NEBRASKA AUDITOR OF PUBLIC ACCOUNTS Charlie Janssen Charlie.Janssen@nebraska.gov State Auditor PO Box 98917 State Capitol, Suite 2303 Lincoln, Nebraska 68509 402-471-2111, FAX 402-471-3301 www.auditors.nebraska.gov December 5, 2016 Senator Ernie Chambers and Senator Burke Harr State Capitol P. O. Box 94604 Lincoln, NE 68509 Dear Senators: Thank you for your inquiries regarding the Nebraska Department of Correctional Services’ purchase of lethal injection substances from Chris Harris of Harris Pharma, LLP. As you are aware, some of the information and documents regarding the 2015 payments for those drugs have previously been made available to the public. In addition to copies of the records obtained, enclosed is a summary of information provided to my office regarding the process and details of the purchase from and payments to Harris Pharma, LLP. I hope you find this information useful in addressing your questions. Sincerely, Charlie Janssen State Auditor Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Chris Harris sent an email message to Patrick Werner, a former Nebraska Department of Correctional Services (NDCS) employee, explaining that a few states had already ordered sodium thiopental and asking if Nebraska would be interested in doing the same, as he had a few thousand extra vials. Mr. Werner responded that he was no longer with NDCS and cc'd Tish (Dinisha) Loomis, who was handling his former duties. Ms. Loomis forwarded the email to Thomas Wilson in error. She then forwarded the email to John Wilson 4/14/2015 on 4/15/15. Amount Additional Info Extra Info Reference Exhibit 1 Chris Harris signed the agreement on behalf of Harris Pharma, LLP, the manufacturer and distributer of sodium thiopental, to sell the lethal injection drug to Nebraska. Scott Frakes, the Director of NDCS, signed the agrement for Nebraska. Per the agrement, Nebraska purchased 1000 onegram vials of sodium thiopental at $25.00 each, totalling $25,000, plus $1,700 freight. Advance 4/14/2015 payment was reqired. Includes Invoice from Harris Pharma, dated 4/17/15 EnterpriseOne (E1) Document 31432568, Transaction Date 4/22/16, $26,700, Harris Pharma Address: Level 8, RDB Boulevard, Plot K-1, Sector V, Block EP & and FedEx form signed by GP, Salt Lake City, Kolkata 700091, West Inga Hookstra. FedEx cost $66.45 to send on Bengal, India; PH: +91-33-66374505; Email: chrisharris@harrispharmalp.com 4/23/15. Exhibit 2 Chris Harris sent an email to Randy Kohl, stating that he had supplied Nebraska with sodium thiopental in the past and presently had a batch being manufactured for two States that had placed an order for the drug. Mr. Harris asked if Nebraska would also like to place an order for a few thousand additional vials. Scott Frakes responded (with .cc to Randy Kohl) to Chris Harris by asking for a telephone call. The phone call was scheduled for April 16, 4/15/2015 2015, between 7:00 - 8:15 a.m. central time. Exhibit 3 As of November 16, 2016 1/6 Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Amount Chris Harris sent email to Scott Frakes, stating that he could supply sodium thiopental one-gram vials USP @ $25 each, deliver after 60 days, $1,700 shipping and handling charges. Scott Frakes responded, "Please send me an invoice for the minimum order, and shipping/handling. I will create a purchase order, and generate payment." On 4/17/15, Mr. Harris emailed the invoice, and Director Frakes responded that his staff was working 4/16/2015 on it. Chris Harris sent an email to Scott Frakes, saying that that he had left him a voicemail message. Director Frakes responded that he received the message and would confirm that the correct documents were enclosed. On 4/21/15, Director Frakes emailed Mr. Harris that everything should be 4/20/2015 in the envelope. Chris Harris emailed Scott Frakes, asking for the tracking number and the address to which the payment had been sent. Director Frakes responded that the payment had been sent to the address on the invoice, and the tracking number was #EK69033031. Mr. Harris asked whether it had been sent via FedEx and that Harris Pharma, LLP, had recently moved to a new office. He asked for the money to be sent the new address; however, Director Frakes did not receive that message. Director Frakes responded to let him know if there was an issue. Director Frakes told Mr. Harris that the payment had been sent US Postal Service 3-5 day delivery and that Chris needed to complete an IRS form. The payment was not received, so NDCS had to resend the payment FedEx, and Mr. Harris 4/21/2015 had to complete Form W-8ECI. As of November 16, 2016 Additional Info Extra Info Reference Exhibit 4 Exhibit 5 Form W-8ECI, IRS Certificate of Foreign Person's Claim That Income Is Effectively Connected With the Conduct of a Trade or Business in the United States, was sent by Chris Harris which include its foreign tax identifying number. Mr. Harris also supplied current address. Address on W-8: Level 8, RDB Boulevard, Plot K-1, Sector V, Salt Lake City, Kolkata 700091, West Bengal, India; PH: +91-3366374505; Email: chrisharris@harrispharmalp.com Exhibit 6 2/6 Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Voucher Doc. 31432568-Batch 4012017, Payment Batch #4014165, was entered in Enterprise One (E1), the State's acounting datatbase, to pay Harris Pharma, LLP, #1982574, GL Date 4/22/15. Warrant #22717272 cleared the bank. Business unit & account number were 46020183.559100. Attached is NDCS Rule and Regulation Title 69, Chapter 11 Execution Protocol, 009, which describes 4/22/2015 procurement and inventory of lethal substances. Scott Frakes emailed copy of FedEx form to Chris Harris, who responded that he received it on 4/29/2015 4/28/15. Amount Additional Info 1000 one-gram vials of sodium thiopental USP@ $25.00 per vial, plus $1,700 freight and customs clearing in India. Total $26,700. No terms of delivery on invoice, required 100% advance payment. DEA number was on invoice, origin India, Deliver USA. Invoice Date 4/17/2015 HPL/Nebraska/Corrections/3, IEC $ 26,700.00 No:0211010227. Extra Info Reference Warrants were sent FedEx(from 4747 Old Cheney Road, Lincoln, NE 68516, 4/23/15 by Inga Hookstra) at cost of $66.45. FedEx #873690994489(See Exhibit 2 above). General Fund-AdministrationPosted by Inga H. Exhibit 7 Exhibit 8 Chris Harris sent Scott Frakes an offer to sell 1000 vials of pancuronium bromide USP 2 mg/2ml Ampule at $26 per Ampule, totaling $26,000. Delivery 60 days after receiving acceptance of this offer and receipt of payment into bank account. 100% advance payment, including $1,700 freight 5/12/2015 and customs clearing in India. Exhibit 9 Scott Frakes signed Harris Pharma's offer to sell the pancuronium bromide on 5/12/15; Mr. Harris sent the invoice dated 5/13/15. The offer was for 1000 vials of 2 mg ampule pancuronium bromide at $26 per ampule, totalling $26,000 plus $1,700 freight. Delivery 60 days after acceptance and advance 5/13/2015 payment into bank account. Exhibit 10 As of November 16, 2016 3/6 Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Additional Info 1000-2mg/2ml Ampule Pancuronium Bromide USP@ $26.00 per vial, plus $1,700 freight and customs clearing in Voucher Document 31576543-Batch 4035279, India. Total $27,700. No terms of Payment batch #4035410 entered in E1 to pay delivery on invoice, required 100% Harris Pharma LLP #1982574, GL Date 5/14/15, advance payment. DEA number was on Warrant 22742307 cleared the bank. Business Unit invoice, origin India, Deliver USA. & Account 46020183.559100. Attached is Nebraska Invoice Date 5/13/2015 Department of Corrections Rule and Regulation Title HPL/Nebraska/Corrections/4, IEC 69 Chapter 11 - Execution Protocol, 009 describes 5/14/2015 procurement and inventory of lethal substances. $ 27,700.00 No:0211010227. 5/26&29/20 Scott Frakes letters to DEA Scott Frakes sent an email to Chris Harris, indicating that NDCS had sent a letter to the Drug Enforcement Adminsitration (DEA) along with Form 236 on May 29, 2015. Director Frakes did not believe an 7/15/2015 additional letter was needed. Scott Frakes approved making a $399 payment to Benjamin L. England & Associates, LLC, for Drug 7/17/2015 Product Listing Services. Scott Frakes sent email and required paperwork to 7/31/2015 Chris Harris. Customs Bond. Per the Lincoln Journal Star, the ACLU asked Debra Gilg, US State Attorney, to investigate Nebraska's 8/20/2015 attempt to obtain lethal injection drugs. Per the Lincoln Journal Star, a FedEx tracking form showed that three packages of sodium thiopental had shipped on August 24, 2015, and was returned by FedEx on Aug 28, 2015. Emails indicate there was 9/18/2015 incorrect information on the forms. As of November 16, 2016 Amount Extra Info Reference General FundAdministration- Posted by Inga H. Exhibit 7 Exhibit 11 Exhibit 12 Exhibit 13 1000 one-gram vials of sodium thiopental at $25 per vial and 1000 ampules of 2 mg/2ml of pancuronium bromide at $26 per ample. Total $54,000 Exhibit 14 Exhibit 15 Exhibit 15 4/6 Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Amount Additional Info Per the Omaha World Herald, the US Food and Drug Administration said it is illegal to import foreignmade sodium thiopental. Fed Ex said improper or missing international paperwork were the reason for 9/18/2015 the return of the drug shipments. Scott Frakes placed an order with Gulf Coast Pharmaceuticals, Ocean Springs, MS, 39564, for four boxes of pancuronium bromide at $206.45 each, for a total of $825.80. Cancelled on 10-15-15 as not 10/14/2015 available. Special Investigative Committee hearing- Scott Frakes testified regarding drug purchase. Senators 11/5/2015 question the purchase and how it was handled. Extra Info Reference Exhibit 15 Exhibit 16 LR 34 Hearing held Room 1113 starting at 9:00 a.m. No Link Transcript on online. DEA Form 225A completed online, reference Julie 11/19/2015 Smith, NDCS Legal Counsel, and Scott Frakes. Exhibit 17 DEA Controlled Substance Registration Certificate 11/20/2015 received for Nebraska State Penitentiary. Exhibit 18 The purchase agreement listed six terms and conditions, including the price of the drugs, the advance payment requirement, and Chris Harris' pledge to deliver within 60 days. The agreement did not address refunding the payment for failure to 12/11/2015 provide the drugs purchased. Scott Frakes sent an email and letter to Chris Harris, requesting a refund of the sodium thiopental 1/6/2016 payment sent in April 2015 for $26,700. Chris Harris sent a response that a refund was not possible, and the drugs were still ready to be shipped. The response stated that the failure to make the delivery was not the fault of Mr. Harris' 1/28/2016 company. As of November 16, 2016 Per Lincoln Journal Star,- State seeking refund for lethal injections drugs. Exhibit 19 Exhibit 20 Exhibit 21 5/6 Nebraska Department of Corrections Drug Purchase Summary Prepared by APA Date Summary Amount Summary of NDCS-LethalDrugPurchases as prepared 9/6/2016 by NDCS. Robin Spindler, the Deputy Director of NDCS, responded to some of the APA's questions. She acknowledged that there was no provision in the purchase agreement for a refund. Additionally, she stated that the pancuronium bromide had not been received. According to her, the federal government was not challenging the importation of this drug; however, the shipment was placed on hold by the State pending the outcome of Referendum 426 in 10/4/2016 November. The APA searched the Nebraska Secretary of State's online corporate and business database and found no filings for Harris Pharm, LLP. The entity is listed in E1, however, as NDCS had purchased drugs from it in 2010 and 2011. The APA sent some verification 10/12/2016 questions to NDCS. NSCS responded to the APA's questions, verifing that NDCS used Rules and Regulations to make its drug purchase and that required pre-payment was 11/4/2016 unique in these instances. As of November 16, 2016 Additional Info Extra Info Reference Exhibit 22 Governor Ricketts issued the following statement on December 7, 2015: “In November 2016, Nebraska voters will determine the future of capital punishment in our state at the ballot box. To give deference to the vote of the people, my administration will wait to carry out capital punishment sentences or make additional efforts to acquire drugs until the people of our state decide this issue. Over the last several weeks, I have stepped up conversations with the Attorney General and the Corrections Director regarding a comprehensive review of the capital punishment protocols used in other states. My administration will continue to review potential protocol changes.” Year Description 2015 Sodium Thiopental 1gr Vials 2011 Sodium Thiopental 1gr Vials 2010 Sodium Thiopental 1gr Vials Size 1GR 1GR 1GR Freight Quantity Per Vial Sub-Total /Shipping 1000 $ 25.00 $ 25,000.00 $ 1,700.00 500 $ 10.00 $ 5,000.00 $ 411.00 500 $ 3.44 $ 1,720.00 $ 336.15 Exhibit 23 Total $26,700.00 $ 5,411.00 $ 2,056.15 Exhibit 24 6/6 Exhibit 1 Loorhis, Dinisha From: Loomis, Dinisha Sent: Wednesday, April 15, 2015 6:46 AM To: Wilson, Thomas Subject: RE: Hi I apologize. Thanks for letting me know. Tish Loomis NDCS Health Services AAII TEL: 402-479-5636 FAX: 402-479-5634 From: Wilson^ Thomas Sent: Tuesday, April 14, 2015 3:59 PM To: Loomis, Dinisha Subject: RE; Hi Ms. Loomis, Sorry you have selected the wrong Wilson, I am Dr. Wilson at NCCW. Thomas M. Wilson, Psy.D, Licensed Clinical Psychologist NCCW Mental Health Office:(402)362-3317 E.Kt. 264 FAX:(402)362-3464 DCS Cell Phone:(402)440-2744 Nebraska Correctional Center for Women 1107 Recharge Road York,Nebraska,68467 CONFIDENTIALITY NOTICE: This e-mail message, including any attachments, is for tlie sole use ofthe intended recipient/s and may contain CONFIDENTIAL and PRIVILEGED INFORMATION. Any unauthorized review, use, disclosure, and/or distribution ofthis message's content is prohibited. If you are not the intended addressee, please contact the sender by reply e-mail and destroy all copies oftlie original message 1 of 8 ..U. I l? k'k'~From: Loomis, Dinisha sent: Tuesday, April 14, 2015 3:47 PM To: Wilson, Thomas Subject: FW: Hi John I am handing this off to you to respond to Chris Harris if necessary. Thanks. Tish Loomis NDCS Health Services AAll TEL: 402-479-5636 FAX: 402-479-5634 From: Werner, Patrick Sent: Tuesday, April 14, 2015 3:07 PM To: 'Chris Harris' Cc: Loomis, Dinisha Subject: RE: Hi Hey Chris sorry, I?m not sure where Corrections stands on this subject anymore, as I?m no longer with them. have cc?d Tish Loomis l?m not sure that Tish is working on this either, but she was handling everything that was handling at the time of'my departure. Tish will let you know if Nebraska is interested. Thanks and have a good one, Patrick Werner Fiscal Project Analyst Financial Services Nebraska Department of Health and Human Services (402)471?1585/ patrick.werner@nebraska.gov From: Chris Harris Sent: Tuesday, April 14, 2015 2:47 PM To: Werner, Patrick Subject: Hi Hi Patrick, 20f8 . . Exhibit 1 Just wanted to let you know hme a few states who have already orderet. sodium thlopental. Would a - ?N?braska be interested as I will have a few thousand vials extra. Regards, Ch?s Sent from my HTC One 3of8 A Exhibit 1 Ldomis, Dinisha 4- From: Loomis, Dinisha Sent: Wednesday, April 15, 2015 8:50 AM To: Wilson, John Subject: FW: Hi John am handing this off to you to respond to Chris Harris if necessary. Thanks. Tish Loomis NDCS Health Services AAII TEL: 402-479?5636 FAX: 402-479-5634 From: Werner, Patrick Sent: Tuesday, April 14, 2015 3:07 PM To: 'Chris Harris' Cc: Loomis, Dinisha Subject: RE: Hi Hey Chris - sorry, I?m not sure where Corrections stands on this subject anymore, as I?m no longer with them. I have cc?d Tish Loomis I?m not sure that Tish is working on this either, but she was handling everything that was handling at the time of my departure. Tish will let you know if Nebraska is interested. Thanks and have a good one, Patrick Werner Fiscal Project Analyst Financial Services Nebraska Department of Health and Human Services (402)471-1585/ From: Chris Harris Sent: Tuesday, April 14, 2015 2:47 PM To: Werner, Patrick Subject: Hi 4of8 Exhibit1 1-1 I: Hi Patrick, Just wanted to let you know have a few states who have already ordered sodium thiopental. Would Nebraska be interested as I will have a few thousand vials extra. Regards; Ch?s Sent from my HTC One 5of8 A A Exhibit1 Wilson, John From: Wilson, John Sent: Wednesday, April 15, 2015 11:04 AM To: Cave, Mark (mark.cave@nebraska.gov) Cc: Derby, Kathy Subject: Recall Fyi From: Chris Harris Sent: Tuesday, April 14, 2015 2:47 PM To: Werner, Patrick Just wanted to let you know have a few states who have already ordered sodium thiopental. Would Nebraska be interested as I will have a few thousand vials extra. From: Werner, Patrick Sent: Tuesday, April 14, 2015 3:07 PM To: 'Chris Harris' Cc: Loomis, Dinisha Subject: RE: Hi Hey Chris sorry, I?m not sure where Corrections stands on this subject anymore, as I?m no longer with them. I have cc?d Tish Loomis I'm not sure that Tish is working on this either, but she was handling everything that was handling at the time of my departure. Tish will let you know if Nebraska is interested. Thanks and have a good one, Patrick Werner Fiscal Prdject Analyst Financial Services Nebraska Department of Health and Human Services patrick.werner@nebraskagov From: Chris Harris Sent: Tuesday, April 14, 2015 2:47 PM To: Werner, Patrick Subject: Hi Hi Patrick, Just wanted to let you know have a few states who have already ordered sodium thiopental. Would Nebraska be interested as I will have a few thousand vials extra. Regards, Ch?s 6of8 Exhibit 1 Sent from Wilson, John From: To: Sent: Subject: Derby, Kathy Wilson, John Thursday, April 16, 2015 9:44 AM Message Recall Failure: sodium thiopental Exhibit 1 80f8 Exhibit 2 manufacturer and distribution services OFFER TO SELL AGREEMENT 14'^ April 2015 To, Scott Frakes, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and in accordance with the terms and conditions herein contained. 1. Product:Sodium Thiopental USP Igm Vial 2. Price: US$ 25 per Vial 3. Quantity: 1000 Vials 4. Freight and Customs Clearing in India : US$ 1700 5. Delivery:60 days after receiving acceptance of this offer and receipt of payment into bank account. 6. Payment Terms:100% Advance received APR I 4 2015 Harris Pharma LLP NDCS Director's Office Jn Christoimer Hafrls Level 8. ROB Boulevard, Plot K-1, Sector V, Block EP & GP, Salt Lake City, Kolkata 700091, West Bengal, India. Ph: +91-33-66374505 Email; chrisharris@harrispharmalp.com 1 of 5 Exhibit 2 Invoice No DATE EC No: 021101022? - a HPIJNEBRASKA/coimecrlomsla a . 17th April 2015 3 i? 1: 2i 5? u? Buyers Order No: Date: manuiaetiurer arri {lisiribuiicuz senate: Other Ref: ML 115 B, EOSEPUKUR ROAD, KDLKATA 700035, WEST BENGAL, INDIA FRAKES Buyer [if other then consignee}: NIL Nebraska Department of Correctional Services Nebraska, Country of Origin of Goods: INDIA Country of Destination: UNITED STATES OF OF AMERICA AMERICA DEA NUMBER PHONE-NUMBER +1?402-479-5575 Fre Car'riagerBy Air Place of Receipt by Pro Carrier: Terms of Delivery and Payment: 1003-5 Advance Vessel/Flight'N'o: By'Air Port of Loading: Kolkata, india Port Of Discharge: Nebraska Final Destination: Nebraska Mark [Package Discription Quantity Rate Amount Harmless Medicine U51) 1 1 ?ilopenta Sodium USP 13m 1000 25 35000 Freight and Customs Ciearing in India 1-700 TOTAL USD 26700 TOTAL: US DOLLARS Twenty Six Thousand and Seven Hundred Only) Deciara?on We declare that this invoice shows the actual price of the Goods described and that particuiars are true and correct. ~r5 Exhibit 2 RSSOSISEMI STATE OF NEBRASKA 05:19:15 8:48:22 MSOWI Unmsted: MTD GIL Deta?- Invoice Number Page - 1 Century: 20 FiscalYenr 14 Period Hum 10 Gnnu and Praise: A: of ms - 3 Agency 046 DEPT SERVCS Divis?nn 002 AGENLY DEFINED DMSION and Program Sub- Gran! 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See FedEx Service Guide at fedex.coa for details. ise sales finai. .0Visit us at: fedex.com Or call 1.800.GoFedEx 1.800.463.3339 April 23, 2015 4:06:04 PM EN us how we're doing receive a discount on your next order! or 800-398-0242 Redemption Code: Thank you 5of5 Exhibit 3 From: Frakes, Scott Sent: Wednesday, April 15, 2015 2:33 PM To: 'Chris Harris' Subject: RE:Information Perfect-thanks!! From: Chris Harris fmailto:chrisharris@harrispharmallD.com1 Sent; Wednesday, April 15, 2015 1:24 PM To: Frakes, Scott Subject: Re: Information Great. Will call you tomorrow between 7am to 8.15am Central Time. Will call on your Cell. Ftbkfii Ffak^. Scott l§Aph1> 201S 11:^^^ Toi Ghds Harris ItE: inforrhatibn Can you call between 7am and 8:15 am -Central Time? The sooner we can connect,the better. Thank youl From: Chris Harris rmailto:chrisharris@harrispharmallD.coml Sent: Wednesday, April 15, 2015 1:15 PM To: Frakes, Scott Cc: Kohl, Randy Subject: Re: Information Hi Scott, Will give you a call tomorrow. Let me know what time will be good for you. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot-K1,Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph:+91-33-66374505 Cell: +91-7044060616 Scott iieiii: iS April/ 2015 11:32 PM TftSf^hi!iferrii§@,harrlspharmallp.COm 1 of 3 J: .. . in A Exhibit 3 Information Mr. Harris, My name is Scott Frakes, I'm the Director of the Nebraska Department of Correctional Services. I would really like to connect with you as soon as possible. My of?ce number is 402-479-5575, and my cell phone is? Hope to talk with you soon. Thanks! 20f3 Kohl, Randy From: Sent: To: Subject: Hi Randy, Exhibit 3 Chris Harris Wednesday, April 15, 2015 12:16 PM Kohl, Randy Sodium Thiopental have supplied Nebraska with Sodium Thiopental in the past. I presently have a batch being manufactured for 2 States that have placed an order. Just wanted to know if Nebraska would like to place an order as well as have a few thousand Vials that will be extra. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91~33-66374505 Cell: +91?7044060616 3of3 Exhibit 4 ■ Frakes, Scott From; Frakes, Scott Sent: Monday, April 20, 2015 6:51 PM To: Chris Harris Subject: RE:Information Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smaitphone Original message From: Chris Harris Date: 04/20/2015 6:19 PM(GMT-06:00) To:"Frakes, Scott" Subject: Re:Information Hi Scott, Tried calling today. Got your volcemall. Regards, Chris $7^ lorOf m ^Chris Harris RE: Infbrmation My staff are working on it as I write this note back to you. Thank you for your prompt response. From: Chris Harris fmailto;chrisharris@harrispharmallD.coml Sent: Friday, April 17, 2015 8:33 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Pis find attached the Invoice. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, 1 of 3 A A Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Cell: +91-7044060616 Exhibit 4 '16 6:29 PM subject: RE: Information Please send me an invoice for the minimum order, and shipping/handling. I will create a purchase order, and generate payment. Thank you. From: Chris Harris Sent: Thursday, April 16, 2015 7:50 AM To: Frakes, Scott Subject: Re: Information Hi Scott, I can supply you Sodium Thiopental 1gm Vials USP $25 per vials. Delivery after 60 days. 5 1700 shipping and handling charges. Regards, Chris Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Thu, Apr 16, 2015 1:01 AM Perfect From: Chris Harris Sent: Wednesday, April 15, 2015 1:24 PM To: Frakes, Scott Subject: Re: Information Great. Will call you tomorrow between 7am to 8.15am Central Time. Will call on your Cell. From: Frakes, Sent: 15 April, 2015 11:48 PM To: Chris Subject: RE: Information Can you call between 7am and 8:15 am Central Time? The sooner we can connect, the better. Thank you! 20f3 - A fA? From: Chris Harris Sent: Wednesday, April 15, 2015 1:15 PM To: Frakes, Scott Cc: Kohl, Randy Subject: Re: Information Exhibit 4 Hi Scott, Will give you a call tomorrow. Let me know what time will be good for you. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot - 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India.. Ph: +91-33-66374505 Cell: +91-7044060616 From: Frakes, Sent: 15 April, 2015 11:32 PM . To: Cc: Kohl, Subject: Information Mr. Harris, My name is Scott Frakes, I'm the Director of the Nebraska Department of Correctional Services. I would really like to connect with you as soon as possible. My office number is 402-479-5675, and my cell phone is Hope to talk with you soon. Thanks! 3of3 Exhibit 5 Frakes, Scott From: Frakes, Scott Sent: Tuesday, April 21, 2015 8:31 AM To: 'Chris Harris' Subject: RE: Information Everything you need should be in the envelope. Thanks again! From: Chris Harris rmailto:chrisharris@harrispharmallD.com1 Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One — Reply message — From:"Frakes, Scott" To:"Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smartphone Original message From: Chris Harris Date: 04/20/2015 6:19 PM (GMT-06:00) To: "Frakes, Scott" Subject: Re: Information Hi Scott, Tried calling today. Got your voicemail. Regards, Chris From: Frakes, Scott Sent: 17 April, 2015 10:09 PM To: Chris Harris Subject: RE: Information My staff are working on it as I write this note back to you. Thank you for your prompt response. From: Chris Harris fmailto;chrisharris0harrispharmallp.com] 1 1 of 2 A A Exhibit 5 ?Sent9?Friday, April 17, 2015 8:33 AM To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the Invoice. