 

  

	 	1.3.8.1	Reports to OLAW involving Animal Use regarding: 

  

	 	(a)	any serious or continuing noncompliance by Ark (regardless of Facility); 

  

	 	(b)	any serious deviation from the provisions of the Guide for the Care and Use of Laboratory Animals by Ark (regardless of Facility); or 

 

	 	(c)	any suspension of any Ark activity by the IACUC, or of any IACUC activity. 

  

	 	1.3.8.2	USDA or OLAW regulatory noncompliance evaluations; and 

  

	 	1.3.8.3	AAALAC, International status change (gain or loss of accreditation only). 

  

	 	1.4	Ark Animal Use Documentation, Protocols, and Procedures 

  

	 	1.4.1	Within two (2) business days of an Achaogen request, Ark shall provide Achaogen with following documentation related to a Project at any time during the Project or within five (5) years following completion of
the Project: 

  

	 	1.4.1.1	 Animal use procedures, including, but not limited to the administration of animal observations and health status assessment, interventions and
euthanasia criteria, administration of 

  
 D-3 

	 	
anesthesia/analgesia/tranquilization or non-pharmaceutical methods for relieving pain or distress or applying restraint; surgery; test article administration and biosampling; assessing and
collecting safety data; and any other animal-use activities including in the Project and applicable protocol. 

  

	 	1.4.1.2	Documentation related to the training and qualifications of Ark’s staff responsible for the conduct of the research including, but not limited to: 

 

	 	(a)	Name and title of individual staff members; 

  

	 	(b)	Evidence and descriptions of the required training in the protection and handling of animals received by Ark staff members; 

  

	 	(c)	Evidence and descriptions of other qualifications or applicable experience of Ark staff members; 

  

	 	1.4.1.3	Applicable safety documentation and associated plans; 

  

	 	1.4.1.4	Pharmacy service records on the dosing material to be used and excipients; and 

  

	 	1.4.1.5	Any other item(s) reasonably related to Animal Use. 

  

	 	1.4.2	Ark shall notify Achaogen within two (2) business days of any changes to the items in 20.4.1 related to a Project or, if general in nature, that have a material impact on a Project. 

  
 D-4 

 ATTACHMENT A 

BACKGROUND IP 
 Achaogen Inc.
(“Achaogen”) and Ark Diagnostics, Inc. (“Ark”) have entered into the Development Services Agreement (the “Agreement”) between them dated as of August 19, 2013. Capitalized terms used and not otherwise defined in
this Attachment A shall have the meanings given to them in the Agreement. In accordance with the Agreement, each Party has identified that its Background IP includes but is not limited to the following. 

Achaogen Background IP 
 • [***] 

Ark Background IP 
 • [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

Attachment A 
 page 1 

 ACHAOGEN INC. 

7000 Shoreline Court, Suite 371 

South San Francisco, CA 94080 

August 19, 2013 
 ARK Diagnostics, Inc. 

48089 Fremont Boulevard 
 Fremont, CA 94538 

Dear Johnny Valdez: 
 Reference is made to
Section 8(d)(1) of the Development Services Agreement between Achaogen Inc. (“Achaogen”) and ARK Diagnostics, Inc. (“Ark”) dated August 19, 2013 (the “Agreement”), providing that Ark may not object to Third
Party Suppliers (as defined therein) listed in a side letter between the parties provided that such Third Party Suppliers have agreed to the requirements of confidentiality and restrictions contained in the licenses provided in Section 8(d).

 The parties agree that the following Third-Party Suppliers are to be those identified pursuant to Section 8(d)(1): 

[***] 
 If the foregoing
is acceptable to you, please countersign in the place indicated below. 
  

			
	Sincerely,
	
	ACHAOGEN INC.
		
	By:	 	/s/ Dennis Hom
	Name:	 	Dennis Hom
	Title:	 	VP Finance & Corporate Development

  

			
	ACCEPTED AND AGREED TO:
	
	ARK DIAGNOSTICS, INC.
		
	By	 	/s/ Johnny Valdez
	Name:	 	Johnny Valdez
	Title:	 	President & CEO

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.EX-10.7A

 Exhibit 10.7A 
  

 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 1 

 PART I—THE SCHEDULE 

SECTION B—SUPPLIES OR SERVICES AND PRICES/COSTS 

ARTICLE B.1. BRIEF DESCRIPTION OF SUPPLIES OR SERVICES 

The purpose of the contract is for the development of a novel, Broad Spectrum “Neoglycoside” Antibiotic for the treatment of Resistant Threat Agents.

 ARTICLE B.2. ESTIMATED COST AND FIXED FEE 
  

	a.	The total estimated cost of the base period of performance contract is [***]. 

  

	b.	The total fixed fee for the base period of performance contract is [***]. The fixed fee shall be paid in accordance with and subject to the withholding provisions of the clauses ALLOWABLE COST AND PAYMENT and FIXED FEE
referenced in the General Clause Listing in Part II, ARTICLE I.1 of this contract. Payment of fixed fee shall not be made in less than monthly increments. 

  

	c.	The total amount of the contract, represented by the sum of the total estimated cost plus fixed fee is $27,559,110.00. 

  

	d.	It is estimated that the amount currently allotted will cover performance of the contract through September 18, 2012. 

CONTRACT LINE ITEM NUMBERS (CLINs) 
 BASE
PERIOD 
  

																					
	 CLIN
	  	PERIOD OF
PERFORM.	 	  	SUPPLIES/SERVICES	 	  	TOTAL
ESTIMATED
COST	 	  	FIXED FEE	 	  	TOTAL
ESTIMATED
COST PLUS
FIXED FEE	 
	 0001
	  	 
 	9/19/2010-
9/18/2012	 
  	  	 	[***]	  	  	$	[***]	  	  	$	[***]	  	  	$	27,559,110.00	  

 ARTICLE B.3. OPTION PRICES 
  

	a.	Unless the Government exercises its option pursuant to the option clause referenced in ARTICLE I.1 the contract consists only of the Base Period specified in the Statement of Work as defined in SECTIONS C and F, for the
price set forth in ARTICLE B.2. of the contract. 

  

	b.	 Pursuant to H.13. EXERCISE OF OPTIONS and Option for Increased Quantity — Separately Priced Line Item (FAR Clause 52.217-7) the Government
may, by unilateral contract modification, require the Contractor to perform the Option(s) specified in the Statement of Work as defined in SECTIONS C and F of this contract. If the 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 2 

	 	
Government exercises this/these option(s), notice must be given before the expiration date of the contract. Specific information regarding the time frame for this notice is set forth in the
OPTION CLAUSE Article in SECTION H of this contract. The estimated cost of the contract will be increased as set forth below: 

CONTRACT OPTION PERIODS 
 Option Period 1 (CLIN
0002) 
 Option Period 2 (CLIN 0003) 
 Option Period 3 (CLIN
0004) 
  

																			
	 OPTION CLIN
	  	PERIOD
OF
PERFORM	 	  	 SUPPLIES/SERVICES
	  	TOTAL
ESTIMATED
COST	 	  	FIXED
FEE	 	  	TOTAL
ESTIMATED
COST PLUS
FIXED FEE	 
	 0002
	  	 
 	9/19/2012-
9/18/2013	 
  	  	Option Period 1: [***]	  	$	[***]	  	  	$	[***]	  	  	$	[***]	  
	 0003
	  	 
 	9/19/2013-
9/18/2014	 
  	  	Option Period 2: [***]	  	$	[***]	  	  	$	[***]	  	  	$	[***]	  
	 0004
	  	 
 	9/19/2014-
9/18/2015	 
  	  	Option Period 3: [***]	  	$	[***]	  	  	$	[***]	  	  	$	[***]	  

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 3 

 ARTICLE B.4. PROVISIONS APPLICABLE TO DIRECT COSTS 

a. Items Unallowable 
 Notwithstanding the clause,
ALLOWABLE COST AND PAYMENT, incorporated in the contract, unless authorized in writing by the Contracting Officer via a Contracting Officer Authorization (COA) Letter, the costs of the following items or activities shall be unallowable as direct
costs: 
 1. Acquisition, by purchase or lease, of any interest in real property; 

2. Special rearrangement or alteration of facilities; 

3. Purchase or lease of any item of general purpose office furniture or office equipment regardless of dollar value. (General purpose equipment
is defined as any items of personal property which are usable for purposes other than research, such as office equipment and furnishings, pocket calculators, etc.); 

4. Travel to attend general scientific meetings; 

5. Foreign travel—See subparagraph b. below; 

6. Consultant costs; Any cost reimbursement contracts for Consultant services and any firm fixed price (FFP) contract for Consultant services
that exceed $100,000; 
 7. Subcontracts; Any cost reimbursement subcontracts and FFP subcontracts that exceed $[***]; 

8. Research patient care costs — See Attachment 1; 

9. Accountable Government property (defined as both real and personal property with an acquisition cost of $[***] or more and a life expectancy
of more than two years) and “sensitive items” (defined and listed in the Contractor’s Guide for Control of Government Property, see Article G.10), regardless of acquisition value. 

10. Printing Costs (as defined in the Government Printing and Binding Regulations). 

11. Light Refreshment and Meal Expenditures. Requests to use contract funds to provide light refreshments and/or meals to either federal or
nonfederal employees must be submitted to the Project Officer, with a copy to the Contracting Officer, at least six (6) weeks in advance of the event. 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 provided; (b) a brief description of the purpose of the event; (c) a cost breakdown of the estimated light refreshment and/or meal costs; and (d) the number of nonfederal and
federal attendees receiving light refreshments and/or meals. It is unlikely that BARDA will approve these requests since circumstances are very limited under which appropriated funds can be used for these costs. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 4 

 b. Travel Costs 
  

	 	1.	Domestic Travel 

  

	 	a.	Total expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed $[***] during the base period (9/19/2010-9/18/2012)
without the prior written approval of the Contracting Officer via a Contracting Officer Authorization (COA) Letter. 

  

	 	b.	Subject to the annual dollar limitation specified under B.4.b. 1 .a. above the Contractor shall invoice and be reimbursed for all travel costs in accordance with FAR Subpart 31.2 contracts with Commercial Organizations
and FAR § 31.205-46 Travel Costs 

  

	 	2.	Foreign Travel 

 Requests for foreign travel must be submitted at least six weeks in advance and
shall contain the following: (a) meeting(s) and place(s) to be visited, with costs and dates; (b) name(s) and title(s) of Contractor personnel to travel and their functions in the contract project; (c) contract purposes to be served
by the travel; (d) how travel of Contractor personnel will benefit and contribute to accomplishing the contract project, or will otherwise justify the expenditure of AMCG contract funds; (e) how such advantages justify the costs for travel
and absence from the project of more than one person if such are suggested; and (f) what additional functions may be performed by the travelers to accomplish other purposes of the contract and thus further benefit the project. 

ARTICLE B.5. ADVANCE UNDERSTANDINGS 
  

	a.	Man-in-Plant 

 With 7 days advance notice to the Contractor via in writing from the
Contracting Officer, the Government may place a man-in-plant in the Contractor’s facility, who shall be subject to the Contractor’s policies and procedures regarding security and facility access at all times while in the Contractor’s
facility. 
  

	b.	Security Plan 

 The Contractor agrees to provide an updated Security Plan, if requested
by the Contracting Officer, and within fifteen (15) working days after receipt of the request. The Contractor agrees to provide data generated from this contract that is related to security at the Contractor’s facility to the Contracting
Officer upon request either in the form of an email attachment or via delivery to a secured Government eRoom. 
  

	c.	Subcontracts and Consultants 

 Award of any FFP subcontract or FFP consulting agreement
in excess of $[***] or any cost reimbursement subcontract or consulting agreement shall not proceed without the prior written consent of the Contracting Officer via a Contracting Officer Authorization (COA) Letter upon review of the supporting
documentation required by FAR Clause 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 5 

 
52.244-2, Subcontracts. After receiving written consent of the subcontract by the Contracting Officer, a copy of the signed, executed subcontract and consulting agreement shall be provided to the
Contracting Officer. 
  

	d.	Site Visits and Inspections 

 At the discretion of the U.S. Government and independent of
activities conducted by the Contractor, within ten (10) business days notice to the Contractor via written notification from the Contracting Officer, the U.S. Government reserves the right to conduct site visits and inspections on an as needed
basis, including collection of samples limited to [***] held at the Contractor’s or Subcontractor’s site, provided that the Government’s collection of such samples should not frustrate the Contractor’s ability to perform under
the contract. 
  

	e.	Invoices—Cost and Personnel Reporting, and Variances from the Negotiated Budget 

The Contractor agrees to provide a detailed breakdown on invoices of the following cost categories: 

 

	 	a.	Direct Labor—List individuals by name, title/position, hourly/annual rate, level of effort, and amount claimed. 

  

	 	b.	Fringe Benefits—Cite rate and amount 

  

	 	c.	Overhead—Cite rate and amount 

  

	 	d.	Materials & Supplies—Include detailed breakdown when total amount is over $1,000. 

  

	 	e.	Travel—Identify travelers, dates, destination, purpose of trip, and amount. Cite COA, if appropriate. List separately, domestic travel, general scientific meeting travel, and foreign travel. 

 

	 	f.	Consultant Fees—Identify individuals and amounts. 

  

	 	g.	Subcontracts—Attach sub-Contractor invoice(s). 

  

	 	h.	Equipment—Cite authorization and amount. 

  

	 	i.	G&A—Cite rate and amount. 

  

	 	j.	Total Cost 

  

	 	k.	Fixed Fee 

  

	 	1.	Total CPFF 

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

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 6 

	f.	Confidential Treatment of Sensitive Information 

 The Contractor shall guarantee strict confidentiality
of any information/data of a sensitive nature that is provided to the Contractor by the Government during the performance of the contract. The Government has determined that the information/data that the Contractor will be provided during the
performance of the contract is of a sensitive nature. 
 Disclosure of information/data that is sensitive in nature, in whole or in part, by the Contractor
can only be made after the Contractor receives prior written approval from the Contracting Officer. Whenever the Contractor is uncertain with regard to the proper handling of information/data under the contract, the Contractor shall obtain a written
determination from the Contracting Officer. (See also HHSAR clause 352.224-70). 
 Notwithstanding the foregoing, such information/data shall not be deemed
of a sensitive nature with respect to the Contractor for purposes of this contract if such information/data: (a) was already known to the Contractor; (b) was generally available or known, or was otherwise part of the public domain, at the
time of its disclosure to the Contractor; (c) became generally available or known, or otherwise became part of the public domain, after its disclosure to, or, with respect to the information/data by, the Contractor through no fault of the
Contractor; (d) was disclosed to the Contractor, other than under an obligation of confidentiality or non-use, by a third party who had no obligation to the Government that controls such information/data not to disclose such information/data to
others; or (e) was independently discovered or developed by the Contractor, as evidenced by its written records, without the use of information/data belonging to the Government. 

Contractor may disclose information/data of a sensitive nature provided by the Government to the extent that such disclosure is: (a) made in response to
a valid order of a court of competent jurisdiction or other supra-national, federal, national, regional, state, provincial or local governmental or regulatory body of competent jurisdiction; provided, however, that the Contractor shall
first have given notice to the Government and give the Government a reasonable opportunity to quash such order and to obtain a protective order requiring that the information/data of a sensitive nature that is the subject of such order be held in
confidence by such court or agency or, if disclosed, be used only for the purposes for which the order was issued; and provided further that if a disclosure order is not quashed or a protective order is not obtained, the
information/data disclosed in response to such court or governmental order shall be limited to that information which is legally required to be disclosed in response to such court or governmental order; (b) otherwise required by law, in the
opinion of legal counsel to the Contractor as expressed in an opinion letter in form and substance reasonably satisfactory to the Government, which shall be provided to the Government at least two (2) business days prior to the
Contractor’s disclosure of the information/data; or (c) made by the Contractor to the Regulatory Authorities as required in connection with any filing, application or request for Regulatory Approval; provided, however, that
reasonable measures shall be taken to assure confidential treatment of such information/data. 

  
 7 

	g.	Clinical and Non-Clinical Studies require Contracting Officer Authorization (COA) Letter 

 Draft
protocols for each clinical and non-clinical study will be submitted to the BARDA Contracting Officer’s Technical Representative (COTR) for evaluation and comment. BARDA COTR comments will be incorporated into the draft proposal prior to
submission to the FDA for comment, if required. BARDA COTR comments will be forwarded to the Contractor within two weeks (10 business days) of receipt of the above information. The Contractor must address in writing all study design, safety,
regulatory, ethical, and conflict of interest concerns raised by the BARDA COTR. After receiving the corrected documentation that satisfies the BARDA COTR, the Contracting Officer will provide a written Contracting Officer Authorization (COA) Letter
to the Contractor to authorize the study(ies). (Reference: Attachment 9: Non Clinical and Clinical Terms of Award set forth in SECTION J-List of Attachments) 
  

	h.	Sharing of contract deliverables within United States Government (USG) 

 In an effort to build a robust
medical countermeasure pipeline through increased collaboration, BARDA may share technical deliverables with USG 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’s Portfolio Advisory Committee (PAC) Charter, Technology Transfer Agreements (TTA) between BARDA and the Defense Threat Reduction Agency and the National
Institute of Allergies and Infectious Diseases (NIAID), BARDA may share technical deliverables set forth in Article F.2 with colleagues within the Integrated Portfolio. This advance understanding does not authorize BARDA to share financial
information outside HHS. The Contractor is advised to review the terms of FAR Clause 52.227-14 regarding the Government’s rights to deliverables submitted during performance as well as the Government’s rights to data contained within those
deliverables. 
  

	i.	Development of a Medical Countermeasure 

 The Government enters into this contract with the purpose of
supporting the advance research and development of ACHN-490, a broad spectrum antimicrobial for the treatment of bacterial threat agent infections, including. F. tularensis and Y. pestis or as determined by BARDA. BARDA seeks to support the
preparedness mission of the HHS Public Health Emergency Medical Countermeasures Enterprise (PHEMCE), as articulated in the PHEMCE Implementation Plan (http://wvvw.hhs.gov/aspr/barda/phemce/index.html).” 

 

	j.	List of Limited Data Rights. 

 Attachment 10, List of Limited Data Rights in SECTION J-List of
Attachments contains a list of items that the Government will have limited rights to in accordance with FAR Clause 52.227-14 Rights in Data — General, Alternate II (Dec 2007). The Contractor and the Government have agreed that the list of items
that are contained in Attachment 10 are all items that have been completed with the Contractor’s private funds and are not paid for by the Government under this contract. If delivered to the Government under this contract, the data contained in
Attachment 10 must be separated from any other data that is paid for by the Government under this contract 

  
 8 

 
and by which the Government has unlimited rights to and marked in accordance with FAR Clause 52.227-14 Rights in Data — General, Alternate II (Dec 2007). 

SECTION C—DESCRIPTION/SPECIFICATIONS/WORK STATEMENT 

ARTICLE C.1. STATEMENT OF WORK 
 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 dated 29 July 2010
set forth in SECTION J-List of Attachments, attached hereto and made a part of the contract. 
 ARTICLE C.2. REPORTING REQUIREMENTS 

Technical 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 the DELIVERIES Article in SECTION F of this contract and in SECTION J-List of Attachments, attached
hereto and made a part of the contract. 
 A. 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. 