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Cell: +9l?7044060616 From: Frakes, Sent: 16 April, 2015 6:29 PM To: Chris Subject: RE: Information Please send me an invoice for the minimum order, and shipping/handling. I will create a purchase order, and generate payment. Thank you. From: Chris Harris Sent: Thursday, April 16, 2015 7:50 AM To: Frakes, Scott Subject: Re: Information 20f2 Exhibit 6 Frakes, Scott From; Sent: Chris Harris Wednesday, April 22, 2015 1:17 PM To: Frakes, Scott Subject: Attachments: Re: Document from Lanier LD625c Company_LLP Master Data.pdf Hi Scott, Just for your info. That you have sent to correct address. Can I call when your free? Need to talk. Give me a time. Regards, Chris —Original Message— From: Frakes, Scott Sent: 22 April, 2015 12:25 AM To: Chris Harris Subject: RE: Document from Lanier LD625c Chris, The address on the invoice says Salt Lake City, but it doesn't have the street address, or the zip code for Salt Lake City. —Original Message— From: Chris Harris rmaiito:chrisharris@harrisDharmallp.com1 Sent: Tuesday, April 21,20151:34 PM To: Frakes, Scott Subject: Re: Documentfrom Lanier LD625c Hi Scott, Pis find the documents attached. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot-K1,Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Ceil: +91-7044060616 —Original MessageFrom: Frakes, Scott 1 of 20 Exhibit 6 Sent: 21 April, 2015 11:26 PM To: Chris Harris Subject: FW: Document from Lanier Chris, Here is the form. Please complete and return, along with the new invoice. Thanks! 20f20 Exhibit 6 Company/LLP Master Data we. .. <4 V. [Supie?t . 7 l. .. . Name ?Number Of Partners HARRIS PHARMA LLP .20 [Number of Designated Partners . 2 Code RoC?Kolkata ?Date of Incorporation 15/06/2011 [Address of . RBD Boulevard, Level 8. Plot K-1, SectorV, Block EP GP, Salt lake City Kolkata West Bengal-700091 .. Email Id lPrevious firm! company details, if applicable ?Total Obligation of Contribution 2 50000.0 lMain division of business activity 74 Ilndia ., - . . .. .. . .. . . . . e. "Description of main division IDate of last financial year end date for which . tatement of?cgy?taan?glxemxfiled- ., . . . iDate of last financial year end date for which Annual A _Retu Status Active 30f20 Exhibit 6 OFFER TO SELL AGREEMENT To, 14?? April 2015 Scott Frakes, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and in accordance with the terms and conditions herein contained. Product Sodium Thiopental USP Vial Price per Vial Quantity 1000 Vials Freight and Customs Clearing in India 1700 Delivery 60 days after receiving acceptance-of this offer and receipt of payment into bank account. 6. Payment Terms 100% Advance For, Harris Pharma 1 0 Christo?g ris CEO Level 8. R08 Boulevard, Plot K-i, SeotorV, Block EP 8. GP. Salt Lake City, Kolkata 700091, West Ben4g?a?l?%dra. Ph Exhibit6 Frakes, Scott From: Frakes, Scott Sent: Tuesday, April 21, 2015 2:03 PM To: 'Chris Harris' Subject: RE: Document from Lanier Can you call me right now? Message--??- From: Chris Harris Sent: Tuesday, April 21, 2015 2:01 PM To: Frakes, Scott Subject: Re: Document from La nier Hi Scott, ln sector V, that is how the address is. The entire area is a commercial zone and is called salt lake city. The city is Kolkata and zip code is 700091. I am mentioning the address below. It is the same as Invoice Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Regards, Chris Message-m- From: Frakes, Scott Sent: 22 April, 2015 12:25 AM To: Chris Harris Subject: RE: Document from Lanier Chris, The address on the invoice says Salt Lake City, but it doesn't have the street address, or the zip code for Salt Lake City. From: Chris Harris Sent: Tuesday, April 21, 2015 1:34 PM To: Frakes, Scott Subject: Re: Document from Lanier Hi Scott, find the documents attached. 50f20 Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Cell: +91-7044060616 Message--??- From: Frakes, Scott Sent: 21 April, 2015 11:26 PM To: Chris Harris Subject: FW: Document from Lanier Chris, Here is the form. Please complete and return, along with the new invoice. Thanks! Exhibit 6 60f20 Frakes, Scott From: Sent: To: Subject: Attachments: Chris, Frakes, Scott Tuesday, April 21, 2015 12:57 PM 'Chris Harris' FW: Document from Lanier 20150421135408750.pdf Here is the form. Please complete and return, along with the new invoice. Thanks! Exhibit 6 70f20 A Certificate of Foreign Person's Claim That Income is Effectively Connected With the Conduct of a Trade or Business In the United States Section references are to the lntemai Revenue Code. Depamenl o, the Treasury information about Form W-BECI and its separate instructions is at internal Revenue service Give this form to the withholding agent or payer. Do not send to the iFlS. Note. Persons submitting this form must file an annual US. income tax return to report income claimed to be effectively connected with a U. S. trade or business (see instructions). Do not use this form for: instead, use Form: - A bene?cial owner solely claiming foreign status or treaty benefits . . . . . . . . . . W-BBEN or W-BBEN-E 0 A foreign government, intemationai organization, foreign central bank of issue. foreign tax?exempt organization, foreign private foundation. or government of a US. possession claiming the applicability of section(s) 115(2), 501(c), 892. 895, or 1443(b) w_gExp Note. These entities should use Form if they received effectively connected income and are not eligible to claim an exemption for chapter 3 or 4 purposes on Form W-8EXP. - A foreign partnership or a foreign trust (unless claiming an exemption from US. withholding on income effectively connected with the W-BBEN-E conduct of a trade or business in the United States) or W-BIMY 0 A person acting as an intermediary . . . . Note. See instructions for additional exceptions. identi?cation of Beneficial Owner (see instructions.) 1 Name of individual or organization that is the beneficial owner Exhibit 6 till-3E6! a .Fb 2014 lev man! 2 Country of incorporation or organization 3 Name of disregarded entity receiving the payments Gf applicable) El Corporation El Estate El Tax?exempt organization El Individual El Complex trust El Central bank of issue 4 Type of entity (check the appropriate box): Partnership El Simple trust El Government El Grantor trust [3 Private foundation El lntemational organization 5 Permanent residence address (street, apt. or suite no.. or rural. route). Do not use a P.O. box or in-care-of address. City or town, state or province. include postal code where appropriate. Country 6 Business address in the United States (street, apt. or suite no.. or rural routein-care-of address. City or townI state. and code 7 US. taxpayer identification number (required?see instructions) 8 Foreign tax identifying number El sen or ITIN Ci EN 9 Reference number(s) (see instructions) 10 Date of birth 11 Specify each item of income that Is. or is expected to be, received from the payer that is effectively connected with the conduct of a trade or business in the United States. (attach statement if necessary) Certi?cation Under penalties of perjury, i declare that I have examined the information on this form and to the best of my knowledge and belief it is true. correct. and complete. further certify under penalties of perimy that: - i am the beneficial owner (or i am authorized to sign for the beneficial owner) of all the payments to which this form relates. - The amounts for which this certification is provided are effectively connected with the conduct of a trade or business in the United States, 0 The income for which this form was provided is lncludibie in my gross income (or the bene?cial owner's gross income) for the taxable year. and I The beneficial owner is not a US. person. Furthermore. authorize this ionn to be provided to any withholding agent that has control. receipt. or custody of the payments of which i am the beneficial owner or any withholding agent that can disburse or make payments of the amounts of which I am the beneficial owner. I agree that I will submit a new form within 30 days if any certification made on this form becomes incorrect. Sign Here Signature of bene?cial owner (or individual authorized to sign tor the beneficial owner) Pn?nt name Date El certify that i have the capach to sign for the person identified on line 1 of this form. Form W-8ECI (Rev. 2-2014) 8 of 20 For Paperwork Reduction Act Notice, see separate instructions. Cat. No. 250450 Exhibit 6 Frakes, Scott 1 From: Chris Harris Sent: Tuesday, April 21, 2015 12:02 PM To: Frakes, Scott Subject: Re: Information No problem. Will call in 50 min From: Frakes Scott Sent: 21 April, 2015 10:26 PM To: Chris Harris Subject: RE: Information Can you call 402-479-5675 at 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That?s mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the ?rst time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that of?ce as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to ?ll a form I can do that as well. If you need to talk let me know what time to call. Regards, Ch?s From: Fra'kes Stott sent: 21 April, 2015 9:41 PM To:~fChris Harris Subject: RE: Information 90f20 Exh'b't 6 No - US Postal Service, 3-5 day deliVe. y. is there someone on that end that can Sculd it back to you (from India) via Fed- ex? If not, we will need to talk there is a form that we will need to have you ?ll out since we don?t have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedex? From: Frakes Scott Sent: 21 April, 2015 7:23 PM To: Chris Harris Subject: RE: Information Sent to the address on the invoice (lndia), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake of?ce address? Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM 10 of20 Exhibit 6 Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smartphone Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" Subject: Re: Information Hi Scott, Tried calling today. Got your voicemail. Regards, Chris From: Frakes, Sent: 17 April, 2015 10:09 PM To: Chris Subject: RE: Information My staff are working on it as I write this note back to you. Thank you for your prompt response. From: Chris Harris Sent: Friday, April 17, 2015 8:33 AM 11 of20 A A Exhibit 6 To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the Invoice. Regards, Chris Harris CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Cell: +91-7044060616 From: Frakes, Sent: 16 April, 2015 6:29 PM To: Chris Subject: RE: Information Please send me an invoice for the minimum order, and shipping/handling. I will create a purchase order, and generate payment. Thank you. From: Chris Harris Sent: Thursday, April 16, 2015 7:50 AM To: Frakes, Scott Subject: Re: Information 12 of 20 Exhibit 6 Fm certificate of Foreign Person's Gi?aim That Income ls A Effectively Connected With the Conduct of a Trade or (Rev. February 2014) . Business in the United States Section references are to the lntiemel Revenue Code. (Wammoma?masuw blntormetton about Form end-its. separate Instructions is etwwmiregovlfonnwaeci?. 5' Give to the withholding agent or payer. Do not-send to the iFlS. Note-Persons? submitting this form mastitis 'an annual (1.8. income tax return to report income claimed to be a?ectitieiy? connected with 3 us. trade or business {see Dojnotueetnisronnten -insteag,usel=onn: - A-bene?cial owner solely claiming foreign status ortreaty bene?foreign government. lnt'em'ational organization, foreign central bank of issue. foreign tax-exempt organization. foreign private. toundatbn?r government?ofatits. poaseeslon clatminglhe applicability of 895. or1443(b) . . . was)?: Note. These entities Form w?omr If fiteyrreceived effecflveiy connect?d income endare not eligible to claim an exemption for chapter 3- ?ar 4pumoses? ?on?FOlm? W-BEXP. - .A iorelgn partnership or a foreign trust (unless claiming an exemption from us. withholding on income effeclhrely?conneote'd'iwith the. condontotatratle orbuslnessintheUnlted Statesnausea instructions Ior?dditional exceptions. Identi?cation er Beneficial Owner (see instructions.) "l emeol individual or organ alien that is the beneficial owner 2 Country ol- inoomoratlon or organization V4 rare/s Hen/we . 2 re 3 Name of- dlsregerded entity receiving the payments (if applicable) ?Type of entity (check the appropriatehox): individual i Corporation CI Partnership El Simpie?trust Ci Complex trust Estate Govemment trust Central bank of Issue El Tax?exempt organization [j Private foundation 7 Eli/mraefn?gtlonaiorgenlzatlon I 5 Permanent residence address (street. apt. or suite no.. or rural, routein-careof address. City or town. state or prev/thee. include postal code where appropriate. 1 Country .r . r. . . BuSlnesse dress in . ?h'eet, apt. or suite no, :or' rural mute), Do not usea box? of in-cere-ot address. a a . . - tee-rs KL $640173?? Cityor town. state. and th?co'de . I KQMCATA, WEST, 7 ll.s.lexpayer identi?cation number (required?see instructions) Fereign number . i . Elem FF) -- (4L5- 9 Reference (see Instructions.) 10 Date of birth (MM-DD-YYW) 11 Specify each ttemet incomeith'at is. or is eXpected to'be. received from the payer that Is etiectlvelyeonnected withthe conduct of a trade or busih?Ss inithe United States. (attach statement it necessary) W'Ce?ii?eatjpn . 7 t. Unjd a'rpen'alliee? of l? that i have examined the information entitle, fonnrand?to the best all my knowledge and benefit is true. consul; and complete. I-mnherc?rmy under'panamesoroarm that: '5 tern the?heneiihlet=oWner (or tern attihorlied to sign tor the bene?cial?ownerief all the payments to form-relates. - menihomletor which this certi?cation lsprovtded ate-enactmer connected with the conduct of e'trdde or- buslness inithe United States. 1 '6 ?The?lnoome was provided is lncludtble'in my grossincome, (brine: bene?cial owner?s gross lncorneit'or the?tdxetile yearend The beneficial owner is minus. person. 1 Furthermore I authorize this term to be provided to any withholding agent that has control. receipt, or custody of the payments of which [am the Here bene?ticial owneror any wi- that wholeness or make payments of the amounts of which] am the beneficiai-bwner. I agree that I will "within 30 days it any certification made on this form becomes incorrect. I oq-li?lo? signanu??o?r?ine?ctgt?awner (or intimate) authorized to sign for the bene?cial owner) Print ham Datum-DDme 3 cer?ly that-i have theoepacity to, sign for thepereon identi?ed on line 1 of thistorm. . . 1.3 of 20. For-Paperwork Reduction Act?Notice, see separate instructions. Cat. No. 2504513 Font! (Petr. 2-2014) Exhibit 6 Invoice No 8t DATE: IEC No: 0211010227 April 2015 Buyers Order No: Date: other Ref: NIL Level 8, RDB Boulevard, Plot - 1, Sector U, Salt Lake City, Kolkata 700091.West Bengal. India. FRAKES Buyer {if other then consignee}: Nil. Nebraska Department of Correctional Services Nebraska, Country of Origin of Goods: INDIA Country of Destination: UNITED STATES OF UNITED STATES OF AMERICA AMERICA DEA NUMBER AN5903453 PHONE NUMBER +1-401?479-5675 Pre Carriage: By Air Place of Receipt by Pro Carrier: Terms of Delivery and Payment: 100% Advance No: By Air Port of Loading: Kolkata, India Port Of Discharge: Nebraska Final Destination: Nebraska Mark ISLNO IPackage - Quantity Rate Amount Harmless Medicine QTY USD USU 1 1 Thiopento Sodium USP lgmhai mm 25 2mm Freight and Customs Gearing in India 1700 TOTAL USD 26700 TOTAL: US DOLLARS Twenty Six Thousand and Seven Hundred Only} DeclaratIOn We declare that this invoice shows the actual price of the Goods described and that all particulars are true and correct. 14 of 20 Exhibit 6 Frakes, Scott From: Frakes, Scott Sent: Tuesday, April 21, 2015 9:56 AM To: 'Chris Harris' Subject: RE: Information Sorry I missed that piece. Let me know if there is a problem. Thanks .lwmv' anvw: unvul an i From: Chris Harris Sent: Tuesday, April 21, 2015 9:10 AM To: Frakes, Scott Subject: Re: Information I think you did not receive the mail which I sent you mentioning to send it to the address on the email signature as we just shifted to a new office. Anyways not a problem will contact FedEx and will collect directly Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris'I Subject: Information Date: Tue, Apr 21, 2015 7:23 PM Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM 15 of20 1 Exhibit 6 To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by Specially delivery. Thanks Sent from my Verizon Wireless 46 LTE smartphone Original message 16 of 20 Exhibit 6 From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" Subject: Re: Information Hi Scott, Tried calling today. Got your voicemail. Regards, Chris From: Frakes, Sent: 17 April, 2015 10:09 PM To: Chris 3 17 0f20 Exhibit 6 Subject: RE: Information My staff are working on it as I write this note back to you. Thank you for your prompt response. From: Chris Harris Sent: Friday, April 17, 2015 8:33 AM To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the Invoice. Regards, Chris Harris 4 180f20 CEO Harris Pharma LLP Level 8, RDB Boulevard, Plot 1, Sector V, Salt Lake City, Kolkata 700091 West Bengal, India. Ph: +91-33-66374505 Cell: +91-7044060616 From: Frakes, Sent: 16 April, 2015 6:29 PM To: Chris _Subject: RE: Information Exhibit 6 19 0f20 Exhibit 6 Please send me an invoice for the minimum order, and shipping/handling. I will create a purchase order, and generate payment. Thank you. From: Chris Harris Sent: Thursday, April 16, 2015 7:50 AM To: Frakes, Scott Subject: Re: Information 6 200f20 Exhibit 7 R5SM16DM) N1SDDD1 Ctniuiy; UnputiMl; Y 20 STATEOF NEBRASKA osno/u MTO 6/L DttiE-lavOiee Nundiar Poga- FbralVear 14 GoDlsend Ptojctb A3i)f0400n5.B Agcflv DMston 044 DEPT CORRECTIONAL5ERWCS 002 AGENCY DEFINED DIVISION Pngiani SubPngiam 10000 370 TbtalbrBudaesa Un& Giant Udger Btnhas Object TVpo Urfl Acenvnt 4scaatt3 4S02D1B3 55SIOO AcceunlNuirber Asaum^oioo. Unpaacd Sub- Dae Mger Number Payeel&ipbnalioR Tian Batch Dele Type Type Batch Poctod Manli Nuniber Cede taOata KaRbPhatm Up 3I4325H anTNS 3S,7NM "Ran ADMINISTRATION 3 1 of 10 ?g?L/del?- Invon No 8: DATE: No: 0211010227 . I: 15 Hamsan manulaciurer and dISllibUliOll sen/ices Other Rel: NIL 145 B. BOSEPUKUR ROAD. KOLKATA 700039, WEST BENGAL, INDIA FRAKES Buyer (lfother then Nebraska Department of Correctional Servlees . Nebraska, of Goods: INDIA CountryofDestlnetlon: UNITED OF UNITED STATES OF AMERICA AMERICA DEA NUMBER NUMBER +1-402-479-5675 Pra Carriage: By Alr Place of Recelpl by Pra Carder: Terms of Oellvery arid Payment: 10056 Advance No: ByAlr Port of Loading: Ilollreta?ndla Port Of Discharge: Nebraska Flnal Destlnatlon: Nebraska lMark [Peek-age Quantity .I?ate Amount Harmless my U53 "so 1 1 Sodium USP 13m Vlal 1000 as 25000 Frelght and Customs Clearing ln India 1700 TOTAL USD 26700 TOTAL: US DOLLARS (Twenty Thousand and Seven Hundred Only) ?llaolol?s 554100 Declaratlon We declare that this Invoice shows the aural price of the Goods and that all partlculars are true and correct. HARRIS PH LLP es nated PP ner 20f10 Exhibit 7 STATE OF NEBRASKA 05/14/15 9:04:58 General Ledger Post Page - 1 Batch Tnyumber 4035279 Post Out of Balance Offset Method Batch Date 05/14/15 InterCo Settlement 2 .. . Document . . . . . GIL Fund Account Number Debit Credit Units Sub? Tag Explanation Ty Number Co Date Description ledger Number Remark PV 31576543 10000 05/14/15 10000 460201835591 00 27,700.00 HARRIS PHARMA LLP OTHER OPERATING EXP 1.0 AE 31576543 10000 05/14/15 10000 10000211900 27.700.00- O?set By Document PV 31576543 AAI DUE TO VENDOR (SYSTE AE 1 .0 Ledger 1ype Totals AA 27.700.00 27.700.00- A #347 77 Exhibit 7 HarriSPharmc. manufacturer and disiribuiion services Level 8, ROB Boulevard. Pint K1. Salt take my. BENGAL. INDIA invoice No DATE in. No: 0211010227 13th Way 2015 BuyersOrder No 8: Date:12th May 2015 ?0365216 ziswq Other Rel: NIL ATTN: Siott Frekes Nebraska Department of Correctional Services PO Box 94651 Lincoln Nebraska 68509, UNITED STAT OF AMERICA DEA NUMBER AN5903453 Pre Carriage: By Air NUMBER +1-402479-5675 Buyer (if other tiren consignee NIL Counts-yet Destination: UNITED STATES OF Country of Origin of Goods: INDIA AMERICA lPiece of Receipt by Pre Carrier: Terms of Delivery and Payment: 100% ADVANCE Vessel/Flight No: By Air IPort of Loading: Kolltate, india iPort Of Discharge: Nebraska Final Destination: Nebraska Mark lPecirage Discriptian Quantity lime . Amount 1 1 ?Pancuronium Bromide USP 2mg/2mi Ampuie 1000 25 26?00 Freight Custom Clearing in India 1700 TOTAL U50 2770?!) TOTAL: US DOLLARS Twenty Seven ThoIIsand Seven Hundred Only) Li to 0.10553. 55-4100 Declaration We declare that this invoice shows the actual price of the Goods described and that ail particulars are true and correct. 4of10 i" Exhibit 7 0080205 If the coroner does not pronounce the condemned inmate dead at the conclusion of this process, the Director shall order the execution process repeated in the manner described by this protocol. 009 Procurement and inventory of lethal substances 009.01 The Director shall purchase two complete sets of the described lethal substances unless the Director determines that additional quantities should be kept in inventory. 009.02 The described lethal substances shall be purchased through the Department Pharmaceutical Supervisor or through some other appropriate source. 009.03 The purchase of the lethal substances will be treated as the purchase of high security items and their receipt and delivery are not subject to standard business delivery procedures, but will be delivered directly into the custody of the Director. 009.04 The Director shall document the order and receipt of the lethal substances and provide for their maintenance and storage. 009.05 The inventory of lethal substances will be reviewed every six months and also immediately upon receipt of an execution order from the Nebraska Supreme Court. 009.06 Expired lethal substances will be cleared from inventory and replaced. 50f10 Exhibit 7 NEBRASKA ADMINISTRATIVE CODE Title 69 – DEPARTMENT OF CORRECTIONAL SERVICES Chapter 11 – EXECUTION PROTOCOL 001 Authority. When the Director of the State of Nebraska Department of Correctional Services (Director) receives an order of the Nebraska Supreme Court directing the enforcement of a sentence of death, that order will be carried out pursuant to Laws 2009, L.B. 36. The Director has the authority to create and modify this protocol. 002 Location. Executions will be performed in the execution chamber at the Nebraska State Penitentiary. 003 Execution Team. The Director shall appoint and remove all members of the Execution Team at his or her discretion. The Execution Team shall consist of the following: 003.01 The Director 003.02 The Warden of the Nebraska State Penitentiary (Warden) 003.03 The Nebraska State Penitentiary Staff Communicator (Staff Communicator) 003.04 An Escort Team consisting of an Escort Team Leader and an Escort Team comprised of at least six additional individuals. 003.05 An IV Team consisting of an IV Team Leader and a single IV Team Member. 004 Execution Team Qualifications 004.01The Director, Warden and Staff Communicator are qualified by the responsibilities of the positions they hold within the Department and the completion of any specific training required by this protocol. 004.02 Escort Team. The Escort Team shall be correctional employees with training or experience in escorting secured prisoners on behalf of the Department. 004.03 IV Team. The IV Team Leader and IV Team Member shall be individuals trained in venipuncture and catheter placement to maintain an open intravenous line; shall have successfully completed training as an emergency medical technician and training in phlebotomy; shall have successfully completed training to initiate the flow of saline solution by IV, the injection of substances into an IV line, and to select a syringe set(s) capable of accomplishing the requirements of this protocol. 1 6 of 10 Exhibit 7 005 Execution Team Duties 005.01The Director (1) has the responsibility to obey orders of the Nebraska Supreme Court directing the enforcement of a sentence of death; (2) appoints and removes members of the Execution team at his or her discretion; (3) supervises, directs and maintains a record of the qualifications and training of the Execution Team pursuant to this protocol; (4) shall be physically present at the execution; (5) shall direct the administration of all substances to the prisoner in accordance with this protocol; (6) shall summon a coroner to pronounce the death of the condemned inmate; and (7) shall certify the death of the condemned inmate to the appropriate court. 005.02 The Warden, under the supervision of the Director, shall (1) assure that court ordered executions in Nebraska are conducted pursuant to this protocol; (2) be physically present at the execution; (3) be trained in and shall conduct the consciousness checks required by this protocol after the administration of the sodium thiopental; (4) if he or she is unable to reasonably verify that the condemned inmate is unconscious, he or she shall communicate to the Director that an additional dose of sodium thiopental should be administered; and (5) after he or she has reasonably verified that the condemned inmate is unconscious shall communicate that fact to the Director. 005.03 Nebraska State Penitentiary Staff Communicator, under the supervision of the Warden, shall (1) maintain a written record of activities related to this protocol beginning when the Escort Team delivers the condemned prisoner to the execution chamber; and (2) serve as the Director’s communication liaison with representatives of the Nebraska Department of Justice. 005.04 The Escort Team shall (1) assume custody of the condemned inmate at the Nebraska State Penitentiary Hospital; (2) secure the condemned inmate; (3) escort or otherwise deliver the condemned inmate from the Nebraska State Penitentiary Hospital to the execution chamber; (4) place the condemned inmate on the table in the execution chamber; (5) secure the condemned inmate to the table in the execution chamber; (6) exit the execution chamber; and (7) remain outside the execution chamber to respond to any inmate control issues that may arise until dismissed by the Director. 005.05 The IV Team Leader shall (1) obtain and maintain appropriate materials and equipment to accomplish his or her responsibilities under this protocol; (2) at least 48 hours before the scheduled execution date examine the condemned inmate to determine appropriate locations for intravenous catheter placement and report the results of that examination to the Director; (3) on the date of the execution, obtain, prepare and deliver to the execution chamber the substances identified by this protocol for injection into the condemned inmate; (4) once the condemned inmate is secured by the Escort Team on the table in the execution chamber, establish a functioning intravenous line capable of administering the lethal substances identified by this protocol into a vein of the condemned inmate; (5) attach a heart monitor to the 2 7 of 10 Exhibit 7 condemned inmate; (6) exit the execution chamber; (7) be prepared to correct any issues with respect to the intravenous line or condemned inmate’s vascular system that might prevent or impede the injection of the lethal substances; (8) at the order of the Director, administer to the condemned inmate through the established intravenous line the lethal substances identified by this protocol in the order described by this protocol; (9) remain at his or her post until dismissed by the Director; (10) dispose of any substances or equipment employed in meeting the requirements of this protocol. 005.06 The IV Team shall assist the IV Team Leader as directed and be prepared to assume the responsibilities of the IV Team Leader should the IV Team Leader become unable to perform his or her responsibilities. 006 Execution Team Training 006.01 Training schedule. 006.01.01When no execution date has been set by the Nebraska Supreme Court, the members of the Execution Team shall train at least once every six months at a time established by the Director. The Escort Team and the IV Team may train independently of the other members of the Execution Team. 006.01.02 When an execution date has been set by the Nebraska Supreme Court the Execution Team will train at least weekly at times established by the Director. 006.02 Training required. In addition to the qualifications noted in this protocol, the Execution Team shall train as follows. 006.02.01 Execution Team as a whole. When the training schedule requires weekly training, all members of the Execution Team shall participate in training as a unit, review this protocol, and engage in one or more drills in which all members enact their individual responsibilities (with the exception of intravenous catheter placement and use of saline and lethal substances) as established by this protocol. 006.02.02 Warden. The Warden will be trained in performing the consciousness checks required by this protocol. The Warden will be trained by the IV Team Leader or other individual(s) familiar with the consciousness check techniques required by this protocol in order to reasonably verify whether the condemned inmate is unconscious. 006.03 Training documentation. All training of the members of the Execution Team will be documented noting the date and duration of the training, who supervised the training, and the activities undertaken. 3 8 of 10 Exhibit 7 007 Consciousness Checks 007.01 As used in this protocol the consciousness checks to be performed on the condemned inmate shall consist of the following. 007.01.01Brushing the eye lashes of one eye of the condemned inmate with the fingers of a hand, observing any involuntary muscular response; and 007.01.02 Opening one eye of the condemned inmate and passing over it a light source observing the pupil’s reaction to the light. 008 Lethal Substances 008.01 Identification. Executions shall be accomplished by the intravenous injection of the following substances into the condemned inmate by the method described in this protocol. 008.01.01 Sodium thiopental 008.01.02 Pancuronium bromide 008.01.03 Potassium chloride 008.02 Administration of the lethal substances. The lethal substances shall be administered to the condemned inmate by the mechanism described in this protocol. They shall be administered in the following order and dosages. 008.02.01 Sodium thiopental will initially be administered in one 3 gram dose. There will be a waiting period of at least one minute between the administration of the sodium thiopental and conducting the consciousness checks. If unconsciousness is not verified by the Warden after the administration of the initial dose, additional 3 gram doses will be administered and consciousness checks conducted after the administration of each dose until unconsciousness is verified. 008.02.02 Once unconsciousness is verified, pancuronium bromide will be administered in one dose of 50 mg/100 ml. 008.02.03 Once the pancuronium bromide has been administered, potassium chloride will be the third lethal substance administered in one dose of 240 Meq. 008.02.04 A 50cc saline flush will be administered following each injection of a lethal substance. 4 9 of 10 Exhibit 7 008.02.05 If the coroner does not pronounce the condemned inmate dead at the conclusion of this process, the Director shall order the execution process repeated in the manner described by this protocol. 009 Procurement and inventory of lethal substances 009.01 The Director shall purchase two complete sets of the described lethal substances unless the Director determines that additional quantities should be kept in inventory. 009.02 The described lethal substances shall be purchased through the Department Pharmaceutical Supervisor or through some other appropriate source. 009.03 The purchase of the lethal substances will be treated as the purchase of high security items and their receipt and delivery are not subject to standard business delivery procedures, but will be delivered directly into the custody of the Director. 009.04 The Director shall document the order and receipt of the lethal substances and provide for their maintenance and storage. 009.05 The inventory of lethal substances will be reviewed every six months and also immediately upon receipt of an execution order from the Nebraska Supreme Court. 009.06 Expired lethal substances will be cleared from inventory and replaced. 5 10 of 10 Exhibit 8 Frakes, Scott From: Sent: Chris Harris Tuesday, April 28,2015 2:29 PM To: Frakes, Scott Subject: Re:Information Great....That will work just fine From: Frakes. Scott Sent; Wednesday, April 29, 2015 12:50 AM To; Chris Harris Subject; RE: Information See attached. Thank you From; Chris Harris [mailto:chrlsharris@harrispharmallp.com] Sent: Tuesday, April 28, 2015 1:59 PM To; Frakes, Scott Subject; Re: Information Hi Scott, Pis find attached the offer to sell. Kindly sign & stamp and send back to me. Regards, Chris From; Frakes. Scott S^bt; Thursday, April 23, 2015 9:09 PM Chris Harris Subject; RE: Information I'm trying to get that right now -as soon as I have it, I'll e-mail you. From; Chris Harris rmailto:chrisharris@harrisDharmallp.com1 Sent; Thursday, April 23, 2015 10:35 AM To; Frakes, Scott Subject; Re: Information Hi Scott, Don't forget to send me the tracking number. Regards, Chris Sent from my HTC One 1 of 5 1.4 A Exhibit 8 Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 10:26 PM Can you call 402-479-5675 at 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That's why I mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the first time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that office as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to fill a form I can do that as well. If you need to talk let me know what time to call. Regards, Chris From: Frakes, Sent: 21 April, 2015 9:41 PM To: Chris Subject: RE: Information No - US Postal Service, 3?5 day delivery. Is there someone on that end that can send it back to you (from India) via Fed?ex? If not, we will need to talk there is a form that we will need to have you fill out since we don?t have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedex? From: Frakes, Sent: 21 April, 2015 7:23 PM To: Chris Subject: RE: Information 20f5 r? Exhibit 8 Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM 3of5 ?1 i Exhibit 8 Got your message, will conilrm tomorrow that the correct dOCumentS were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smartphone Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" 4of5 Internationa/Air Wat/bill . . 4a .gtc-t Express ForFedExeervicesu-mddwideFrom Pleasepr nrand shard. II dEx 4 Express Package Service Not oilservioos and Sen . . options are available Date 0: 5 AccountNumher Priority E1 I anuerous goo soanno . - be shipped using this Senders Name ff?) Phone L, LI 5 7 AITW?yblli ntnnotovniil?e tampont ctyi. Cart ecit? omtl Sever 5 Packauins Monumentmonotone: odEx Envelope [1 FedEx E?ttlt FedEx Box FedExTuhe Address 50 4 DPedBtl?kgBm? 6 Special Handling Address HOLD at FedEx Location El SATURDAY Delive Mannie In se'ect locomotiar lntl. Prim om. my a Stigma e- 7 Farm"! Bill transportation charges to: Enutr No. at credit Cor-Postal Code ?1 g?gfm?ggf Beetptent Em Clatecld?hequa dEttUseOr-tlr -. FodhAchNo. 2 Recipient's - Name C, Phone Pk ExoDaln I 8. Company at? t" i 5 at?th - mam. 3 - - Third Recipient Address LEV 9? cg, . 800?? 9 i Ki Fo?ExAchNo. i . mm 8 Your Internal Billing Reference Address I 9? City Lat Cita 9 Required Signature Use at this Air Woyhill constitutes your agreement to the Conditions oi Contra at on the back at this Air- ZIP Wayhill. and you represent Ihet this shipment does not require a U.5t State De pertinent License or contain a 1 - v. dangerous goods. Certain imornationai treaties. inclu drug the Warsaw Contra noon. may appiyto this Country 100051 i BE M4 1? d) 52 Postal Code shipmentend Iimitourtiaitii'rty lordomage. loss,ordefamasdascrioetlin the Conditions oiContract WARNING: Those commodities. technology, or so to were exported from the United States in accordance Recipient's Tax ID Number for Customs Purposes with ExportAdmiJi' lion Hogu! 'un versi niran us. In pmhihited. eg, locallerun sender's Signature: 3 Information For EU OnerIckhera h? goods are notin tree circulation and provide This is (some rian [aflfr'wr this irrigation! without it recipient sign- turn. Total Paoka es 5 El I lbs. it I I in. cm notFor Completion Instructions, see back of fifth page. "m Commodity Description Hennonized Code Country of Value [or Custom: En Manufacture PRINTED in un. neon _DD.Chue?e?lb?5' we #50 MQO E36525 573?: Clqu {gin UHDE aI ifHos EEI been ?led in No IEEI required: vnIuI 9,500 or legs per Sch. El Number, Declared Value Total Value Thu ?mm mu condition; of "Med my; only [mm mung-y mum-y, consult our incl] af?cn for spa oi?t: Won-notion. Q10 rim-ins Expansion: court-0co- I no license required mtaubjuclm ITAR lor Carrie 6 unlabi. lnum?u ml Fads: E): No EEI Instr-druid. taxman-1 number. NLFL enter license Excemion.? . . I 1 L00 Questions? Go to our Web Site at fedex.oom. or in the call U.S.. call your local FedEx of?ce. Exhibit 9 Frakes, Scott From: Sent: Chris Harris Tuesday, May 12, 2015 12:59 PM To: Frakes, Scott Subject: Re: Information once you issue a warrant for payment/ pis send me a mail with final destination and DEA registration number so I can I issue an Invoice From: Frakes. Scott Sent: Tuesday, May 12, 2015 11:05 PM To; Chris Harris Subject: RE: Information Thank you From: Chris Harris [mailto:chrisharrls@harrispharmallp.com] Sent: Tuesday, May 12, 2015 9:47 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Pis find attached the Offer to Sell. Regards, Chris From: Frakes. Scott Sfertfe: Wednesday, April 29, 2015 12:50 AM to: Chris Harris Subject: RE: Information See attached. Thank you From: Chris Harris fmailto:chrisharris@harrisDharmallD.com1 Sent: Tuesday, April 28, 2015 1:59 PM To: Frakes, Scott Subject: Re: Information HI Scott, Pis find attached the offer to sell. Kindly sign & stamp and send back to me. Regards, Chris From: Frakes. Scott Sent: Thursday, April 23, 2015 9:09 PM 1 of 5 A Exhibit 9 Harris Subject: RE: Information I?m trying to get that right now - as soon as I have it, I?ll e-mail you. mm.? .A. Ivor?: wvrk.." Mm .. "awrm mwmv.4w~vl.w.~? From: Chris Harris Sent: Thursday, April 23, 2015 10:35 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Don't forget to send me the tracking number. Regards, Ch?s Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 10:26 PM Can you call 402-479-5675 at 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That?s why I mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the first time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that office as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to fill a form I can do that as well. If you need to talk let me know what time to call. Regards, Chris 20f5 1? Exhibit 9 From: Frakes, Sent: 21 April, 2015 9:41 PM To: Chris Subject: RE: Information No US Postal Service, 3-5 day delivery. Is there someone on that end that can send it back to you (from India) via Fed-ex? If not, we will need to talk there is a form that we will need to have you fill out since we don?t have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedex? From: Frakes, Sent: 21 April, 2015 7:23 PM To: Chris Subject: RE: Information Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks 3of5 A Exhibit 9 Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smartphone -- Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" 4of5 Exhibit 9 OFFER TO SELL AGREEMENT To, 12th May 2015 Scott Frakes, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and in accordance with the terms and conditions herein contained. Product Pancuronium Bromide USP 2mg/2ml Ampule Price U55 26 per Ampule Quantity 1000 Vials Freight and Customs Clearing in India U55 1700 Delivery: 60 days after receiving acceptance of this offer and receipt of payment into bank account. 6. Payment Terms 100% Advance pie-suave For, Harris Pharma LLP Christopher Harris CEO 5 of 5 Level 8, RDB Boulevard, Plot Sector V, Block EP GP, Salt Lake City. Kolkata 700091. West Bengal, India. Ph +91-33-66374505 .- Exhibit 10 manufacturer and distribution services received OFFER TO SELL AGREEMENT MAY 1 2 2015 NDCS Director's Office 12"^ May 2015 To, Scott Frakes, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and In accordance with the terms and conditions herein contained. 1. Product: Pancuronium Bromide USP 2mg/2ml Ampule 2. Price : US$ 26 per Ampule 3. Quantity: 1000 Vials 4. Freight and Customs Clearing in India : US$ 1700 5. Delivery:60 days after receiving acceptance of this offer and receipt of payment Into bank account. 6. Payment Terms : 100% Advance Harris Pharma LLP ,r^ / vf? Christopher Harris CEO Level 8. RDB Boulevard, Plot K-1, Sector V. Block EP & GP, Salt Lake City, Kotkata 700091. West Bengal, India. Ph : +91-33-66374505 Email: chrlsharris@harrispharmallp.com 1 of 23 Exhibit 10 Invoice No 3. DATE 15c N010211010227 ISlh '1 "1 - ?uyers Order No 8. Date:12li1 May 2015 manuraciuiar and Eli; . Other Ref: Nii. Level 8, EUR Boulevard, Flint H1, Sectorv, Salt Lake Gly?. KOLKATA 100091. WEST BENGAL. INDIA Mm: s'tou Frak?s. Buyer {if other then consignee ll Nebraska Department of Cdrrectianai S?rvices - - [30.30: 94651 Country of Origin of Goods: Country-of Destination: UNITED STATES OF Lincoln AMERICA Nebraska 68509, UNITED STATES ERICA DEA NUMBER K915903453 PHONE NUMBER +1-402-479-5675 . Pre Carriage: By Air Place of Receipt by Pre Carrier: Terms of Delivery and Payment: 100% ADVANCE Vessel/Flight No: 39 Air Port 'of Loading: Kolkata, India Port Of Discharge: Nebraska Final Destination: Nebraska mark l5r.N0 IPack'age Discription Quantity Rate Amount Harmless Medicine QTY U50 U50 1 1 Pancuromum Bromide USP zingi'zmi Ampuie mm 26 26-000 Freight 81 Custom Clearing in India 1700 TOTAL USD 271?00 TOTAL: US DOLLARS Twenty Seven Thousand Seven Hundred Only) Declaration We declare that this invoice shows the actual price ofthe Goods described and that all particulars are true and correct. 20f23 R09801 Exhibit 10 STATE OF NEBRASKA 05/14/15 9:04:58 General Ledger Post Page - 1 Batch Ty/Number 4035279 Post Out of Balance Offset Method Batch Date 05/14/15 lnterCo Settlement 2 . Document . . . . . Fund Account Number Debit Credit Units Sub- Tag Explanation Ty Number Co Date Description ledger Number Remark PV 31576543 10000 05/14/15 10000 46020183559100 27,700.00 HARRIS PHARMA LLP OTHER OPERATING EXP 1.0 AE 31576543 10000 05/14/15 10000 10000.211900 27.700.00- Offset By Document PV 31576543 AAI DUE TO.VENDOR (SYSTE AE 1.0 Ledger Type Totals AA 27,700.00 27,700.00- 30f23 . international Air War/bill xprs?a 1 From [fig 2 rintan presshard. I 4 Express Package Service 1/ Notallsawloos'end genderilfje?jE; adEx [nu Pdmity First ?Dangerous goods cannot r, ho stripped on 4 WI Name 5 Car/7? Fm Ker We? 74/ 57/0 Baou rev: not Hotel-In. - . or Company 60 r? Cuff?) p? I 5 Packag'ng mmerEms:Emuamftar?e?rml; We: Envelope FedEx Pak [:lredEx Box [3 FodExTubo Address 0 8?0 9" I l] other DFodExl?kgBox' DFodExESkgBox' 6 Special Handling Address HOLD at Lucatmn El FedEt State 7 FE men! Completo City i i Province Mb charges to: lraneaonltaon charges and dolls: nodules. . . Entor FedElecct Hmor Credit Card No. hllow. ZIP I . . Edam Country Uh) (1 .5 +d?7l'c .3 Postal Code 9 El Flemplant Egg? Choclo?Chcque 2 To FedExUn Llan Acct. Np. Phona mun cm No. minimisc Eris Hal Companv pharm? Address Lei-Wes] ROB Bmlevat?d? ?386* CrooitCIrd Exp. Del- Bm {hm-03 and faxes m. ALL shipments my on subjut to Comm: charger. mr?dhncu do" notor' more clearance. Sender Acctl?lor?n Recipient pug: a Section I wil be FedExAchNa. Japutloar YourlnIernal Billing Reference Address UPTIGNM - .. State . 7L . . co 5a l?l' Lo kt: C14 ?tr Province Ho Ker 4 9 Use of this Air constitutes your agreement to the Conditions o! Contract on this back onto: Air dengarous goods. Certain international treaties, Including tho Warsaw Commotion, may apply to this shipment and limit our liability for dame go. lasts, or dell: y. es doscribed in the Conditions pl Contra ct. WARNING: commodities. or so rowuru exported [rum tho'Un'nad States in accordance: Country 9 8.5+ ?Seth Elapstal Code .4 . Recipient?sTax ll] NumberforCustoms Purposes as. N. or as locally renuimd. withxportAdmini o'on?egulao'o orsi rt ntrorylo .S.law_p hibited. Sanders Signatur Shipment Informatan This is our authorization raOlr'vor this without a Feclplonrsignarur'e. For EU ?nlw'ncknere dgoodsara circulation and provide ELI. Total Paclta as in- ct" Ttal vieom??O-?g l3] ligl DIM a For Completion Instructions, see back of fifth-page. Commodity escriplion Hennonized Code Country of Manufacture Value for Customs FodEx . . LEO 3:322? BANE t31503 IE7qu Hos been ?led For us. Export 0111;: Check One El No EEI required, enter oxomptierr numhor: No EEI required. voluoszsm orlassparSch. Numbm: no license required not suhie :ttp Tnlul Doclurod Voler Totallr'oluo lor- Ca rrlogo - [or Custom Irv Currenc'n The [arms and co nd?r?ona of service rnerlI very [rum co unov to country. Consult our local of?ce for . ll ed: or men NLR Inter license Exception: Non-Negotiable IntamatlonalAierbill m~ Enter AES proof aiming :itaEcn: Questions? Go to our Website atiad?xoom. Shoo Waybill, and you represent Ihet this shipmont does not raquiro a US. Stats Department or contaln 55% PART Dlto urn! elm-mt chEl PRINTED UM noun '3 Dr in tho U.S.. coll LEUD.463.3339. Outsldo tho U.S., call your local FedEx of?ce. one). Adoo SIHJ. mono trL/ot Exhibit 10 40f23 1? 1 Exhibit 10 4747 OLD CHENEY RD Lincoln, NE 68516 Location: LNKK Device ID: LNKK-P082 Employee: 2264429 Transaction: 850128035964 INTL PRIORITY 807295038749 0.15 1b (8) 65.81 Shipment subtota]: 65.81-.? Tota1 Due: 65.81 Check: 65.81 15625 Height entered oanuaiiy Height read fron scale 1 Taxable iteo Subject to additional charges. See FedEx Service Buide at fedex.coo for Visit us at: fedex.cgm Or call 1.800.80FedEx 1.800.463.3339 May 14, 2015 10:41:37 AM HE LISTEN Te11 us how we're doing receive a discount on your next order! fedex.com[ne1isten or 800-398-0242 Redemption Code: Thank you 50f23 m; A A Exhibit 10 Frakes, Scott From: Chris Harris Sent: Tuesday, May 12, 2015 1:21 PM To: Frakes, Scott Subject: Re: Information have the Invoice sent tomorrow. From: Sent: Tuesday, May 12, 2015 11:47 PM To: Chris Harris Subject: RE: Information I need an invoice to issue the payment warrant. Final destination and DEA number: Attn: Scott Frakes Nebraska Department of Correctional Services PO Box 94661 Lincoln, NE 68509 DEA Number: AN5903453 ,ww ?Wwomw?ww a. t. From: Chris Harris Sent: Tuesday, May 12, 2015 12:59 PM To: Frakes, Scott Subject: Re: Information once you issue a warrant for payment/ send me a mail with ?nal destination and DEA registration number so I can I issue an Invoice From: Frakes Scott Sent: Tuesday, May 12, 2015 11:05 PM To: Chris Harris Suhject: RE: Information Thank you From: Chris Harris Sent: Tuesday, May 12, 2015 9:47 AM To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the Offer to Sell. Regards, Ch?s From: Frakes, Scott 60f23 7.1% A A Sent: Wednesday, April 29, 2015 AM To: Qh?ris Harris Subject: RE: Information See attached. Thank you From: Chris Harris mailtozchrisharris harris harma'll Sent: Tuesday, April 28, 2015 1:59 PM To: Frakes, Scott Subject: Re: Information Hi Scott, ?nd attached the offer to sell. Kindly sign stamp and send back to me. Regards, Ch?s From: Frakes Scott sent: Thursday, April 23, 2015 9:09 PM To: Chris Harris Subject: RE: Information I?m trying to get that right now as soon as have it, I?ll e-mail you. Exhibit 10 From: Chris Harris Sent: Thursday, April 23, 2015 10:35 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Don't forget to send me the tracking number. Regards, Ch?s Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 10:26 PM Can you call 402?479?5675 at 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris 2 70f23 A A Exhibit 10 Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That?s why I mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the first time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that office as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to fill a form I can do that as well. If you need to talk let me know what time to call. Regards, Chris From: Frakes, Sent: 21 April, 2015 9:41 PM To: Chris Subject: RE: Information No US Postal Service, 3-5 day delivery. Is there someone on that end that can send it back to you (from India) via Fed-ex? If not, we will need to talk - there is a form that we will need to have you fill out since we don?t have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedek? From: Frakes, Sent: 21 April, 2015 7:23 PM To: Chris Subject: RE: Information Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? Sent from my HTC One Reply message From: "Frakes, Scott" 80f23 up FR f? Exhibit 10 To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 46 LTE smartphone 90f23 ?1 Exhibit 10 Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" 10 of23 Frakes, Scott From: Chris Harris Sent: Wednesday, May 13, 2015 4:05 AM To: Frakes, Scott Subject: Re: Information Attachments: Nebraska Invoice for PB.pdf Hi Scott, find the Invoice attached. Regards, Chris Harris From: Frakes. Scott sent: Tuesday, May 12, 2015 11:47 PM To: Chris Harris Subject: RE: Information I need an invoice to issue the payment warrant. Final destination and DEA number: Attn: Scott Frakes Nebraska Department of Correctional Services PO Box 94661 Lincoln, NE 68509 DEA Number: AN5903453 .Amw ruM From: Chris Harris Sent: Tuesday, May 12, 2015 12:59 PM To: Frakes, Scott Subject: Re: Information v. ?an? .uv? - wl- .w-laiswm 4\vl-A. Exhibit 10 Mn?uv A-d -vwo\w.