The Contractor shall submit a Monthly Progress Report on or before the 15th calendar day
following the last day of each reporting period and shall include the following: 
 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; The progress report shall include a Table of Contents and Executive summary in
accordance with the DELIVERIES Article in SECTION F of this contract. 
 SECTION I-An introduction covering the purpose and scope of the
contract effort; 
 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 

  
 9 

 
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. 
 A Monthly Progress Report will not be required in the same month that the Quarterly or
Annual Technical Progress Report is submitted. 
 B. Quarterly 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 quarter of performance plus any fractional part of the initial quarter. Thereafter, the reporting period shall consist of each calendar quarter. 

The Contractor shall submit a Quarterly Progress Report on or before the 15th calendar day
following the last day of each reporting period and shall include the following: 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-An introduction covering the purpose and scope of the contract effort.
The progress report shall include a Table of Contents and Executive summary in accordance with the DELIVERIES Article in SECTION F of this contract. 

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, 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 for the next reporting period; and preprints/reprints of
papers, abstracts and a current/updated Gantt chart. A Quarterly Progress Report will not be required in the same month that the 

  
 10 

 
Annual Progress Report is submitted. 
 SECTION III Part A: Earned Value Management
Reporting: Contractor will provide a quarterly Contract Performance Report (CPR) at an agreed upon reporting level using the BARDA provided WBS and a Variance Analysis Report. EVMS shall be applied to all Cost Plus Fixed Fee CLINs as part of the
Integrated Master Project Plan following the Seven Principles of Earned Value Management. BARDA may request, on a quarterly or ad hoc basis that the Contractor provide raw data. BARDA may request additional data at a reporting level or at lower
levels, as BARDA deems necessary 
 C. Annual Progress Report 

This report shall include a summation of the results of the entire contract work for the period covered. An Annual Technical Progress Report
will not be required for the period when the Final Technical Progress Report is due. Monthly and Quarterly Progress Reports shall not be submitted in the same month when an Annual Progress Report is due. 

The first Annual Progress Report shall be due on or before the 15th Calendar day following
the last day of the reporting period. Each Annual Progress Report shall include: 
 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; The progress report shall include a Table of Contents in accordance with the DELIVERIES
Article in SECTION F of this contract. 
 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 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; regulatory compliance audits, and 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 approved Integrated Master Plan. 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. 
 SECTION III Part A: Earned Value Management Reporting: Contractor will provide a quarterly Contract Performance
Report (CPR) at an agreed upon reporting level using the BARDA provided WBS and a Variance Analysis Report. EVMS shall be applied to all Cost Plus Fixed Fee CLINs as part of the Integrated Master Project Plan following the Seven Principles of Earned
Value Management. BARDA may request, on a quarterly or ad hoc basis that the Contractor provide raw data. BARDA may request additional data at a reporting level or at lower levels, as BARDA deems necessary 

  
 11 

	 	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 

 D.
Draft Final Technical Progress Report and Final Technical Progress Report 
 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 Report and Final Report shall be submitted in accordance with
the DELIVERIES Article in SECTION F of the contract. An Annual Technical Progress Report will not be required for the period when the Final Technical Progress Report is due. The Draft Final Technical Progress Report shall be submitted one hundred
twenty (120) calendar days before completion date of the contract and the Final Technical Progress Report shall be submitted on or before the completion date of the contract. The report shall conform to the following format: 

 

	 	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; The progress report shall
include a Table of Contents in accordance with the DELIVERIES Article in SECTION F of this contract. 

  

	 	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 the 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. 

Draft Technical Progress Report: The Contractor is required to submit the Draft Final Technical Progress Report to the Contracting
Officer’s Technical Representative and Contracting Officer. This draft report is due 30 calendar days before the completion date of the contract. The Contracting Officer’s Technical Representative and Contracting Officer will review the
Draft Final Technical Progress Report and provide the Contractor with comments within 15 calendar days after receipt. 
 Final Technical
Progress Report: The Contractor will deliver the final version of the Final Technical Progress Report on or before the completion date of the contract. The final version shall include or address the Contracting Officer’s Technical
Representative comments and Contracting Officer comments on the draft report. The final report is due 15 calendar days before the completion date of the contract. 

  
 12 

 E. Summary of Salient Results 

The 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. 
 F Other Technical Progress Reports 

 

	 	1.	Draft Report for Clinical and Non-Clinical Studies and Final Report for Clinical and Non-Clinical Studies 

  

	 	•	 	The non-clinical and clinical trial reports shall follow the format of International Conference on Harmonization document ICH E3 “Guidelines on Structure and Content of Clinical Study Reports”

(http://www.pharmacontract.ch/support/su_ich_liste.htm). 

  

	 	•	 	Draft Final Report for Clinical and Non-Clinical Studies will be submitted to the Contracting Officer’s Technical Representative and Contracting Officer (CO) for review and comment within 20 business days (draft)
or 40 business days (final) after completion of analysis of Pre-Clinical/Non Clinical/Clinical data and 15 business days prior to submission to FDA. Subcontractor prepared reports shall be submitted to the Contracting Officer’s Technical
Representative and Contracting Officer (CO) for review and comment no later than 5 business days after receipt by the prime contractor. 

  

	 	•	 	The Contracting Officer shall provide written comments within 20 business days after the submission of the Draft Final Report for Clinical and Non-Clinical Studies. 

 

	 	•	 	The comprehensive Final Report for Clinical and Non-Clinical Studies will be submitted to the Contracting Officer and the Contracting Officer’s Technical Representative within 20 business days after receiving
comments on the Draft Final Report for Clinical and Non- Clinical Studies from the Contracting Officer. The final version shall include or address the Contracting Officer’s Technical Representative comments and Contracting Officer comments on
the draft report 

  

	 	•	 	See section ARTICLE F.2. REPORTING REQUIREMENTS AND DELIVERABLES for additional clarification and deliverable requirements. 

G. Audit Reports 
 Within
three (3) calendar days of an audit related to conformance to FDA regulations and guidance, including adherence to GLP, GMP, or GCP guidelines, as it relates to performance under this contract where the results will adversely impact contract
performance, the Contractor shall provide the Contracting Officer’s Technical Representative and the Contracting Officer with copies of the audit report. Within fifteen (15) calendar days of audit report Contractor shall provide 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. See section ARTICLE F.2. REPORTING REQUIREMENTS AND DELIVERABLES for additional clarification and deliverable
requirements. 

  
 13 

 H. Clinical and Non-Clinical Protocols 

BARDA has a responsibility to ensure that mechanisms and procedures are in place to protect the safety of participants and animals in BARDA
funded clinical trials and non-clinical studies. Therefore, as described in Article B.5., the Contractor shall develop a protocol for each clinical trial and non-clinical study and submit all protocols and protocol amendments to the BARDA
Contracting Officer’s Technical Representative (COTR) for review and final approval by the Contracting Officer. Important information regarding performing human subject research is available at
http://www3.niaid.nih.gov/healthscience/clinicalstudies/. The Contractor shall obtain a Contracting Officer Authorization (COA) Letter authorizing the specific clinical or non-clinical study(ies), prior to commencing the study(ies). For
additional information contractor shall review the Attachment 9: Non-Clinical and Clinical Terms of Award set forth in SECTION J-List of Attachments and ARTICLE F.2. REPORTING REQUIREMENTS AND DELIVERABLES. 

Any updates to technical reports are to be addressed in the Monthly, Quarterly and Annual Progress Reports. The Contractor shall advise the
Contracting Officer’s Technical Representative or designee in writing and via electronic communication in a timely manner of any issues potentially affecting contract performance. 

I. Other Reports/Deliverables 

The Contractor shall provide all deliverables as outlined in the table under ARTICLE F.2. REPORTING REQUIREMENTS AND DELIVERABLES section of
this document. 
 ARTICLE C.3. SUBJECT INVENTION REPORTING REQUIREMENT 

All reports and documentation required by FAR Clause 52.227-11, including, but not limited to, the invention disclosure report, the confirmatory license, and
the Government support certification, shall be directed to the Extramural Inventions and Technology Resources Branch, OPERA, NIH, 6705 Rockledge Drive, Room 2207, MSC 7987, Bethesda, Maryland 20892-7987 (Telephone: 301-435-1986). In addition, one
copy of an annual utilization report, and a copy of the final invention statement, shall be submitted to the Contracting Officer. The final invention statement (see FAR 27.303(b)(2)(ii)) shall be submitted to the Contracting Officer on the
expiration date of the contract. See also FAR clause 52.227-11 (Patent Rights-Ownership by the Contractor). 
 Reports and documentation submitted to the
Contracting Officer shall be sent to the following address: 
 Contracting Officer 

Ethan J. Mueller 
 Office of Acquisitions Management, Contracts,
and Grants (AMCG) 
 330 Independence Avenue, S.W. 
 Room G640

 Washington, D.C. 20201 

  
 14 

 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. 
 To assist contractors in
complying with invention reporting requirements of the clause, “Interagency Edison,” an electronic invention reporting system has been developed. Use of Interagency Edison is encouraged as it streamlines the reporting process and greatly
reduces paperwork. Access to the system is through a secure interactive Web site to ensure that all information submitted is protected. Interagency Edison and information relating to the capabilities of the system can be obtained from the Web
(http://www.iedison.gov), or by contacting the Extramural Inventions and Technology Resources Branch, OPERA, NIH. 
 ARTICLE C.4. TWICE MONTHLY
CONFERENCE CALLS 
 A conference call between the Contracting Officer’s Technical Representative and the principal investigator shall occur
bi-monthly or as directed by the Contracting Officer’s Technical Representative. During this call the principal investigator will discuss the activities during the reporting period, any problems that have arisen 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. The principal investigator
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 Technical Representative. 

ARTICLE C.5. PROJECT MEETINGS 
 The Contractor shall
participate in Project Meetings to coordinate the performance of the contract, as requested by the Contracting Officer’s Technical Representative. These meetings may include face-to-face meetings with BARDA/AMCG 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
and USG personnel as required by the Contracting Officer’s Technical Representative in order to facilitate review of contract activities. Subject to other provisions specified in this contract (See for example Article F.2), the Contractor shall
provide the COTR with a minimum of 48 hours notice of both formal and informal meetings and communications with the Food and Drug Administration (FDA) including anticipated telephone communications. In the event that the COTR or other authorized
BARDA representative is unable to participate in a meeting or telephone conference the Contractor shall provide the COTR with a written summary of all subjects discussed no later than three (3) calendar days following the meeting or conference.

 SECTION D—PACKAGING, MARKING AND SHIPPING 
 All
deliverables required under this contract shall be packaged, marked and shipped in accordance with Government specifications. At a minimum, all deliverables shall be marked 

  
 15 

 
with the contract number and Contractor name. The Contractor shall guarantee that all required materials shall be delivered in immediate usable and acceptable condition. 

Report Deliverables 
 Unless otherwise specified by the
Contracting Officer, delivery of reports to be furnished to the Government under this contract (including invoices), shall be delivered to BARDA electronically along with a concurrent email notification to the Contracting Officer, Contract
Specialist, and COTR summarizing the electronic delivery. 
 In addition, a physical hard copy, will be sent unless otherwise specified by the Contracting
Officer, delivery of reports to be furnished to the Government under this contract (including invoices), shall be addressed as follows: 
 Joseph Larsen,
Ph.D., Contracting Officer’s Technical Representative (COTR) 
 DHHS/OS/ASPR/BARDA 

330 Independence Avenue, S.W. 
 Room G644 

Washington, D.C. 20201 
 E-mail: Joseph.Larsen@hhs.gov 

Ethan J. Mueller, Contracting Officer and Contract Specialist 

DHHS/OS/ASPR/AMCG 
 330 Independence Avenue, S.W. 

Room 640G 
 Washington, D.C. 20201 

E-mail: Ethan.Mueller@hhs.gov 
 SECTION
E—INSPECTION AND ACCEPTANCE 
  

	a.	The Contracting Officer or the duly authorized representative will perform inspection and acceptance of materials and services to be provided under this contract. 

 

	b.	For the purpose of this SECTION, the designated Contracting Officer’s Technical Representative (COTR) is the authorized representative of the Contracting Officer. 

 

	c.	Inspection and acceptance will be performed at: 

 Biomedical Advanced Research and Development
Authority 
 Office of the Assistant Secretary for Preparedness and Response 

U.S. Department of Health and Human Services 

330 Independence Avenue, S.W., Room G644 

Washington, D.C. 20201 
  

	d.	The contract incorporates the following clause 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. 

  
 16 

 FAR Clause 52.246-8, Inspection of Research and Development—Cost Reimbursement (May 2001)

 SECTION F—DELIVERIES OR PERFORMANCE 
 Deliveries
and performance under these Contract Line Item Numbers (CLINs) and Option CLINs shall be as follows: 
 ARTICLE F.1. PERIOD OF PERFORMANCE 

 

	a.	Under CLIN 0001, the base period of performance of this contract shall be from 9/19/2010-9/18/2012. 

 b. If the
Government exercises its options pursuant to the OPTION CLAUSE Article in Section H of the contract, the period of performance will be increased as listed below: 
  

							
	 OPTION CLIN
	  	PERIOD OF
PERFORM.	 	  	 SUPPLIES/SERVICES

	 0002
	  	 
 	9/19/2012-
9/18/2013	 
  	  	Option Period 1: [***]
	 0003
	  	 
 	9/19/2013-
9/18/2014	 
  	  	Option Period 2: [***]
	 0004
	  	 
 	9/19/2014-
9/18/2015	 
  	  	Option Period 3: [***]

 ARTICLE F.2. REPORTING REQUIREMENTS AND DELIVERABLES 

Successful performance of the final contract shall be deemed to occur upon performance of the work set forth in the Statement of Work dated 29 July 2010
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 Contracting Officer, or the duly authorized representative, of the following items in accordance with the
stated delivery schedule: 
 The items specified below as described in the REPORTING REQUIREMENTS Article in SECTION C of this contract and the Statement of
Work dated 29 July 2010 set forth in SECTION J-List of Attachments will be required to be delivered F.O.B. Destination as set forth in FAR 52.247-35, F.O.B. DESTINATION, WITHIN CONSIGNEES PREMISES (APRIL 1984), and in accordance with and by the
date(s) specified below and any specifications stated in SECTION D, PACKAGING, MARKING AND SHIPPING, of this contract: 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 17 

 1. Other Contract Deliverables 

 

											
	 #
	  	 Type of Deliverable
	  	 Frequency/time
periods
	  	 Description of Deliverable
	  	 Reporting Procedures
	  	 Quantity/
Form

	1.	  	Project Meeting	  	Bi-Weekly or as amended by CO and PO	  	The Contractor shall participate in bi-weekly teleconferences with BARDA to discuss the performance of the contract. The Contractor prepares a proposed agenda and shall record maintain and provide, draft-meeting minutes to the
Project Officer (PO) for approval. The PO will approve the draft version and distribute the fmal version to the Contract Officer (CO) and Contractor.	  	 •        Contractor provides agenda 48hrs in advance of
meeting to the PO
  

•        PO approves (with CO concurrence) and distributes agenda

 

•        Contractor provides meeting minutes within 48hr of the
meeting
  

•        PO reviews, comments and approves minutes
	  	1 Electronic Copy to PO and CO
						
	2.	  	Monthly, Quarterly and Annual Project Status Report/ Meeting	  	Monthly reports are due on the 15th of each month, except on months when Quarterly/Annual Technical Progress Reports are due	  	 The Monthly/Quarterly Project/Annual Status Report shall address the items listed below and cross-referenced to the Work Breakdown Structure
(WBS), Scope of Work (SOW), Integrated Master Schedule(IMS), Integrated Baseline Review (IBR) report, Earned Value Management (EVM) Cost Performance Reports (CPR), and approval strategy.

 
 1.      A Executive
Summary in MS PowerPoint (.ppt) format, highlighting the progress, issues, and relevant activities in manufacturing, non-clinical, clinical, and regulatory. The Executive Summary should be limited to 2-3 pages and highlight critical issues for that
reporting period. The Monthly, Quarterly, and Annual Technical Progress Report shall address each
	  	 Monthly Reports:
  

•        Contractor provides Monthly Status Report deliverables on the
15th of each month via email/CD
  

•        PO and CO will review Monthly Reports with the Contractor and
provide feedback
  
 Quarterly Meeting:

 

•        Contractor provides Quarterly Status Report five business days
prior to meeting. This report is an expanded version of the Monthly Status Report
  

•        Contractor shall identify itinerary for the quarterly site
visits
  

•        Contractor provides agenda to the PO 48hr in advance of
meeting
  

•        PO approves (with CO concurrence) and distributes agenda

 

•        Contractor provides
	  	1 Electronic Copy to PO and CO

  
 18 

											
		  		  		  	 of the items below and be cross-referenced to the Critical Path, Integrated Master Schedule (IMS), EVM, WBS/Project Plan and the Risk
Mitigation Plan.
  

2.      Progress in meeting contract milestones—broken out by subtasks within each
milestone, overall project assessment, problems encountered and recommended solutions. The reports shall detail the planned progress and actual progress during the period covered, explaining occurrences of any differences between the two, and the
corrective steps.
  

3.      Provide EVM CPR (quarterly) and Updated Risk Management Plan/Register
(quarterly)
  

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

5.      A tracking log of progress on regulatory submissions with the FDA submission
number, description of submission, date of submission, status of submission, and next steps shall be updated continuously upon submission for all Biodefense and Non-Biodefense activities supported in part or whole with BARDA funding
	  	 meeting minutes within 48hr of the meeting
  

•        PO reviews, comments and approves minutes

 
 Annual Meeting:
  

•        Contractor provides AnnualProject Status Report deliverables
five business days prior to meeting. The annual report should also include information from the annual meeting due 15 business days after the meeting. A draft report including .ppt slides should be provided 5 business days prior to the meeting.

 

•        Contractor shall ensure that the board of directors is available
to meet with BARDA. BARDA reserves the right to meet with the Contractor’s board of directors once a year to discuss the contract
  

•        PO approves (with CO concurrence) and distributes agenda

 

•        PO approves (with CO concurrence) all meeting material

 

•        Contractor provides meeting minutes within 48hr

 

•        PO reviews, comments and approves minutes

 

•        Contractor provides a FINAL annual report within 15 business
days after the conclusion of the annual meeting. PO (with CO concurrence)
	  	

  
 19 

											
		  		  		  	 6.      Estimated and Actual Expenses: This report shall also contain
a narrative statement or in table form as to whether there is any discrepancy at this time between the % of work completed and the cumulative costs incurred to date. This section of the report shall also contain estimates for the
subcontractors’ expenses from the previous month if the subcontractor did not submit a bill in the previous month. Estimates shall be listed for each subcontractor. 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 those respective subcontractors. This section should also include a summary of any cost savings identified by the contractor as part of the 5% cost savings
initiative.
  

7.      Contractor shall identify the itinerary for the quarterly site visits
(quarterly)
	  	 reviews, comments and approves FINAL Annual Report

 

•        BARDA and Contractor shall participate in an in-process
review
	  	
						
	3.	  	Integrated Baseline Review (IBR) award	  	Within 90 days of contract	  	 The IBR Report shall address each of the items listed below and be cross-referenced to the WBS, SOW, IMS and approval strategy.