\ once you issue a warrant for payment send me a mail with final destination and DEA registration number so I can I issue an Invoice From: Frakes, Scott Sent: Tuesday, May 12, 2015 11:05 PM To:?Chris Harris Subject: RE: Information Thank you . vi From: Chris Harris Sent: Tuesday, May 12, 2015 9:47 AM To: Frakes, Scott Subject: Re: Information Hi Scott, 11 of23 A A find attached the Offer to Sell. Regards, Chris From: Frakes Scott Sent: Wednesday, Aril 29, 2015 12:50 AM To: Chris Harris Subject: RE: Information See attached. Thank you Exhibit 10 From: Chris Harris Sent: Tuesday, April 28, 2015 1:59 PM To: Frakes, Scott Subject: Re: Information Hi Scott, ?nd attached the offer to sell. Kindly sign stamp and send back to me. Regards, Ch?s From: Frakes, Scott sent: Thursday, April 23, 2015 9:09 PM To: Chris Harris Subject: RE: Information I?m trying to get that right now as soon as have it, l?ll e-mail you. From: Chris Harris Sent: Thursday, April 23, 2015 10:35 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Don't forget to send me the tracking number. Regards, Chris Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 10:26 PM 12 of 23 . . A A Exhibit 10 Can you call 402?479-5675 a 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That's why I mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the first time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that office as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to fill a form I can do that as well. If you need to talk let me know what time to call. Regards, Chris From: Frakes, Sent: 21 April, 2015 9:41 PM To: Chris Subject: RE: Information No US Postal Service, 3-5 day delivery. Is there someone on that end that can send it back to you (from India) via Fed-ex? If not, we will need to talk - there is a form that we will need to have you fill out since we don't have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedex? From: Frakes, Sent: 21 April, 2015 7:23 PM To: Chris Subject: RE: Information Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? 3 13 of23 Exhibit 10 Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks 14 of 23 Exhibit 10 Sent from my Verizon Wireless 4G LTE smartphone Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" 15 of23 Exhibit 10 Invoice No 3; DATE: IEC No: 0211010227 13th May 2015 Buyers Order No 8. Date 12m May 2015 3. Other Rel: NIL Level 5, R03 Boulevard, Pint K1, Sector V, Salt take City, 700091, WEST BENGAL. INDIA ATTN: Scott Frakes Buyer (if other then consignee NIL Nebraska Department of Correctional Services Po Box 94651 Country of Origin of Goods: INDIA Country of Destination: UNITED STATES OF LincoIn Nebraska 63599, UNITED STATES OF AMERICA DEA NUMBER AN5903453 PHONE NUMBER: +1-402?479-5675 Pre Carriage: By Air Place of Receipt by Pre Carrier: Terms of Delivery and Payment: 100% ADVANCE VassellFiight No: By Air Port of loading: Kolkata, India Port Of Discharge: Nebraska Final Destination: Nebraska Mark IPackage Discription Quantity Rate Amount Harmless Medicine QTY U50 U59 1 1 Pancuronrum Bromide USP Zrne/Zml Ampule 1000 26 26000 Freight 8: Custom Clearing In India 1?00 TOTAL USD 27700 TOTAL: US DOLLARS Twenty Seven Thousand Seven Hundred Only) Declaration We declare that this Invoice shows the actual price of the Goods described and that all particulars are true and correct. 16 of 23 a) Exhibit 10 Frakes, Scott From: Sent: Wednesday, May 13, 2015 5:04 AM To: Frakes, Scott Subject: Re: Information No problem. Sent from my HTC One Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Wed, May 13, 2015 3:15 PM Thank you Chris. I?m dealing with a situation at a facility - it might take a little longer to get this processed. I will confirm with you when the paperwork I sent out. Thanks again. From: Chris Harris Sent: Wednesday, May 13, 2015 4:05 AM To: Frakes, Scott Subject: Re: Information Hi Scott, find the Invoice attached. Regards, Chris Harris From: Frakes, Sent: Tuesday, May 12, 2015 11:47 PM To: Chris Subject: RE: Information I need an invoice to issue the payment warrant. Final destination and DEA number: Attn: Scott Frakes Nebraska Department of Correctional Services PO Box 94661 Lincoln, NE 68509 DEA Number: AN5903453 From: Chris Harris Sent: Tuesday, May 12, 2015 12:59 PM To: Frakes, Scott Subject: Re: Information once you issue a warrant for payment send me a mail with final destination and DEA registration number so I can I issue an Invoice 17 of 23 .1 A A From: Frakes, Sent: Tuesday, May 12, 2015 11:05 PM To: Chris Subject: RE: Information Exhibit 10 Thank you From: Chris Harris Sent: Tuesday, May 12, 2015 9:47 AM To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the Offer to Sell. Regards, Chris From: Frakes, Sent: Wednesday, April 29, 2015 12:50 AM To: Chris Subject: RE: Information See attached. Thank you From: Chris Harris Sent: Tuesday, April 28, 2015 1:59 PM To: Frakes, Scott Subject: Re: Information Hi Scott, find attached the offer to sell. Kindly sign stamp and send back to me. Regards, Chris From: Frakes, Sent: Thursday, April 23, 2015 9:09 PM To: Chris Subject: RE: Information I?m trying to get that right now as soon as I have it, I?ll e-mail you. From: Chris Harris Sent: Thursday, April 23, 2015 10:35 AM To: Frakes, Scott Subject: Re: Information Hi Scott, Don't forget to send me the tracking number. Regards, Chris Sent from my HTC One Reply message From: "Frakes, Scott" 18 of23 A A Exhibit 10 To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 10:26 PM Can you call 402?479?5675 at 12:45 pm (about 50 minutes from now). I need to have my Business Manager in the room so she can explain what she needs from you. We should be able to work this out quickly, and get a new check paperwork headed to you quickly. From: Chris Harris Sent: Tuesday, April 21, 2015 11:19 AM To: Frakes, Scott Subject: Re: Information Hi Scott, US postal service takes about 15 to 20 days for delivery and about 50% of the time packages never get delivered. That's why I mentioned Fedex. Have advised all states to use Fedex. Even Nebraska would always use Fedex because the first time when sent by usps it never got delivered. I have sold that office and taken a new one. The people I have sold it to have not moved into that office as yet. There is no one to collect it at that end. Let me know if you need the Address on the Invoice changed to whichever city in Nebraska or if you need me to fill a form I can do that as well. If you need to talk let me know what time to call. Regards, Chris From: Frakes, 3 19 of23 5 Exhibit 10 Sent: 21 April, 2015 9:41 PM To: Chris Subject: RE: Information No US Postal Service, 3?5 day delivery. Is there someone on that end that can send it back to you (from India) via Fed-ex? If not, we will need to talk - there is a form that we will need to have you fill out since we don?t have the Utah address listed in our state purchasing system. From: Chris Harris Sent: Tuesday, April 21, 2015 10:06 AM To: Frakes, Scott Subject: Re: Information Was it sent Fedex? From: Frakes, Sent: 21 April, 2015 7:23 PM To: Chris Subject: RE: Information Sent to the address on the invoice (India), tracking From: Chris Harris Sent: Tuesday, April 21, 2015 8:37 AM To: Frakes, Scott Subject: Re: Information Send me the tracking number. And did you send it to the salt lake office address? Sent from my HTC One 20 of 23 Exhibit 10 Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 7:01 PM Everything you need should be in the envelope.. Thanks again! From: Chris Harris Sent: Monday, April 20, 2015 7:42 PM To: Frakes, Scott Subject: Re: Information Thanks Sent from my HTC One 21 of 23 4 Exhibit 10 Reply message From: "Frakes, Scott" To: "Chris Harris" Subject: Information Date: Tue, Apr 21, 2015 5:20 AM Got your message, will confirm tomorrow that the correct documents were enclosed. If not, we will follow up immediately by specially delivery. Thanks Sent from my Verizon Wireless 4G LTE smartphone 22 of 23 .. - Exhibit10 -- Original message From: Chris Harris Date: 04/20/2015 6:19 PM To: "Frakes, Scott" 23 of 23 Exhibit 11 r^ U.S. Department of Justice / Drug Enforcement Administration OMB APPROVAL No. 1117-0009 CONTROLLED SUBSTANCES IMPORT/ EXPORT DECLARATION EXPIRATION DATE: 9/30/2016 (Read Instructions on reverse before completing) 1. CHECK See reverse for Privacy Act U.S. CUSTOMS I/]IMPORT DECLARATION Nonnarcotic Substances In Schedules III, IV, V n EXPORT DECLARATION Schedule V CERTIFICATION ONE Nonnarcotic Substances In Schedules III, and IV and all substances In IMPORTER/EXPORTER {Name and Address) Nebraska State Penitentiary BROKER OR FORWARDING AGENT,IF USED (Name and Address) Not Applicable 4201 14th South Street Date of Departure/Arrival Date of Certification Signature of Customs Official Lincoln, NE 68502 DEA Transaction ID PEA REGISTRATION NO. 0414184 2. CONTROLLED SUBSTANCES TO BE IMPORTED OR EXPORTED 2a. NAME AND QUANTITY OF DRUG OR PREPARATION 2b. CONTROLLED SUBSTANCE CONTENT OF DRUG OR (Enter names asshown on labels; numbers and sizes of packages;strength oftablets, capsules, etc., CSA Drug Code and NDC Number) PREPARATION expressed as acid, base or alkaloid.(Enter names ofcontrolled substances contained In the drug, compound,or preparadon) Sodium Thiopental Igm Vial Sodium Thiopental Quantity: 1,000 Vials 1,000 Vials multiplied by 1 gram Sodium Thiopental = 1,000 grams Sodium Thiopental 2c. DATE IMPORTED/EXPORTED AND ACTUAL QUANTITY (Completed by registrant at time of transaction) CSA Drug Code: 2100 No Conversion Factor Applies to Sodium NDC Number G2100-0300-' Thiopental per DEA Instruction. 3a.0FOREIGN (for U.S. import)Q DOMESTIC(for U.S.export)PORT OF 3b. I I FOREIGN (for U.S. export)[/I DOMESTIC(for U.S.Import)PORT OF EXPORTATION AND APPROX. DEPARTURE DATE IMPORTATION AND APPROX.ARRIVAL DATE Koikata, India Omaha, NE June 18. 2015(Approximate) June 15.2015(Approximate) 4b. NAME OF ALL INTERMEDIATE CARRIERS 4a. MODE OF TRANSPORT; NAME OF VESSEL/ CARRIER (If known) N/A Fedex 5. NAME AND ADDRESS OF FOREIGN CONSIGNEE/CONSIGNOR Harris Pharma LLP 145 B Bosepukur Road Kolkata700039, West Bengal, India I hereby certify thatthe substance(s) listed in Section 2 are to be 1/1 Imported (conform to 21 U.S.C.§ 952(b)) Exported(conform to 21 U.S.C.§ 953(e))and are intended for □ Medical, □ Scientific, or [3 Other legitimate uses (attach explanation for other legitimate use). I I The above named substances are to be Re-Exported (Attach documentation per Title 21, CFR 1312.27) to (lirt countries): If the form is being used as an "Export Declaration", attach documentation that the consignee is authorized under the laws and regulations of the country of destination to receive the controlled substances. If the controlled substances are being re-exported from the first country to second countries, attach documentation that the SIGNATURE OF AUTHORIZED INDIVIDUAL OF IMPORTER/ DATE NAME OF FIRM AND TELEPHONE NUMBER EXPO^ERJ BROKER OR FORWARDING AGENT 5/26/2015 State of Nebraska Department of Corrections (402) 479-5630 ' E-mail: scott.frakes(@nebraska.gov DEA FORM-236 COPY 4 1 of 8 31? - A Exhibit11 a STATE OF NEBRASKA DEPARTMENT OF CORRECTIONAL SERVICES Scott R. Frakes Director Pete Ricke?s Governor May 26, 2015 Drug Enforcement Agency Attention: ODGI import/Export Unit (Ms. Kara Sweeney) 8701 Morrisette Drive Spring?eld, Virginia 22152 RE: Form 236 Legitimate Use Declaration To Whom It May Concern l, Scott R. Frakes, as Director of the Nebraska Department of Correctional Services do hereby notify the United States Drug Enforcement Agency that I have sought the importation of Sodium Thiopental pursuant to DEA Form 236. The shipment of 1,000 vials containing one gram each of Sodium Thiopental will solely be used for the legitimate purpose of the Nebraska Department of Correctional Services carrying out lethal injections for those persons sentenced to death in the State of Nebraska. Nebraska Department of Correctional Services XC: File 2 of 8 PO. Box 94661 Lincoln, Nebraska 68509-4661 Phone (402) 471-2654 An Faun! n' A Exhibit 11 US. Department of Justice Drug Enforcement Administration CONTROLLED SUBSTANCES EXPORT DECLARATION (Read Instructions on reverse before completing) OMB APPROVAL No. 1117-0009 EXPIRATION DATE: 9/30/2016 See reverse for Privacy Act 1. U5. CUSTOMS CHECK IMPORT DECLARATION Nonnarcotlc Substances in Schedules IV, CERTIFICATION ONE Nonnarcotic Substances In Schedules and IV and all substances in Date Of Departure/Arm? EXPORT DECLARATION . Schedule (Name and Address) BROKER OR FORWARDING AGENT, IF USED (Name and Date of certi?cation Nebraska State Penitentiary Address) Not A licable 4201 14th scum Street pp Signature of Customs Of?cial Lincoln, NE 68502 DEA REGISTRATION NO. 0414134 2. CONTROLLED SUBSTANCES TO BE IMPORTED 0R EXPORTED DEA Transaction ID 2a. NAME AND QUANTITY OF DRUG OR PREPARATION (En ter names as shown an labels; numbers and sizes of packages; strength of tables, capsules, etc, GSA Drug Code and NDC Number) 2b. CONTROLLED SUBSTANCE CONTENT OF DRUG OR PREPARATION expressed as acid, base or alkaloid. (Enter names of controlled substances contained In the drug, compound, or preparation) 2c. DATE AND ACTUAL QUANTITY (Completed by registrant at time of transaction) Sodium Thiopental igm Vial Quantity: 1,000 vials CSA Drug Code: 2100 NDC Number Sodium Thiopental 1,000 Vials multiplied by 1 gram Sodium Thiopental 1,000 grams Sodium Thiopental No Conversion Factor Applies to Sodium Thiopental per DEA instruction. 33. FOREIGN (for US. Import) El DOMESTIC (for US. export) PORT OF EXPORTATION AND APPROX. DEPARTURE DATE Kolkata, India June 18, 2015 (Approximate) 3b. FOREIGN (for US. export) DOMESTIC (for US. import) PORT OF IMPORTATION AND APPROX. ARRIVAL DATE Omaha, NE June 21, 2015 (Approximate) .48. MODE OF NAME OF VESSEL CARRIER (If known) Fedex 4b. NAME OF ALL INTERMEDIATE CARRIERS 5. NAME AND ADDRESS OF FOREIGN Harris Pharma LLP Level 8, RDB Boulevard, Plot K1, Sector V, Salt Lake City Kolkata 700091, West Bengal, India I hereby certify that the substancels) listed in Section 2 are to be Imported (conform to 21 U.S.C. 952(b)) Exported (conform to 21 U.S.C. 953(e)) and are intended for Medical, Scienti?c, or Other legitimate uses (attach explanation for other legitimate use). I: The above named substances are to be Re?Exported (Attach documentation per Title 21, CFR 1312.27) to (list countries): If the form is being used as an "Export Declaration", attach documentation that the consignee is authorized under the laws and regulations of the country of destination to receive the controlled substances. If the controlled substances are being reexported from the first country to second countries, attach documentation that. the consignee in the country of ultimate destination is authorized under the laws and regulations of that country to receive the controlled substances. SIGNATURE OF AUTHORIZED INDIVIDUAL OF EXPO R, OR FORWARDING AGENT . WW DEA DATE NAME OF FIRM AND TELEPHONE NUMBER 5/29/2015 State of Nebraska Department of Corrections (402) 479-5630 E-mail: scott.frakes@nebraska.gov COPY 4 3 of 8 Exhibit 11 STATE OF NEBRASKA DEPARTMENT OF CORRECTIONAL SERVICES Scott R. Frakes Director Pete Ricketts Governor May 29, 2015 Drug Enforcement Agency Attention: ODGI Import/Export Unit (Ms. Kara Sweeney) 8701 Morrisette Drive Springfield, Virginia 22152 RE: Form 236 Legitimate Use Declaration To Whom It May Concern, I, Scott R. Frakes, as Director of the Nebraska Department of Correctional Services do hereby notify the United States Drug Enforcement Agency that have sought the importation of Sodium Thiopental pursuant to DEA Form 236. The shipment of 1,000 vials containing 1 gram each?of Sodium Thiopental will solely be used for the legitimate purpose of the Nebraska Department of Correctional Services carrying out lethal injections for those persons sentenced to death in the State of Nebraska. Sincerely, . Frakes, Director Nebraska Department of Correctional Services 4 of 8 PO. Box 94661 - Lincoln, Nebraska 68509-4661 - Phone (402) 471-2654 An Equal Opportunity Employer A A US. Department of Justice/ Drug Enforcement Administration CONTROLLED SUBSTANCES IMPORT EXPORT DECLARATION (Read Instructions on reverse before completing) Exhibit 11 OM APPROVAL No. 1117-0009 EXPIRATION DATE: 9/30/2016 See reverse for Privacy Act 1. U.S. CUSTOMS CHECK IMPORT DECLARATION NonnarcotIc Substances in Schedules IV, CERTIFICATION ONE Nonnarcotic Substances in Schedules ill, and IV and all substances in Date of Departure/ArrIVaI El EXPORT DECLARATION Schedule . (Name and Address) BROKER OR FORWARDING AGENT, IF USED (Name and Date of Certification Nebraska State Penitentiary AddressI . 4201 14th South Street Not Applicable SI ture of Customs Of?cial Lincoln, NE 68502 DEA Transaction iD DEA REGISTRATION NO. 2. CONTROLLED SUBSTANCES TO BE IMPORTED OR EXPORTED 2a. NAME AND QUANTITY OF DRUG OR PREPARATION (En ter names as shown on labels; numbers and sizes of packages; strength of tablets, capsules, etc, CSA Drug Code and NBC Number) 2b. CONTROLLED SUBSTANCE CONTENT OF DRUG OR PREPARATION expressed as acid, base or alkaloid. (Enter names ofcontrolled substances contained in the drug, compound, or pregvration) 2c. DATE AND ACTUAL QUANTITY (Completed by registrant at time of transaction) Sodium Thiopental 1gm Vial Quantity: 1,000 vials CSA Drug Code: 2100 NBC Number Sodium Thiopental 1,000 Vials multiplied by 1 gram Sodium Thiopental 1,000 grams Sodium Thiopental No Conversion Factor Applies to Sodium Thiopental per DEA instruction. 3a. FOREIGN (for US. import) CI DOMESTIC (for US. export) PORT OF EXPORTATION AND APPROX. DEPARTURE DATE Kolkata, India June 18, 2015 (Approximate) 3b. El FOREIGN (for us. export) DOMESTIC (for us. import) PORT OF IMPORTATION AND APPROX. ARRIVAL DATE Omaha, NE June 21, 2015 (Approximate) .4a. MODE OF NAME OF VESSEL CARRIER (if known) Fedex 4b. NAME OF ALL INTERMEDIATE CARRIERS 5. NAME AND ADDRESS OF FOREIGN Harris Pharma LLP Level 8, RDB Boulevard, Plot K1, Sector V, Salt Lake City KoIkata 700091, West Bengal, India I hereby certify that the substance(s) listed in Section 2 are to be imported (conform to 21 U.S.C. 952(b)) El Exported (conform to 21 U.S.C. 953(e)) and are intended for El Medical, Scienti?c, or Other legitimate uses (attach explanation for other legitimate use). The above named substances are to be Re-Exported (Attach documentation per Title 21, CFR 1312.27) to (list countries): if the form is being used as an 'TExport Declaration", attach documentation that the consignee is authorized under the laws and regulations of the country of destination to receive the controlled substances. If the controlled substances are being re?exported from the ?rst country to second countries, attach documentation that. the consignee in the county of ultimate destination Is authorized under the laws and regulations of that country to receive the controlled substances. SIGNATURE OF AUTHORIZED INDIVIDUAL OF IMPORTER EXPO R, BROKER 0R FORWARDING AGENT . I Pr . DEA FORM-236 DATE NAME OF FIRM AND TELEPHONE NUMBER 5/29/2015 State of Nebraska Department of Corrections (402) 479-5630 E?mail: scott.frakes nebraska.gov 22v COPY 4 50f8 in Exhibit 1 1 STATE OF NEBRASKA DEPARTMENT OF CORRECTIONAL SERVICES Scott R. Frakes Director Pete Ricketts Govemor May 29, 2015 Drug Enforcement Agency Attention: ODGI Import/Export Unit (Ms. Kara Sweeney) 8701 Morrisette Drive Spring?eld, Virginia 22152 RE: Form 236 Legitimate Use Declaration To Whom It May Concern, I, Scott R. Frakes, as Director of the Nebraska Department of Correctional Services do hereby notify the United States Drug Enforcement Agency that I'have sought the importation of Sodium Thiopental pursuant to Form 236. The shipment of 1,000 vials containing 1 gram each'of Sodium Thiopental will solely be used for the legitimate purpose of the Nebraska Department of Correctional Services carrying out lethal injections for those persons sentenced to death in the State of Nebraska. Sincerely, . Frakes, Director Nebraska Department of Correctional Services PO. Box 94661 - Lincoln, Nebraska 68509-4661 - Phone (402) 471-2654 .6 0? 8 An Equal Opportunity Employer A A Exhibit 11 From: Frakes, Scott Sent: Friday, May 29, 2015 4:56 PM To: Subject: Information Attachments: cook v. DA.pdf Please give me a call when you have time to discuss. 7of8 Exhibit 11 From: Frakes, Scott Sent: Friday, May 29, 2015 5:31 PM To: Subject: RE: Information Thanks From: chrisharris@harrispharmallpcom Sent: Friday, May 29, 2015 5:24 PM To: Frakes, Scott Subject: Re: Information Hi Scott, Will give you a call tomorrow as I don't have network coverage here. Will be back tomorrow. Regards, Chris Reply message From: "Frakes, Scott? To: Subject: Information Date: Sat, May 30, 2015 3:25 AM Please give me a call when you have time to discuss. 80f8 Exhibit 12 Frakes, Scott From: Frakes, Scott Sent: Wednesday,July IS, 2015 2:00 PM To: 'Chris Harris' Subject: RE:Information Attachments: 20150715145103202.pdf Heilo Chris, Here is the letter that we already sent to the DEA on May 29*^ along with the original(DEA copy) ofthe form 236. I will be sendifig you 3 signed copies of this letter, and copies 1,2,3 ofthe DEA 236 form. I don't believe we need to do an additional letter. From; Chris Harris fmallto:chri5harris@harrispharmallp.com' Sent; Monday, July 13,2015 7:20 AM To; Frakes, Scott Subject; Re: Information Hi Scott, / Pis see the attached document. Kindly print on letter head and stamp and sign and send back with DEA 236. Will need 3 copies. Regards, Chris .AM Thanks From; chrisharrls@harrlspharmallp.com fmailto:chr{5harris@harrispharmallp.comj Sent; Friday, May 29,2015 5:24 PM To; Frakes, Scott Subject; Re: Information Hi Scott, Will give you a call tomorrow as I don't have network coverage here. Will be back tomorrow. Regards, Chris — Reply message — From:"Frakes, Scott" To:"chrisharris@harrispharmallp.com" 1 of 3 Subject: Information Date: Sat, May 30, 2015 3:25 AM Please give me a call when you have time to discuss. Exhibit 12 20f3 Exhibit 12 A EBRASKA SERWCES R. m" 335? Directar Mavis, .2915. 9mg Efn?bmementzAgengy . $33-$31 Dir-Ne . Sp?zngi?-erd; Virginia 2215;; ?egm'ez'aa use awaaziw TQWham-slt May L. scat Brakes; Director of the Nebraska Department of Cer?ec?onal? Services do ?hem-v the Uni?ed States Drug Ehfbm?me?lt Agech that I have sought the 9* $?$lhm??idp?htal BEA Farm. The shipmenf of 1,000. viazls manta-mag 1 map-em: wm may be. "far the Emma-w Wage ?N6me Hep-a i?grrae?pnaJ taut Jami mjact?imsfer t??szs per-sans. semaad $6 159% magma aFN'aEr??kav ., .?kag Dirggm '3 hea?ka Dapa?m ent'qf Cn'trea?vn a! mites Emmem 2 1.1mm.?me {mag-a?m 2 'Phcrie' (402) 411?2654 #115qu 0mm Binnion 3of3 Exhibit p.1 13 /f v uri715 12:51 p Benjamin L.England & Associates,LLC Benjamin JL Engiand,Esq. 410-220-2800(0) 443-SS3-J464(F) Alenitiai^(Slfdamnafts.com Page 1 of3 CONFIDENTIAL COMMUNICATION July 17,2015 Via Facsimile: 402-479-5622 DearTracey: Attached is our invoice for the second piece of work related to your matter. Thank you very much. Warmly, Anna Ms. Anna Simonton Paralegal FDAImports.conri, LLC I Benjamin L.England & Associates^ LLC 510 LandmarK Drive,Suite 126 Glen Bumie, MD 21081 phone:{410)220-2800 j fax:(443)583-1464 wvwv.fdalmDort5.com beniaminlenQland.com NOTICE:This message may contmn information that is prrvileged or other/;ise confidenlial. It is Intended solely for the holderoflhe e-mail address to vrtiich It has been Intended, and should not be disseminated, distributed, copied orfoiwarded to any other persons. It is not intended for transmission to, or receipt by,any other person. If you have received this e^naii in error, please delete it writhout copying or forvrarding it, and notify us of the error by reply e-mail so that our address records can be corrected, iRS CIRCULAR 230 DlSCLOSURErTo ensure compliance with requirements imposed by the IRS,vie infonm you that any U.S.tax advice contained in this communication (including any attachments)is notIntended or wntten to be used,and cannot be used, for the purpose of(?) avoiding penalties under the Internal Revenue Code or(II) promoting, marketing or recommending to another party any transaction or mailer addressed herein. Please do not hesitate to contact me. however, if you have any questions regarding this matter. r Benjamin L.England & Assoa,LLC 810 Landmark Drive,Suite 12d, Gieir Buroisi MD 21061 410-220-2800(O)/443-583-1464(F)inroigrtgaiTntioits.com •www.B3aitTioorls.coiTi 1 of 3 49' ?1 A A . Exhgibm Benjamin 1:32;. England e-Aeejgcsietee, LL91 sworee 810 Landmark Drive, Suite 126 Invoice 8488 Glen Burnie, MD 21061 Date: 07/16/2015 Phone: (410) 220~2800 Due Upon Receipt Email: Invoices@fdaimpons.com Nebraska Department of Correctional Services Scott Frakes. Director Box 94661 Lincoln. NE 68509 04143-Nebraska Department of Correctional Services Legal Counsel - a 19:33? ant-3 Pet-?2? eye-emoD-f_Iype._ . 5Aft9l1l?efsb-s at?m z: -. -. - .?escriptiqn -- . 3-. Service AES 071152015 Flat Fee: Drug Product Listing .. Subtotal $399.00 Total 399.00 Please make all amounts payable to: Benjamin L. England 8: Associates, LLG - Payment is due upon receipt. 20f3 3 'Jul171'512:51p Exhibit P333 Invoice 8-488 07H 6/2015 Remittance Advice Drive, Suite 125, Gian Burnie, MD 21061 [410) 4? -1- rm; m5. LLC 810 Landmarl Remit chat;le to: Benjamin L. En?giand Associates, 220-2800 (Of?ce) f- law-.11" 7; gaggiajr'aagrgici?ia? ?1045 -i .- E: -. :g .. Annapolis Road Columbia MD. Bank ofAmen'ca 9200 Old Bank Bank Routing Domestic ABA Routing- iand 8: Associates. LLC Assaunt NamefAccount Banlamin L. Eng Please include the Invoice Number 8488 as an additional referenc provide adequate payment to saver the wire fees assessed by your ?nancial i a so we ma},r accurater identify and apply your payment. Please nstitution. 