 
 1.      Contractor
provides baseline proposal and PowerPoint brief
  

2.      A description of the work scope through control
	  	 •        Contractor provides baseline proposal, .ppt
briefing, 10 business days prior to meeting
  

•        Contractor provides agenda to the PO 48hr in advance of
meeting
  

•        PO approves (with CO concurrence) and distributes
agenda
	  	1 Electronic Copy to PO and CO

  
 20 

											
		  		  		  	 account Work Authorization Documents (WADs)
  

3.      Template for Work Packages

 
 4.      Integrated
Master Schedule (IMS) with the inclusion of agreed major milestones and control account plans (CAP) for all control accounts
  

5.      Baseline revision documentation and program logs (s) risk register.
	  	 •        PO approves (with CO concurrence) all meeting
material
  

•        Contractor provides minutes within 48hr of the meeting

 

•        PO reviews and approves minutes

 

•        BARDA will review documentation and provide written comments and
questions to Contractor
  

•        Contractor shall address BARDA’s comments and resubmit IBR
for BARDA approval within 10 business days
	  	
						
	4.	  	Integrated Master Plan	  	30 days following contract award and updated quarterly	  	Integrated Master Plan (aka Integrated Product Development Plan) including WBS, critical path milestones and Earned Value Management Plan	  	 •        Contractor shall provide all the Integrated
Master Plan deliverables 30 days following contract award, and thereafter on the 15th of each month. Deliverable should be included in the Quarterly or Annual Project Status Reports,

 

•        BARDA shall provide Contractor with a written list of concerns
in response to Contractor’s submitted Integrated Master Plan, and the Contractor must address in writing all concerns raised by BARDA within twenty business days of Contractor’s receipt of this list of concerns.
	  	
						
	5.	  	Risk Manage-ment Plan	  	90 days following contract award and	  	The Contractor will provide a Risk Management Plan that outlines the impacts of each risk in relation to the cost,	  	 •        Contractor shall provide a Risk Management Plan 90 days following contract award
and
	  	1 Electronic Copy to PO and CO

  
 21 

											
		  		  	updated quarterly (additional submissions as requested by CO or PO)	  	schedule and performance objectives. The Risk Management Plan will include risk mitigation strategies. Each risk mitigation strategy will capture how the corrective action will reduce impacts on cost, schedule and performance.	  	 update on the 15th of each Quarter in their Quarterly or Annual Project Status Reports

 

•        BARDA shall provide Contractor with a written list of concerns
in response to Contractor’s submitted Risk Management Plan, and the Contractor must address in writing all concerns raised by BARDA within twenty business days of Contractor’s receipt of this list of concerns.
	  	
						
	6.	  	Program Integrated Master Schedule and Narrative Project Plan	  	The 15th of each quarter (additional submissions as requested by CO or PO)	  	The Contractor will provide Program Integrated Master Schedule (IMS) and Narrative Project Plans with quarterly status updates to reflect changes in schedule, performance, and critical path	  	 •        Contractor shall provide an Integrated Master
Schedule on the 15th of each quarter in their quarterly or annual Project Status Reports
  

•        Integrated Master Schedule shall be in both PDF and Microsoft
Project Form
  

•        BARDA shall provide Contractor with a written list of concerns
in response to Contractor’s submitted IMS, and the Contractor must address in writing all concerns raised by BARDA within twenty business days of Contractor’s receipt of this list of concerns.
	  	1 Electronic Copy (PDF and Microsoft Project Schedule (.mmp) format to PO and CO
						
	7.	  	EVM / Contract Performance Report	  	The 30th day of the month after each calendar quarter (additional submissions	  	Contractor will provide a quarterly Contract Performance Report (CPR) at an agreed upon reporting level using the BARDA provided WBS and a Variance Analysis Report. Contractor will report	  	Contractor shall provide a CPR and Variance Analysis Report on the 30th day of the month after the end of each calendar quarter in their Quarterly or Annual	  	1 Electronic Copy to PO and CO

  
 22 

											
		  		  	as requested by CO or PO)	  	EVM data on all Cost Plus CLINs	  	 Project Status Reports
 Contractor shall provide
and changes in baseline cost as a result of anticipated cost savings or risks
  

•        Contractor shall provide a PDF of deliverables. BARDA may
request, on a quarterly or ad hoc basis that the Contractor provide raw data. BARDA may request additional data at a reporting level or at lower levels, as BARDA deems necessary

 

•        The Contractor must address in writing all concerns raised by
BARDA staff to the satisfaction of BARDA
	  	
						
	8.	  	Incident Report	  	Within 24 or 48 hrs of activity or incident	  	 The Contractor shall communicate and document all critical programmatic concerns, risks or potential risks with BARDA within 48 hours. The
Contractor shall communicate via email or telephone.
  
 The Contractor shall report to
the government any activity or incident that is in violation of established security standards or indicates the loss or theft of government products within 24 hrs of activity or incident.

 
 The Contractor shall communicate via email, oral or written communication.

 
	  	 •        Email, Letter to CO Telephone (w/ written
follow-up)
  

•        Written communication with BARDA PO and CO within 48 hrs of
Contractor identifying a project risk or potential risk and 24 hrs for Security activities or incident
  

•        Additional updates within 48 hrs of additional developments,
additional information and/or understanding
  

•        Contractor shall submit within 5 business days a Corrective
Action Plan (if necessary) to address any potential security issues
	  	1 Electronic Copy PO and CO

  
 23 

											
		  		  		  		  	 •        If corrective action is required, the
Contractor must address concerns raised by BARDA
  

•        Contractor shall address BARDA’s concerns in writing within
5 business days
	  	
						
	9.	  	Deviation Request	  	TBD	  	Process for changing study protocols and/or the Integrated Master Plan (a.k.a Integrated Product Development Plan)	  	 •        Contractor shall submit a Deviation Request as
soon as the Contractor has sufficient data to support the need for a change from the approved study protocols and/or Integrated Master Plan
  

•        The BARDA CO will review and provide a written response to the
Deviation Request.
  

•        Contractor shall address BARDA’s comments and resubmit the
deviation request that addresses BARDA’s comments within 5 business days
  

•        Contractor shall not proceed with the deviation until BARDA
gives its approval
	  	1 Electronic Copy to PO and CO
						
	10.	  	Draft and Final Technical Progress Report	  	Draft 20 business days before and Final 10 business days after completion of the POP	  	 A draft of Final Technical Progress Report containing a summation of the work performed and the results obtained for the entire contract
period of performance. The draft report shall be duly marked as ‘Draft’.
  
 The
Final Technical Progress Report incorporating the feedback received from BARDA and containing a summation of the work performed and the results
	  	 •        Contractor shall provide a draft report 20
business days and final 10 business days before completion of the contract period
  

•        PO provides edits and additional feedback, which Contractor will
incorporate into the Final Technical Progress Report
  

•        The Contractor shall submit one (1) copy of
	  	1 Electronic Copy to PO and CO

  
 24 

											
		  		  		  	obtained for the entire contract period of performance. This final report shall detail, document and summarize the results of the entire contract. This report shall be in sufficient detail to fully describe the progress achieved
under all milestones. The final report shall be duly marked as ‘Final’.	  	 a comprehensive final report to the CO and two (2) copies (one electronically on a CD) to the PO
	  	
						
	11.	  	Product Transition Strategy	  	90 days prior to end of the (base/option) POP	  	 Contractor shall provide a Product Transition Strategy to support transition of the product(s) prior to end of the base and/or option(s) POP.
The Product Transition Strategy should provide a strategic plan for further development and/or stockpiling of the product
 The transition strategy shall
provide options and/or a specific approach for the transition of MCM product for further development, procurement, approval and/or stockpile
	  	 •        Contractor shall provide a Product Transaction Strategy to support transition of
product(s) 90 days prior to end of the (base/option) POP as an addendum to that Quarter’s Quarterly Project Status Report.
	  	1 Electronic Copy to PO and CO
						
	12.	  	Decision Gate Presentation	  	Event Driven Review following completion of a pre-defined stage of product development and prior to initiation of a new stage	  	Contractor shall provide a presentation following a prescribed template provided by BARDA prior to the Decision Gate Review	  	 •        Contractor shall provide an update to
technical progress made towards completion of the Decision Gate and provide the presentation, 10 business days prior to the Decision Gate Review
  

•        Contractor shall submit written justification of progress
towards satisfying Decision Gate criteria
  

•        After reviewing, the BARDA PO and CO will provide a
written
	  	1 Electronic Copy to PO and CO

  
 25 

											
		  		  		  		  	 response
	  	
						
	13.	  	Standard Operating Procedures	  	As requested by PO and CO	  	Contractor shall provide Standard Operating Procedures (SOPs) to BARDA for review, as they are completed and updated	  	 •        Contractor shall submit the Standard Operating Procedures (SOPs) in the form
requested by the PO and CO within 15 calendar days of request
	  	1 Electronic Copy to PO and CO
						
	14.	  	Approval Strategy	  	Within 90 days of contract award and updated as part of the quarterly report	  	Contractor shall provide overview of the approval strategy to include all clinical and non-clinical studies	  	 •        Contractor will submit proposed clinical and
non-clinical strategy to support approval
  

•        If corrective action is required, the Contractor must address
concerns raised by BARDA
	  	1 Electronic Copy to PO and CO
						
	15.	  	Study Protocols	  	At least 10 business days prior to FDA Submission	  	 Contractor shall provide Pre-Clinical/Non-Clinical/ Clinical Trial Protocols to BARDA for evaluation, prior to FDA submission

(The CO and PO reserves the right to request within the period of performance a non-proprietary Study Protocol for distribution within the United States
Government(USG))
	  	 •        Contractor will submit proposed protocols to
BARDA at least 10 business days prior to FDA submission. If corrective action is required, the Contractor must address in writing all safety, regulatory, ethical, and conflict of interest concerns raised by BARDA to the satisfaction of BARDA before
study execution
  

•        After receiving the corrected documentation, that satisfies
BARDA the CO will provide a written Contract Officer Authorization (COA) Letter to the Contractor. This COA provides authorization to the Contractor to execute the specific clinical study funded in part or in whole by BARDA

 

•        Contractor shall not proceed with any study
	  	1 Electronic Copy to PO and CO

  
 26 

											
		  		  		  		  	 protocol until BARDA gives its approval
  

•        Final FDA submissions shall be submitted to BARDA concurrently
or no later than one calendar day after its submission to CDER
	  	
						
	16.	  	Study Reports	  	Within 30 (draft) or 60(final) calendar days after completion of analysis and 15 business days prior to submission to FDA	  	 Contractor shall provide Draft and Final Pre-Clinical/Non-Clinical Study Reports to BARDA for review and edits within 30 (draft) or 60
(final) calendar days after completion of analysis of Pre-Clinical/Non-Clinical/ Clinical data and 21 business days prior to submission to FDA
 (The CO and
PO reserves the right to request within the period of performance a non-proprietary Study Report for distribution within the USG)
	  	 •        Contractor shall provide Draft and Final Pre-
Clinical/Non-Clinical Study Reports to BARDA within 30 (draft) or 60 (final) calendar days after completion of each report
  

•        Contractor will submit proposed Pre-Clinical/Non-Clinical Study
Report to BARDA at least 15 business days prior to FDA Submission
  

•        If corrective action is required, The Contractor must address in
writing all concerns raised by BARDA to the satisfaction of BARDA before FDA Submission
  

•        Contractor shall not proceed with any study report until BARDA
gives its approval
  

•        Final FDA submissions shall be provided to BARDA concurrently or
no later than 1 calendar day of its submission to CDER
	  	1 Electronic Copy to PO and CO
						
	17.	  	Manufacturing Campaign Reports	  	Within 30 calendar days after receipt of batch	  	Contractor shall provide Manufacturing Campaign Reports to BARDA for review and edits prior to submission	  	 •        Contractor will submit proposed Analysis Reports and Manufacturing
	  	1 Electronic Copy to PO and CO

  
 27 

											
		  		  	records and 15 business days prior to submission to FDA	  	 to FDA
 (The CO and PO reserve the right to
request within the period of performance a non- proprietary Manufacturing Campaign Reports for distribution within the USG)
	  	 Campaign Reports to BARDA at least 15 business days prior to FDA Submission.

 

•        If corrective action is required, the Contractor must address in
writing all concerns raised by BARDA to the satisfaction of BARDA before FDA Submission
  

•        Contractor shall not proceed with any FDA submission until BARDA
gives its approval
  

•        Final FDA submissions shall be submitted to BARDA concurrently
or no later than one (1) calendar day after its submission to CDER
	  	
						
	18.	  	FDA Meeting Notification	  	No later than 10 business days prior to the scheduled meeting	  	The contractor shall forward the dates and times of any meeting with the FDA to BARDA and arrange for appropriate BARDA staff to attend the FDA meetings. BARDA staff shall include up to a maximum of four people (PO, CO, and up to
two (2) Subject Matter Experts (SME(s)).	  	 •        Contractor must notify BARDA of an upcoming meeting with the FDA within 24 hours
of scheduling the meeting with the FDA and no later than 10 business days prior to the scheduled meeting
	  	1 Electronic Copy to PO and CO
						
	19.	  	FDA Correspondence and Meeting Minutes	  	Within three (3) calendar days of receiving correspondence from the FDA	  	The contractor shall forward initial Contractor and CDER-issued draft minutes and final minutes of any meeting with the FDA to BARDA. All documents shall be duly marked as either ‘Draft’ or ‘Final’.	  	 •        Contractor provides FDA correspondence and meeting minutes within three (3)
calendar days of the meeting or correspondence
	  	1 Electronic Copy to PO and CO
						
	20.	  	FDA Submissions	  	At least 15 business days prior to submission to FDA	  	The Contractor shall provide BARDA the opportunity to review and comment upon all draft regulatory documents before submission to the FDA.	  	 •        Contractor will submit proposed FDA Meeting Briefing Packets to BARDA at least 15
business days prior to
	  	1 Electronic Copy to PO and CO

  
 28 

											
		  		  		  	 Contractors shall provide BARDA with an electronic copy of the final FDA submission. All documents shall be duly marked as either
‘Draft’ or ‘Final’.
  
 The Contractor must address in writing all
concerns raised by BARDA to the satisfaction of BARDA before FDA submission.
	  	 FDA submission
  

•        If corrective action is required, the Contractor must address in
writing all concerns raised by BARDA staff to the satisfaction of BARDA before FDA submission
  

•        Final FDA submissions shall be submitted to BARDA concurrently
or no later than one (1) calendar day of its submission to CDER
	  	
						
	21.	  	FDA Audits	  	Within 10 business days of a scheduled audit or within 24 hours of an ad hoc site visits/audits if the FDA did not provide advanced notification	  	The Contractor shall notify the PO and CO within 24 hours of FDA’s arrival to conduct site visits/audits by any regulatory agency. In the event of an FDA inspection which occurs as a result of this contract and for this
product, or for any other FDA inspection that has the reasonable potential to impact the performance of this contract, the Contractor shall provide the BARDA with an exact copy (non-redacted of the FDA Form 483, and the Establishment Inspection
Report (EIR). The contractor shall provide the PO and CO 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 within 10 business days, 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 audit report received from subcontractors that occur as a	  	 •        The Contractor shall notify the PO and CO
within 24 hours of all FDA arrivals to conduct site visits/audits by any regulatory agency
  

•        Contractor provides QA Audit Reports within 15 calendar days of
the audit
  

•        The Contractor shall also Provide copies of any FDA audit report
received from subcontractors that occur as a result of this contract or for this product within three (3) calendar days of receiving correspondence from the FDA and/or third party.
	  	1 Electronic Copy to PO and CO

  
 29 

											
		  		  		  	result of this contract or for this product within three (3) calendar days of receiving correspondence from the FDA and/or third party. The Contractor shall make arrangements for a BARDA representative(s) to be present during the
final debrief by the regulatory inspector.	  		  	
						
	22.	  	QA Audit Reports	  	5 business days before report completion	  	The Contractor shall inform the PO and CO in advance of upcoming audits/site visits of subcontractors as part of the weekly communications, including goals and agenda. BARDA reserves the right to participate in the audit. 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, details 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	  	 •        The Contractor shall inform the PO and CO 10
days in advance of upcoming audits/site visits of subcontractors
  

•        The Contractor shall notify the PO and CO within 5 business days
of report completion
	  	l Electronic Copy to PO and CO
						
	23.	  	BARDA Audit	  	Ad Hoc	  	The contractor shall accommodate for periodic or ad hoc site visits by BARDA. If BARDA, 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 BARDA.	  	 •        If BARDA, 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 BARDA within 10 business days.
	  	1 Electronic Copy to PO and CO

  
 30 

											
		  		  		  		  	 •        The PO and CO will review the deliverable and
provide a response to the Contractor.
  

•        Once corrective action, approved by the CO, is completed, the
Contractor will provide a final report to BARDA
	  	
						
	24.	  	Technical Documents	  	Within 10 business days upon request by CO/PO	  	 Contractor shall provide PO and CO upon request 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

(The CO and PO reserves the right to request within the period of performance a non-proprietary Technical Documents for distribution within the USG)
	  	 •        Contractor provides deliverables within 15
calendar days of the completion of activities
  

•        If additional time is required, Contractor shall request
additional time from BARDA on a per deliverable basis
  

•        If corrective action is required, the Contractor must address in
writing concerns raised by BARDA
  

•        Contractor will submit proposed FDA Technical Documents to BARDA
at least 15 business days prior to FDA submission
  

•        If corrective action is required the Contractor must address in
writing all concerns raised by BARDA to the satisfaction of BARDA before FDA Submission
	  	 For Final Documents:
 1 Electronic Copy to PO
and CO

						
	25.	  	Animal Model or Other Technology Transfer Package	  	Within 10 business days of request by CO/PO	  	Contractor shall provide Animal Model or Other Technology Transfer Package relevant data	  	 •        Contractor shall provide Animal Model or other Technology Transfer Package within
10 business days of request by CO/PO
	  	1 Electronic Copy to PO and CO
						
	26.	  	Raw Data or Data Analysis	  	Within 20 business days after receipt	  	Contractor shall provide Raw Data or Data Analysis for review by BARDA if	  	 •        Contractor shall provide Raw Data or Data Analysis within 20
	  	1 Electronic Copy to PO and CO

  
 31 

											
		  		  	of request by CO/PO	  	requested	  	 business days of request by CO/PO
	  	
						
	27.	  	Samples of Therapeutics	  	Within 20 business days of request by CO/PO	  	Contractor shall provide samples of non-GMP candidate therapeutics and GMP material manufactured with contract funding to include raw material, Bulk Drug Substance (BDS), Final Drug Product (FDP) and/or labeled and packaged
treatment courses. The request will state the type of material and the amount but it is not to exceed the equivalent of 250 treatment courses or its individual manufacturing equivalent. The Contractor will be advised by the CO how samples are to be
packaged and where samples are to be shipped. It is acceptable to label material “Not for Clinical Use”. BARDA reserves the right to request samples throughout the period of performance.	  	 •        Contractor must submit samples of therapeutics
within 20 business days of request by CO/PO.
  

•        The Contractor will be advised by the CO how samples are to be
packaged and where samples are to be shipped.
	  	CO will provide details upon request
						
	28.	  	Publications	  	20 business days for manuscripts and 10 business days for abstracts	  	Any manuscript or scientific meeting abstract containing data generated under this contract must be submitted to BARDA for review prior to submission	  	 •        Contractor must submit all manuscript or
scientific meeting abstract to PO and CO within 20 business days for manuscripts and 10 business days for abstracts
  

•        The CO will respond with written comments within 10 business
days for manuscripts and 5 business days for abstracts.
  

•        If corrective action is required, the Contractor must address in
writing all concerns raised by BARDA to the
	  	1 Electronic Copy to PO and CO

  
 32 

											
		  		  		  		  	 satisfaction of BARDA before Submission.
  

•        Any Final submissions shall be submitted to BARDA concurrently
or no later than one (1) calendar day of its submission
	  	
						
	29.	  	Press Releases	  	5 business days prior to release	  	The Contractor agrees to accurately and factually represent the work conducted under this contract in all press releases	  	 •        The Contractor shall ensure that the CO has
received and approved an advanced copy of any press release to this contract not less than 5 business days prior to the issuance of the press release
  

•        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 submissions shall be submitted to BARDA concurrently
or no later than one (1) calendar day of its submission.
	  	1 Electronic Copy to PO and CO
						
	30.	  	Contract financing Report	  	No later than the 30th business day after the end of the reporting period	  	The Financial Report shall be submitted by the Contractor in accordance with the instructions set forth in section G.4 of this contract.	  	The Contractor shall provide the contract financing report no later than the 30th business day after the end of the reporting period in accordance with the instructions set forth in section G.4 of this contract.	  	

  
 33 

 [***] 
 Unless
otherwise specified by the Contracting Officer, delivery of reports to be furnished to the Government under this contract (including invoices), shall be delivered electronically along with a concurrent email notification to the Contracting Officer,
Contract Specialist, and COTR summarizing the electronic delivery. 
 In addition, a physical hard copy, unless otherwise specified by the Contracting
Officer, delivery of reports to be furnished to the Government under this contract (including invoices), shall be addressed as follows: 
  

			
	Contracting Officer’s and Contracting Specialist’s address: 	  	 AMCG
 330 Independence Avenue, S.W.

Room G640
 Washington, D.C. 20201

E-mail: Ethan.Mueller@hhs.gov

		
	Contracting Officer’s Technical Representative’s address:	  	 BARDA
 330 Independence
Avenue, S.W.
 Room G644

Washington, D.C. 20201
 E-mail:
Joseph.Larsen@hhs.gov

 ARTICLE F.3. CLAUSES INCORPORATED BY REFERENCE, FAR 52.252-2 (FEBRUARY 1998) 

The 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. Also, the full text of a clause may be accessed electronically at this address: http://www.acquisition.gov/comp/far/index.html 

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSE: 

52.242-15, Stop Work Order (August 1989) with Alternate I (April 1984). 

SECTION G—CONTRACT ADMINISTRATION DATA 
 ARTICLE
G.1. CONTRACTING OFFICER 
 The following Contracting Officer will represent the Government for the purpose of this contract: 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 34 

 Ethan J. Mueller, Contracting Officer 

DHHS/OS/ASPR/AMCG 
 330
Independence Avenue, S.W. 
 Room 640G 

Washington, D.C. 2020 
 E-mail:
Ethan.Mueller@hhs.gov 
  

	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 COTR designation. 

 ARTICLE G.2. CONTRACTING OFFICER’S
TECHNICAL REPRESENTATIVE (COTR) 
 The following COTR will represent the Government for the purpose of this contract: 

 

	 	1.	Joseph Larsen, Ph.D., COTR 

	 	    	DI-11-1S/OS/ASPR/BARDA 

	 	    	330 Independence Avenue, S.W. 

	 	    	Room 640G 

	 	    	Washington, D.C. 20201 

	 	    	E-mail: Joseph.Larsen@hhs.gov 

 The COTR is responsible for: (1) monitoring the
Contractor’s technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements; (2) 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. 

  
 35 

 ARTICLE G.3. KEY PERSONNEL 

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: 
  

									
	 #
	  	 NAME
	  	 ORGANIZATION
	  	 TITLE
	  	 B55 SCALE-UP ROLE

					
	 1
	  	[***]	  	[***]	  	[***]	  	[***]
					
	 2
	  	[***]	  	[***]	  	[***]	  	[***]

 The key personnel specified in this contract are considered to be essential to work performance. At least 30 business days
prior to diverting any of the specified individuals to other programs or contracts, including an instance when an individual must be replaced 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) 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. 

ARTICLE G.4. CONTRACT FINANCIAL REPORT 
 a. Financial
reports on the attached Financial Report of Individual Project/Contract (see Attachments 2 and 3) shall be submitted by the Contractor in accordance with the instructions for completing this form, which accompany the form, in an original and two
copies, 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. 
 b. Unless otherwise stated in that part of the
instructions for completing this form, entitled “PREPARATION INSTRUCTIONS,” (see Attachment 4) all columns A through J, shall be completed for each report submitted. 

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. 
 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. 

e. The listing of expenditure categories to be reported is incorporated within the Attachment entitled, “Financial Report of Individual
Project/Contract,” located in SECTION J and made a part of this contract. 
 f. The Government may unilaterally revise the “Financial Report of
Individual Project/Contract” to reflect the allotment of additional funds. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 36 

 ARTICLE G.5. INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING 

 

	1)	The Contractor shall submit an electronic copy of monthly contract invoices/financial reports to the address shown below: 

DHHS/OS/ASPR/AMCG 
 Attn: Ethan J.
Mueller, Contracting Officer 
 330 Independence Ave., S.W. 

Room G640 
 Washington, D.C. 20201

  

	2)	Contractor invoices/financial reports shall conform to the form, format, and content requirements of the instructions for Invoice/Financing requests and Contract Financial Reporting made a part of the contract in
Section J (See also Attachment 2). 

  

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

 

	4)	The Contractor agrees to immediately notify the Contracting Officer in writing if there is an anticipated overrun (any amount) or unexpended balance (greater than 10 percent) of the amount allotted to the contract, and
the reasons for the variance. Also refer to the requirements of the Limitation of Cost FAR 52.232-20 clause in the contract. 

  

	5)	All invoice submissions shall be in accordance with FAR. Clause 52.232-25 (c) in Section I of this contract. 

ARTICLE G.6. REIMBURSEMENT OF COST 
  

	1)	The Government shall reimburse the Contractor the cost determined by the Contracting Officer to be allowable (hereinafter referred to as allowable cost) in accordance with the clause entitled Allowable Cost and Payment
in Section I, Contract Clauses, and FAR Subpart 31.2. Examples of allowable costs include, but are not limited to, the following: 

  

	 	a)	All direct materials and supplies that are used in the performing of the work provided for under the contract, including those purchased for subcontracts and purchase orders. 

 

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

  

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

  

	 	d)	Special expenditures which, upon request from the Contractor, the Contracting Officer approves as being an allowable cost under this contract, such as purchase or lease of office furniture or equipment, etc.

  
 37 

	 	e)	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:

  

	 	(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). 

 

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

  

	 	(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). 

  

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

ARTICLE G.7. INDIRECT COST RATES 
 The following rates
will be utilized for billing purposes during the base period. [***]. The billing rates for each option period will be based on [***]. Final rate proposals must be sent to the Contracting Officer, within 6 months subsequent to the fiscal year end.
(see also FAR Clause 52.216-7 incorporated herein) 
 ARTICLE G.8. POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE 

1. Contractor Performance Evaluations 

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 June 29, 2012. 

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. 
 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. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 38 

 2. Electronic Access to Contractor Performance Evaluations 

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: 
 http://oamp.od.nih.gov/OD/CPS/cps.asp 

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 who 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. 
 ARTICLE G.9. CONTRACT COMMUNICATIONS/CORRESPONDENCE (JULY 1999) 

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. 
 ARTICLE G.10. GOVERNMENT PROPERTY 
 1. In
addition to the requirements of the clause, GOVERNMENT PROPERTY, incorporated in SECTION I of this contract, the Contractor shall comply with the provisions of HHS Publication, “Contractor’s Guide for Control of Government Property,”
which is incorporated into this contract by reference. This document can be accessed at: 

http://www.hhs.gov/oamp/policies/contractors_guide_for_control_of_gov_property.pdf . Among other issues, this publication provides a summary of the
Contractor’s responsibilities regarding purchasing authorizations and inventory and reporting requirements under the contract. 
 2. Notwithstanding the
provisions outlined in the HHS Publication, “Contractor’s Guide for Control of Government Property,” which is incorporated in this contract in paragraph a. 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 included as an attachment in SECTION J of this contract. 

3. Title will vest in the Government for equipment purchased as a direct cost. 

SECTION H—SPECIAL CONTRACT REQUIREMENTS 
 ARTICLE
H.1. PROTECTION OF HUMAN SUBJECTS, HHSAR 352.270-4 (January 2006) 
 (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 Assurance of Compliance on file with the Office for Human Research 

  
 39 

 
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. 
 (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. 

(c) If at any time during the performance of this contract, the Contracting Officer determines, in consultation with OHRP that 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, and the Contractor’s name may be removed from the list of those contractors with approved Human
Subject Assurances. 
 ARTICLE H.2. HUMAN MATERIALS (ASSURANCE OF OHRP COMPLIANCE) 

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. 
 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. 

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 

  
 40 

 
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). 

ARTICLE H.3. RESEARCH INVOLVING HUMAN FETAL TISSUE 
 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 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. 

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. 
 ARTICLE H.4. NEEDLE EXCHANGE 

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. 
 ARTICLE H.5. PRESS RELEASES 
 The Contractor
shall clearly state, when issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money: (1) the percentage of the total costs of
the program or project which will be financed with Federal money; (2) the dollar amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total costs of the project or program that will be
financed by nongovernmental sources. 
 ARTICLE H.6. CARE OF LIVE VERTEBRATE ANIMALS, HHSAR 352.270-5 (October 2009) 

(a) Before undertaking performance of any contract involving animal-related activities where the species is regulated by USDA, the Contractor shall register
with the Secretary of Agriculture of the United States in accordance with 7 U.S.C. 2136 and 9 CFR sections 2.25 through 2.28. The Contractor shall furnish evidence of the registration to the Contracting Officer. 

(b) The Contractor shall acquire vertebrate animals used in research from a dealer licensed by the Secretary of Agriculture under 7 U.S.C. 2133 and 9 CFR
Sections 2.1-2.11, or from a source that is exempt from licensing under those sections. 
 (c) The Contractor agrees that the care, use and intended use of
any live vertebrate animals in the performance of this contract shall conform with the Public Health Service (PHS) Policy on Humane Care of Use of Laboratory Animals (PHS Policy), the current Animal Welfare Assurance (Assurance), the Guide for the
Care and Use of Laboratory Animals (National 

  
 41 

 
Academy Press, Washington, DC) and the pertinent laws and regulations of the United States Department of Agriculture (see 7 U.S.C. 2131 et seq. and 9 CFR Subchapter A, Parts 1-4). In case of
conflict between standards, the more stringent standard shall govern. 
 (d) If at any time during performance of this contract, the Contracting Officer
determines, in consultation with the Office of Laboratory Animal Welfare (OLAW), National Institutes of Health (NIH), that the Contractor is not in compliance with any of the requirements and standards stated in paragraphs (a) through
(c) 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. Notice of the suspension may be communicated by telephone and
confirmed 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, in consultation with OLAW, NIH, terminate
this contract in whole or in part, and the Contractor’s name may be removed from the list of those contractors with approved Assurances. 
 Note: The
Contractor may request registration of its facility and a current listing of licensed dealers from the Regional Office of the Animal and Plant Health Inspection Service (APHIS), USDA, for the region in which its research facility is located. The
location of the appropriate APHIS Regional Office, as well as information concerning this program may be obtained by contacting the Animal Care Staff, USDA/APHIS, 4700 River Road, Riverdale, Maryland 20737 (E-mail: ace@aphis.usda.gov; Web
site: (http://www.aphis.usda.gov/animal_welfare). 
 ARTICLE H.7. ANIMAL WELFARE 

All research involving live, vertebrate animals shall be conducted in accordance with the Public Health Service Policy on Humane Care and Use of Laboratory
Animals. This policy may be accessed at: 
 http://grants1.nih.gov/grants/olaw/references/phspol.htm 

ARTICLE H.8. PROTECTION OF PERSONNEL WHO WORK WITH NONHUMAN PRIMATES 

All Contractor personnel who work with nonhuman primates or enter rooms or areas containing nonhuman primates shall comply with the procedures set forth in NIH
Policy Manual 3044-2, entitled, “Protection of NIH Personnel Who Work with Nonhuman Primates,” located at the following URL: 

http://www1.od.nih.gov/oma/manualchapters/intramural/3044-2/ 

ARTICLE H.9. PUBLICATION AND PUBLICITY 
 No information
related to data obtained under this contract shall be released or publicized without the prior written consent of the Contracting Officer Technical Representative. 

In addition to the requirements set forth in HHSAR Clause 352.227-70, Publications and Publicity incorporated by reference in SECTION I of this contract, the
Contractor shall acknowledge the support of the Biomedical Advanced Research and Development Authority 

  
 42 

 
whenever publicizing the work under this contract in any media by including an acknowledgment substantially as follows: 

“This project has been funded in whole or in part with Federal funds from the Biomedical Advanced Research and Development Authority,
Office of the Assistant Secretary for Preparedness and Response, Office of the Secretary, Department of Health and Human Services, under Contract No.
                    ” 
 ARTICLE H.10.
REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE 
 Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in BARDA
funded programs is encouraged to report such matters to the HHS Inspector General’s Office in writing or on the Inspector General’s Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled
confidentially. The e-mail address is Htips@os.dhhs.gov and the mailing address is: 
 Office of Inspector General 

Department of Health and Human Services 

TIPS HOTLINE 
 P.O. Box 23489 

Washington, D.C. 20026 
 ARTICLE 11.11.
PROHIBITION ON CONTRACTOR INVOLVEMENT WITH TERRORIST ACTIVITIES 
 The Contractor acknowledges that U.S. Executive Orders and Laws, including but not
limited to E.O. 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. 
 ARTICLE H.12. CONFLICT OF INTEREST

 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 Subpart 9.5, or 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 

  
 43 

 
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 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. 
 ARTICLE H.13. EXERCISE OF OPTIONS 

Unless the Government exercises its option pursuant to the Option Clause set forth in Section I, Article I.1, the contract will consist only of CLIN
0001 of the Statement of Work, Deliverables and Requirements as defined in Sections C, F and J of the contract. Pursuant to FAR Clause 52.217-7 (Option for Increased Quantity–Separately Priced Line Item) set forth in Section I of
this contract, under Article I.1., the Government may, by unilateral contract modification, require the Contractor to perform any of the additional CLINslisted in Section B, Article B.3., and as also defined in Sections C, F and J of this
contract. If the Government exercises an option, notice must be given at least 60 days prior to the expiration date of the Period of Performance (PoP) applicable to the base period or the PoP applicable to any option period. The amount of the
contract will then be increased as set forth in Section B, Article B.3. 
 ARTICLE H.14. PROHIBITION ON THE USE OF APPROPRIATED FUNDS FOR LOBBYING
ACTIVITIES AND HHSAR 352.203-70 ANTI-LOBBYING (Jan 2006) 
 The Contractor is hereby notified of the restrictions on the use of Department of Health and
Human Service’s funding for lobbying of Federal, State and Local legislative bodies. 
 Section 1352 of Title 10, United Stated Code (Public Law
101-121, effective 12/23/89), among other things, prohibits a recipient (and their subcontractors) of a Federal contract, grant, loan, or cooperative agreement from using appropriated funds (other than profits from a federal contract) to pay any
person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions;
the awarding of any Federal contract; the making of any Federal grant; the making of any Federal loan; the entering into of any cooperative agreement; or the modification of any Federal contract, grant, loan, or cooperative agreement. For additional
information of prohibitions against lobbying activities, see FAR Subpart 3.8 and FAR Clause 52.203-12. 
 In addition, as set forth in HHSAR 352.203-70
“Anti-Lobbying” (January 2006), the current Department of Health and Human Services Appropriations Act provides that no part of any appropriation contained in this Act shall be used, other than for normal and recognized executive-
legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support, or defeat legislation pending before
the Congress, or any State or Local legislature except in presentation to the Congress, or any State or Local legislative body itself. 
 The current
Department of Health and Human Services Appropriations Act also provides that no part of any appropriation contained in this Act shall be used to pay the salary or expenses of any 

  
 44 

 
contract or grant recipient, or agent acting for such recipient, related to any activity designed to influence legislation or appropriations pending before the Congress, or any State or Local
legislature. 
 ARTICLE H.15. PRIVACY ACT APPLICABILITY (Apr 2000) 
  

	1)	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
http://www.gpoaccess.gov/cfr/index.html 

  

	2)	The Project Officer is hereby designated as the official who is responsible for monitoring contractor compliance with the Privacy Act. 

 

	3)	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 

 Note: Clinical trials cannot be initiated until the System Notice has been
published and the Contracting Officer notifies the Contractor. 
 ARTICLE H.16. LABORATORY LICENSE REQUIREMENTS (May 1998) 

The Contractor shall comply with all applicable requirements of Section 353 of the Public Health Service Act (Clinical Laboratory Improvement Act as
amended). This requirement shall also be included in any subcontract for services under the contract. 
 ARTICLE H.17. DISSEMINATION OF INFORMATION (May
1998) 
 No information related to data obtained under this contract shall be released or publicized without the prior written consent of the Contracting
Officer. 
 ARTICLE H.18. IDENTIFICATION AND DISPOSITION OF DATA 

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 directly related to and/or generated under 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. 
 ARTICLE H.19. INFORMATION ON COMPLIANCE WITH ANIMAL CARE REQUIREMENTS 

Registration with the U.S. Dept. of Agriculture (USDA) is required to use regulated species of animals for biomedical purposes. USDA is responsible for the
enforcement of the Animal Welfare Act (7 U.S.C. 2131 et. seq.), http://www.nal.usda.gov/awic/legislat/awa.htm. 

  
 45 

 The Public Health Service (PHS) Policy is administered by the Office of Laboratory Animal Welfare (OLAW)
http://grants2.nih.gov/grants/olaw/olaw.htm. An essential requirement of the PHS Policy http://grants2.nih.gov/grants/olaw/references/phspol.htm is that every institution using live vertebrate animals must obtain an approved assurance
from OLAW before they can receive funding from any component of the U.S. Public Health Service. 
 The PHS Policy requires that Assured institutions base
their programs of animal care and use on the Guide for the Care and Use of Laboratory Animals http://www.nap.edu/readingroom/books/labrats/ and that they comply with the regulations (9 CFR, Subchapter A)
http://www.nal.usda.gov/awic/legislat/usdalegl.htm issued by the U.S. Department of Agriculture (USDA) under the Animal Welfare Act. The Guide may differ from USDA regulations in some respects. Compliance with the USDA regulations is
an absolute requirement of this Policy. 
 The Association for Assessment and Accreditation of Laboratory Animal Care International (AAALAC)
http://www.aaalac.org is a professional organization that inspects and evaluates programs of animal care for institutions at their request. Those that meet the high standards are given the accredited status. As of the 2002 revision of the PHS
Policy, the only accrediting body recognized by PHS is the AAALAC. While AAALAC Accreditation is not required to conduct biomedical research, it is highly desirable. AAALAC uses the Guide as their primary evaluation tool. They also use the
Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. It is published by the Federated of Animal Science Societies http://www.fass.org. 