3of3 Exhibit 14 Frakes, Scott From: Frakes, Scott Sent: To: Subject: Friday, July 31, 2015 11:26 AM chrlsharris@harrispharmallp.com Information Chris, The required paperwork is with FedEx, delivery to you Is expected to be Tuesday morning. FedEx tracking number is 8736-9099-4607. The packet will include copies of our Customs Bond, please provide this information to FedEx as part of the shipping process. Thank you. 1 of 8 y A Exhibit 14 ?akes, Scott From: chrisharris@harrispharma"prom Sent: Friday, July 31, 2015 11:56 AM To: Frakes, Scott Subject: Re: Information Thanks. Will keep you posted Sent from my HTC One Reply message From: "Frakes, Scott" To: Subject: Information Date: Fri, Jul 31, 2015 9:56 PM Chris, The required paperwork is with FedEx, deliver FedEx tracking number is 8736?9099?4607. to you is expected to be Tuesday morning. The packet will include copies of our Customs Bond, please provide this information to FedEx as part of the shipping process. Thank you. 20f8 Exhibit 14 . - ?in: . rill-3%: '9 l. .. lutemarimal All? l/l/aybil/ I .1 l' Express For FadExzanlqus dz. - - .. Psalm 'su 1 From Please pn rand sulmrd. 4 Express Package enrrce sande'JSFEdEx E??dal P. .w FedEx-mi ?rst FadErErPandadsanmeAL'WUPNE. ?Fll??lds ?Emma Date .3 AccountNunber Err-men's r21: Twit"; . nun - Inn Must nations. -. I . a boshl?ppudusinglhis Send . - . . . . um? .52 ?g 36? ?inadll?? 5'7; a 1:1 I mam. . FINE: Emuhpl and FndEa'P rule nu: avullahln. Fr {Dari fro ?10 5 Pack-aging ?Tllun whim! Medal Envelope FedEx Pal: Fla'dEx Box - FedExTuha Address 0 ?35 El Either [ladalolagamcf 43 Special Handling at Location [3 a State: 7 Fa ant Ml Province - unnrpu nullanvchurnn: md-duLlu'nna tun. BIH charges - ZIP Emu: FedEnAnu?L Na. 51' umdll cm Hmbulunu'w??j Country 95sz 14-?er 5 Q: Fosta1 Coda ?21 Sandurnmnun Eff as? iBh?nlq?Chaqua Address - Th' - Badman? Pail-rm; El 333*. Mum . . deExLln My 2 Herzl Iran 5 i 4 . NW1: l? 015." ES Phone EradIIDnrdI'uln. . 9 Bradlltard in. ma} 3. min . comm-w mp (a 9? a: SEE-mar A. In 1 Ean?dEm?L Na?wqm?lrd much Fad?xdnurnurl mm 1111ch cluranca. "all a. .1 I: Pam; Address Level R03 [316+ Eec?l'v FadEx AceL No. lioner 3 Your Internal Billing State - - - . I cm.? Sal 1" LAKE C3 Pruvinca Kg 3 Kafka 9 Raqulred Signature . . . Usa of?lhls AlrWa uons?'lmas your agra ementlu of Cummctun iha back ZIP ya: mgmsuni that data: not mq Him a U3. 31am angamus gm: s. cm: ntamc?una Country?! 05 0 I Bemal .va Dude Address First 11 :han cm}: up Mural: 1nvuluu. Hum 301 was slur mm}: maths, lnclu Ll?: ng in 5 Wu mw Cnnvem?uh. maycappiy and 31ml: uur liability for damng e. la 55, or datny;us thajCan d'ainns? uf Bummer: I ur 50' are Ware axp bmd-??m Ilia Unh?d Status In accordance Flacipmnt?s IaxlD NumharfurCustums Purposes ExpurtAm-nl Uun?aqulu an: ivarslun unwary! U.s.'la pmhl?ua'd. l-ga as lacalwraqulnd. gamma . a . . I . . Ignalum: 3 Shipment lnfurmaimn Fnr?J here quads era nutln freu ulrculau'un and ELI. I l5 Total Paclca as lhs. In. cm Total 6! mm 5 a For Completion see backof??h page. Ends Vulustnr?usmms RANT D'?lu. ll: ENE). . H.514. El 7?35 q?t? ?l lull? I {m a - Magnum-I ?ll-Has her-milled In Nn required value :1 sun nrfus: pHrSuI'l. Numbnr Total Dunlade Value Tom! Vangmanxnlamau may wwfrum count}; umcu-furspacrnn lnlurmn?nn. . w? m? 6mm? Nun-Nanu?nl?u 1nlamatiunnl @199qu FurlEx Nn;_El rammed, mm numhnr?. If NLH, unlur?ctnw Eruption: 1 c, c; ?uestians??'Gu to our Web site - Y: Emma pruururmmn alum: - Dr In the 11.3., call Outside the call yuur local FadEx af?ne. 01/10 3of8 Exhibit 14 Aon Surety? Specialty Customs Bond Application Entity Requesting Bond: I Nebraska Department of Correctional Services Date: I 07/ 28/2015 Legal Name: I Nebraska Department of Correctional Services State of Inc. I Address: I P. 0. Box 94661 I 47-0491233 City: I Lincoln I State: I NE I Zip: 68509 I Customs Assigned DEA-RN0414184 Activity 1?lmp0rter I I Activity 1A?Drawback I I Activity 2-Cust0dian of Bonded Merchandise Activity 3-lnternational Carrier I Activity of International Traf?c Activity 4-Foreign Trade Zone Other - Activity I Requested Bond Amount I 50,000 I lm sorted Commodity (Activin Only) I Apparel accessories Are goods are subject to anti~dumping or countervailing duty? I I is there a current bond inforce? I I lyae of Business lmporter I Warehousemen I I Trucking/Common Carrier I I Ocean Common Carrier I I Air Car?rier I I Other I Co?PrincipaIS US. Customs permits the inclusion of more than one legal entity (co-principals) on the bond. These entities must be ofthe same legal status and must be legally related subsidiaries). Please be aware that co?principals are jointly liable to US. Customs forall obligationssecured under the hand. To avoid joint liability, separate bonds should be ?led. {Additional names may be Iistedseparately). Co-Principal?s Name IRS Type of Organizaion (Corp, How Related LLC, Partnership, ect) (Subsidiary, etc.) Tradenames and Tradenames, divisions, other names under which you import, or different locations may be listed as additional users on the - - - - bond. Users are identi?ed by using their corporate number with separate suf?xes. Suf?xes can be any two numbers or Unincor orate p' letters other than I, 0, Z, or 00. (Additional names maybe listed separately). Name with Suf?x How Related (Subsidiary, etc.) I Insurance Broker lnformation Name: I Aon Risk Services Central, lnc.? Specialty Address: I 200 E. Randolph Street I City: I Chicago I State: I lL I'Zip: I 60601 Broker Name: (circle one) I Marcia Cesafsky, Chris Troha, Ann Mullins I E-mail: I Telephone: Contact nformaltjon for Bond Premium invoice: Name: Scott Frakes I P. 0. Box 94661, Lincoln, NE 68509 Address: . Phone: I 402-479-5710 I Fax; 402?479-5623 I Email; I Scott.frakes@nebraska.gov Currently participating in Customs Periodic Statement Program? (Premium Surcharge Applies) YES NO ls a reconciliation rider needed? YES NO List all anti?dumping and countervailing duty entries, along with the dollar value: I Estimated annual import values: I Estimated annual duties paid: I 4 of 8 FRI 7:35 PM 402 DEPARTMENT OF HOMELAND SECURITY US. Customs and Border Protection CUSTOMS BOND 19 CFR Part 113 Broker Filer Code: NIA - 2800 Itin Management A 002/002 OMB No. 1851~0050 Exp. 05/31/2017 CBP USE ONLY BOND NUMBER (Assigned by CBP) Surety Reference Number: 14?38192 as a result of activity Execution Date covered by any oohd In Order to secure payment of any duty, tax or charge and compliance with law or regulation tion referenced below. we, the below name principalis) and euretyiree), bind Durham? 1? 07/30/2015 CBS. United States in the amount or emouma. as set forth below, SECTION I - Select Single Transaction OR Continuous Bond got both) and ?ll in the applicable blank spa Transaction Date Port Code TRANSACTION seizure number, etc.) - BOND CONTINUOUS BOND Effective Date 07/30/2015 ear beginning with the effective date and for each succeeding This bond remains in force for one 1y . . annual period, or until terminated- hie bond constitutes a separate bond for each period in the or liabilities that accrue in each period. The intention to terminate this bond amounts listed below must be conveyed within the period and manner prescribed in the CBP Regulations. SECTION [1 - Thle bond includes the following agreements. Check on a box only. {Except 3a may be Ichecked independently W3.) Limit of Liability Aggi?ity Activity Name and Re ulatione 6 Limit of Liability Activity Activity Name and CBP Re .uletions Code In which conditions co died In which Obnditlona or: l?ed 1 Importer or broker 13.62 $50000 $113.70 Single Transaction Only- .0. ?gm-uh -Singie Transaction On/yr (includes bonded carriers. freight cartmen and lightarman, all classes of warehouse. container elation operators) -Contin uaus Bond Only- Single Transaction Only- Enid-?w "ma-5 .Jnetrumenmwoimstiomtx 13.56- - ?oniinuous Bond Onlya . E- Eitclueiorr 113 App El - urn-nu -Cont?inuaus Band Oniy? Ell Consolidation Bond . .. . .V 5w! ?7 hE?ulhh m- App Labeling Acta Importation . ~Slngia Transaction Only- B17 Bond ONY- 148189?- Transaction Only-g- checkin the box on a me that ou have a age! in anagrdanoe 1 QECFR 11325 Al:le q-Lchack Box Name and Physical Address (including legal description CBP identi?cation Number: and state oratmmomiion) 47~049123300 NEBRASKA DEPT OF CORRECTIONAL SERVICES . (A Stale/Local Government Entity) Signature FOLSOM AND WEST PROSPECTOR PLACE Electronically submitted to CBP on 07/30/2015 4201 14TH SOUTH STREET LINCOLN. NE 53502 El Check Box Mailing Address Requested by the Surety Principal and surety agree that any charge against the bond under any of the listed names is as though it was made by the principal(e). Principal and surety agree that they are bound to the same extent as if they executed a separate bond covering each set of conditions incorporated by reference to the CBP regulations into this bond. it the surety fails to appoint an agent under Title 31, United States Code, Section 9306, surety consents to service on the Clerk of any United States District Court or the'U.S. Court of international Trade, where suit is brought on American Altemettve insurance Corporation olo Roanoke Group 1475 E. Woodtleid Road. Suite EDD Bchaumburg. tL 60173 this bond. That clerk Is to send notice of the service to the surety at: ?it?1 Name and Physical Address (Including legal description Surety Number Agent ID Number and state ofincorporetrbn) 036 American Alternative Insurance Corporation signature (A DEIAWARE CORPORATION) 555 COLLEGE ROAD EAST PRINCETON, qlg?uig-Btii 6 Electronically submitted to CBP on 07/30/2015 Atlorney-ln-Facl Check Box CBP Form 301 (06/12) ra kes, Scott From: Sent To: Subject: Exhibit 14 trackingupdates@fedex.com Friday, September 04, 2015 5:54 AM Frakes, Scott FedEx MP5 Shipment 803672561734 Delivered Your packages have been delivered Master tracking 803672561734 ??ipdeiei Paer?thg' r: I been delivered. I Master traccking number: Status: 'Eie?eci-fer idly:? Delivered to: semiceegpe: Packaging type: Number or pieces: Totai shipment weight: Special Shipment Facts Our records indicate that the following packages have Tracking number: h?ndiinglservicee: I Delivery date: Fri, 9/4/15 3:46 pm - Delivered . mm 803672561734 805966128317 805966128328 Delivered: Signed for By: FLROHIT RROHIT Receptionist/Front Desk FedEx international Priority Your Packaging 3 23.80 lb. Deliver Weekday 'iniEtEIjzgSiEB'J-V e; la 60f8 . E, Track your package or shith with FedEx Tracking 0 .r a .. 6" Exliagnl of 2 My Pro?le Support i Locations Eight: Search Subr ?rsj Ship 2 Track i Manage Learn FedEx Of?oe? Login FedEx 0 Tracking . -2 - -- - ..- i803672561734 3 Ship date .- Achial delivery i Mon 8/31/2015 Fri 9i04/2015 3:46 pm 3 i i Delivered Sigmdforby:R.ROHlT . . . m. 3 Piece shipment i 3 Travel History .f Date/11m Activity Location 2 i - 9113412015 Friday i 3:46 pm DeIlVered i i - 9/03/2015 - Thursday 7:34 pm At FedEx origin radiity NEWW lN 6:15 am Departed FedEx location newmm 6:12 am in transit 1 3:14 am In transit 5N i - 9/02/2015 - Wednesday 3 3:48 pm Returning package to shipper NBva Return treating number 803672561734 1:51 pm At local FedEx facility - 9/01/2015 - Tuesday 6:37 pm Shipment exception NEWDELHIIN improper or mlss'mg tntemational paperwork. contact Customer Samoa 2 2:59 pm At local FedEx fadiin Di 5 - 8/31/2015 - Monday 5:54 pm Shipment exception meant in improper or missing intemationai papanvork. contact Customer Service 2:10 pm At local FedEx facility - 8/30/2015 - Sunday 500 pm At local FedEx fatality NEWDELHI .. 8/29/2015 - Saturday . i 9:14 pm Shipment exception nrwosuu 3 Improper or missing intemational paperwork. contact Customer Service 5 6:46 pm At local FedEx facility or ?4 8:37 am in transit (I .. 8/28/2015 - Friday I I 11.21 pm Left FedEx origin iaclilty smear?. i 6! 7:45 pm Picked up tin-resort in Shipment Facts Tracking 803672561734 Service FeoEx international Priority 5 WV "umber Delivered To Receptionist/Front Desk 1 Master tracking . number 803672561734 Packaging Your Packaging Total pieces 3 . 1 Special handling section Deliver Weekday Search Subrr Customer Focus Fenhirod Services Companies Follow FedEx United States - English New Customer Center FedEx Ono Rate FedEx Express Small Business Center FedEx SamoDay FedEx Ground Sen/roe Guido FedEx Home Delivery FedEx Of?ce Customer Suppert Heetthcaro Solutions FedEx Freight Oniine Retail Solutions FedEx Custom Critical h?nw/lunmxr 'Fedmr 6775 61 72419. 7of8 3 II a {Track your package or shipn? with FedEx Tracking I Company Information Packaging Services FedEx Trade Networks About FedEx Ancillary Ciearanuo Services FedEx i (Bataan: FedEx chhConnect 5 Investor Relations other Resuumes i - FedEx Compatibia 5 Developer Ro?cmce Center I FedEx Ship Manager S-aftwara FedEx Mobile .- FedEx 1995-2015 Eyr??elz 0f 2 Globe! Home i Site Map 1 tadexmm Terms of 1 Security and Privacy n?nn=h?n <61 724,9; 80f8 0/1 4/9014 Exhibit 15 BREAKING Attacker plows into crowd, stabs people at Ohio State campus http://journalstar.com/news/state-and-regional/govt-and-politics/aclu-asks-for-investigation-indeath-penalty-drug-purchase/article_ffc54126-0b57-5ff4-addb-84330314206d.html ACLU asks for investigation in death penalty drug purchase By JoANNE YOUNG / Lincoln Journal Star Aug 20, 2015 The ACLU of Nebraska has asked U.S. Attorney Deborah Gilg to open an investigation into Nebraska’s ongoing efforts to obtain lethal injection drugs from a "sketchy" foreign source. 1 of 13 Exhibit 15 In a letter from ACLU of Nebraska, Legal Director Amy Miller said communications between the state and the U.S. Drug Enforcement Administration demonstrate a months-long effort by the Nebraska Department of Correctional Services "to obtain illegal drugs despite clear and unequivocal notice that their conduct was prohibited by federal law."  In May, the department ordered 1,000 one-gram vials of sodium thiopental at a cost of $25 per vial and 1,000 ampules of 2 mg/2 ml of pancuronium bromide at $26 per ampule. Total cost was $54,000.  The order was placed with Chris Harris of Harris Pharma, a company in India that has sold sodium thiopental in the past.  The Corrections Department already owns the third drug used in the state's execution protocol, potassium chloride.  According to documents obtained by the ACLU through open records requests, Miller said, federal authorities clearly informed Nebraska officials that federal law prohibits import of the drugs.  Her letter quotes correspondence from the Food and Drug Administration telling state officials there is no FDA-approved application for sodium thiopental and from a DEA official in July saying Customs and Border Protection was notified of the potential illegal importation of the drug.  Nebraska officials paid the $54,000 in taxpayer funds to Harris Pharma for the drugs that have yet to be produced and are now months past initial assurances of their delivery date.  Taylor Gage, speaking on behalf of Gov. Pete Ricketts, said Thursday afternoon the state is working with the DEA to lawfully obtain the drugs required under Nebraska's death penalty protocol. 2 of 13 Exhibit 15 "The ACLU is clearly aligned with the side of the ballot initiative that does not want to give the voters of Nebraska a say on the death penalty -- their letter should be viewed in that light," Gage said. Ad : (0:00)  Advertisement (1 of 1): 0:00    The Nebraska Legislature in May repealed the death penalty after overriding Ricketts' veto of the bill (LB268) on a 30-19 vote. Soon after the session ended, a group called Nebraskans for the Death Penalty started a petition drive to allow voters to attempt to reinstate it in 2016. Those petitions are due to the Secretary of State's office next week.  According to the ACLU letter, the state sent customs forms to Harris Pharma on July 31. Sign up for our daily news email The top headlines from JournalStar.com. Delivered at 11 a.m. Monday-Friday. Email Sign Up! 3 of 13 Exhibit 15 “The ACLU is committed to holding state officials accountable for their ongoing efforts to secure lethal injection drugs in violation of federal rules,” said ACLU of Nebraska Executive Director Danielle Conrad. The documents provided show state officials have been told repeatedly by federal authorities that there is no legal way to import the drugs yet they continue to repeat a suspect claim that they are "working with federal officials to secure the drugs," Conrad said. Nebraska taxpayers deserve a straight answer, she said. "It is time to end this charade," Conrad said. "Nebraska officials should request an immediate refund of over $50,000 of taxpayer funds they committed to this sketchy foreign source without doing any due diligence and should cease and desist from all future attempts to skirt federal rules."  Miller said rather than wait for illegal drugs to enter the country, Gilg should assure the state complies with federal law and stop all efforts to "flout" FDA provisions.  Jan Sharp, the U.S. attorney's criminal division chief in Omaha, said Gilg's office is looking over the documents and should decide by next week whether to act. "Like any correspondence that comes in, we take it seriously," Sharp told The Associated Press. "... We don't disregard anything that gets sent to us. Whether or not we pick up and run with it is left to a prosecutor's discretion." Reach the writer at 402-473-7228 or jyoung@journalstar.com. On Twitter @LJSLegislature. 4 of 13 Exhibit 15 BREAKING Attacker plows into crowd, stabs people at Ohio State campus http://journalstar.com/legislature/lethal-injection-drugs-continue-to-be-held-up-inindia/article_f0a848ae-7800-5624-81a9-622767255efc.html Lethal injection drugs continue to be held up in India By JoANNE YOUNG / Lincoln Journal Star Sep 18, 2015 ERIC GREGORY/Lincoln Journal Star The execution chamber at the Nebraska State Penitentiary. 6 of 13 Exhibit 15 Execution drugs from a distributor in India bound for Nebraska were shipped last month but returned to the sender before leaving the country, according to forms provided by the state Department of Correctional Services.  A Sept. 14 email from Corrections Department Director Scott Frakes said the drugs were returned to Chris Harris of the Indian distributor HarrisPharma for further international review. A FedEx tracking form showed the sodium thiopental shipped on Aug. 24 from OC Logistic, which was handling the shipping, was returned by FedEx on Aug. 28. It apparently contained three packages of the drug. Emails sent back and forth from the Department of Correctional Services and the federal Drug Enforcement Administration indicate there was incorrect information on the forms.  Corrections Department spokesman James Foster said Thursday the department "will continue to work with all entities involved for the legal importation of the substances." In August, the ACLU of Nebraska asked U.S. Attorney Deborah Gilg to open an investigation into Nebraska’s months-long effort to obtain lethal injection drugs from a foreign source.  Legal Director Amy Miller said the Department of Correctional Services was trying "to obtain illegal drugs despite clear and unequivocal notice that their conduct was prohibited by federal law." In May, the department ordered 1,000 one-gram vials of sodium thiopental at a cost of $25 per vial and 1,000 ampules of 2 mg/2 ml of pancuronium bromide at $26 per ampule. Total cost was $54,000.  According to the ACLU, the state sent customs forms to HarrisPharma on July 31.  7 of 13 Exhibit 15 The ACLU has said Nebraska officials should request an immediate refund of the taxpayer funds used to pay for the shipment and should stop "all future attempts to skirt federal rules."  Get breaking news sent instantly to your inbox Email Sign Up! An Aug. 25 letter from Gilg said the U.S. attorney's office was unable to determine from the materials sent by the ACLU whether any federal criminal or civil statutes were implicated. So Gilg forwarded the materials to the FDA's inspector general for further review.  "Based upon what that agency reports back to us, we will determine whether further action by this office is warranted," she said.  ACLU executive director Danielle Conrad said the ACLU has been clear in its position that there is no way to fix Nebraska’s broken death penalty. "We are glad the state's ongoing and misguided attempts to secure these lethal injection drugs have been thwarted by federal government officials who are committed to enforcing the rule of law," she said.  "Nebraska has no way to carry out the now-repealed death penalty and further attempts to secure these drugs amounts to nothing more than false promises.”  A group of death penalty supporters is waiting for verification of an adequate number of referendum petition signatures that were gathered this summer to stop repeal of the death penalty in Nebraska until a vote can be taken in November 2016.  Reach the writer at 402-473-7228 or jyoung@journalstar.com. On Twitter @LJSLegislature. 8 of 13 State foiled by improper paperwork in attempt to acquire execution drug Nebraska oma... Page 1 of 7 Exhibit 15 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to-acquireexecution/article_067c8e3c-5d87-11e5-afe7-8baa35e15483.html State foiled by improper paperwork in attempt to acquire execution drug By Joe Duggan / World-Herald bureau Sep 18, 2015 9 of 13 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to... 11/28/2016 State foiled by improper paperwork in attempt to acquire execution drug Nebraska oma... Page 2 of 7 Exhibit 15 Gov. Pete Ricketts 10 of 13 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to... 11/28/2016 State foiled by improper paperwork in attempt to acquire execution drug Nebraska oma... Page 3 of 7 Exhibit 15 KENT SIEVERS/THE WORLD-HERALD LINCOLN — Improper paperwork thwarted an effort by Nebraska prison officials to import a disputed shipment of lethal injection drugs earlier this month. Despite warnings from the U.S. Food and Drug Administration that it is illegal to import foreign-made sodium thiopental, the state proceeded with plans to obtain the drug from a pharmaceutical broker in India. However, “improper or missing international paperwork” filed by the drug exporter prompted FedEx to return the shipment before it left India, Jim McCluskey, a spokesman for FedEx, said Thursday. The company sends information about all imported drugs to the FDA and U.S. Customs officials in advance of their delivery, McCluskey said. “If the shipment is authorized, we will deliver it to the recipient,” he said. “If it is not, we will return it to the foreign shipper.” According to FedEx tracking records, the shipment was picked up by the company Aug. 28 but returned to the exporter Sept. 4. James Foster, spokesman for the Nebraska Department of Correctional Services, said Thursday that state officials “will continue to work with all entities involved for the legal importation of the substances.” Earlier this year, Nebraska Corrections officials paid $54,400 to purchase the sodium thiopental and another drug called pancuronium bromide from a supplier in India. The substances, two of three required under the state’s lethal injection protocol, had expired. Gov. Pete Ricketts has said he remains confident that Nebraska will obtain the drugs, but the FDA says the sodium thiopental is no longer approved for use in the United States. The domestic manufacturer of the anesthetic stopped making it several years ago under pressure from death penalty opponents. 11 of 13 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to... 11/28/2016 State foiled by improper paperwork in attempt to acquire execution drug Nebraska oma... Page 4 of 7 Exhibit 15 The FDA’s position that the drug will not be allowed delivery to Nebraska or any other state remains unchanged, Jeff Ventura, the agency’s spokesman, said in an email Thursday. In support of its ban on the importation of the drug, the FDA has referred to a 2013 federal appeals court ruling in Washington, D.C. Nebraska Attorney General Doug Peterson has hinted that the state may legally challenge the FDA’s blockade of the drug. Nebraska was not a party to the case that led to the appeals court decision, and Peterson has said the FDA has staked out a position that goes beyond what the court required. Meanwhile, the ACLU of Nebraska has prodded federal prosecutors to investigate the continuing efforts by Nebraska officials to import a drug classified as illegal by the FDA. In response, U.S. Attorney Deborah Gilg said her office was unable to determine whether criminal or civil laws were broken, prompting her to seek further guidance from the Office of the Inspector General for the FDA. Jan Sharp, chief of the general crimes unit at the U.S. Attorney’s Office in Omaha, said Friday he was awaiting the FDA’s response. The governor announced the purchase of the drugs last spring while the Legislature was debating a bill to repeal the death penalty in Nebraska. Ricketts wanted to counter arguments that the state would be unable to obtain the drugs needed to carry out an 12 of 13 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to... 11/28/2016 State foiled by improper paperwork in attempt to acquire execution drug Nebraska oma... Page 5 of 7 Exhibit 15 execution. Lawmakers voted to repeal the death penalty over the governor’s veto. Death penalty supporters, however, apparently succeeded to obtaining enough petition signatures to put capital punishment on the ballot in 2016. Nebraska last executed an inmate in 1997, when the method of execution was the electric chair. Some death penalty supporters have argued that the state should seek a change in protocol and use different drugs for lethal injection. Also read: Death penalty opponents file lawsuit saying petition drive should be invalidated Ricketts: State still trying to import lethal injection drugs, won't pursue executions as signatures verified 13 of 13 http://www.omaha.com/news/nebraska/state-foiled-by-improper-paperwork-in-attempt-to... 11/28/2016 Exhibit 16 Nebraska Department of Correctional Services material request for purchase VENDOR NiSA/B#:. VENDOR NAME: SHIP BILL TO: NDCS Gulf Coast Pharmaceuticals 1-06-1 -pioneers-^-ivdr P.O. Box 94661 Lincoln, NE 68502 Lincoln, NE 68509-4661 VENDOR ADDRESS: Ocean Springs, MS NiS PC#: Nebraska Stats Penitentiary NIS A/B#: 557820 CONTACT NAME/PHONE: CONTRACT#: BUYER A/B#: □ CONFIRMING DELIVER BY: THIS AREA IS COMPLETED BY THE PERSON WHO PLACED THE ORDER Confirmation/Quotation#: By Whom: ACCOUNT CODING - INTERNAL USE ONLY DEBIT PRIORITY □ Is Freight Included in Price? □Y □N CREDIT Business Unit Business Unit Business Unit Business Unit ITEM BUYER APPROVAL DATE NIGP UNIT UNIT COST DESCRIPTIO CODE PART NUMBER QTY REC'D mm SUBTOTAL TOTAL FROM ADDITIONAL PAGE(S} H Company Name INVOICE #: □ ESTIMATED freightI Address Special Instructions:: □ IBT/State IBT/StateAgy Agy □ Capital Outlay Company Name HbbH Contact Name/Phone Amount □ QUOTE (Check Ons) TOTAlF 825.80 □ PARTIAL ORDER n COMPLETE ORDER Contact Name/Phone Amount □ Sole Source: DATE RECEIVED: BY: Justification/Comments: ORIGINAL - Purchasing DCS-A-pur-2B3 (7/05 rev.) □ Pre-pay MERCHANDISE RECEIVED Address _Jii^ O Grant Funds MERCHANDISE RETURNED CANARY - Receiving ITEM # RETURNED: DATE RETURNED: PINK - Business Manager/Facility GOLDENROD - Originator REASON; BY: 1 of 1 ^ Page 1 of3 DEA Form 225A - Completed Exhibit 17 Completed intemet Form - NOT FOR SUBMISSION DEA/Control Number- RN0414184 Submission Date; 11-19-2015 APPLICATION FOR REGISTRATION UNDER CONTROLLED SUBSTANCES ACT OF 1970 Application Complete. Internet (First Ml) NAUe APW-ICAKT OR BUSMESS(LASTl confirmation no.: 5471035 NEBRASKA STATE PENITENTIARY TAXIDENnFYINeNUVeER Form DEA 225A - Completed Intemet Receipt NOT FOR SUBMISSION Fee Paid:$0.00 AXOftlR the Debt CoUEcnoH ImprovbiehtAetof SOCIAL SCCURmr number 1896(PL104-134)REQUIRESIHAT YOU FURmsH YOUR FEDERAL TAXTWYER IOEHUFYINQ ^klMBER TO DEA. mis NUMBER IS ReaUIREO FDR DEBT 470491233 COUECnoH PROCEDURES SHOUID YOUR FEE PROPOSED BU8INES8ADORESS.