ARTICLE H.20. REQUIREMENTS FOR ADEQUATE ASSURANCE OF PROTECTION OF VERTEBRATE ANIMAL SUBJECTS 

The PHS Policy on Humane Care and Use of Laboratory Animals requires that applicant organizations proposing to use vertebrate animals file a written Animal
Welfare Assurance with the Office for Laboratory Animal Welfare (OLAW), establishing appropriate policies and procedures to ensure the humane care and use of live vertebrate animals involved in research activities supported by the PHS. The PHS
Policy stipulates that an applicant organization, whether domestic or foreign, bears responsibility for the humane care and use of animals in PHS-supported research activities. Also, the PHS policy defines
“animal” as “any live, vertebrate animal used, or intended for use, in research, research training, experimentation, biological testing or for related purposes.” This Policy implements and supplements the U.S. Government
Principles for the Utilization and Care of Vertebrate Animals Used in Testing, Research, and Training, and requires that institutions use the Guide for the Care and Use of Laboratory Animals as a basis for developing and implementing an
institutional animal care and use program. This Policy does not affect applicable State or local laws or regulations that impose more stringent standards for the care and use of laboratory animals. All institutions are required to comply, as
applicable, with the Animal Welfare Act as amended (7 USC 2131 et. seq.) and other Federal statutes and regulations relating to animals. These documents are available from the Office of Laboratory Animal Welfare, National Institutes of Health,
Bethesda, MD 20892, (301) 496-7163. See http://grants.nih.gov/grants/olaw/olaw.htm. 

  
 46 

 No PHS supported work for research involving vertebrate animals will be conducted by an organization, unless that
organization is operating in accordance with an approved Animal Welfare Assurance and provides verification that the Institutional Animal Care and Use Committee (IACUC) has reviewed and approved the proposed activity in accordance with the PHS
policy. Applications may be referred by the PHS back to the institution for further review in the case of apparent or potential violations of the PHS Policy. No award to an individual will be made unless that individual is affiliated with an assured
organization that accepts responsibility for compliance with the PHS Policy. Foreign applicant organizations applying for PHS awards for activities involving vertebrate animals are required to comply with PHS Policy or provide evidence that
acceptable standards for the humane care and use of animals will be met. Foreign applicant organizations are not required to submit IACUC approval, but should provide information that is satisfactory to the Government to provide assurances for the
humane care of such animals. 
 ARTICLE H.21. APPROVAL OF REQUIRED ASSURANCE BY OLAW 

Under governing regulations, federal funds which are administered by the Department of Health and Human Services, Office of Biomedical Advanced Research and
Development Authority (BARDA) shall not be expended by the Contractor for research involving live vertebrate animals, nor shall live vertebrate animals be involved in research activities by the Contractor under this award unless a satisfactory
assurance of compliance with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28 is submitted within 30 days of the date of this award and approved by the Office of Laboratory Animal Welfare (OLAW). Each performance site (if any) must also assure compliance
with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28 with the following restriction: Only activities which do not directly involve live vertebrate animals (i.e. are clearly severable and independent from those activities that do involve live vertebrate
animals) may be conducted by the Contractor or individual performance sites pending OLAW approval of their respective assurance of compliance with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28. Additional information regarding OLAW may be obtained via
the Internet at http://grants2.nih.gov/grants/olaw/references/phspol.htm 
 ARTICLE H.22. 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. 

  
 47 

 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 (http://www.cdc.gov/od/sap/docs/42cfr73.pdf) 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 htt://www.cdc.gov/od/sap/. 
 ARTICLE
H.23. EPA ENERGY STAR REQUIREMENTS 
 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. 

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. 
 ARTICLE H.24.
ACKNOWLEDGMENT OF FEDERAL FUNDING 
  

	A.	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 (1) the percentage and dollar amounts of the total program or project costs financed with Federal money, and (2) the percentage and dollar amount of the total costs financed by
nongovernmental sources. 

  
 48 

 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. 
  

	B.	Publication and Publicity 

 Publications: Any manuscript or scientific meeting abstract
containing data generated under this contract must be submitted for BARDA Project Officer 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. A “publication” is defined as an issue of printed material offered for distribution or any communication or oral presentation of information. 

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: 

“This project has been funded in whole or in part with Federal funds from the Office of the Assistant Secretary for Preparedness and
Response, Biomedical Advanced Research and Development Authority, under Contract No. HHSO100201000046C.” 
  

	C.	Press Releases 

  

	 	(a)	Pursuant to Section 508 of Public Law 105-78, the Contractor shall clearly state, when issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or
programs funded in whole or in part with Federal money that: (1) the percentage of the total costs of the program or project which will be financed with Federal money; (2) the dollar amount of Federal funds for the project or program; and
(3) the percentage and dollar amount of the total costs of the project or program that will be financed by nongovernmental sources. 

  

	 	(b)	The Contractor agrees to accurately and factually represent the work conducted under this contract in all press releases. 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. The Contractor shall ensure that the Project Officer has
received an advance copy of any press release related to this contract not less than four (4) working days prior to the issuance of the press release. 

ARTICLE H.25. MANUFACTURING STANDARDS 
 The Good
Manufacturing Practice Regulations (GMP)(21 CFR Parts 210-211) and regulations pertaining to biological products (21 CFR Part 600) and regulations pertaining to diagnostic 

  
 49 

 products (21 CFR Part 860) 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 USG Project Officer, or fails to provide a remediation plan that is acceptable to the Project Officer, then the contract may be terminated. 

ARTICLE H.26. EXPORT CONTROL NOTIFICATION 
 Offerors 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. Offerors 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). 

ARTICLE H.27. 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. For the purposes of this part relating to financial interests, “Investigator” includes the Investigator’s spouse and dependent children. 45 CFR Part 94 is available at the following Web site: 

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=9f130b6d2d48bb73803ca91ce943be3a;rgn=div5;view=text;node=45%3A1.0.1.1.53;idno=45;cc=ecfr 

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 

  
 50 

 
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. 

  
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 ARTICLE H.28. HUMAN MATERIALS 

It is understood that the acquisition and supply of all human specimen material (including fetal material) used under this contract will be obtained by the
Contractor in full compliance with applicable State and Local laws and the provisions of the Uniform Anatomical Gift Act in the United States and that no undue inducements, monetary or otherwise, will be offered to any person to influence their
donation of human material. 
 ARTICLE H.29. 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 (http://www.cdc.gov/od/sap/docs/42cfr73.pdf) 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 http://www.cdc.gov/od/sap/. 

  
 52 

 PART II—CONTRACT CLAUSES 

SECTION I—CONTRACT CLAUSES 
 ARTICLE 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 these addresses: http://www.arnet.gov 

General Clauses for Cost-Reimbursement Research and Development 
  

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

  

					
	 FAR    

CLAUSE NO.    
	  	
            DATE         
   
	  	 TITLE

			
	52.202-1	  	Jul 2004	  	Definitions
			
	52.203-3	  	Apr 1984	  	Gratuities (Over $100,000)
			
	52.203-5	  	Apr 1984	  	Covenant Against Contingent Fees (Over $100,000)
			
	52.203-6	  	Sep 2006	  	Restrictions on Subcontractor Sales to the Government (Over $100,000)
			
	52.203-7	  	Jul 1995	  	Anti-Kickback Procedures (Over $100,000)
			
	52.203-8	  	Jan 1997	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over $100,000)
			
	52.203-10	  	Jan 1997	  	Price or Fee Adjustment for Illegal or Improper Activity (Over $100,000)
			
	52.203-12	  	Sep 2007	  	Limitation on Payments to Influence Certain Federal Transactions (Over $100,000)
			
	52.203-13	  	Apr 2010	  	Contractor Code of Business Ethics and Conduct
			
	52.203-14	  	Dec 2007	  	Display of Hotline Poster
			
	52.204-4	  	Aug 2000	  	Printed or Copied Double-Sided on Recycled Paper (Over $100,000)
			
	52.204-7	  	Apr 2008	  	Central Contractor Registration
			
	52.209-6	  	Sep 2006	  	Protecting the Government’s Interests When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $25,000)
			
	52.215-2	  	Mar 2009	  	Audit and Records—Negotiation (Over $100,000)
			
	52.215-8	  	Oct 1997	  	Order of Precedence—Uniform Contract Format
			
	52.215-10	  	Oct 1997	  	Price Reduction for Defective Cost or Pricing Data
			
	52.215-12	  	Oct 1997	  	Subcontractor Cost or Pricing Data (Over $500,000)

  
 53 

					
			
	52.215-14	  	Oct 1997	  	Integrity of Unit Prices (Over $100,000)
			
	52.215-15	  	Oct 2004	  	Pension Adjustments and Asset Reversions
			
	52.215-18	  	Jul 2005	  	Reversion or Adjustment of Plans for Post-Retirement Benefits (PRB) other than Pensions
			
	52.215-19	  	Oct 1997	  	Notification of Ownership Changes
			
	52.215-21	  	Oct 1997	  	Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data – Modifications
			
	52.216-7	  	Dec 2002	  	Allowable Cost and Payment (Note: the following language is included in this clause – “(3) The designated payment office will make interim payments for contract financing on the 30th day after the designated billing
office receives a proper payment request...”
			
	52.216-8	  	Mar 1997	  	Fixed Fee
			
	52.217-7	  	Mar 1989	  	Option for Increased Quantity – Separately Priced Line Item
			
	52.219-8	  	May 2004	  	Utilization of Small Business Concerns (Over $100,000)
			
	52.219-9	  	Jul 2010	  	Small Business Subcontracting Plan (Over $500,000)
			
	52.219-16	  	Jan 1999	  	Liquidated Damages—Subcontracting Plan (Over $500,000)
			
	52.222-3	  	Jun 2003	  	Convict Labor
			
	52.222-19	  	Jul 2010	  	Child Labor — Cooperation with Authorities and Remedies
			
	52.222-21	  	Feb 1999	  	Prohibition of Segregated Facilities
			
	52.222-26	  	Mar 2007	  	Equal Opportunity
			
	52.222-35	  	Sep 2006	  	Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans
			
	52.222-36	  	Jun 1998	  	Affirmative Action for Workers with Disabilities
			
	52.222-37	  	Sep 2006	  	Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans
			
	52.222-50	  	Feb 2009	  	Combating Trafficking in Persons
			
	52.222-54	  	Jan 2009	  	Employment Eligibility Verification
			
	52.223-6	  	May 2001	  	Drug-Free Workplace
			
	52.223-14	  	Aug 2003	  	Toxic Chemical Release Reporting (Over $100,000)
			
	52.224-1	  	April 1984	  	Privacy Act Notification
			
	52.224-2	  	April 1984	  	Privacy Act
			
	52.225-1	  	Feb 2009	  	Buy American Act – Supplies
			
	52.225-13	  	Jun 2008	  	Restrictions on Certain Foreign Purchases
			
	52.227-1	  	Dec 2007	  	Authorization and Consent, Alternate I (Apr 1984)
			
	52.227-2	  	Dec 2007	  	Notice and Assistance Regarding Patent and Copyright Infringement (Over $100,000)
			
	52.227-11	  	Dec 2007	  	Patent Rights—Ownership by the Contractor

  
 54 

					
			
	52.227-14	  	Dec 2007	  	Rights in Data – General, Alternate II (Dec 2007)
			
	52.232-9	  	Apr 1984	  	Limitation on Withholding of Payments
			
	52.232-17	  	Oct 2008	  	Interest (Over $100,000)
			
	52.232-20	  	Apr 1984	  	Limitation of Cost
			
	52.232-23	  	Jan 1986	  	Assignment of Claims
			
	52.232-25	  	Oct 2008	  	Prompt Payment
			
	52.232-33	  	Oct 2003	  	Payment by Electronic Funds Transfer—Central Contractor Registration
			
	52.233-1	  	Jul 2002	  	Disputes
			
	52.233-3	  	Aug 1996	  	Protest After Award, Alternate I (June 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 2001	  	Penalties for Unallowable Costs (Over $500,000)
			
	52.242-4	  	Jan 1997	  	Certification of Final Indirect Costs
			
	52.242-13	  	Jul 1995	  	Bankruptcy (Over $100,000)
			
	52.242-15	  	Apr 1989	  	Stop Work Order. Alt I (Aug 1984)
			
	52.243-2	  	Aug 1987	  	Changes—Cost Reimbursement, Alternate V (Apr 1984)
			
	52.244-2	  	June 2007	  	Subcontracts
			
	52.244-5	  	Dec 1996	  	Competition in Subcontracting (Over $100,000)
			
	52.244-6	  	Jun 2010	  	Subcontracts for Commercial Items
			
	52.245-1	  	Aug 2010	  	Government Property
			
	52.245-9	  	Aug 2010	  	Use and Charges
			
	52.246-23	  	Feb 1997	  	Limitation of Liability (Over $100,000)
			
	52.249-6	  	May 2004	  	Termination (Cost-Reimbursement)
			
	52-249-14	  	Apr 1984	  	Excusable Delays
			
	52.253-1	  	Jan 1991	  	Computer Generated Forms

  

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

  

					
	 HHSAR    

CLAUSE NO.    
	  	
            DATE         
   
	  	 TITLE

			
	352.202-1	  	Jan 2006	  	Definitions—with Alternate paragraph (h) (Jan 2001)
			
	352.203-70	  	Jan 2006	  	Anti-Lobbying
			
	352.216-70	  	Jan 2006	  	Additional Cost Principles
			
	352.227-70	  	Jan 2006	  	Publications and Publicity

  
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	352.228-7	  	Dec 1991	  	Insurance—Liability to Third Persons
			
	352.231-71	  	Jan. 2001	  	Pricing of adjustments.
			
	352.233-71	  	Jan 2006	  	Litigation and Claims
			
	352.234-3	  	Oct 2008	  	Full Earned Value Management System
			
	352.242-70	  	Jan 2006	  	Key Personnel
			
	352.242-73	  	Jan 2006	  	Withholding of Contract Payments
			
	352.242-74	  	Apr 1984	  	Final Decisions on Audit Findings

 ARTICLE 1.2. ADDITIONAL CONTRACT CLAUSES 

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

 

	 	1.	FAR Clause 52.215-17, Waiver of Facilities Capital Cost of Money (October 1997). 

  

	 	2.	FAR Clause 52.219-25, Small Disadvantaged Business Participation Program— Disadvantaged Status and Reporting (April 2008). 

 

	 	3.	FAR Clause 52.227-16, Additional Data Requirements (June 1987). 

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

	 	1.	HHSAR Clause 352.223-70, Safety and Health (January 2006). 

  

	 	2.	HHSAR Clause 352.224-70, Privacy Act (January 2006). 

  

	 	3.	HHSAR Clause 352.201-70, Paperwork Reduction Act (January 2006). 

 ARTICLE 1.3. 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: 
  

	a.	FAR Clause 52.219-28, Post-Award Small Business Program Representation (April 2009). 

  

	 	(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 

  
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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 (c) 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 a small business concern prior to award of this contract, the Contractor shall represent its size status according to paragraph (e) of this clause or, if applicable,
paragraph (g) of this clause, upon the 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)	The Contractor shall represent its size status in accordance with the size standard in effect at the time of this representation that corresponds to the North American Industry Classification System (NAICS) code
assigned to this contract. The small business size standard corresponding to this NAICS code can be found at http://www.sba.gov/contractingopportunities/officials/size/index.html. 

 

	(d)	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. 

 

	(e)	 Except as provided in paragraph (g) of this clause, the Contractor shall make the representation required by paragraph (b) of this clause by
validating or updating all its representations in the Online Representations and Certifications Application and its data 

  
 57 

	 	
in the Central Contractor Registration, 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 that the data have been validated or updated, and provide the date of the validation or update. 

  

	(f)	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 (e) or (g) of
this clause. 

  

	(g)	If the Contractor does not have representations and certifications in ORCA, or does not have a representation in ORCA for the NAICS code applicable to this contract, the Contractor is required to complete the following
representation and submit it to the contracting office, along with the contract number and the date on which the representation was completed: 

The Contractor represents that it [X] is, [ ] is not a small business concern under NAICS Code assigned to contract number. 

[Contractor to sign and date and insert authorized signer’s name and title]. 

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 29 July 2010. 

2. Invoice/Financing Request Instructions and Contract Financial Reporting Instructions for BARDA Cost-Reimbursement Type Contracts, 

Invoice/Financing Request Instructions and Contract Financial Reporting Instructions for BARDA Cost-Reimbursement Type Contracts, 5 pages. 

3. Financial Report of Individual Project/Contract, 1 page 

4. Instructions for Completing Financial Report of Individual Project/Contract, 3 pages 

5. Inclusion Enrollment Report 

Inclusion Enrollment Report, 5/01 (Modified OAMP: 10/01), 1 page. 

6. Research Patient Care Costs 

Research Patient Care Costs, 1 page. 

  
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 7. Report of Government Owned, Contractor Held Property 

Report of Government Owned, Contractor Held Property, dated 12/2/09, 1 page. Located at:

http://rcb.eancer.gov/rcb-internet/forms/Govt-Owned-Prop.pdf (Not Attached) 
 8. Communication Management Plan, dated
29 July 2010. 
 9. Non Clinical and Clinical Terms of Award, dated 29 July 2010. 

10. List of Limited Data Rights, 9 Pages. 

  
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 PART IV—REPRESENTATIONS AND INSTRUCTIONS 

SECTION K—REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS 

The following documents are incorporated by reference in this contract: 
  

	1)	Annual Representations and Certifications completed at the Online Representations Applications (ORCA) website. 

  

	2)	Representations & Certifications dated 22 April 2010. 

  

	3)	Human Subjects Assurance Identification Number: To be Determined (TBD). 

  

	4)	Animal Welfare Assurance Numbers: 

 [***] 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
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 ATTACHMENT 1 – Statement of Work, dated 29 July 2010. 

1 of 10 Pages. 

  
 61 

 BAA BARDA-09-34 

Advanced Research and Development of Chemical, Biological, Radiological, and 

Nuclear Medical Countermeasures 

ACHN-490: A NOVEL, BROAD SPRECTRUM “NEOGLYCOSIDE” 

ANTIBIOTIC FOR THE TREATMENT OF RESISTANT THREAT AGENTS 

Contractual Statement of Work 
 1.
Preamble 
 Independently and not as an agency of the Government, the Contractor shall be required to 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 submitted in response to the Broad Agency Announcement (BAA) BARDA 09- 34. 

Government reserves the right to modify the milestones, progress, schedule, budget, or product to add or delete products, process, or schedules as need may
arise. Because of the nature of this (R&D) contract and complexities inherent in this and prior programs, at designated milestones the Government will evaluate whether work should be redirected, removed, or whether schedule or budget adjustments
should be made. The Government reserves the right to change product, process, schedule, or events to add or delete part or all of these elements as the need arises. 

1.1 Overall Objectives and Scope 
 The overall objective
of this contract is to [***], as directed by BARDA. The scope of work for this contract includes preclinical, clinical and manufacturing development activities that fall into the following areas: [***]; and all associated [***] activities. 

2. INTEGRATED PRODUCT DEVELOPMENT PLAN 
 The contractor
shall carry out the following tasks and subtasks, by stage, and in accordance with an agreed upon Integrated Product Development Plan (IPDP) which shall further detail the conduct of the specific tasks and subtasks. 

2.1. Stage One 
     [***] 

2.4 Project Management. The Contractor shall provide for the following as outlined below and in the contract deliverables list (reference),: 

2.4.1 The overall management, integration and coordination of all contract activities, including a technical and administrative infrastructure
to ensure the efficient planning, initiation, implementation, and direction of all contract activities; 
 2.4.2 A Principal Investigator
(PI) responsible for project management, communication, tracking, monitoring and reporting on status and progress, and recommending modification to 

  

	[***]	4 pages in this document have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
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the project requirements and timelines, including projects undertaken by subcontractors; The contract deliverables list (reference), identifies all contract deliverables and reporting
requirements for this contract 
 2.4.3 Project Manager(s) with responsibility for monitoring and tracking day-to-day progress and timelines,
coordinating communication and project activities; costs incurred; and program management; The contract deliverables list (reference), identifies all contract deliverables and reporting requirements for this contract 

2.4.4 A BARDA Liaison with responsibility for effective communication with the Project Officer and Contracting Officer. 

2.4.5 Administrative and legal staff to provide development of compliant subcontracts, consulting, and other legal agreements, and ensure
timely acquisition of all proprietary rights, including IP rights, and reporting all inventions made in the performance of the project; and 

2.4.6 Administrative staff with responsibility for financial management and reporting on all activities conducted by the Contractor and any
subcontractors. 
 2.4.7 Integrated Master Plan: The Contractor provided an Integrated Master Project Plan (including tabular and Gantt
forms) to BARDA that clearly indicates the critical path. The Integrated Master Project Plan shall be incorporated into the contract, and will be used to monitor performance of the contract. 

2.4.8 Critical Path Milestones: The Integrated Master Project Plan outlines key, critical path milestones, with “go/no go” decision
criteria (entrance and exit criteria for each phase of the project). The project plan should include, but not be limited to, milestones in manufacturing, non-clinical and clinical studies, and regulatory submissions. 

2.4.9 Work Breakdown Structure: The Contractor shall delineate the Contract Work Breakdown Structure (CWBS) to Level 5 as part of their
Integrated Master Project Plan. The CWBS shall be discernable and consistent. BARDA may require Contractor to furnish WBS data at the work package level or at a lower level if there is significant complexity and risk associated with the task. 

2.4.10 Risk Management Plan: The Contractor shall develop a risk management plan highlighting potential problems and/or issues that may arise
during the life of the contract, their impact on cost, schedule and performance, and appropriate remediation plans. This plan should reference relevant WBS elements where appropriate. 

2.4.11 Earned Value Management System Plan: Subject to the requirements under HHSAR Clause 352.234-3, the Contractor shall use principles of
Earned Value Management System (EVMS) in the management of this contract. The Seven Principles are: 
  

	 	I.	Plan all work scope for the program to completion. 

  

	 	II.	Break down the program work scope into finite pieces that can be assigned to a responsible person or organization for control of technical, schedule, and cost objectives. 

  
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	 	III.	Integrate program work scope, schedule, and cost objectives into a performance measurement baseline plan against which accomplishments may be measured. Control Changes to the baseline. 

 

	 	IV.	Use actual cost incurred and recorded in accomplishing the work performed. 

  

	 	V.	Objectively assess accomplishments at the work performance level. 

  

	 	VI.	Analyze significant variances from the plan, forecast impacts, and prepare an estimate at completion based on performance to date and work to be performed. 

 

	 	VII.	Use earned value information in the company’s management processes. 

 Elements of EVMS
shall be applied to all Cost Plus Fixed Fee CLINs as part of the Integrated Master Project Plan, the Contractor shall submit a written summary of the management procedures that it will establish, maintain and use to comply with EVMS requirements to
include the following topics: 
 2.4.12 Integrated Baseline Review: The Contractor shall submit a plan for an Integrated Baseline Review
(IBR) to occur within 90 days of contract award. At the IBR, the Contractor and BARDA shall mutually agree upon the budget, schedule and technical plan baselines (Performance Measurement Baseline). These baselines shall be the basis for monitoring
and reporting progress throughout the life of the contract. The IBR is conducted to achieve confidence that the baselines accurately capture the entire technical scope of work, are consistent with contract schedule requirements, are reasonably and
logically planned, and have adequate resources assigned. The goals of the IBR are as follows: 
  

	 	i.	Jointly assess areas such as the Contractor’s planning for complete coverage of the SOW, logical scheduling of the work activities, adequate resources, and identification of inherent risks 

 

	 	ii.	Confirm the integrity of the Performance Measurement Baseline (PMB) 

  

	 	iii.	Foster the use of EVM as a means of communication 

  

	 	iv.	Provide confidence in the validity of Contractor reporting 

  

	 	v.	Identify risks associated with the PMB 

  

	 	vi.	Present any revised PMBs for approval 

 2.4.13 Integrated Master Schedule: The Contractor shall
deliver an initial program level Integrated Master Schedule (IMS) that rolls up all time-phased WBS elements down to the activity level. This IMS shall include the dependencies that exist between tasks. This IMS will be agreed to and finalized at
the IBR. DI-MGMT-81650 may be referenced as guidance in creation of the IMS (see http://www.acq.osd.mil/pm/). 
 2.4.14 Quarterly
Performance Metrics Report: The Contractor shall deliver an Earned Value Contract Performance Report on a Quarterly basis. Contractor will provide a quarterly Contract Performance Report (CPR) at an agreed upon reporting level using the BARDA

  
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provided WBS and a Variance Analysis Report. Contractor will report EVM data on all Cost Plus CLINs. EV Variance thresholds will be negotiated with the Contractor post-award but for planning
purposes will likely be (+/-10%). In conjunction with the CPR, the Contractor shall provide a quarterly update to the IMS with up to date performance data and should include actual start/finish and projected start/finish dates. 

2.5 Regulatory Compliance. The Contractor shall manage the ACHN-490 IND and shall be responsible for: 

2.5.1 Preparing materials for and requesting, scheduling and participating in all meetings with the FDA, including meetings to review IND, EUA
and/or all other data packages; 
 2.5.2 Providing the dates and times of any meeting with the FDA to BARDA and make arrangements for
appropriate BARDA staff to attend FDA meetings; 
 2.5.3 Providing BARDA with (i) the initial draft minutes and final draft minutes of
any formal meeting with the FDA; (ii) final draft minutes of any informal meeting with the FDA; and (iii) five business days to review and comment upon any documents to be submitted to the FDA; 

2.5.4 Submitting all documentation to the FDA in a timely manner, consistent with timelines set out in the contract and by the FDA. 

2.6 Quality Assurance. The Contractor shall: 

2.6.1 Provide any relevant SOPs upon request from Project Officer/Contracting Officer; 

2.6.2 Ensure strict adherence to FDA regulations and guidance, including requirements for the conduct of animal studies and assays under GLP,
the manufacturing of the therapeutic candidate under cGMP, and the conduct of clinical trials under GCP standards (as defined by 21 CFR §312 and ICH Guidelines document E6). The Contractor shall maintain quality assurance documentation of
support adherence in these areas; and 
 2.6.3 Arrange for independent audits, as needed or as requested by the Project Officer. Audits may
be requested to assure that Contractor and/or subcontractor facilities and all planned procedures meet FDA regulations and guidance required for GLP, cGMP and GCP standards. In addition, the Contractor shall provide interim and final audit reports
to the Project Office and the Contracting Officer within thirty (30) calendar days of the completion of the audit. The Contractor agrees that BARDA may conduct independent audits of the Contractor and its subcontractors as needed to evaluate
compliance with the FDA regulations and guidance, including those required to meet GLP, cGMP or GCP standards. 
 2.7 Facilities, Equipment and Other
Resources. The Contractor shall provide equipment, facilities and other resources required for the implementation of the IPDP, such as the equipment and facilities, training and resources to comply with all Federal and HHS regulations in: 

2.7.1 The humane care and use of vertebrate animals; 

  
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 2.7.2 The handling, storage and shipping of potentially dangerous biological and chemical agents,
including Select agents under biosafety levels required for working with the biological agents under study; 
 2.7.3 The production,
characterization, and release testing of active pharmaceutical ingredient and final drug product under cGMP; 
 2.7.4 The design and conduct
of NDA-enabling non-clinical studies under GLP; and 2.7.5 The design and conduct of clinical trials in humans under GCP. 
 2.8 Security. The
contractor shall provide for: 
 2.8.1 The establishment of a comprehensive security program that provides a security plan for the overall
protection of personnel, information, data, and facilities; 
 2.8.2 Security administration, as an element of the security program that
addresses threat and risk assessments and related policies and procedures for personnel security, physical security, information security, information technology; and 

2.8.3 Security management, as an element of the security program that describes each element of security: physical, operations, personnel,
information, information technology, transportation; and related training, auditing, and reporting requirements. 
 2.9 Data Management. The
Contractor shall: 
 2.9.1 Be responsible for the development and implementation of data management and quality control systems/procedures,
including transmission, storage, confidentiality, and retrieval of all contract data; 
 2.9.2 Provide for the statistical design and
analysis of data resulting from the research; 
 2.9.3 Provide raw data or specific analyses of data generated with contract funding to the
Project Officer upon request. 
 2.10 Requirements for Implementing the Integrated Product Development Plan. 

2.10.1 Within 14 calendar days of the effective date of the contract, the Contractor shall submit an updated Integrated Product Development
Plan (IPDP) to the Project Officer and the Contracting Officer for approval prior to the initiation of any activities related to the implementation of these plans. 

2.10.2 Stage Gate Reporting. On completion of a stage of the product development, as defined in the approved IPDP, the Contractor shall
prepare and submit to the Project Officer and the Contracting Officer a Stage Gate Report that contains (i) sufficient detail, documentation and analysis to support successful completion of the stage according to the predetermined qualitative
and quantitative criteria that were established for Go/No Go decision making; and (ii) a description of the next stage of product development to be initiated and a request for approval to proceed to the next stage of product development. 

  
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 2.10.3 Deviations to Integrated Product Development Plan. During the course of contract
performance, in response to a need to change the IPDP, the Contractor shall submit a Deviation Report. This report shall request a change in the agreed-upon IPDP and timelines. This report shall include: (i) discussion of the
justification/rationale for the proposed change; (ii) options for addressing the needed changes from the approved timelines, including a cost-benefit analysis of each option; and (iii) recommendations for the preferred option that includes
a full analysis and discussion of the effect of the change on the entire product development program, timelines, and budget. 
 3. Other Items 

3.1 Contract Review Meetings. The Contractor shall participate in regular meetings to coordinate and oversee the contract effort as directed by the
Contracting and Project Officers. Such meetings may include, but are not limited to, meeting of the Contractors and subcontractors to discuss clinical manufacturing progress, product development, product assay development, scale up manufacturing
development, clinical sample assays development, preclinical/clinical study designs and regulatory issues; meetings with individual contractors and other HHS officials to discuss the technical, regulatory, and ethical aspects of the program; and
meeting with technical consultants to discuss technical data provided by the Contractor. 
 The Contractor shall participate in bi-weekly teleconferences
between the Contractor and subcontractors and BARDA to review technical progress. Teleconferences or additional face-to-face meetings shall be more frequent at the request of BARDA. 

3.2 Publications. The Contractor shall submit to the Project Officer for review any manuscript or scientific meeting abstract containing data generated
under this contract no less than thirty (30) calendar days for manuscripts and fifteen (15) calendar days before abstract submission for public presentation or publication. The Contractor shall acknowledge contract support in all such
publications. 
 3.3 Press Releases. Press releases shall be considered to include the public release of information to any medium, excluding
peer-reviewed scientific publications. The Contractor agrees to accurately and factually represent the work conducted under this contract in all press releases. The contractor shall ensure that the Project Officer has received an advance copy of any
press release related to this contract not less than four (4) working days prior to the issuance of the press release. 

  
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 ATTACHMENT 2 

INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING 

INSTRUCTIONS FOR BARDA COST-REIMBURSEMENT TYPE CONTRACTS 

Format: Payment requests shall be submitted on the Contractor’s self-generated form in the manner and format prescribed herein and as illustrated
in the Sample Invoice/Financing Request. Standard Form 1034, Public Voucher for Purchases and Services Other Than Personal, may be used in lieu of the Contractor’s self-generated form provided it contains all of the information shown on the
Sample Invoice/Financing Request. DO NOT include a cover letter with the payment request. 
 Number of Copies: Payment requests shall be submitted in
the quantity specified in the Invoice Submission Instructions in Section G of the Contract Schedule. 
 Frequency: Payment requests shall not be
submitted more frequently than once every two weeks in accordance with the Allowable Cost and Payment Clause incorporated into this contract. Small business concerns may submit invoices/financing requests more frequently than every two weeks when
authorized by the Contracting Officer. 
 Cost Incurrence Period: Costs incurred must be within the contract performance period or covered by
precontract cost provisions. 
 Billing of Costs Incurred: If billed costs include (1) costs of a prior billing period, but not previously
billed, or (2) costs incurred during the contract period and claimed after the contract period has expired, the Contractor shall cite the amount(s) and month(s) in which it incurred such costs. 

Contractor’s Fiscal Year: Payment requests shall be prepared in such a manner that the Government can identify costs claimed with the
Contractor’s fiscal year. 
 Currency: All BARDA contracts are expressed in United States dollars. When the Government pays in a currency other
than United States dollars, billings shall be expressed, and payment by the Government shall be made, in that other currency at amounts coincident with actual costs incurred. Currency fluctuations may not be a basis of gain or loss to the
Contractor. Notwithstanding the above, the total of all invoices paid under this contract may not exceed the United States dollars authorized. 
 Costs
Requiring Prior Approval: Costs requiring the Contracting Officer’s approval, which are not set forth in an Advance Understanding in the contract, shall be identified and reference the Contracting Officer’s Authorization (COA) Number.
In addition, the Contractor shall show any cost set forth in an Advance Understanding as a separate line item on the payment request. 

Invoice/Financing Request Identification: Each payment request shall be identified as either: 

 

	(a)	Interim Invoice/Contract Financing Request: These are interim payment requests submitted during the contract performance period. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
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	(b)	Completion Invoice: The completion invoice shall be submitted promptly upon completion of the work, but no later than one year from the contract completion date, or within 120 days after settlement of the final
indirect cost rates covering the year in which the contract is physically complete (whichever date is later). The Contractor shall submit the completion invoice when all costs have been assigned to the contract and it completes all performance
provisions. 

  

	(c)	Final Invoice: A final invoice may be required after the amounts owed have been settled between the Government and the Contractor (e.g., resolution of all suspensions and audit exceptions). 

Preparation and Itemization of the Invoice/Financing Request: The Contractor shall furnish the information set forth in the instructions below. The
instructions are keyed to the entries on the Sample Invoice/Financing Request. 
  

	(a)	Designated Billing Office Name and Address: Enter the designated billing office name and address, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

 

	(b)	Contractor’s Name, Address, Point of Contact, VIN, and DUNS or DUNS+4 Number: Show the Contractor’s name and address exactly as they appear in the contract, along with the name, title, phone number, and
e-mail address of the person to notify in the event of an improper invoice or, in the case of payment by method other than Electronic Funds Transfer, to whom payment is to be sent. Provide the Contractor’s Vendor Identification Number (VIN),
and Data Universal Numbering System (DUNS) number or DUNS+4. The DUNS number must identify the Contractor’s name and address exactly as stated on the face page of the contract. When an approved assignment has been made by the Contractor, or a
different payee has been designated, provide the same information for the payee as is required for the Contractor (i.e., name, address, point of contact, VIN, and DUNS). 

 

	(c)	Invoice/Financing Request Number: Insert the appropriate serial number of the payment request. 

  

	(d)	Date Invoice/Financing Request Prepared: Insert the date the payment request is prepared. 

  

	(e)	Contract Number and Order Number (if applicable): Insert the contract number and order number (if applicable). 

  

	(f)	Effective Date: Insert the effective date of the contract or if billing under an order, the effective date of the order. 

  

	(g)	Total Estimated Cost of Contract/Order: Insert the total estimated cost of the contract, exclusive of fixed-fee. If billing under an order, insert the total estimated cost of the order, exclusive of fixed-fee.
For incrementally funded contracts/orders, enter the amount currently obligated and available for payment. 

  
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	(h)	Total Fixed-Fee: Insert the total fixed-fee (where applicable). For incrementally funded contracts/orders, enter the amount currently obligated and available for payment. 

 

	(i)	Two-Way/Three-Way Match: Identify whether payment is to be made using a two-way or three-way match. To determine required payment method, refer to the Invoice Submission Instructions in Section G of the Contract
Schedule. 

  

	(j)	Office of Acquisitions: Insert the name of the Office of Acquisitions, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

 

	(k)	Central Point of Distribution: Insert the Central Point of Distribution, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

 

	(l)	Billing Period: Insert the beginning and ending dates (month, day, and year) of the period in which costs were incurred and for which reimbursement is claimed. 

 

	(m)	Amount Billed—Current Period: Insert the amount claimed for the current billing period by major cost element, including any adjustments and fixed-fee. If the Contract Schedule contains separately priced line
items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

  

	(n)	Amount Billed—Cumulative: Insert the cumulative amounts claimed by major cost element, including any adjustments and fixed-fee. If the Contract Schedule contains separately priced line items, identify the
contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

  

	(o)	Direct Costs: Insert the major cost elements. For each element, consider the application of the paragraph entitled “Costs Requiring Prior Approval” on page 1 of these instructions. 

 

	 	(1)	Direct Labor: Include salaries and wages paid (or accrued) for direct performance of the contract. 

For Level of Effort contracts only, the Contractor shall provide the following information on a separate sheet of paper attached to the payment
request: 
 - hours or percentage of effort and cost by labor category (as specified in the Level of Effort Article in Section F of the
contract) for the current billing period, and 
 - hours or percentage of effort and cost by labor category from contract inception through
the current billing period. (NOTE: The Contracting Officer may require the Contractor to provide additional breakdown for direct labor, such as position title, employee name, and salary or hourly rate.) 

  
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	 	(2)	Fringe Benefits: List any fringe benefits applicable to direct labor and billed as a direct cost. Do not include in this category fringe benefits that are included in indirect costs. 

 

	 	(3)	Accountable Personal Property: Include permanent research equipment and general purpose equipment having a unit acquisition cost of $1,000 or more, with a life expectancy of more than two years, and sensitive
property regardless of cost (see the HHS Contractor’s Guide for Control of Government Property). Show permanent research equipment separate from general purpose equipment. 

On a separate sheet of paper attached to the payment request, list each item for which reimbursement is requested. An asterisk (*) shall
precede the item if the equipment is below the $1,000 approval level. Include reference to the following (as applicable): 
 - item number
for the specific piece of equipment listed in the Property Schedule, and 
 - COA number, if the equipment is not covered by the Property
Schedule. 
 The Contracting Officer may require the Contractor to provide further itemization of property having specific limitations set
forth in the contract. 
  

	 	(4)	Materials and Supplies: Include equipment with unit costs of less than $1,000 or an expected service life of two years or less, and consumable material and supplies regardless of amount. 

 

	 	(5)	Premium Pay: List remuneration in excess of the basic hourly rate. 

  

	 	(6)	Consultant Fee: List fees paid to consultants. Identify consultant by name or category as set forth in the contract or COA, as well as the effort (i.e., number of hours, days, etc.) and rate billed.