(IiWl&rjQmSIWJSAP.aS0D(; mUAftEREPUtHeOTOBtTEHAsmBSTADOReSS) BECOME UNCOIIECTABLE. IP YOU DO NOT HAVE A Federal Taxpayer Ioentifyino Number,use 4201 SOUTH 14TH STREET YOUR Social security Number. SCOTT FRAKES STATE NE LINCOLN 402 5710 479 68502 APPLICANTS PAX NUMBER APPUCANTS BUSINESS PHONE NUMBER 402 ZP CODE - 479 - 5634 REGISTRATION CLASSIFICATION 2. INDICATE HERE IF YOU REQUIRE ORDER FORM BOOKS. 1. BUSINESS IMPORTER ACTIVITY: □ 3. Drug Schedules. (Fill in all circles that apply) j]^ Schedule I Schedule II N arcotic [T] Sch edule!] Non Narcotic Schedule Hi Narcotic ^ Schedule III ^ Schedule IV [7] Schedule V [j List 1 Non Narcofc 4. All Applicants must answer the following: Aro you cuncnOy authoitzed to prescrl&B, dlstiibuls, dispense, conduct ressarch, or otheralsa handle the conlFolIed substances In the schedules for wMcli you are applying under the laws of the slate or jurisdicUan In v/hlch you are operating or propose to operate? State License No. 2572 State: NE Expire Date: 07-01-2016 State Controlled Substance Lie. No. Expire Date: — 1. Has Ute appScanI over been convicted of a aimB In connection with controlled substance(s) understate or federal law, ortieen excluded or directed to bo excluded from partldpaUon In a niedlcare or stats health care progtani, or any such action pending? 2. Has tho appScant ever sunendered (Tor cause) or had a federal controlled substance reglstratlcn revoked, suspended, restiicted or dented, or is any such action pending? 3. Has the eppOcanl ever sunendered ((br cause) or had a stale professione) license or contreXed substance regtetrefion revok^, suspended, denied, restiicted, orplaced on prebaUofl, or is any such action pending? 4. If the applicant is a corporation {other than a coiporatlon whose stock is owned and traded by the pubGc}, assodatlcn, paitnership, orphannaiv, has apy oflicer, partner, stockholder or propdetor been convtcled of a crime in connection with control^ substance(s} understate orthderal law, or ever sunendered or had a federal controlled substance registration revoked, suspended, restricted crdenled, or ever bad a state professional license or controlled substance reg'sbation revoked, suspended, denied, restricted, or placed on probailOn, or Is any such action pending? N 1 of 3 https://www.deadiversion.iisdoj.gov/webforms/printHTML.do 11/19/2015 Page 2 of 3 a DEA Form 225A - Completed A A Exhibit 17 5 to Drug Codes 2100 2138 6. Payment Method: NIA 7. Certi?cation for Fee Exemption Certifying Of?cial's Name: Julie Smith Certifying Officiai's Title: Chief Legal Counsel Certifying Phone: 402- 479- 5735 Application Certi?cation: WARNING: 21 USC 843(d), states that any person who knowingly or intentionally furnishes false or fraudulent information in the application is subject to a term of imprisonmentof not more than 4 years, and a ?ne under Title 18 of not more than ?50,000. or both. By typing my full name in the space below, I hereby certify that the foregoing information furnished on these applicationIDEA forms pages is true and correct and understand that this constitutes an electronic signature for purposes of these applica?onsIDEA forms only. Name of Applicant (For individual registrants, the registrant themselves MUST complete this E-Signature) or name of Officer of the CorporationICompany e?Signature: Scott Frakes - . This electronic application/DEA form must be certi?ed by the appiicantlregistrant, if an individual; by a partner of the applicant, if a partnership; or by an officer of the applicant, ifa corporation, corporate division, association, trust, or other entity. See 21 C.F.R for more information on who can certify this application . 20f3 1 1/19/2015 Page 3 of 3 Exhibit 17 DEA Form 225A - Completed 9 A bf ADDITIONAL INFORMATION Form 224 Appmved OMB Farm No. 111 7-0014 Expires: 01/31/2016 (12 minutes) Form 225 Approved OMB Form No. 1117-0012 Expires: 07/31/2018 (15 minutes) Form 51 0 Approved OMB Farm No. 1 11 7-0031 Expires: 04/30/2016 (15 minutes) Form 363 Approved OMB Form No. 1 117-0015 Expires: 06/30/2018 (15 minutes) 1. No registration will be issued unless a completed application form has been received (21 CFR 1301.13). In accordance with the Paperwork Reduction Act of 1995, no person ls required to respond to a collection of information unless it displays 3 Valid OMB control number. The 0MB number for this collection is (See Above). Public reporting burden for this collection of information is estimated to average (See Above) per response, including the time for reviewing instructions. searching existing data sources, gathering and maintaining the data needed. and completing and reviewing the information. . The Debt Collection Improvements Act of 1996 (31 U.S.C. ?7701) requires that you fumish your Taxpayer identi?cation Number (TIN) or Social Security Number (SSN) on this application. This number is required for debt collection procedures if your fee is not collectible. 4. PRIVACY ACT NOTICE: - Providing information other than your?SSN or TIN is voluntary; however. failure to furnish It will preclude processing of the application. The authorities for collection of this information are ??302 and 303 of the Controlled Substances Act (CSA) (21 U.S.C. ??822 and 823). The principle purpose for which the information will be used is to register applicants pursuant to the CSA. The information may be disclosed to other Federal law enforcement and regulatory agencies forlaw enforcement and regulatory purposes. State and local law enforcement and regulatory agencies for law enforcement and regulatory purposes, and person registered under the CSA for the purpose of Verifying registration. For further guidance regarding how your information may be used or disclosed, and a complete list of the routine uses of this collection, please see the DEA System of Records Notice "Controlled Substances Act Registration Records" (DEA- 005). 52 FR 47208. December 11, 1987. as modi?ed. DEA OFFICE OF DIVERSION CONTROL PRIVACY POLICY 3of3 . gov/webforms/printI?ITWdo 1 1/19/2015 Exhibit 18 NEBRASKA STATE PENITENTIARY SCOTT FRAKES 801 W.PROSPECTOR PLACE,#1 LINCOLN, NE 68522-0000-000 Mill liiliilil mill iilillliiilliiilliiilliiilliiilliiiliiii CONTROLLED SUBSTANCE REGISTRATION CERTIFICATE UNITED STATES DEPARTMENT OF JUSTICE DEA REGISTRATION NUMBER THIS REGISTRATION FEE EXPIRES PAID RN0414184 10-31-2016 FEE EXEMPT . BUSINESS ACTivrry ISSUE DATE IMPORTER 11-20-2015 SCHEDULES DRUG ENFORCEMENT ADMINISTRATION •WASHINGTON D.C. 20637 3N,4, Sections 304 and 1008 (21 USC 824 and 958) of the Controlled NEBRASKA STATE PENITENTIARY Substances Act of"1970," as arhen'ded, provide thai the Attorney" SCOTT FRAKES General may revoke or suspend a registration to manufacture, distribute, dispense, import or export a controlled substance. 4201 SOUTH 14TH.STREET LINCOLN, NE 68502-0000 THIS CERTIFICATE IS NOT TRANSFERABLE ON CHANGE OF OWNERSHIP,CONTROL,LOCATION, OR BUSINESS AGTIVITY, AND IT IS NOT VALID AFTER THE EXPIRATION DATE. CONTROLLED SUBSTANCE REGISTRATION CERTIFICATE UNITED STATES DEPARTMENT OF JUSTICE DRUG ENFORCEMENT ADMINISTRATION WASHINGTON D.C. 20537 DEAREGISTFJATION NUMBER RN04T4184 SCHEDULES THIS REGISTRATION EXPIRES 10-31-2016 BUSINESSACTIVITY IMPORTER FEE PAID FEE EXEMPT ISSUE DATE 11-20-2015 3N,4, NEBRASKA STATE PENITENTIARY SCOTT FRAKES 4201 SOUTH 14TH STREET Sections 304 and 1008(21 USC 824 and'958) of the LINCOLN, NE 68502-0000 suspend a registration to manufacture, distribute, dispense, import or export a controlled substance. 1 of 2 Controfied .Substartces Act.of 1970, as amended, provide that the"Attorney.' General may revoke or THIS CERTIFICATE IS NOT TRANSFERABLE ON CHANGE OF OWNERSHIP, CONTROL, LOCATION,OR BUSINESS ACTIVITY, fl Mn IT iR MnT\/Ai in aftpr thp pypiRATiniM nATF DEA REGISTRATION REGISTR . FEE NUMBER EXPIRES ?F?i PAID CONTROLLED SHANCEIREGULATED CHEMIC/Eizhibit 18 . CERTIFICATE RN04141 84 10_31_2015 FEE EXEMPT UNITED STATES DEPARTMENT OF JUSTICE . .. DRUG ENFORCEMENT ADMINISTRATION SCHEDULES BUSTNESS ISSUE DATE WASHINGTON 0.0. 20537 11-20-2015 . . . . - .. . Sections 304 and 1808 (21 USC 824 andr958) of the NEBRASKA STATE PENITENTIARY . Controlled Substances Act of 1970, as amended, provide SCOTT FRAKES that the Attorney General may revoke or suspend a 4201 SOUTH registration to manufacture, distribute, dispense, import or - export a controlted substance. LINCOLN, NE 68502-0000 . THIS CERTIFICATE IS NOT TRANSFERABLE ON CHANGE OF OWNERSHIP, CONTROL, LOCATION, OR BUSINESS ACTIVITY, AND IT IS NOT VALIDAFTER THE EXPIRATION DATE. REQUESTING MODIFICATIONS TO YOUR . REGISTRATION CERTIFICATE To request a change to your registered name. address, the drug 9 I schedule orthe drug codes you handle. please 0 1? I 1. visit our web site at deadiversion.usdo].gov - or - - I 2. call our customer Service Center at 1-(8001882-9539 - or 3. submit your change(s) in writing to: - . Drug Enforcement Administration 5" I 9.0. Box 28083 - a . . Washington, DC 20083 I See Trtie 21 Code of?Federai Regulations. Section 1301.51 u. i for complete instructions. .Yeu her/93.922 EQEPIQCLIQ be octets Migraine Enamel/gee 39919.3; 2100,2138 20f2 Out $54,400 for lethal injection drugs, Nebraska wants its money back Nebraska omaha... Page 1 of 7 Exhibit 19 http://www.omaha.com/news/nebraska/out-for-lethal-injection-drugs-nebraska-wants-its-moneyback/article_619e349c-457e-5a50-8044-235145f130e5.html Death penalty Out $54,400 for lethal injection drugs, Nebraska wants its money back By Joe Duggan / World-Herald bureau Dec 11, 2015 REBECCA S. GRATZ/THE WORLD-HERA Nebraska Gov. Pete Ricketts 1 of 4 http://www.omaha.com/news/nebraska/out-for-lethal-injection-drugs-nebraska-wants-its-... 11/28/2016 Out $54,400 for lethal injection drugs, Nebraska wants its money back Nebraska omaha... Page 2 of 7 Exhibit 19 LINCOLN — Nebraska prison officials are exploring whether they can recoup funds for lethal injection drugs they never received from a foreign broker, although a written sales agreement says nothing about a possible refund. Gov. Pete Ricketts said last week that his administration will halt efforts to obtain lethal substances until after next year’s referendum vote on the fate of the death penalty. The announcement prompted the question about whether state can recover the $54,400 paid to Chris Harris, a broker in India who had sold and delivered drugs to Nebraska in the past. This time, however, Harris has not made good on his pledge to ship the drugs within 60 days of cashing two checks the state sent him. The Governor’s Office has directed the Corrections Department to review the purchase agreement, said Taylor Gage, the governor’s spokesman. “It is unclear what recourse the state has, if any, to recover the funds at this time,” Gage said this week. In response to previous public records requests, state officials had released an “offer to sell agreement” for 1,000 vials of sodium thiopental drafted by Harris and signed April 14 by Corrections Director Scott Frakes. The director signed a similar agreement for a second lethal drug, pancuronium bromide, on May 12. The agreements list six terms and conditions, including the price of the drugs, the advance payment requirement and Harris’ pledge to deliver within 60 days. The agreements do not address the possibility of returning the funds in the event Harris is unable to supply the drugs. On Thursday, Corrections spokeswoman Dawn-Renee Smith said the department is still reviewing the purchase agreement and “relevant supporting documentation” as requested by the governor. 2 of 4 http://www.omaha.com/news/nebraska/out-for-lethal-injection-drugs-nebraska-wants-its-... 11/28/2016 Out $54,400 for lethal injection drugs, Nebraska wants its money back Nebraska omaha... Page 3 of 7 Exhibit 19 State Treasurer Don Stenberg said the state should make an effort to recoup public funds when goods and services are not received, said Jana Langemach, the treasurer’s spokeswoman. That responsibility falls to the agency that makes the lost expenditure, Stenberg added. It appears that state officials did not anticipate running into difficulties with importing the drugs, which it bought to replace two lethal substances that had expired. Within weeks of the purchase, however, the U.S. Food and Drug Administration said it would not allow importation of sodium thiopental, an anesthetic no longer manufactured or approved for general use in this country. Late last week, Nebraska’s U.S. Attorney Deborah Gilg also said it would be illegal for the state to import sodium thiopental, the first of three drugs prison officials would administer in an execution. Hours after Gilg’s statement, the governor announced that the state would stop attempts to obtain the drugs until after the November 2016 referendum vote. The announcement effectively put a one-year moratorium on executions in Nebraska, where 10 men wait on death row. Ricketts also said that for the past several weeks, his administration has been reviewing the procedures used by other states that have lethal injection. Work on possible changes to Nebraska’s lethal injection protocol will continue, the governor indicated. The governor’s announcement represented a shift in his efforts to restore the state’s ability to carry out an execution. Nebraska last used the death penalty in 1997, when the method was the electric chair. Since May, Ricketts had been steadfast in saying state officials were trying to work with federal officials to get the drugs imported. On May 14, Ricketts announced that the Department of Correctional Services had purchased the two death penalty drugs from Harris. 3 of 4 http://www.omaha.com/news/nebraska/out-for-lethal-injection-drugs-nebraska-wants-its-... 11/28/2016 Out $54,400 for lethal injection drugs, Nebraska wants its money back Nebraska omaha... Page 4 of 7 Exhibit 19 Then on May 27, the Legislature voted to abolish capital punishment over the governor’s veto, making Nebraska the first politically conservative state to do so in more than four decades. Doubts about the state’s ability to obtain lethal injection drugs factored prominently into the vote. But death penalty supporters easily put the repeal on hold by gathering nearly 143,500 verified signatures so voters could decide the issue next year. Harris has twice sold sodium thiopental to Nebraska in the past. Federal authorities destroyed the first batch delivered by Harris in 2010 after learning that the Corrections Department lacked the proper importer’s license. The second supply expired after legal challenges emerged in response to claims by the drug’s Swiss manufacturer, which said Harris obtained the drug under false pretenses. The manufacturer, which opposed executions, said Harris told them he was trying to develop a market for the anesthetic in Africa. Harris did not respond to emails seeking comment for this story. Contact the writer: 402-473-9587, joe.duggan@owh.com Nebraska Governor Puts a Hold on Attempt to Acquire 4 of 4 http://www.omaha.com/news/nebraska/out-for-lethal-injection-drugs-nebraska-wants-its-... 11/28/2016 Exhibit 20 Frakes, Scott From: Frakes, Scott Sent: To: Subject: Wednesday, January 06, 2016 5:51 PM 'chrisharris@harrispharnnallp.com' See attached Attachments: Invoice.pdf; HARFUS RBMBURSEMENT CORRESPONDENCE.PDF Please see the attached request for reimbursement of funds. Thank you. 1 of 2 I Exhibit 20 STATE OF NEBRASKA DEPARTMENT OF CORRECTIONAL SERVICES Scott R. Frakes Director Pete Ricketts Governor January 6, 2016 Mr. Chris Harris Harris Pharma LLP Level 8, RDB Boulevard, Plot K1, Sector Salt Lake City Kolkata 700091, West Bengal, India RE: Reimbursement of Funds Dear Mr. Harris, In April 2015 the Nebraska Department of Correctional Services accepted your April 14, 2015 Offer to Sell Agreement regarding a purchase of 1,000 vials of Sodium Thiopental. I have attached a copy of your Offer to Sell Agreement to this correspondence. In April 2015 you were provided $26,700 in Nebraska state funds in return for your stated agreement to deliver 1,000 (1gm) vials of Sodium Thiopental within 60 days after receiving acceptance of your Offer to Sell Agreement and receipt of payment as outlined in your April 14, 2015 Offer to Sell Agreement. As of January 2016, despite your receipt of $26,700 in Nebraska state funds, Harris Pharma has failed to deliver the 1,000 vials of Sodium Thiopental as outlined in the terms of the Offer to Sell Agreement from April 14, 2015. This failure on the part of Harris Pharma to deliver the Sodium Thiopental as outlined in the terms of the attached Offer to Sell Agreement is unacceptable and is a breach of the representations and promised delivery date made by Harris Pharma in April 2015. The Nebraska Department of Correctional Services has acted in reliance upon representations made by Harris Pharma and must now request Harris Pharma for full repayment of the $26,700 that was paid to Harris Pharma in April 2015 for a product that has yet to be delivered in January of 2016. There is no question at this juncture that Harris Pharma has failed to comply with the terms outlined in the attached April 14, 2015 Offer to Sell Agreement that Harris Pharma generated to obtain business with the Nebraska Department of Correctional Services. Please provide full reimbursement immediately in hopes that this matter may be resolved amicably and without the necessity of further proceedings. Sincerely, Scott Frakes Director Nebraska Department of Correctional Services PO. Box 94661 - Lincoln, Nebraska 68509-4661 Phone (402) 471-2654 An Equal Opportunity Employer 2 of 2 Exhibit 21 (J-- Frakes, Scott From: Chris Harris Sent: Thursday, January 28, 2016 7:55 AM Subject: Frakes, Scott Re: See attached Attachments: Nebraska Reply.pdf To: Hi Scott, Pis find attached my response. Regards, Chris Harris ^ent: Thursday/ January 07, 2016 5:20 AM Thirhrisharris@harrispharrnalip.Gom :Si bjeGt: See attached Please see the attached request for reimbursement of funds. Thank you. 1 of 2 I, .. Exhibit 21 T0. 238 Jan, 2016 Mr. Scott- Frakes, Department of Correctional Services, Nebraska, USA. RE: Reimbursement of funds Elea'r Mr. Frakes, in response to-your document requesting reimEiIir-sement of fu?ds paid to my comp-any for the purchase-of 1000. Vials of- Sodium Thiopentai. of?the payment is net possible as there has been no fault of mueoi?npany. have tried. ma ny times to ship using the shipping compe-ziy. you. have could not ship it. After repeated discussions with them and you we had Liza-Engine compa my .1 had suggested. we were informed 1:0 keep the shipment. on hold. as youfiigprt licence had to be renewed at that?time Once your import. licence was renewed I gigs-m be informed and shipout the. package. The package is still ready to be shipped as and When-yougprouide the renewed import liCe'nCe c'Opy'. Hope this issue does not relationship between our organisations and we are able to do business in the future. For, Harris; P'hef-ifh LLP Par-met} Christopher Harris- Level?B. RDB Boulevard. Plot K?fl, sectorv, Block" EP GP, Salt Lake City. Kelk-ata 7'00091, Wes-t Bengal, India. F?h +91?33~65374505 Email: 20f2 Exhibit 22 Who Ordered Chris Harris d/b/a Nebraska State Disposition DEA took possession Kayem Pharmaceuticals Penitentiary (NSP) 11/7/2011 $2,056.15 Chris Harris d/b/a Nebraska State Harris Pharma Penitentiary (NSP) Expired $5,411.00 Not Applicable Not Applicable $26,700.00 When Ordered From Whom Steve Urosevich, COO Health Services 2010 Steve Urosevich, COO Health Services 2011 Where Stored Cost Chris Harris d/b/a Scott Frakes, Director Harris Pharma 2015 '' Who Ordered ^ From Whom When Ordered Diane Booker, NDCS Is Disposition Where Stored Cost Nebraska State Pharmacist Hospira 2010 Diane Booker, NDCS Penitentiary (NSP) Expired $118.36 Expired $120.53 Nebraska State Pharmacist Hospira 2010 Penitentiary(NSP) Nebraska State Kathy Deprez, Pharmacy 2011 Cardinal Scott Frakes, Director 2015 Chris Harris r^T ^ Who Ordered Penitentiary(NSP) Not Applicable $252.70 Expired Not Applicable $27,700.00 J When Ordered From Whom Disposition Where Stored Cost Diane Booker, NDCS Pharmacist 2010 Hospira NDCS Pharmacy Expired $74.49 2010 Cardinal NDCS Pharmacy Expired $38.12 Steve Urosevich, COO Health Services NDCS Pharmacy until Mark Cave, NDCS Pharmacist Prepared by NDCS 10/14/2015 when moved 2015 Cardinal Health to NSP Remains at NSP $262.30 1 of 16 INVOICE Exhibit 22 Pharmaceutical Pvt. Ltd. 3233? 2, Green Field CHS. Ltd., taxman Mhatre Road, Marian Colony, Borivali (W) Mumbai - 400 103, India Invoice No. Date 1/Nebraska/Correction/Steve - 01 Dt. December 8th, 2010 EC No. 0307043738 Buyer's Order No. Date Email 8: Telephone: November 11,2010 Other Reference: Nil Mr. Steve Urosevich Chief Operating Of?cer Pharmacy Administrator Nebraska Department of Corrections, Nebraska, United States of America DEA Number AN5903453 Phone +402-875-1708 Buyer If other than Consignee) Nil Country Of Origin Of Goods lndia Country Of Destination: Nebraska- Lincon Airport by AIR Place of Receipt by Pre Carrier Terms of Delivery Payment 100% Advance Vessel/Flight No. By Air Port of Loading SAHAR CARGO, Mumbai Airport Port of Discharge Nebraska- Final Destination Nebraska? Lincon Airport Lincon Airport Sr. No Package Description Of Goods Quantity Rate Amount QTY USD USD 1 1 Thiopentone Injection IP 1 Gm 500 3.44 "Thiosol Sodium" Goods of Indian Origin Manufactured by Neon \Cc Laboratories Ltd, Mumbai, India 3Freight 336.15 HARMLESS MEDICINE Total (USD) 2.055-15 Gr. Wt. 20.365 KG Total US DOLLAR (Two Thousand Fifty Six Fifteen Net Wt. 18.5 KG Cents Only) Drug License No: 21B Declaration We declare that this invoice shows the actual price of the Goods described and that all particulars are true and correct. Pharmaceutical lid- I "mr'ector . 'l Ga uJ?r 20(33 Prepared by DCS 20f16 1,720.00 INVOICE Exhibit 22 manufacturer and distribution services 1458 Bosepukur Road Kolkata 700 039, West Bengal, India. Ph 91?33?40614353 Invoice No. 8: Date IEC No. 0211010227 P/Nebraska/DOC? 01 Dt. August 25th, 2011 Buyer's Order No. 8: Date August 25th, 2011 Other Reference: Nil Consignee Mr. Steve Urosevich Chief Operating Officer Pharmacy Administrator Nebraska Department of Corrections, Nebraska, United States of America DEA Number AN5903453 Buyer [Payer If other than Consignee) Country Of Destination: Nebraska- USA Country Of Origin Of Goods India by FEDEX Place of Receipt by Pre Carrier Vessel/Flight No. FEDEX Port of Loading Kolkata Port of Discharge :Nebraska Final Destination Lincoln, Nebraska Terms of Delivery Payment 100% advance No lPackage Description Of Goods Quantity Rate Amount HARMLESS MEDICINE HS CODE :30029090 QTY USD USD 1 1 Thiopental Sodium 1 Gm IP for 500 10 5,000.00 Injection brand" Thiosol Sodium" Goods of Indian Origin Freight 411.00 Total (USD) 5,411.00 Gr. Wt. 20.5 KG Net Wt. 18.5 KG Total CE: US DOLLAR FIVE THOUSAND FOUR HUNDRED ELEVEN ONLY Harmless Medicine Declaration We declare that this invoice shows the actual price of the Goods described and that all particulars are true and correct. My A LIL-P ?an-M'an I -.: i Prepared by NDCS 30f16 ?rst; Exhibit giawj 33F ?g .3 manufacturer and distribution serviees OFFER TO SELL AGREEMENT To, 14?" April 2015 Scott .Fra kes, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and in accordance With the termsand conditions herein contained.