  

	 	(7)	Travel: Include domestic and foreign travel. Foreign travel is travel outside of Canada, the United States and its territories and possessions. However, for an organization located outside Canada, the United
States and its territories and possessions, foreign travel means travel outside that country. Foreign travel must be billed separately from domestic travel. 

  

	 	(8)	Subcontract Costs: List subcontractor(s) by name and amount billed. 

  

	 	(9)	Other: List all other direct costs in total unless exceeding $1,000 in amount. If over $1,000, list cost elements and dollar amounts separately. If the contract contains restrictions on any cost element, that
cost element must be listed separately. 

  

	(p)	Cost of Money (COM): Cite the COM factor and base in effect during the time the cost was incurred and for which reimbursement is claimed. 

  
 71 

	(q)	Indirect Costs: Identify the indirect cost base (IDC), indirect cost rate, and amount billed for each indirect cost category. 

 

	(r)	Fixed-Fee: Cite the formula or method of computation for fixed-fee, if applicable. The fixed-fee must be claimed as provided for by the contract. 

 

	(s)	Total Amounts Claimed: Insert the total amounts claimed for the current and cumulative periods. 

  

	(t)	Adjustments: Include amounts conceded by the Contractor, outstanding suspensions, and/or disapprovals subject to appeal. 

  

	(u)	Grand Totals 

  

	(v)	Certification of Salary Rate Limitation: If required by the contract (see Invoice Submission Instructions in Section G of the Contract Schedule), the Contractor shall include the following certification at the
bottom of the payment request: 

 “I hereby certify that the salaries billed in this payment request are in compliance
with the Salary Rate Limitation Provisions in Section H of the contract.” 
 The Contracting Officer may require the Contractor to submit detailed
support for costs claimed on one or more interim payment requests. 
 FINANCIAL REPORTING INSTRUCTIONS: 

These instructions are keyed to the Columns on the sample invoice/financing request. 

Column A—Expenditure Category: Enter the expenditure categories required by the contract. 

Column B—Cumulative Percentage of Effort/Hrs.—Negotiated: Enter the percentage of effort or number of hours agreed to for each employee or
labor category listed in Column A. 
 Column C—Cumulative Percentage of Effort/Hrs.—Actual: Enter the percentage of effort or number of
hours worked by each employee or labor category listed in Column A. 
 Column D—Amount Billed—Current: Enter amounts billed during the
current period. 
 Column E—Amount Billed—Cumulative: Enter the cumulative amounts to date. 

Column F—Cost at Completion: Enter data only when the Contractor estimates that a particular expenditure category will vary from the amount
negotiated. Realistic estimates are essential. 
 Column G—Contract Amount: Enter the costs agreed to for all expenditure categories listed in
Column A. 
 Column H—Variance (Over or Under): Show the difference between the estimated costs at completion (Column F) and negotiated costs
(Column G) when entries have been made in 

  
 72 

 
Column F. This column need not be filled in when Column F is blank. When a line item varies by plus or minus 10 percent, i.e., the percentage arrived at by dividing Column F by Column G, an
explanation of the variance should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause of the contract. 

Modifications: Any modification in the amount negotiated for an item since the preceding report should be listed in the appropriate cost category. 

Expenditures Not Negotiated: An expenditure for an item for which no amount was negotiated (e.g., at the discretion of the Contractor in performance of
its contract) should be listed in the appropriate cost category and all columns filled in, except for G. Column H will of course show a 100 percent variance and will be explained along with those identified under H above. 

  
 73 

 SAMPLE INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORT 

 

	(a)	Designated Billing Office Name and Address: 

 DHHS/OS/ASPR/BARDA 

Attn: Contracting Officer 

330 Independence Ave., S.W. 

Room G644 
 Washington, D.C.
20201 
  

	(b)	Contractor’s Name, Address, Point of Contact, VIN, and   DUNS or DUNS+4 Number: 

ABC CORPORATION 
 100 Main
Street 
 Anywhere, USA Zip Code 

Name, Title, Phone Number, and E-mail Address of person to notify in the event of an improper invoice or, in the case of payment by method
other than Electronic Funds Transfer, to whom payment is to be sent. 
 VIN: 

DUNS or DUNS+4:

	(c)	Invoice/Financing Request No.: 

  

	(d)	Date Invoice Prepared: 

  

	(e)	Contract No. and Order No. (if applicable):                     

 

	(f)	Effective Date: 

  

	(g)	Total Estimated Cost of Contract/Order: 

  

	(h)	Total Fixed-Fee (if applicable): 

  

	(i)	 ̈ Two-Way Match: 

  ̈ Three-Way Match: 
  

	(j)	Office of Acquisitions: 

  

	(k)	Central Point of Distribution: 

 

 

  

	(l)	This invoice/financing request represents reimbursable costs for the period from             
to             

  

															
	 Expenditure Category*

                  
  A
	  	Cumulative Percentage of
Effort/Hrs	  	Amount Billed	  	Cost at
Completion
F	  	Contract
Amount
G	  	Variance
H
	  	Negotiated
B	  	Actual
C	  	(m)
Current
D	  	(n)
Cumulative
E	  	  	  
	 (o) Direct Costs:
	  		  		  		  		  		  		  	
	 (1) Direct Labor
	  		  		  		  		  		  		  	
	 (2) Fringe Benefits
	  		  		  		  		  		  		  	
	 (3) Accountable Property
	  		  		  		  		  		  		  	
	 (4) Materials & Supplies
	  		  		  		  		  		  		  	
	 (5) Premium Pay
	  		  		  		  		  		  		  	
	 (6) Consultant Fees
	  		  		  		  		  		  		  	
	 (7) Travel
	  		  		  		  		  		  		  	
	 (8) Subcontracts
	  		  		  		  		  		  		  	
	 (9) Other
	  		  		  		  		  		  		  	
	 Total Direct Costs
	  		  		  		  		  		  		  	
	 (p) Cost of Money
	  		  		  		  		  		  		  	
	 (q) Indirect Costs
	  		  		  		  		  		  		  	
	 (r) Fixed Fee
	  		  		  		  		  		  		  	
	 (s) Total Amount Claimed
	  		  		  		  		  		  		  	
	 (t) Adjustments
	  		  		  		  		  		  		  	
	 (u) Grand Totals
	  		  		  		  		  		  		  	

 I certify that all payments are for appropriate purposes and in accordance with the contract.

							
	  
	  		  	  
	  	
	(Name of Official)	  		  	(Title)	  	

  

	*	Attach details as specified in the contract 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 74 

 ATTACHMENT 3 
  

																			
	FINANCIAL REPORT OF INDIVIDUAL
PROJECT/CONTRACT

Note: Complete this Form in Accordance with
Accompanying Instructions.	  	Project Task:	  	Contract No.:	  	Date of Report:	  	0990-0134
 0990-0131

	  	Reporting Period:	  	Contractor Name and Address:
									
	Expenditure Category	  	Percentage of Effort/Hours	  	Cumulative
Incurred Cost at
End of Prior
Period	  	Incurred
Cost—
Current
Period	  	Cumulative Cost
to Date (D + E)	  	Estimated
Cost to
Complete	  	Estimated
Cost at
Completion
(F + G)	  	Negotiated
Contract
Amount	  	Variance
(Over or
Under)
(I—H)
	  	Negotiated	  	Actual	  	  	  	  	  	  	  
	 A
	  	B	  	C	  	D	  	E	  	F	  	G	  	H	  	I	  	J

  

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 75 

 ATTACHMENT 4 

INSTRUCTIONS FOR COMPLETING 

“FINANCIAL REPORT OF INDIVIDUAL PROJECT/CONTRACT” 

GENERAL INFORMATION 
 Purpose. This Quarterly
Financial Report is designed to: (1) provide a management tool for use by be BARDA in monitoring the application of financial and personnel resources to the BARDA contracts; (2) provide contractors with financial and personnel management
data which is usable in their management processes; (3) promptly indicate potential areas of contract underruns or overruns by making possible comparisons of actual performance and projections with prior estimates on individual elements of cost
and personnel; and (4) obtain contractor’s analyses of cause and effect of significant variations between actual and prior estimates of financial and personnel performance. 

REPORTING REQUIREMENTS 
 Scope. The specific cost
and personnel elements to be reported shall be established by mutual agreement prior to award. The Government may require the contractor to provide detailed documentation to support any element(s) on one or more financial reports. 

Number of Copies and Mailing Address. An original and two (2) copies of the report(s) shall be sent to the contracting officer at the address
shown on the face page of the contract, no later than 30 working days after the end of the period reported. However, the contract may provide for one of the copies to be sent directly to the Contracting Officer’s Technical Representative.

 REPORTING STATISTICS 
 A modification which
extends the period of performance of an existing contract will not require reporting on a separate quarterly report, except where it is determined by the contracting officer that separate reporting is necessary. Furthermore, when incrementally
funded contracts are involved, each separate allotment is not considered a separate contract entity (only a funding action). Therefore, the statistics under incrementally funded contracts should be reported cumulatively from the inception of the
contract through completion. 
 Definitions and Instructions for Completing the Quarterly Report. For the purpose of establishing expenditure
categories in Column A, the following definitions and instructions will be utilized. Each contract will specify the categories to be reported. 
  

	(1)	Key Personnel. Include key personnel regardless of annual salary rates. All such individuals should be listed by names and job titles on a separate line including those whose salary is not directly charged to the
contract but whose effort is directly associated with the contract. The listing must be kept up to date. 

  

	(2)	Personnel—Other. List as one amount unless otherwise required by the contract. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 76 

	(3)	Fringe Benefits. Include allowances and services provided by the contractor to employees as compensation in addition to regular salaries and wages. If a fringe benefit rate(s) has been established, identify the
base, rate, and amount billed for each category. If a rate has not been established, the various fringe benefit costs may be required to be shown separately. Fringe benefits which are included in the indirect cost rate should not be shown here.

  

	(4)	Accountable Personal Property. Include nonexpendable personal property with an acquisition cost of $1,000 or more and with an expected useful life of two or more years, and sensitive items regardless of cost.
Form HHS 565, “Report of Accountable Property,” must accompany the contractor’s public voucher (SF 1034/SF 1035) or this report if not previously submitted. See “Contractor’s Guide for Control of Government Property.”

  

	(5)	Supplies. Include the cost of supplies and material and equipment charged directly to the contract, but excludes the cost of nonexpendable equipment as defined in (4) above. 

 

	(6)	Inpatient Care. Include costs associated with a subject while occupying a bed in a patient care setting. It normally includes both routine and ancillary costs. 

 

	(7)	Outpatient Care. Include costs associated with a subject while not occupying a bed. It normally includes ancillary costs only. 

 

	(8)	Travel. Include all direct costs of travel, including transportation, subsistence and miscellaneous expenses. Travel for staff and consultants shall be shown separately. Identify foreign and domestic travel
separately. If required by the contract, the following information shall be submitted: (i) Name of traveler and purpose of trip; (ii) Place of departure, destination and return, including time and dates; and (iii) Total cost of trip.

  

	(9)	Consultant Fee. Include fees paid to consultant(s). Identify each consultant with effort expended, billing rate, and amount billed. 

 

	(10)	Premium Pay. Include the amount of salaries and wages over and above the basic rate of pay. 

  

	(11)	Subcontracts. List each subcontract by name and amount billed. 

  

	(12)	Other Costs. Include any expenditure categories for which the Government does not require individual line item reporting. It may include some of the above categories. 

 

	(13)	Overhead/Indirect Costs. Identify the cost base, indirect cost rate, and amount billed for each indirect cost category. 

  

	(14)	General and Administrative Expense. Cite the rate and the base. In the case of nonprofit organizations, this item will usually be included in the indirect cost. 

 

	(15)	Fee. Cite the fee earned, if any. 

  
 77 

	(16)	Total Costs to the Government. 

 PREPARATION INSTRUCTIONS 

These instructions are keyed to the Columns on the Quarterly Report. 

Column A—Expenditure Category. Enter the expenditure categories required by the contract. 

Column B—Percentage of Effort/Hours Negotiated. Enter the percentage of effort or number of hours agreed to during contract negotiations for each
labor category listed in Column A. 
 Column C—Percentage of Effort/Hours-Actual. Enter the cumulative percentage of effort or number of
hours worked by each employee or group of employees listed in Column A. 
 Column D—Cumulative Incurred Cost at End of Prior Period.
Enter the cumulative incurred costs up to the end of the prior reporting period. This column will be blank at the time of the submission of the initial report. 

Column E—Incurred Cost-Current Period. Enter the costs which were incurred during the current period. 

Column F—Cumulative Incurred Cost to Date. Enter the combined total of Columns D and E. 

Column G—Estimated Cost to Complete. Make entries only when the contractor estimates that a particular expenditure category will vary from the
amount negotiated. Realistic estimates are essential. 
 Column H—Estimated Costs at Completion. Complete only if an entry is made in
Column G. 
 Column I—Negotiated Contract Amount. Enter in this column the costs agreed to during contract negotiations for all
expenditure categories listed in Column A. 
 Column J—Variance (Over or Under). Complete only if an entry is made in Column H. When
entries have been made in Column H, this column should show the difference between the estimated costs at completion (Column H) and negotiated costs (Column I). When a line item varies by plus or minus 10 percent, i.e., the percentage arrived at by
dividing Column J by Column I, an explanation of the variance should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause of the contract.

 Modifications. List any modification in the amount negotiated for an item since the preceding report in the appropriate cost category.

 Expenditures Not Negotiated. List any expenditure for an item for which no amount was negotiated (e.g., at the discretion of the contractor in
performance of its contract) in the appropriate cost category and complete all columns except for I. Column J will of course show a 100 percent variance and will be explained along with those identified under J above. 

  
 78 

 Attachment 5 

INCLUSION ENROLLMENT REPORT 

This report format should NOT be used for data collection from study participants 

 

									
	Study Title:
	Total Enrollment:	  	Protocol Number:
	Contract Number:	  	
	
	PART A. TOTAL ENROLLMENT REPORT: Number of Subjects Enrolled to Date (Cumulative) by Ethnicity and Race

  

									
	 Ethnic Category
	  	Sex/Gender
	  	Females	  	Males	  	Unknown or Not Reported	  	Total
	 Hispanic or Latino
	  		  		  		  	
	 Not Hispanic or Latino
	  		  		  		  	
	 Unknown (Individuals not reporting ethnicity)
	  		  		  		  	
	 Ethnic Category: Total of All Subjects*
	  		  		  		  	
	 Racial Categories
	  		  		  		  	
	 American Indian/Alaska Native
	  		  		  		  	
	 Asian
	  		  		  		  	
	 Native Hawaiian or Other Pacific Islander
	  		  		  		  	
	 Black or African American
	  		  		  		  	
	 White
	  		  		  		  	
	 More than one race
	  		  		  		  	
	 Unknown or not reported
	  		  		  		  	
	 Racial Categories: Total of All Subjects*
	  		  		  		  	
	  
 PART B. HISPANIC ENROLLMENT REPORT Number of Hispanics
or Latinos Enrolled to Date (Cumulative)
  

	 Racial Categories
	  	Females	  	Males	  	Unknown or Not Reported	  	Total
	 American Indian or Alaska Native
	  		  		  		  	
	 Asian
	  		  		  		  	
	 Native Hawaiian or Other Pacific Islander
	  		  		  		  	
	 Black or African American
	  		  		  		  	
	 White
	  		  		  		  	
	 More Than One Race
	  		  		  		  	
	 Unknown or not reported
	  		  		  		  	
	 Racial Categories: Total of Hispanics or Latinos**
	  		  		  		  	

  

	*	These totals must agree 

	**	These totals must agree 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 79 

 ATTACHMENT 6 

Research Patient Care Costs 
 (a) Research
patient care costs are the costs of routine and ancillary services provided to patients participating in research programs described in this contract. 
 (b)
Research patient care costs shall be computed in a manner consistent with the principles and procedures used by the Medicare Program for determining the part of Medicare reimbursement based on reasonable costs. The Diagnostic Related Group (DRG)
prospective reimbursement method used to determine the remaining portion of Medicare reimbursement shall not be used to determine research patient care costs. Research patient care rates or amounts shall be established by the Secretary of HHS or
his/her duly authorized representative. 
 (c) Prior to submitting an invoice for research patient care costs under this contract, the contractor must make
every reasonable effort to obtain third party payment, where third party payors (including Government agencies) are authorized or are under a legal obligation to pay all or a portion of the charges incurred under this contract for research patient
care. 
 (d) The contractor must maintain adequate procedures to identify those research patients participating in this contract who are eligible for third
party reimbursement. 
 (e) Only those charges not recoverable from third party payors or patients and which are consistent with the terms and conditions of
the contract are chargeable to this contract. 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 80 

 Communication Management Plan 

Biomedical Advanced Research and Development Authority 

(BARDA) 
 Broad Spectrum
Antimicrobial Program 
 Achaogen Contract 

##  
 330 Independence
Ave. SW 
 Washington, DC 20201 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 81 

 BSA Communications Management Plan 

Introduction: 
 The purpose of the Broad Spectrum
Antimicrobial (BSA) communications management plan is to define the communication requirements for the project and outline how BARDA and the Contractor will distribute information. The communications management plan defines the following: 

 

	 	•	 	Communication requirements based on roles, 

  

	 	•	 	What information will be communicated, 

  

	 	•	 	How the information will be communicated, 

  

	 	•	 	When will information be distributed, 

  

	 	•	 	Who does the communication, 

  

	 	•	 	Who receives the communication, 

 This BSA communications management plan sets the communications framework for
this project. It will serve as a guide for communications throughout the period of performance and will be updated, as communication needs change. This plan identifies and defines the roles of persons involved in the project. The BSA communications
management plan provides an in-depth guide on how the program plans to conduct meetings between stakeholders to ensure a successful outcome. A project team directory is below to provide contact information for all stakeholders directly involved in
the project. 
 Communications Management Approach 
 The
BARDA Project Officer (PO) and Contracting Officer (CO) and Contractor’s Program Manager will take a proactive role in ensuring effective communication between all parties on this contract. The goal of all parties is to maintain a
transparent communicative relationship that fosters the sharing of information to relevant Stakeholders in a timely and efficient manor to facilitate the successful outcome of the programs mutual objectives, the development of ACHN-490 as a
novel broad spectrum antibiotic for the therapeutic treatment of individuals exposed to biodefense threat agents. This communication plan documents the communication requirements for all parties that will support the implementation of this contract.
The Communications Matrix will provide a guide for the communication process, including: 
  

	 	•	 	What type of information Stakeholders will communicate, 

  

	 	•	 	Who is responsible for communicating relevant information, 

  

	 	•	 	When should stakeholders communicate program relevant information, 

 Roles 

Project Sponsor: BSA Branch Chief 
 The project sponsor is
responsible for overseeing the BSA contracts and the champion of the project and has authorized the project by signing the project charter. This person is responsible for the funding of the project and is ultimately responsible for its success.
Since the Project Sponsor is at the executive level, communications should be presented in summary format unless 

  
 82 

 
the Project Sponsor requests more detailed communications. Communication from the Contractor to the Project Sponsor should flow through the BARDA Contracting Officer or Project Officer through
the appropriate chain of command to the Project Sponsor, unless otherwise indicated by the Project Sponsor. 
 Contract Officer 

The BARDA Contract Officer (CO) oversees the project at the program level and is responsible for all contract related issues. The CO is the United State
Government’s representative that has the legal authority to bind BARDA to a contract with the Contractor. The CO will communicate directly with the Contractor and shall be included on all communications between the Contractor and BARDA staff.
At any time, if the Contractor shall have contractual or programmatic concerns regarding the contract, scope of work, or any other issues, the Contractor should immediately address all concerns directly to the CO. 