- Product Sodium Thiopental USP Vial Price USS 25 per Vial Qua ntity 1000 Vials Freight and Customs Clearing in India 1700 Delivery 60 days after receiVin?g acceptance of this offer and receipt of payment into bank 6. Paymem: Terms 100% Advance RECEIVED For, 4 APR 2015 HarriePharma NDCS Director's Of?ce 223*? KT Level RDB Plot K4, Sector V, Block EP GP, Salt Lake City, Kolkata 700091, West Empaer gy H?yg P11 +91?33-66374505 Email: chrisharris@harrispharmalp.com A A manmactner and W1 services winnings?. mi lgnvatcentasmm; 1E: No: 6211616232? {\ng 2015 Bigger: Brahma: ?Buyer ofhur?t?an Ensignee} 5 MIL ?oun't'ry of my?; or'eoous: mmA ??unw vibestina?izm tirifr?? smme 1 WEEKS ?ftiefimtv ?n?d-?hyment?: WA?Vance - . . . . 3115mm. . . .- . hummxl?aw. - .. #:1195111: .. . -. .4 Ham?asd'MedrcIna USO I I .1 Twain Sadmm USP 13mm mo . 25 . .hsgm ?Fteight-amitumms Clearing In~lndia mmws? km?dn TWAL: BS DOLEARS Tho'u??iid Handset! Gaby) the actual ?nite 6% an; ?q?ds mesg?bed and thatall?par?qulars ate?usan? comm Prepared by NDCS . 16 Exhibit 22 Exhibit 22 Tn:4024795321 FrDm:Hnspira Fax:Hn5pira Dnc:825 FEge:003 - -- . SEPISZUIU 1asp'ra Wor-dwdr. I'm. FEDERAL ID. NO: 200843328 I Page 1 of 1 . . . SHIPPER DEA NO: RH0314271 INVOICE NO: 915047283 I Hospira Worldwide, lnC. INVOICE DATE: 08/09/2010 Stone Mountain GA 30083 P.O.NUMBER: q40584 . NE DEPT CORRECTIONAL BOX 94661 A - SHIPPEDTO .LINCOLN NE 68509 . . . NE DEPT CORRECTIONAL SVC PHARMACY 2620 WEST VAN DORN ST LINCOLN NE 68522 Thank you. for your order- PLEASE USE YOUR CUSTOMER - . . 54176026 TP25 NUMBER WHEN REORDERING If?? P25 I ?2 08/09/2010 5100 716380254 05 Net-30 days 13 ITEMS CODED SUBJECT TO DRUG ABUSE CONTROL LIN LDC. QUANTITY SIZE DEE NDCINHRC LISTTUC NV PRODUCT DESCRIPTION CONTRACT DEAL N0. TX UNITPRICE THE PRICE HEREIN MAY CONETI PUTE A DISCOUNT WITHIN THE MEANING OF ?2 U.S.C SEC 3 4A OF THE SOCIAL SEEURITY AND ANY SI LAR APPLICABLE ETATE LAW AND PROPERLY AND ACCURATELY ELECT SUCH DISCOUNT STA. OR FEDERAL PRO RAM WHICH PROVIDES ORCHARGE BASED REI URSEMENT FOR THE ITEMS WHICH THIS ISCOUNT APPLIES. RETAIN THIS INVOICE. AND ANY OTHER PRICE DOCUME TION MAKE TH AVAILABLE TO. DEFAL AND STATE OFFICIALS UPON REQUEST. . 2C 4 00409-4646?01 BGPANCURONIUM 28.0C 112.00 4 89510EV SUBTOTAL 112.00 Sl- IPPING CHARGE 6.36 TOTAL 118.36 Shipped. Via: FEDS . Ship-to DEA License Number:AN59034P3, expiratidn date:10/31/2012 CustomerL 91'3541'7?8?9'7 Prepared by NDCS 6 Of 16 1 7 Exhibit22 Tu:4024795821 . Faszuspira LTOPCALL 19 Dnc:625 - Page: 001 5 . . rb?\ FEDERAL ID. NO: 200843328 . 1 1 HospTra . Page 0 Form. INVOICE SHIPPER DEA NOS RH0314271 INVOICE NO: 915047759 BILL To Hospira Worldwide, Inc. INVOICE DATE: 08/09/2010 - ta' GA 30083 P.O.NUMBER: 070110 NE DE PT CORRECTIONAL SVC me w" .. PO BOX 94661 . SHIPPED TO LINCOLN NE 68509 DEPT SVC PHARMACY 2620 WEST VAN DORN ST LINCOLN NE 68522. Thank you for yOur order 3? PLEASE USEYOUR CUSTOMER - I 5'5 NUMBER WHEN REORDERING It? TP25 Net 30 days ITEMS CODED SUBJECT TO DRUG ABUSE CONTROL I LIN LDC. QUANTITY SIZE DESC NDCINHRC LISTTUC NV - PRODUCT DESCRIPTION CONTRACT DEAL NO. TX UNIT PRICE THE PRICE MAY CONSTIPUTE A DISCOUNT WITHIN THE MEANING OF ?2 U.S.C SEC 3 OF THE SOCIAL SECURITY ACT AND ANY SI LAR.APPLICABLE STATE LAW AND 1 HAVL AN OB I TO PROPERLY EISZLOSE AND ACCURATELY ELECT SUCH DISCCUN ANY STA OR FEDERAL PRO RAM WHICH PROVIDES CO CR HAR ASED URSEMENT TO YOU ITEMS TO WHICH THIS ISCOUNT APPLIES. YOU RETAIN THIS INVOICE AND ANY OTHER DOCUMENTATION MAKE TH AVAILABLE TO FEDERAL AND STATE OFFICIALS UPON REQUEST. 1c . 4 00409-4646401 86PANCURONIUM 28.0CK 112.00 4 89510Ev 0-: TO THE RICE SUBTOTAL . 112.00 Sl- IPPI NO CHARGE 8.53 TOTAL 120.53 Shipped Via: FEDS Ship?to DEA License Number:AN59034 53, expiration date:10/31/2012 Customer Number25417602'7 Prepared by NDCS 7 0f 16 .S (800) 255-6940 CARDINAL HEALTH PAGE 1 OF 1 7601 GARDNER AVENUE KANSAS CITY, MO 64120 ROUTEISTOP 729 O25 CUST. NO. DATE ORIGINAL INVOI CE 6 61755 REG N0. GUST. DEA N0. 1 ORDER NO. I CardinalHeaith DEA FED ID 68?0158739 257AN5903453 6429511 04202]. 9 Ni NEBRASKA DEPT OF CORR SRV PRM NEBRASKA DEPT OF CORR SRV PM ?5 FKA NEBRASKA STATE PENITENTIAR :3 FKA NEBRASKA STATE PENITENTIAR - 0? 2620 WEST VANDORN STREET 2620 WEST VANDORN STREET ATTENTION KATHY LINCOLN, NE 68522 a LINCOLN, NE 68522 DEPREZ UNIT 1736933 00409?4646?01 10 10 ML 25X10ML 25Tote SHIPPED OTAL PIECES SHIPSED Total REF NET AMOUNT INVOICE SHIP DATE: 5 19 011 REMI TO CARDINAL TH 5042 Note Codes: Omit Codes: if this invoice reflects any discounted prices. crediis. or rebeles or if price reductions are Taxainis GT Contract 1 Mtg. B. O. 4 Not stocked 7 Drug receii subsequently earned and paid with respect to the mercimndiselservices described herein. Generic Sub SN Special Net 2 When. out 5 Mtg. disc. ti New iiemictock uriaveil. then federal law may require disciosuro on the price reduction on yoUr claim or cost reports PP F'rrarrnPair Discount SP Special Pricing 3 Mfg. out 6 wuss. disc. 9 Restricted item ier Medicare or Medicaid reimbursement under-12 1320(ai-7b. ?will I II Remit To: ,Cardinal Health 110, inc GIG Bank of erica Lockbox 5042 Collect ,Center Drive 0 2 5 . Ehicago, iL 6t. 43 . fad-?h. Customer is a fins. ,.snsar that does not and not redistribute prescription pharmaceuticals Into the secondary market - a . . . . Ea xhlg??t 22%. man ufactu rer and distribution services RECEIVED OEFER TO SELL AGREEMENT MAY 1 2015 NDCS Director?s Office To, 12?? May 2015 Scott Frake?s, Nebraska Department of Correctional Services, Nebraska, United States of America Re: OFFER TO SELL Harris Pharma LLP hereby offers to sell to Nebraska Department of Correctional Services, subject to and in accordance with the terms and conditions herein contained. 1. Product: Pancuronium Bromide USP 2mg/2mlAmoule 2. Price: USS 26 per Ampule 3. Quantity 1000 Vials 4. Freight and Customs Clearing in India 1700 5. Delivery 60 days after receiving acceptanee of this offer and receipt of payment into bank actount. . 6. Payment Terms 100% Advance For, I f; 53? Harris Pharma LLP 1 . pi Christopher Harris CEO Level Ei, RDB Boulevard, Plot K?i, Sector V, Block EP 8; GP1 Salt Lake City, Kolkaia 700091, West Bengal, lndia. . Ph +91?33-663?4505 Prepared by NDCS Ema] risharris@harrispharmallp.comi 9 of 16 . . . . . . . . . Exhibit 22 1nmicc Fin-8; DATE: I I IEC 13th . -: IMEV 20153 I - 4 Buyers order-No Date-{Hm my 2015' .3 mm; .1 mailuiaciurer and sewices Other a'e'r; ML . . . RTFM: ??oit F'm'k?s- Buyer {if oth er {hen consignee NIL NEbr?aSEa ??bartxhenfof erfedlonal S?fruites . . . . . . I . .: country-of O?rfgir'r of units: INDFA Chu?tfygaf Destinailon: UNIIED STATES [int?ln AMERICA Nebraska 68569, 9135 m; r3531 magmas; . . . . . Pie Car?age': ESLAIE Pl?ce of ?'e?ei?pbii??re Carrier: Tufms o? am} f'uymL-nt: 100315 Air poet L's-gains, I?az'k'am, India N?hf?sk?a Mat-E: 'IPask'aze . .Disqin?nn Quantity Rate Amount Harmless MEdid?E QTY USD USU 1 IBromri?E-a QSP ngmel-Amnuia 31980 26 2mm Freight?'Cus?tom Cle'aring in India, 1700 usu 27200 I TWerity Seven Thousand Seueh I Hundred Only) ??sla?t?tfpn' :?iMe i?riyaft-ie s'hp'w: mic; aa?ial fi?ce o?ftlj??' 'G'zs'?ds descriEed and that?ail pamc?ul?ax?s are-true and qur'z?ct. 9/ es'g' :a?teg?Pfhg-ff Prepared by NDCS 10 of 16 Ta: 4024795821 Hosprra T0. NE DEPT CORRECTIONAL PO Box 94661 LINCOLN NE 68509 Frnm: Huspi ra igsp?ra War dw dr. F-th'sl. I. (50045-3046 Fax :.Huspi ra FEDERAL ID. NO: 20-0843328 SHIPPER DEA NO: RH0276863 Hospir?a Worldwide, Inc. PLEASANT PRAIRIE WI 53158 LTOPCALL at: 19 Page: 004 Page 1 of . 1 I INVOICE NO: 914904920 INVOICE DATE: 06/21/2010 P.0.NUMBER: q40584 SHIPPED TO I NE DEPT CORRECTIONAL SVC PHARMACY 2620 WEST VAN DORN ST NE 68522 Thank you for your order . - . CUSTOMER 7 . 6 .. ., .. 54176026 TP25 NUMBER WHEN REORDERING 54176027 AN5903453 TP25 I 3 - 1?3? 337 06/21/2010 5105 716195272 05 Net30 days I 06/21/2010 5201- 13 ITEMS CODED SUBJECT TO DRUG ABUSE CONTROL . LIN LDC. OUANTITY SIZE DESC NDCINHRC LISTTUC NV PRODUCT DESCRIPTION CONTRACTDEAL NO. TX UNIT PRICE THE PRICE STATED HEREIN MAY CONETI DISCOUNT WITHI THE MEANING OF ?2 U.S.C SEC EEANBAEE FEDERAL PROGRAM WHICH PRWIDES OR CHARGE BASED REI URSEMENT TO YOU F0 THE ITEMS WHICH THIS IISCOUNT APPLIES. YOU RETAIN THIS INV ANY OTHEI ICE DOCUMEVTATION AND MAKE THEM AVAILABLE TO FEDERAL AND STATE OFFICIALS ON REQUEST. 3C 4 00409-6653-05 84POT CHL ZOML 16.75 57.00 4 86458DK SUBTOTAL 67.00 -. SI- CHARGE 7.49 TOTAL 74.49 Shipped. 8RPS . . Ship?to DEA License Number:AN59?34 53, expiration date:10/31/2012 Customer ITmber:54176327 Ship: 06/21 - . Ord?gr place; bv diane hooker. ?09 "rm" Prepared by DCS 110f16 a (800) 255-6940 CARDINAL HEALTHR PAGE 1 OF 1 ROUTEISTOP 7601 GARDNER AVENUE 803% qp?JB 9?35 DV a KANSAS CITY, MO 64120 cusnno. Dena ORIGINAL INVOICE I 402377 7 02 10 9548487 CardinalHealth DEA FED r0 68?0158739 neeuo. i NEBRASKA DEPT OF CORR SRV PRM NEBRASKA DEPT OF CORR SRV PRM onceamme couamo. FKA NEBRASKA STATE PENITENTIAR EKA NEBRASKA STATE BENITENTIAR 7/01/10 08927 2620 WEST VANDORN STREET 2620 WEST VANDORN STREET I LINCOLN, NE 68522 LINCOLN, NE 68522 a? a scale/73? 78838856.! 1165745 63 DESCRIPTION SIZE I - EF UNIT PRICE 25X30ML 25 30.63 23 32 3660339 00338!0049304? . g; Haiti?i I 2? A I 7/17/10 7836 DUE DAT I Note Codes: Om it Codes: if this invoice reflects any discounted prices. credits. or rebates or if price roduclions are Taxable CT Contract 1 Mfg. El. 0. 4 Not stocked Drug recall subsequently earned and paid with respect to the merchandise/services described herein, Generic: Sub SN Special 2 the. out 5 Mtg. disc. 8 New Item/stock unavaii. then federal law may require diselosure on the price reduction on your claim or cost reports: PP PharmPair Discount SP Special Pricing 3 Mfg. out 6 Where. disc. 9 Restricled item for Medicare or Medicaid raimbmsernent under 42 USS. Remit To: Cardinal Health 110, inc CID Bank of America Lockbox I I 5042 Collections Center Drive Customer is a rmcugma that does not and will not redistribute I prescription phermaceulicais into the secondary nmrirei (800) 255~6940 CARDINAL HEALTH PAGE 4 OF 6 7601 GARDNER AVENUE KANSAS CITY, MO 64120 729 025 ORIGINAL INVOICE COPY CardinaIHealth DEA RWCUSTOMER P.o. NUMBER JAN5903453 3338578 OT46106 NEBRASKA DEPT OF CORR SRV PRM a NEBRASKA DEPT OF CORR SRV PRM A FKA NEBRASKA STATE PENITENTIAR I FKA NEBRASKA STATE PENITENTIAR 4/30/15 09653] A 2620 WEST VAN DORN STREET 2620 WEST VAN DORN STREET LINCOLN, NE 68522 LINCOLN, NE 68522 ct PANCURONIUM 1M It? -tmcw-u? NE 99? ., 56t?3;2?;2 30f1 2222929?? Wf[]St ?Iti'i LEG: Zuek . egg ts Thisfif?f?r .- . . 2.;mnmm l0 9 .ncy.usch C1 .3tgit31 7 ,Iotssm?zw -W-.-. I?i?jois TiE?i7W36#Wdr 597g?39386406 messes . . 4 .. Ill Other List Chemical '7 2 9 2 5 The prices shown on this invoice are net of discounts provided at the time of purchase. Some oi the products listed on this invoice may be subject to additional discounts or rebates. Please reier to gour contract for any specific additional discounts or rebates that may apply to these purchases. You may have an ligation pursuant to 42 USC ?1320a~7b to report discounts an rebates to Medicare. Medical or other governmental health care programs. Effective January 1, 2015, DSCSA Transaction Date for qualified prescription druqs can be acceggpd "in vour usual nIa-H . .- . lite- Note Codes: CT Contract Omit Coders: Taxable SN SpecialNet ?Drug Fiscal! List Chemical Designations - Ephe .[rine I - hen ro ato amine Generic Sub OV Price Override 2 DC Out 5 Mir Disc 8 New unavall. - manager; shrine SP Special Pricing CS Source Contrac a Out (5 DC Disc - 9 Restricted-item Customer is a final dispenser purchasing for own use and will not redistribute prescription pharmaceuticals Into the secondary market. (800) 255_?94o CARDINAL PAGE or 1 rumresmm 729 /E%%sn 7601 GARDNER AVENUE - KANSAS CITY, MO 64120 DV GUST. NO. 402377 REG NO. m?E ORIGINAL INVOICE 7 02 10 9548487 CUSTOMER P.0. NUMBER CardinalHealth DEA FEDID 68?0158739 NEBRASKA DEPT OF CORR SRV PRM NEBRASKA DEPT OF CORR SRV PRM FKA NEBRASKA STATE PENITENTIAR FKA NEBRASKA STATE PENITENTIAR 2620 WEST VANDORN STREET 2620 WEST VANDORN STREET Ea} LINCOLN, NE 68522 LINCOLN, NE 68522 I -- I met UNIT - . SHIPPED um DESCRIPTION BE PRICE 0 CODE WM 1 OH rr?m _tt?5745 CT POTASSIUM CL 7355b3397653384Q . septum? ta. ?a RE - News?;yi? BANK OF t_um 7/17/10 DUE DATE Note Codes: Omit Codes: If this lnvoice reflects any discounted prices. credits. or rebates or it price reductions are Taxable CT Contract 1 Mtg. B. O. 4 Not stocked 7 Drug recall subsequently earned and paid with respect to the merchandiselservices described herein, (3 Generic Sub SN Special Net 2 the. out 5 Mtg. disc. 6 New itemjstock unavail. then federal law may require disclosure on the price reduction on your claim or cost reports PP PharmPak Discount SP Special Pricing 3 Mfg. out 6 the. disc. 9 Restricted item lor Medicare or Medicaid reimbursement under 42 U.S.C. Remit To: Cardinal Health 110, Inc I 010 Bank of America Lockbox Customeris alinel diEd??Q?rt?Q will not redistribute I I I 5042 conemlons gem?llsorwe prescription pharmaceuticals into the secondary market '7 2 9 0 2 5 Chicago, IL 60693 (800) 255-6940 CARDINAL HEALTH PAGE ?4 OF 6 Rourasmw 729 025 7601 GARDNER AVENUE Dv KANSAS CITY, MO 64120 cusnuo DANE ORIGINAL INVOICE COPY 1 5113593 cusr. DEA ORDER NO. I CUSTOMER p.o. NUMBER AN5903453 3338578 OT46106 ORDER DATE CONF. N0. 4/30/15 CardinalHealth DEA RW-0191926 FEDID 68-0158739 REGNO. E?j EBRASKA DEPT OF CORR SRV PRM 3 NEBRASKA DEPT OF CORR SRV PRM FKA NEBRASKA STATE PENITENTIAR FKA NEBRASKA STATE PENITENTIAR 620 WEST VAN DORN STREET 2620 WEST VAN DORN STREET TSLINCOLN, NE 68522 LINCOLN, NE 68522 0 m. UNIT in - ,l PANCURONIUM 10x1oML 10 25.01 SN 90703j2804?03 3 i12292ba,99703?2812?04 .90 ,3 96743 SN .H.3 I?r?m ed ESU REMNUMRER 333011 1 1 EA 100015 . .1, as 76 8576GT .. .. -.. .H-.-- messes .PINDOLOL '.zglooce - 81.38 8138GT . 4 . . 5 .1 . .h1j1_,,w, .-Euv . . I . . .. .. This .49 ii=.1 1h Tote? "pg" I . 1 .1 EA RANITIDINE 150MG 1000 . 43.30 413OCT '-.3EA SEBTRALINE.HCL.100MG 509? . .H- CT 'id?a' l?F? '4f1 31.? WM -. ?waee,meesaga(sl: 121-154256103$87877?8124e05?iav TOP TUBE - lcRV- it 8.81 6167CT . .. . .. 1 -HH-M 1915.8:w 1-1.. H- . . -, 254.22? -25e. LT TOTE 2 CT POTASSIUM CL 25X30ML 52.46 SUSTIVA sooMc'jo?f -7i - 'g-g 804.527. 80452CT see messagetsT8-121IIJ"-W '.4-89 .la67CT ia??f if' . . 'ft .31722702786601-,4 EA TORIRAMATE 25MG 60 . .. I 6CTB . . . 1-76 704CT 1211 .;3731015 g??iaaja 192.. 0 zz thiuxa -. . . . .W Notaaodos: CT Contract Omit Codes: LISIEChCen?gcajl Designations gamble SN Special Net Dropship 4 Not stocked Drug Recall generic Sub 0V Price Override 2 DC Out 5 Mir Disc 8 New item!stocl< unavall. 3 . Customer is a final dispenser purchasing for own use and will not redistribute - - 1 - - . prescription pharmaceuticals Into the secondary market. The prices shown on this anOICe are net of discounts prowded at the time of purchase. Some of the products 42 USC ?13208~7b to re rebates to Medicare. Medical or other governmental health care programs. Effective January 1, 2015, DSCSA Transaction Data for qualified prescription drugs can be accessed via I'vn-J 5 Peeudoep adrine SP Special Pricing CS Soul-ca Contrac a Out 6 DC Disc 9 Restricted Item - Other List Chemical 7 2 .9 0 2 5 listed on this invoice may be subject to additional discounts or rebates. Please refer to gour contract for any specific additional discounts or rebates_that may apply to these purchases. You mactjy have an ligation pursuant to port discounts an vour u5ual orderinu much nu mm? -. Tu:4024795921 . . - . ram-Husp%-\ Fax:Hnsp1ra Lnor Fage:004 'l?osp?ra War dw (it. i'r. . FEDERAL ID. 200843328 Page10f'1 . INVOICE SHIPPER DEA NO: RH0276863 NO: 914904920 BILL To Hosp'ir'a Worldwide, Inc. DATE: 06/21/2010 NE DEPT CO SVC PLEASANT PRAIRIEWI53156 PO BOX 94661 LINCOLN NE 68509 I NE DEPT CORRECTIONAL SVC PHARMACY .2620 WEST VAN DORN ST A LINCOLN NE 68522 a; I Thankyou for your order . - . PLEASEUSEYOURCUSTOMER .4 st a T1225 i5? 54176027 Ting-253? 06/21/2010 5105 716195272 ?05 Net30 as A . If? TO DRUG ABUSE CONTROL 06/21/2010 5201' 1B LIN LDC. QUANTITY SIZE DESC NDCINHRC LISTTUC NV CONTRACTDEAL ND. TX UNITPRICE THE PRICE STATED HEREIN MAY CONSTI PUTE DISCOUNT WITHIN at ale/greenerareermAee 1' a PRO RAM WHICH PROVIDES COST OR CHARGE ANY STA OR. WHICH THIS ISCOUNT APPLIES. YOU RETAI BASED REI URSEMENT To YOU F0 THE ITUEMEMS MAKE TH AVAILABLE TO FEDERAL AND STATE ARIEBUEET.OTHEL PRICE DOC WATION 3C 4 00409-6653-05 CHL 20ML 16.75 57 00 1 4 esqseDK SUBTOTAL 6100 . - SI- IPPING CHARGE 7.TOTAL 74.49 Shipped via: BRPS . Ship-to DEA License Number:AN5903453, expiration date:10/31/2012 Customer Niunberz54176027 Ship: 06/21 - Order placed by diane beaker, telephone number ?402 4'71 7305, date 06/21; 2010 Any questions please contact Hospilta Customer Care at 1-877?946-7747 Internet .hcspira. ccm/ . 10125564 BILL OF LADING 441250817207779 End of DOcument Hospira Inc. 75 Remittance Drive Suite 6136 CHICAGO, IL 60675-6136 Hosplra Worldwide. lnc._hereby guarantees that the Articles covered by the Invoice aIe'n adulterated or mIsbranded when the meamng ol the Federal Food Drug and cos Act. or the Act at 1910. as amended ormthin the meaning otan applicable state cl muniotpel law In which the definitions of adulteretlon and misbrandmg are substantially the name as those contained In the Federal Food. Drug and cosmetics Act. as said laws are eilectIve as of the date of invoice. and are not artldes which may not. under the revision otsectlon 404 or 505 or said Federal Food Drug and cosmehc Act. be nh?oduced Into interstate commerce. Hosplra Woddwide, Inc. certi?es that the products covered by this invoice have been roduoed in compliance the a pllcabie requirements of the Fair Labor Stan Act of 1938. as amended an regulations issued thereunder. 1mm Hospira Contact Group A PLEASE REMIT Prepared by . 16 of 16 Exhibit 23 Avery, Mary Subject: Attachments: Request for documentation Document from Lanier LD625c From: Spindler, Robin Sent: Tuesday, October 04, 2016 12:03 PM To: Janssen, Cindy Cc: Avery, Mary; Smith, Dawn Renee Subject: RE: Request for documentation Cindy, see the below information you requested. I am sorry for the delay. 1. Was there a provision for a refund in any of the documentation obtained? No. 2. In January 2016, there was a letter requesting the reimbursement of funds for the Sodium Thiopental, an amount of $26,700. The seller responded that same month that they would not be providing a refund. What further actions have been taken by DCS to obtain the amounts paid, for which no goods were received. NDCS requested the amount. Mr. Harris’ response is attached. 3. Was the Pancuronium Bromide received? If not, has DCS requested a reimbursement of those funds, an amount totaling $27,700? The pancuronium bromide has not been received. The federal government is not challenging the importation of this drug, however, shipment was placed on hold by the state pending the outcome of November’s election. Governor Ricketts issued the following statement on December 7, 2015: “In November 2016, Nebraska voters will determine the future of capital punishment in our state at the ballot box. To give deference to the vote of the people, my administration will wait to carry out capital punishment sentences or make additional efforts to acquire drugs until the people of our state decide this issue. Over the last several weeks, I have stepped up conversations with the Attorney General and the Corrections Director regarding a comprehensive review of the capital punishment protocols used in other states. My administration will continue to review potential protocol changes.” 1 1 of 11 Exhibit 23 Robin Spindler Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax) If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’. From: Janssen, Cindy Sent: Monday, September 26, 2016 12:05 PM To: Spindler, Robin Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation Hello. I was just following up on this request from two weeks ago. I did receive information in the mail for the Prairie Gold Homes questions, but I have not received a response to the initial questions on the lethal injection drugs. Could you let me know when I can expect a response? Thanks. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov From: Janssen, Cindy Sent: Monday, September 12, 2016 9:26 AM To: Spindler, Robin 2 2 of 11 Exhibit 23 Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation Thank you for the information you sent to our office. After looking through the information provided, I do have a couple of other questions: It appears there were two agreements to sell the drugs to DCS. One Offer to Sell was for Sodium Thiopental and was dated April 14, 2015, for $26,700. Then on May 12, 2015, a second Offer to Sell was provided for Pancuronium Bromide for $27,700. Neither Offer to Sell, or any other information you provided, contains provisions for the refund of the payment made in advance in the event the State of Nebraska does not receive the drugs. 1) Was there a provision for a refund in any of the documentation obtained? 2) In January 2016, there was a letter requesting the reimbursement of funds for the Sodium Thiopental, an amount of $26,700. The seller responded that same month that they would not be providing a refund. What further actions have been taken by DCS to obtain the amounts paid, for which no goods were received? 3) Was the Pancuronium Bromide received? If not, has DCS requested a reimbursement of those funds, an amount totaling $27,700? Please provide any other information that pertains to the reimbursement of these funds. I also have a few questions regarding the documents provided for the reimbursement to Prairie Gold Homes. Can you tell me if the information provided to the APA contains all of the information submitted by Prairie Gold Homes with their request for reimbursement? It seems as though we were provided with a general ledger from the entity. However, Section V of the grant award notification requires general ledgers, employee timesheets, and copies of invoices for all purchases. I need to know if you have the employee timesheets and copies of invoices for all purchases. If so, please provide that information for the month requested. If not, please simply let me know. Thanks again for your assistance with these inquiries. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov 3 3 of 11 Exhibit 23 From: Spindler, Robin Sent: Friday, September 02, 2016 1:37 PM To: Janssen, Cindy Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation Cindy, We have the documentation of all purchase orders, invoices, receipts, approvals and any other documentation, including email correspondence regarding payment and purchase to Harris Pharmacy and will have someone deliver this to your office Tuesday. I apologize for the delay in getting you this documentation. Regarding your additional request about the Prairie Gold Homes grant, we will get you that information shortly. Feel free to call me if you need anything else. Thank you, Robin Robin Spindler Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax) If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’. From: Janssen, Cindy Sent: Friday, September 02, 2016 10:43 AM To: Spindler, Robin; Smith, Dawn Renee; Hookstra, Inga Cc: Avery, Mary Subject: RE: Request for documentation Good morning. I am following up on this request for information regarding the lethal injection drug purchase. In addition to Robin’s email below, I also received a voice message from Dawn Renee Smith indicating that I would receive this information on Monday. I did not get the information this week. Please let me know when I can expect the additional information regarding the drug purchase. 4 4 of 11 Exhibit 23 On a completely different issue, we also received an inquiry regarding a grant award between DCS and Prairie Gold Homes. I have a copy of the grant award notification and I was wondering if you could provide me with the documentation that was submitted with their reimbursement request for May 2016. I am looking for the information submitted as it relates to Section V of the grant award notification. Thank you for your assistance. If you have questions, please let me know. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov From: Spindler, Robin Sent: Thursday, August 25, 2016 3:33 PM To: Janssen, Cindy Cc: Hookstra, Inga Subject: RE: Request for documentation Cindy, Inga is on vacation today and tomorrow. She will be back in the office Monday and we will get back with you as soon as possible on her return. Thank you, Robin Spindler Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax) 5 5 of 11 If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’. Exhibit 23 From: Janssen, Cindy Sent: Thursday, August 25, 2016 3:22 PM To: Hookstra, Inga; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation Inga, I have tried calling you both today and yesterday with no luck. The invoices you provided only contain the name of Director Frakes. I want to clarify whether he is the one that made the actual purchase of the drugs. As indicated below, I am also trying to clarify whether there are any purchase orders, email correspondence or anything else related to this drug purchase or is this it in its entirety? I would appreciate a response as soon as possible. Thanks. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov From: Janssen, Cindy Sent: Monday, August 22, 2016 7:38 AM To: Hookstra, Inga; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation To clarify, the documentation provided includes provided all purchase orders, invoices, receipts, approvals, and any other documentation, including email correspondence, as requested, below? 6 6 of 11 Exhibit 23 Thanks. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov From: Hookstra, Inga Sent: Friday, August 19, 2016 6:13 PM To: Janssen, Cindy; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation Attached are the documents request and the rules for obtaining the substances. Inga Hookstra, Controller Nebraska Department of Correctional Services Inga.hookstra@nebraska.gov Phone: 402-479-5756 Fax: 402-479-5821 From: Janssen, Cindy Sent: Thursday, August 18, 2016 1:59 PM To: Spindler, Robin; Hookstra, Inga Cc: Avery, Mary Subject: RE: Request for documentation I have not received a response to this request for information so I was wondering if you could let me know when I can expect to receive the documentation requested? 7 7 of 11 Exhibit 23 Thanks! Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov From: Janssen, Cindy Sent: Wednesday, August 10, 2016 10:03 AM To: Spindler, Robin; Hookstra, Inga Cc: Avery, Mary Subject: Request for documentation Good morning. As you probably know, we have received numerous questions and concerns regarding the Department’s attempt to purchase drugs from Harris Pharma LLP. In order to respond appropriately, we would appreciate it if you would provide all purchase orders, invoices, receipts, approvals, and any other documentation, including email correspondence, regarding the payment to Harris Pharma under the following EnterpriseOne documents: Voucher Document number 31432568, GL date 4/22/2015 for $26,700. Invoice 4/17/15 referenced in EnterpriseOne. The payment was made on warrant 22717272 on 7/1/2015. Voucher Document number 31576543, GL date 5/14/2015 for $27,700. Invoice 0211010227 referenced in EnterpriseOne. The payment was made on warrant 22742307 on 7/1/2015. We would appreciate if you would provide the documentation as soon as possible. Thanks. Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 8 8 of 11 Frakes, Chris Harris chrisha rris@ ha rrispharmall p.c0m From: Sent: Thursday, January 28, 2016 7:55 AM To: Fralces, Scott Subject: Re: See attached Attachments: Nebraska Reply.pdf Hi Scott, find attached my response. Regards, Chris Harris sena'Thursd'ar, January 0'7; .2016 5:20 AM :fif?f Subject: See attached- Please see the attached request for reimbursement of funds. Thank you. Exhibit 23 10 of11 Exhibit 23 To, '238 Jan, 20.16 Mr; Scott: Frakes, Department of Correctional} Services, Nebraska, RE: Reimhursement of Funds ?ea'r- Mn Fr-akeis, in" resp'onse-te-yuur document requesting of paid my corn pa ny for the purchase-pf 1000; Vials of Sodium Thiepentah 1 dd ef?the; payment is net 'po?ssibie as there has been no fault of mgeahwpaey. haveitvied' Iii-any times ship using the shippi-hg a??fjpingE-eem pads: paw-a net ship it; After repeated :di'scussians with them and yauwe "had agreedt' Using-'ifthe company} had suggested. we were informed'to keep the shipm?nton heft-d. pert ?te?h?c'e? had to he at-?thatitimee Once y-a'ur import; licence was re needed. 1; be info and ship .0 ut the, package?. The package is- stili ready ?to: be shipped :as and Whe renewed impart licence (:30 py. Hope this is-SLie' doeS net ape-iifhe rel-Eia-tion'sh'ip between our organisations and we are able to do business in the future. Pong Harrie I christopher Harris: Boulevard, Flam-1, seem-r B-iack? EP GP, Salt Lake City, Keihata 700991, Wes-tlEienga'l, India. Ph Email:? 11 of11 Exhibit 24 From: To: Cc: Subject: Date: Attachments: Spindler, Robin Janssen, Cindy Smith, Dawn Renee; Avery, Mary RE: Request for documentation Friday, November 04, 2016 11:37:56 AM info req 11.4.16.pdf Cindy,   Please see the below responses.   Thank you,     Robin Spindler Nebraska Department of Correctional Services Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax)     From: Janssen, Cindy Sent: Wednesday, October 12, 2016 3:22 PM To: Spindler, Robin Cc: Avery, Mary; Smith, Dawn Renee Subject: RE: Request for documentation   Thanks for the information received,  we have some additional questions.   1.)    For both of the purchases of drugs,  since they dollar amount was over the unrestricted open market purchase authority, did NDOC get approval from DAS Material for these purchases?  If so,  please provide that approval.  If not, please explain why and how this vendor was chosen.  Were any other vendors requested to submit proposals or amounts?   As previously provided, the protocol (Title 69, Chapter 11 of the Nebraska Administrative Code) does not require DAS approval. The Nebraska Department of Correctional Services has specific authority under Neb. Rev. Stat. § §83-965 and §83-966 to create its own process for obtaining the necessary lethal substances, including obtaining them without a prescription upon a written request from the NDCS Director.  This was enacted separately from the statutes regarding the Material Division of Administrative Services with the recognition that the obtaining of lethal injection drugs was unique.  NDCS did, in fact, promulgate its execution protocol, including the procurement of the necessary lethal substances, under 69 Neb. Admin. Code, Chapter 11, § §9.02 and §9.03    In those sections, there are no competitive bidding requirements or requirements for obtaining approval under Neb. Rev. Stat. § 81-161.03.  Again, obtaining lethal injection drugs is a unique process, and the legislature specifically authorized NDCS to come up with its own procedure; therefore, the requirement of obtaining permission from DAS Material does not apply.    NDCS had previously worked with Chris Harris to obtain these drugs.  NDCS was not aware of any other vendors providing sodium thiopental and pancuronium bromide.   2.)    There appears to be a large price variance over the years, did anyone ask why or compare to other vendors to ensure Nebraska was getting the best price?    As noted above, NDCS was not aware of any other vendors providing this drug.   Year Description Size 2015 Sodium Thiopental 1gr Vials 1GR 2011 Sodium Thiopental 1gr Vials 1GR 2010 Sodium Thiopental 1gr Vials 1GR Quantity Per Vial $     1000 25.00 $     500 10.00 $        500 3.44 Sub-Total  $  25,000.00  $    5,000.00  $    1,720.00 Freight /Shipping  $         1,700.00  $             411.00  $             336.15 Total  $  26,700.00  $     5,411.00  $     2,056.15   3.)    While the DAS accounting manual recognized that prepayments occasionally occur,  did anyone at NDOC discuss the 1 of 14 Exhibit 24 prepayment process with DAS-Accounting?  If so, when and with whom.   No. The purchase of these drugs did not fall under the pre-payment provisions of the DAS Accounting Manual.  The Agency was also cognizant of complying with §81-2406 of the Nebraska Prompt Payment Act.   4. Prepayments Prepayments - Occasionally, there are situations that arise where prepayment is necessitated due to federal requirements, State Statutes, contracts or, normal business practices. Though prepayments are not illegal, per se, they are in conflict with the normal claims process since the State has given up assets in anticipation of goods or services being rendered at a later date. (There is no enforceable claim against the State until goods or services are received.) Since the potential for loss to the State is greater under prepayment situations, extreme care should be exercised and a conscious effort should be undertaken to minimize prepayments at the agency level. State Accounting reserves the right to review all prepayment requests. Three prepayment requests are discussed below. §  Conference Registration - State policy permits the prepayment of training session and conference registration fees by the agency on behalf of State employees. §  Federal Government and Affiliates - The Superintendent of Documents and the Postmaster require prepayment for publications and postage, respectively. In these two cases, warrants will be drawn for payment in advance. All other transactions with the federal government should be reviewed to determine if prepayment is mandatory and can be made. §  Routinely Recurring Expenses - Normal business practice necessitates the prepayment of expenses such as magazine subscriptions, local telephone service, rent expense, etc. 4.)    Per the emails received, it appears there was a payment sent via US mail which was not received by the vendor.  Was a warrant cancelled and reissued, then sent via FedEx?  If so, did you ever get the first warrant back or was it just cancelled/voided and reissued?   The warrant was cancelled;  it did not come back.   5.)    Did anyone at NDOC verify the vendor was registered to conduct business in Nebraska?  Even with the purchases made in 2010 or 2011?   No.  The Agency is not aware of any state law requirement of business vendor registration.  The vendor is in the DAS vendor address book (#1982574).  The Agency verified that the vendor was a registered DEA importer.   6.)    Did you receive any official documentation for vendor showing that the drugs were shipped?  Any documentation that the drugs were stopped by DEA?  If so,  please provide the documentation.   Please see the attached documentation.   7.)    Why did NDOC make the 2nd drug purchase prior to receiving the first one?   NDCS did not have pancuronium bromide on hand, and NDCS had an obligation to have the drugs on hand to carry out the law if necessary.   Thanks for the information.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Spindler, Robin Sent: Tuesday, October 04, 2016 12:03 PM To: Janssen, Cindy Cc: Avery, Mary; Smith, Dawn Renee Subject: RE: Request for documentation 2 of 14 Exhibit 24   Cindy, see the below information you requested.  I am sorry for the delay.   1.       Was there a provision for a refund in any of the documentation obtained?   No.   2.      In January 2016, there was a letter requesting the reimbursement of funds for the Sodium Thiopental, an amount of $26,700.  The seller responded that same month that they would not be providing a refund.  What further actions have been taken by DCS to obtain the amounts paid, for which no goods were received.   NDCS requested the amount.  Mr. Harris’ response is attached.   3.      Was the Pancuronium Bromide received?  If not, has DCS requested a reimbursement of those funds, an amount totaling $27,700?   The pancuronium bromide has not been received.  The federal government is not challenging the importation of this drug, however, shipment was placed on hold by the state pending the outcome of November’s election.  Governor Ricketts issued the following statement on December 7, 2015:   “In November 2016, Nebraska voters will determine the future of capital punishment in our state at the ballot box.  To give deference to the vote of the people, my administration will wait to carry out capital punishment sentences or make additional efforts to acquire drugs until the people of our state decide this issue.   Over the last several weeks, I have stepped up conversations with the Attorney General and the Corrections Director regarding a comprehensive review of the capital punishment protocols used in other states.  My administration will continue to review potential protocol changes.”         Robin Spindler Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax)   If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’.      From: Janssen, Cindy Sent: Monday, September 26, 2016 12:05 PM To: Spindler, Robin Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation   Hello.  I was just following up on this request from two weeks ago.  I did receive information in the mail for the Prairie Gold Homes questions, but I have not received a response to the initial questions on the lethal injection drugs.  Could you let me know when I can expect a response?   Thanks.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   3 of 14 Exhibit 24 From: Janssen, Cindy Sent: Monday, September 12, 2016 9:26 AM To: Spindler, Robin Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation   Thank you for the information you sent to our office.   After looking through the information provided, I do have a couple of other questions:   It appears there were two agreements to sell the drugs to DCS.  One Offer to Sell was for Sodium Thiopental and was dated April 14, 2015, for $26,700.  Then on May 12, 2015, a second Offer to Sell was provided for Pancuronium Bromide for $27,700.  Neither Offer to Sell, or any other information you provided, contains provisions for the refund of the payment made in advance in the event the State of Nebraska does not receive the drugs.   1)       Was there a provision for a refund in any of the documentation obtained? 2)       In January 2016, there was a letter requesting the reimbursement of funds for the Sodium Thiopental, an amount of $26,700.  The seller responded that same month that they would not be providing a refund.  What further actions have been taken by DCS to obtain the amounts paid, for which no goods were received? 3)       Was the Pancuronium Bromide received?  If not, has DCS requested a reimbursement of those funds, an amount totaling $27,700?   Please provide any other information that pertains to the reimbursement of these funds.    I also have a few questions regarding the documents provided for the reimbursement to Prairie Gold Homes.  Can you tell me if the information provided to the APA contains all of the information submitted by Prairie Gold Homes with their request for reimbursement?   It seems as though we were provided with a general ledger from the entity.  However, Section V of the grant award notification requires general ledgers, employee timesheets, and copies of invoices for all purchases.  I need to know if you have the employee timesheets and copies of invoices for all purchases.  If so, please provide that information for the month requested.  If not, please simply let me know.   Thanks again for your assistance with these inquiries.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Spindler, Robin Sent: Friday, September 02, 2016 1:37 PM To: Janssen, Cindy Cc: Avery, Mary; Smith, Dawn Renee; Hookstra, Inga Subject: RE: Request for documentation   Cindy,   We have the documentation of all purchase orders, invoices, receipts, approvals and any other documentation, including email correspondence regarding payment and purchase to Harris Pharmacy  and will have someone deliver this to your office Tuesday.   I apologize for the delay in getting you this documentation.    Regarding your additional request about the Prairie Gold Homes grant, we will get you that information shortly.   Feel free to call me if you need anything else.    Thank you,   Robin   Robin Spindler Deputy Director, Administrative Services 4 of 14 Exhibit 24 402.479.5711 (o) 402.479.5623 (fax)   If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’.      From: Janssen, Cindy Sent: Friday, September 02, 2016 10:43 AM To: Spindler, Robin; Smith, Dawn Renee; Hookstra, Inga Cc: Avery, Mary Subject: RE: Request for documentation   Good morning.   I am following up on this request for information regarding the lethal injection drug purchase.  In addition to Robin’s email below, I also received a voice message from Dawn Renee Smith indicating that I would receive this information on Monday.  I did not get the information this week.  Please let me know when I can expect the additional information regarding the drug purchase.    On a completely different issue, we also received an inquiry regarding a grant award between DCS and Prairie Gold Homes.  I have a copy of the grant award notification and I was wondering if you could provide me with the documentation that was submitted with their reimbursement request for May 2016.  I am looking for the information submitted as it relates to Section V of the grant award notification.    Thank you for your assistance.  If you have questions, please let me know.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Spindler, Robin Sent: Thursday, August 25, 2016 3:33 PM To: Janssen, Cindy Cc: Hookstra, Inga Subject: RE: Request for documentation   Cindy,   Inga is on vacation today and tomorrow.  She will be back in the office Monday and we will get back with you as soon as possible on her return.   Thank you,     Robin Spindler Deputy Director, Administrative Services 402.479.5711 (o) 402.479.5623 (fax)   If you need immediate assistance, please feel free to contact Katina Farritor at 402.479.5712 or Dial ‘0’.      From: Janssen, Cindy Sent: Thursday, August 25, 2016 3:22 PM To: Hookstra, Inga; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation   Inga, I have tried calling you both today and yesterday with no luck.  The invoices you provided only contain the name of Director Frakes.  I want to clarify whether he is the one that made the actual purchase of the drugs.    As indicated below, I am also trying to clarify whether there are any purchase orders, email correspondence or anything else related to this 5 of 14 Exhibit 24 drug purchase or is this it in its entirety?   I would appreciate a response as soon as possible.    Thanks.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Janssen, Cindy Sent: Monday, August 22, 2016 7:38 AM To: Hookstra, Inga; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation   To clarify, the documentation provided includes provided all purchase orders, invoices, receipts, approvals, and any other documentation, including email correspondence, as requested, below?   Thanks.    Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Hookstra, Inga Sent: Friday, August 19, 2016 6:13 PM To: Janssen, Cindy; Spindler, Robin Cc: Avery, Mary Subject: RE: Request for documentation   Attached are the documents request and the rules for obtaining the substances.   Inga Hookstra, Controller Nebraska Department of Correctional Services Inga.hookstra@nebraska.gov Phone: 402-479-5756 Fax: 402-479-5821   From: Janssen, Cindy Sent: Thursday, August 18, 2016 1:59 PM To: Spindler, Robin; Hookstra, Inga Cc: Avery, Mary Subject: RE: Request for documentation   I have not received a response to this request for information so I was wondering if you could let me know when I can expect to receive the documentation requested?   Thanks! Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and 6 of 14 Exhibit 24 purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   From: Janssen, Cindy Sent: Wednesday, August 10, 2016 10:03 AM To: Spindler, Robin; Hookstra, Inga Cc: Avery, Mary Subject: Request for documentation   Good morning.  As you probably know, we have received numerous questions and concerns regarding the Department’s attempt to purchase drugs from Harris Pharma LLP.  In order to respond appropriately, we would appreciate it if you would provide all purchase orders, invoices, receipts, approvals, and any other documentation, including email correspondence, regarding the payment to Harris Pharma under the following EnterpriseOne documents:   Voucher Document number 31432568, GL date 4/22/2015 for $26,700.  Invoice 4/17/15 referenced in EnterpriseOne.    The payment was made on warrant 22717272 on 7/1/2015. Voucher Document number 31576543, GL date 5/14/2015 for $27,700.  Invoice 0211010227 referenced in EnterpriseOne.  The payment was made on warrant 22742307 on 7/1/2015.    We would appreciate if you would provide the documentation as soon as possible.    Thanks.  Cindy Janssen Audit Manager NE Auditor of Public Accounts (402) 326-3047 Cindy.Janssen@nebraska.gov This message (including any attachments) contains confidential information intended for a specific individual and purpose, and is protected by law. If you are not the intended recipient, you should delete this message. Any disclosure, copying, or distribution of this message, or the taking of any action based on it, is strictly prohibited.   7 of 14 Exhibit 24 Frakes, Scott Gallagher, Cathy A. From: Sent: Friday, June 19, 2015 8:54 AM To: Frakes, Scott Cc: Gallagher, Cathy A. - Subject: RE: DEA ?Import Declaration Denied Good Morning Scott, In talking with another state on the same issue, I have been that correct NBC is 698604001431. You are using the same manufacturer in India. I am in discussion with my upper management. Until totally resolved, if product is shipped CBP has been alerted to detain and not seize the product. I am hope?rl to resolve this issue today. I am not in the office and do not have your counsels names with me. Please forward my email. Thanks, Cathy Cathy Gallagher, Chief Regulatory Section From: Gallagher, Cathy A. Sent: Thursday,_June 18, 2015 10:42 AM To: 'scott.frakes@nebraskagov? Cc: Gallagher, Cathy A. I. Subject: RE: DEA Import Declaration Denied Scott, I haye to deny the declaration since the product is not FDA approved. I will be notifying CBP to not allow the shipment into the US. The NDC is not Valid and cannot be used. This number should not have been provided by DEA. I just spoke to your counsel, Marl: Boyer and Kathy Blum and explained the issue. Thanks, Cathy Cathy Gallagher, Chief Regulatory Section From: Gallagher, Cathy A. - Sent: Thursday, June 18, 2015 9:01 AM To: 8 of14 Exhibit 24 7 a Cal-Gallagher, Cathy A. Subject: RE: DEA Import Declaration Clari?cation: Is the product manufactured in an FDAwApproy/ed facility? From: Gallagher, Cathy A. Sent: Thursday, June 18, 2015 8:58 AM To: ?scott,frakes@nebraskagov? Cc: Gallagher, Cathy A. Subject: DEA Import Declaration Good Morning Scott, In regard to state of Nebraska?s Dept. of Correction?s Import Declaration 515 9973, can you please Verify that the T?hiopental being imported is approved in the ?nished form by the The product should have an FDA approved NDC The one on the application G21 00? 3000?** is not a correct Has the substance be imported yet? Please call me at 2026017194 or on my BB at 2026 73?8643. Thanks, Cathy Gallagher Cathy Gallagher, Chief Re gulatory Section Of?ce of Diversion Control 90f14 Exhibit 24 Frakes, Scott From: trackingupdates@fedex.ccm Sent: Friday, September 04, 2015 5:54 AM To: Frakes, Scott Subject: . FedEx MP5 Shipment 803672561734 Delivered Your packages have been delivered Master tracking 603672561734 ISe?riEP?ayfe?li I I . Delivery. detef Fri, 98/15 3:46pm" angered- Shipment Facts Our records indicate that the following packages have been delivered. Master traektn'g 803672561734 numb-er: Tracking number: 805866128317 805966128328 Status: Delivered: Signed for By: RROHET be I Rec;le Detivered to: Receptionisthront Desk I Priority! Packagth type: Your Packaging Number pie-tree: 3 I Tetat 23.80 lb. weight: Spectaf Deliver Weekday. .10 of 14 ,4 Track your package or shipment with Tracking Ship ?Track EManage iLearn FedEx a Tracking FedEx Of?ce h'b't 2 alglc 0f2 amaze Support Locaticns Engh?eh Search Subl Login 58836?2561?34 Ship date Actual de?ivery 1 Mon Bi31i2tl15 Fri 9fB4f2015 3:46 pm ?c?ivemc? 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SEWIGB FecEx lntemmcna, Pm. Ly nu Delivered ?t?o Fiec?eplsonisti?cnf Desk Mater ?anking [1035?2551n4 Packaging Ycur Packaging number pieces 3 Special handiing . section Deli?w: ABC-?day Saai'ch Sum? Customer Fucus Featured Services Companies Foliow FedEx United S?ates English New Cusicmer Denier FedEx One Rate FedEx Express Ema?! Business Center FedEx SameDay FedEx Groun? Banana Guide FedEx Home Delivery FedEx Of?ce Cusmmar Suppo? .?vleaitizcare Sofu?cns FedEx Freight C-nfine Reta?! Sciu?ons FedEx Cuslcm Cn?L-?cal 1 1 of 14 "7 Company Information About FedEx Camera lnveaicr Relations FedEx 1995?2015 Packaging Services Anniflanj Cisarance Sawicns Uiher REsnumc?s Fere?E?x Compaiime Daveicpar Resource Center 556E): Ship Manager Sanware FedEx Mcb?e Track your package or shipment with FedEx Tracking FedEx ?ade E?Eeiworks FedEx FedEx Exhibit 24 Page 2 0f 2 Giobal Home Sins. Map isdexmm Terms crUse Security and Privacy 12 of 14 Exhibit 24 Frakes, Scott Chris Harris ch risharris@ harrispharmallp.com From: Sent: Thursday, January 28, 2016 7:55 AM To: Frakes, Scott Subject: Re: See attached Attachments: Nebraska Hi Scott, ?nd attached my response. Regards, Chris Harris .. .. .. a? Jah-u-aa 017526165120 AM .: Piease see the attached request for reimbursement of funds. Thank you. 13 of 14 Exhibit 24 Ta, lam 2.0116 Mr; Sch-?t: Frakers, Departmen? of {Serra-grinna'l Service-s, Niebra-El?a, USA. HIE: Reimbursemenf 3f 'Fuih :15 mar Fi?-alias} documant requesting did- .cgmpany ?air the purehaseugf 10.. Vi-a?is- Bf S?di?m Tram-pentah fur-id ?mt-"the; gawment is ncfi-t there has been no fault 91? my Emmy. hiau-atriigd1m3nv times it; s?-Ttp- using the wrap-2W sh .pi?gg? Emilia Iii-?er- :?igseussians wi?h them we had agree '3 usimg?fthe- co mrpanv: .ha-?l suggasmd; We were v?i?fmmed'tn keep the ship meat Em fhc?d. as your [JG-ft. ha? te-he renewed G?c'e yen-tar impm. was. mugged: war-?e he gel. and g?ip 9111?: the. pad-ma?a ga?kage 375? 5151-1 ?ready 1:0: :55 and whag the rah?EWe? imp-art {meme eU-Wa H6133 this duels ?at :?ih?onshi? between our urge: His-afions and We are: able to (if) in the future; F613: -- x: .u .- Chmisetogbher Harris: LEM-BEE, "nule?anj; GP, Salt Lake City, K?Gil'qata 37001391, West?Bengal, india. Ph +91??53i?6374505 Email: 14 of 14