Project Officer 
 The BARDA Project Officer (PO) and/or
Contracting Officer’s Technical Representative (COTR) oversees the project at the program level and is responsible for the technical implementation of the BSA contract. The PO is responsible for managing the cost, schedule, and performance
parameters for the contract. The PO will be in regular communication with Contractor’s POC to ensure the contract is maintaining cost, schedule, and performance objectives. 

The PO manages day-to-day resources, provides project guidance, monitors, and reports on the projects metrics as defined in the Project Management Plan. The
PO is responsible for the execution of the project and is the primary communicator for the project. 
 The PO is responsible for briefing the Project
Sponsor and subsequent leadership levels. The PO is the individual responsible for communicating program progress, program risk, and contract relevant issues raised by the Product Coordination Team charter, stakeholders, and/or Contractor. 

Key Stakeholders and the Product Coordination Team 
 The
BARDA Branch Chief responsible for overseeing the BSA contract signed a Product Coordination Team (PCT) Charter, identifying internal and external BARDA program members and stakeholders supporting this contract. The BARDA BSA PCT will meet regularly
to review the project. The PO will chair the PCT. Based on their technical or program management expertise, each stakeholder and PCT member will play a key role. All BARDA and USG Team members will work to communicate all activities through the PO.

 Members of the PCT may at times work directly with other stakeholders and/or the Contractor with consent of the CO and PO. In such situations, the CO,
PO, and Contractor POC shall be included on all communications. It is important to note that the intent of this communication is to provide information and is not to be taken as a directive by the Contractor. If the recipient(s) believe(s) the
information provided herein may be construed as a directive, the recipient(s) should disregard that portion of the communication and contact the BARDA BSA Contracting Officer. 

  
 83 

 Contractor Liaison 

The Contractor has identified a BARDA Liaison (BL) as a primary POC and alternative POC (in the advent that the primary POC is unavailable) to communicate
directly with the BARDA CO and PO. The Contractor BL will work closely with the CO and BARDA PO to manage the implementation of this contract. This communication shall be transparent and informative for all entities. Communication from the
Contractor to BARDA should flow through the Contractor BL to the CO and PO to ensure proper coordination within BARDA and the Contractor’s organization. 

The Contractor’s BL is responsible for the implementation of the scope of work agreed to under the contract. The Contractor’s BL will provide
reports on the project’s metrics as defined in the Project Management Plan. As the person responsible for the implementation of the project, the Contractor’s BL is the primary communicator for the Contractor and responsible for
distributing information according to the Communications Management Plan. 
 Food and Drug Administration 

The Food and Drug Administrations’, Center for Drug Evaluation and Research (CDER) is the regulatory authority overseeing the development of the BSA
Medical Countermeasure. CDER plays a critical role in the success of this contract between BARDA and the Contractor. In an effort to provide open communication, the communications management plan encourages the sharing of communications between the
FDA, BARDA, and the Contractor. The communication management plan does not prevent either BARDA or the Contractor from engaging CDER. 
 Project Team
Directory 
  

							
	 Role
	  	 Name
	  	Email	  	Phone
	Project Sponsor	  	Dr. Joe Larsen	  	Joseph.Larsen@hhs.gov	  	202-260-0050
	Contracting Officer	  	Ethan Mueller	  	Ethan.Mueller@hhs.gov	  	202-205-4657
	Project Officer/PCT Chair	  	TBD	  	TBD	  	TBD
	Contractor POC/BARDA Liaison	  	[***]	  	[***]	  	[***]
	Alternative Contractor POC	  	[***]	  	[***]	  	[***]

 Communication Deliverables and Procedures 

The Contract Deliverables List (reference) outlines the communication requirements and expectations for various types of meetings and program deliverables.

 GUIDELINES FOR MEETINGS 
 Meeting Agenda 

The Contractor will send the meeting agenda to the PO in advance of the meeting as outlined in the Contract Deliverables List. The agenda will include ongoing
action items, requested 

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
 84 

 
participants and provide a brief agenda for the meeting. The BARDA PO will review and finalize the meeting agenda and distribute accordingly. 

Meeting Minutes 
 The Contractor will draft meeting
minutes and forward to the PO within a specific amount of time as outlined in Contract Deliverables List. The meeting minutes will provide a synopsis of the meeting, list of participants, highlight decisions made, reference supportive material and
include the status of all open and closed action items and a parking lot list. The BARDA PO will review and finalize meeting minutes. 
 Action Items

 The meeting agenda and minutes will record action items. Action items will include the action item, owner of the action item, and the anticipated date
of completion. Meetings will start with a review of the status of all action items from previous meetings and end with a review of all new action items resulting from the meeting. The review of the new action items will include identifying the owner
for each action item and setting a date for completing the action item. 
 Meeting Chair—BARDA Project Officer 

The meeting chair is responsible for distributing the meeting agenda, facilitating the meeting and distributing the meeting minutes. As the meeting chair, the
BARDA Project Officer, will ensure that the meeting starts and ends on time and that all presenters adhere to their allocated time frames. The Contractor will be responsible for developing the initial agenda, drafting the minutes, capturing action
items, and following up on meeting outcomes. 
 Note Taker: Contractor 

The Contractor is the note taker responsible for documenting the status of all meeting items, maintaining a parking lot item list and taking notes of anything
else of importance during the meeting. The note taker will give a copy of their minutes to the BARDA CO for final approval of meeting minutes. 
 Parking
Lot 
 The parking lot is a tool used by the facilitator to record and defer items which are not on the meeting agenda but that, merit further discussion
later or through another forum. A parking lot record should identify an owner for the item, as this person will be responsible for ensuring follow-up. The Contractor will include a parking lot list in the meeting minutes. 

  
 85 

 Non-Clinical Terms of Award 

These Non-Clinical Terms of Award detail an agreement between the Biomedical Advanced Research and Development Authority (BARDA) and the Awardee; they apply
to all grants and contracts that involve non-clinical research. 
 Draft protocols for each nonclinical study will be submitted to BARDA for evaluation and
comment. BARDA comments will be incorporated into the draft proposal prior to submission to the FDA for comment, if required. 
 BARDA shall have rights to
all protocols, data resulting from 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 Awardee provide any contract
deliverable in a non-proprietary form, to ensure BARDA has the ability to review and distribute the deliverables, as BARDA deems necessary. 
 A. Safety
and Monitoring Issues 
 PHS Policy on Humane Care and Use of Laboratory Animals 

Before award and then with the annual progress report, the Awardee must submit to BARDA a copy of the current Institutional Animal Care and Use Committees
(IACUC) documentation of continuing review and approval and the Office of Laboratory Animal Welfare (OLAW- National Institutes of Health) Federal Wide Assurance (FWA) number for the institution or site. 

If other institutions are involved in the research (e.g., a multicenter trial or study), each institution’s IACUC must review and approve the protocol.
They must also provide BARDA initial documentation and documentation of continuing review and approval and FWA number. 
 The Awardee must ensure that the
application as well as all protocols are reviewed by the performing institution’s IACUC. 
 To help ensure the safety of animals used in BARDA funded
studies, the Awardee must provide BARDA copies of documents related to all major changes in the status of ongoing protocols, including the following: 
  

	 	•	 	All amendments or changes to the protocol, identified by protocol version number, date, or both and date it is valid. 

  

	 	•	 	All material changes in IACUC policies and procedures, identified by version number, date, and all required signatories (if applicable) 

 

	 	•	 	Termination or temporary suspension of the study(ies) for regulatory issues 

  

	 	•	 	Termination or temporary suspension of the protocol. 

  

	 	•	 	Any change that is made in the specific IACUC approval for the indicated study(ies). 

  
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	 	•	 	Any other problems or issues that could affect the scientific integrity of the study(ies), i.e. fraud, misrepresentation, misappropriation of funds, etc. 

Awardees must notify BARDA by email or fax of any of the above changes within three business days from the time awardee becomes aware of such changes,
followed by a letter signed by the institutional business official, detailing notification of the change of status to the local IACUC and a copy of any responses from the IACUC. 

If a non-clinical protocol has been reviewed by an institutional biosafety committee (IBC) or the NIH Recombinant DNA Advisory Committee (RAC), the Awardee
must provide information about the initial and ongoing review and approval, if any. See the NIH Guidelines for Research Involving Recombinant DNA Molecules. 

Non-Clinical Data and Safety Monitoring Requirements 

BARDA strongly recommends continued safety monitoring for all non-clinical studies of investigational drugs, devices, or biologics. FDA expects non-clinical
studies to include safety in addition to efficacy. Awardee should consider evaluation of clinical relevant safety markers in the pivotal and non-pivotal, non-clinical studies. 

BARDA will work with the Awardees on decisions regarding the type and extent of safety data accrual to be employed before the start of efficacy or safety
studies. 
 The Awardee 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 awardee on site visits and/or audits of CROs as BARDA deems necessary. 
 B. BARDA Review Process Before Non-Clinical Study Execution
Begins 
 BARDA is under the same policy-driven assurances as NIH in that it has a responsibility to ensure that mechanisms and procedures are in place
to protect the safety and welfare of animals used in BARDA funded non-clinical trials. Therefore, before study execution, the Awardee must provide the following (as applicable) for review and approval by BARDA.: 

 

	 	•	 	IACUC approved (signed) non-clinical research protocol identified by version number, date, or both, including details of study design, euthanasia criteria, proposed interventions, and exclusion criteria.

  

	 	•	 	Documentation of IACUC approval, including OLAW FWA number, IACUC registration number, and IACUC name. 

  

	 	•	 	Awardee should reduce the number of animals required for a study using power of statistics 

  

	 	•	 	Plans for the management of side effects, rules for interventions and euthanasia criteria 

  

	 	•	 	Procedures for assessing and collecting safety data 

  
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	 	•	 	If a study is contracted through CRO(s), work orders and service agreements the Awardee shall assure that an integrated safety documentation plan is in place for the study site, pharmacy service records on the dosing
material to be used and excipients, and laboratory services (including histopathology). 

  

	 	•	 	Documentation that the Awardee or CRO and all staff responsible for the conduct of the research have received required training in the protection and handling of animals 

 

	 	•	 	Purchasing of animals and/or other supplies for non-clinical studies funded in part or in whole by BARDA requires written approval by the Contracting Officer. The Awardee must have the ability to return/re-sell animals,
at purchase price, to distributor or a third party, in the event that the protocols do not obtain approval 

  

	 	•	 	Provide justification for whether studies require good laboratory practice (GLP) conditions 

  

	 	•	 	Provide justification for whether studies will be classified as non-pivotal or pivotal studies 

 BARDA staff
comments will be forwarded to the Awardee within two weeks (10 business days) of receipt of the above information. The Awardee must address in writing all study design, safety, regulatory, ethical, and conflict of interest concerns raised by BARDA
staff to the satisfaction of BARDA before study execution. After receiving the corrected documentation, that satisfies BARDA staff the BARDA Contracting Officer will provide a written Contract Officer Authorization (COA) Letter to the Awardee. This
COA provides authorization to the Awardee to execute the specific nonclinical study funded in part or in whole by BARDA. 
 In case of problems or issues,
the BARDA program officer will contact the Awardee within two weeks (10 business days) by email or fax, followed within 30 calendar days by an official letter to the principal investigator, with a copy to the institution’s office of sponsored
programs, listing issues and appropriate actions to be discussed. 
 Final decisions regarding ongoing safety reporting requirements for research not
performed under an Investigational New Drug Application (IND) or investigational device exemption (IDE) must be made jointly by the BARDA and the Awardee. 

References 
  

	 	•	 	Public Health Service Policy on Humane Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/InvestigatorsNeed2Know.pdf) 

 

	 	•	 	USDA Animal Welfare Act 

(http://awic.nal.usda.gov/nal_display/index.php?info_center=3&tax_level=3&tax_subject=182&top
ic_id=1118&leve13_id=6735&leve14_id=0&leve15_id=0&placement_default=0) 

  
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 Clinical Terms of Award 

These Clinical Terms of Award detail an agreement between the Biomedical Advanced Research and Development Authority (BARDA) and the Awardee; they apply to
all grants and contracts that involve clinical research. 
 Draft protocols for each clinical study will be submitted to BARDA for evaluation and comment.
BARDA comments will be incorporated into the draft proposal prior to submission to the FDA for comment, if required. 
 BARDA shall have 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 Awardee provide any contract
deliverable in a non-proprietary form, to ensure BARDA has the ability to review and distribute the deliverables, as BARDA deems necessary. 
 A. Safety
and Monitoring Issues 
 Institutional Review Board (IRB) or Independent Ethics Committee (IEC) Approval 

Before award and then with the annual progress report, the Awardee must submit to BARDA a copy of the current IRB or IEC approved informed consent document,
documentation of continuing review and approval and the Office of Human Research Protections (OHRP) FWA number for the institution or site. 
 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 continuing review and
approval, including the current approved informed consent document and FWA number. 
 The grantee institution must ensure that the application as well as
all protocols are reviewed by their IRB or IEC. 
 To help ensure the safety of participants enrolled in BARDA funded studies, the Awardee must provide
BARDA copies of documents related to all major changes in the status of ongoing protocols, including the following: 
  

	 	•	 	All amendments or changes to the protocol, identified by protocol version number, date, or both and date it is valid. 

  

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

  

	 	•	 	Termination or temporary suspension of patient accrual. 

  

	 	•	 	Termination or temporary suspension of the protocol. 

  

	 	•	 	Any change in IRB approval. 

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

 Awardees must notify BARDA
through the Project Officer (PO) or Contracting Officer (CO) of any of the above changes within three 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. 
 If a clinical protocol has been reviewed by an institutional biosafety committee (IBC) or
the NIH Recombinant DNA Advisory Committee (RAC), the Awardee must provide information about the initial and ongoing review and approval, if any. See the NIH Guidelines for Research Involving Recombinant DNA Molecules. 

Data and Safety Monitoring Requirements 
 BARDA strongly
recommends independent safety monitoring for clinical trials of investigational drugs, devices, or biologics; clinical trials 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 Awardee 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 awardee on site visits and/or audits of CROs as BARDA deems necessary. 

A risk is minimal where the probability and magnitude of harm or discomfort anticipated in the proposed research are not greater than those ordinarily
encountered in daily life or during the performance of routine physical or psychological examinations or tests. For example, 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 46.1021). 
 Final decisions regarding the type of monitoring to be used must be made jointly by
BARDA and the Awardee 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. 
  

	 	•	 	Independent Safety Monitor — a physician or other appropriate expert who is independent of the study and available in real time to review and recommend appropriate action regarding adverse events and other
safety issues. 

  

	 	•	 	Independent Monitoring Committee (IMC) or Safety Monitoring Committee (SMC) — a small group of independent investigators and biostatisticians who review data from a particular study. 

 

	 	•	 	 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 Awardee 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. 

  
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Please refer to: NIAID Principles for Use of a Data and Safety Monitoring Board (DSMB) For Oversight of Clinical Trials Policy. 

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 BARDA before enrollment starts. 

Additionally, the Awardee must submit written summaries of all reviews conducted by the monitoring group to the BARDA within 30 days of reviews or meetings.

 B. BARDA Protocol Review Process Before Patient Enrollment Begins 

BARDA 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 Awardee must provide the following (as applicable) for review and approval by BARDA. 
  

	 	•	 	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 FWA number, IRB or IEC registration number, and IRB or IEC name. 

  

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

  

	 	•	 	Plans for the management of side effects. 

  

	 	•	 	Procedures for assessing and reporting adverse events. 

  

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

  

	 	•	 	Documentation that the Awardee and all study staff responsible for the design or conduct of the research have received Good Clinical Practice (GCP) training in the protection of human subjects. 

BARDA staff comments will be forwarded to the Awardee within two weeks (10 business days) of receipt of the above information. The Awardee must address in
writing all study design, safety, regulatory, ethical, and conflict of interest concerns raised by the BARDA Project Officer (PO) to the satisfaction of BARDA before patient accrual or participant enrollment can begin. After receiving the corrected
documentation, that satisfies BARDA staff the BARDA Contracting Officer will provide a written Contract Officer Authorization (COA) Letter to the Awardee. This COA provides authorization to the awardee to execute the specific clinical study funded
in part or in whole by BARDA. 

  
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 C. Investigational New Drug or Investigational Device Exemption Requirements 

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). 
 Exceptions must be granted in writing by FDA. If the proposed clinical trial will be performed under an IND or IDE, the Awardee
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. 

The Awardee must wait 30 days from FDA receipt of an initial IND or IDE application before initiating a clinical trial. 

The Awardee 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 Awardee must not use grant or contract funds during a clinical hold. 

Required Time-Sensitive Notification 
 Under an IND or IDE,
the sponsor must provide FDA safety reports of serious adverse events. Under these Clinical Terms of Award, the Awardee must submit copies to the responsible BARDA Project Officer or the Contracting Officer’s technical representative (COTR) as
follows: 
  

	 	•	 	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 days after the IND sponsor’s receipt of the information, must be submitted to the BARDA program officer or the contracting officer’s technical
representative within 24 hours of FDA notification. 

  

	 	•	 	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 BARDA
Project Officer or the Contracting Officer’s Technical Representative within 24 hours of FDA notification. 

  

	 	•	 	IDE reports of unanticipated adverse device effect — A copy of any reports of unanticipated adverse device effect submitted to FDA must be submitted to the BARDA Project Officer or the Contracting
Officer’s Technical Representative within 24 hours of FDA notification. 

  
 92 

	 	•	 	Expedited safety reports — should be sent to the BARDA Project Officer or the Contracting Officer’s Technical Representative concurrently with the report to FDA. 

 

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

In case of problems or issues, the BARDA Project Officer or the Contracting Officer’s Technical Representative will contact the Awardee within 10 working
days by email or fax, followed within 30 calendar days by an official letter to the principal investigator, with a copy to the institution’s office of sponsored programs, listing issues and appropriate actions to be discussed. 

 

	 	•	 	Safety reporting for research not performed under an IND or IDE 

 Final decisions regarding ongoing
safety reporting requirements for research not performed under an IND or IDE must be made jointly by the BARDA Project Officer or the Contracting Officer’s Technical Representative and the Awardee. 

  
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 ATTACHMENT 10 — List of Limited Data Rights. 

1 of 9 Pages. 

  
 94 

 ACHN-490 

[***] 
  

  

	[***]	7 pages in this document have been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
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 Identification and Assertion of Restrictions on the Government’s Use, Release, or 

Disclosure of Technical Data or Computer Software. 

The Offeror asserts for itself, or the persons identified below, that the Government’s rights to use, release, or disclose the following technical data
provided to the Government shall be restricted: 
  

							
	 Technical Data To be Furnished With
Restrictions
	  	 Basis for Assertion
	  	 Asserted Rights Category
	  	 Name of Person Asserting
Restrictions

	 [***]
	  	[***]	  	[***]	  	[***]

  

	[***]	Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 

  
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