RE: GRANT 2014-14082200003

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06547177
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 24
• Document Creation Date: March 8, 2023
• Document Release Date: August 27, 2019
• Case Number: F-2015-02731
• Publication Date: August 27, 2014

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(b)(3)
(b)(3)
To: Ta eia Bradley
Grant
CC:
U .-nt El For Review El Please Com nt D Please Reply nPI
Recycle
Due to our financial shutdown, please sign and return no later than 2
September 2014. I only the first page. The signature p can be scan
and emailed to Also, can you confirm receipt of this fax by (b)(3)
sending me an ernaire I nanics!
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I. Award No.
2014-14082200003
5. Awarded To
University of Maryland
2 Modi
8.Type of Agreement
Grant ET
Cooperative Agreement EI
Other 0
cation No.
Base
9. Authority
3. Effective Date
01 September 2014
6. Sponsoring Office
Office of Integrated Missions
31 USC 6304 and
10 USC 2358
4.
Page 1 of 22
7. Period of Performance
01 September 2014 through
31 August 2016
10. Purchase Request or Funding Document No.
(b)(3)
11. Remittance Address
12. Total Grant Amount
Govt. Share $240,000
13. Funds Obligated:
This action: $240,000
See Article 4
Cost Share $
Total: $240,000
Total $240,000
14. Principal Investigator
15. Program Officer
16. Administrator:
Dr. Mohammad Hafezi
(b)(3)
[phone]
17. Submit Payment Requests To
See Article 4
18. Paying Office
Same as block 17
20. Accounting and Appropriation Data
Amount Obligated: $240,000
19. SUbmit Reports To
As Directed by the Program Officer
21. Research Title and/or Description of Project: Topological Orders in Silicon Photoni (Topic 25)
For the Recipient
For the United States of America
(b)(3)
22. Signature of Person Authorized to Sign
25. Signature of Grants/Agreements Officer
23. Name and Title
Web IL Bradley, Colima Manor
Gess d Passed Mmirigrallon
24. Date Signed
24,
26. Name of Officer
27. Date Signed
Grants Officer
(b)(3)
UNCLASSIFIED
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ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREE
ARTICLE 6 KEY P 4 ONNEL
ARTICLE 7 FISCAL MANAGE
ARTICLE 8 REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 AL PERFORMANCE REPORTS
ARTICLE 11 INFO TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SC I I IC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16
ARTICLE 17 SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TE
ARTCILE 20 INFO RESOLUTION OF G AD II STRATION DISPUTES
ARTICLE 21 EA.RCH MISCONDUCT
ARTICLE 22 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 23 I 0 AL STANDARDS
ARTICLE 24 NONDISC ATION
ARTICLE 25 CERTIFICATIONS
ARTICLE 26 LIABILITY
ARTICLE 27 SPONSORS II' BY AN AGENCY THE INTELLIGENCE
COMMUNITY
ARTICLE 28 PRIOR APPROVALS
ARTICLE 29 DATA RIGHTS
ARTICLE 30 USING TECHNICAL INFORMATION RESOURCES
ARTICLE 31 ICICJNG iN P ONS PROTECTION
ARTICLE 32 FOREIGN TRAVEL IN SUPPORT OF PROGRAM
�
ii
ATION PROCEDURES
II
UNCLASSIFIED
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1 SCOPE OF THE AG
The Recipient shAll perform a coordinated research and development program in accordance
with the Recipient's technical portion of the proposal entitled "Topological Orders in Silicon
Photonics "
Base Award (01 September 2014 -31 August 2016)
Government's Share $240,000
Recipients Share (cash or in-kind) $
Total First Year Agreement $240,000
Option Year (01 September 2016 -31 August 2017) 1 RCISED
Government's Share $120,
Recipients Share (cash or in-kind) 0
Total Option Year Agreement $120,000
ARTICLE 2 DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are University of Maryland and the
United States of America, here called the Government or the Agency, represented by the
Central Intelligence Agency.
exit -- The articles of this assistance agreement, Research Terms and Conditions
(available at http://www,nsf.govinubs/nolicvdcocsinc/termssidebyside.pdf juntl.pdf) and its
attachments.
Recipient-- An organization or other entity recei a �� t or cooperative : � .� ent. For
purposes of this A merit, the Recipient is University of Maryland.
Performance Year � Each consecutive twelve-month period from the effective date of this
sent � ughout the term of the agreement.
�
tr lifENTS
A. This -1 '.11ent will be au m in accordance with, and recipients Sicomply with,
the Research Terms and Conditions (available at
http://www.nsf.gov/pubs/policvdocsktc/t. u *debvside.ndf iunl 1.ndf) and the requirements of
the following 0 Circulars, which are incorporated herein by reference:
� 0 Circular A-21, "Cost �ciples for Educational Institutions," now codified at 2
CFR part 220;
� 0 I Circular A-110, "Uniform es a .111kve Requirements for Grants and
A :4is sts with Institutions of Higher Education, Hospitals, and Other Non-Profit
Or � :s. ons," now codified at 2 CFR part 215;
UNCLASSIFIED
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0 Circular A-122, "Cost Principles for Non-Profit Org: ons," now codified at 2
CFR part 230;
0 Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions"
(27 June 03) (revised 26 June 07); and
The Provisions of CIA Broad Agency Announcement No. ICPDP-2014-0001, entitled
"2014 Intelligence Community Postdoctoral Research Fellowship Pro (ICPDP)".
B. Should there be any inconsistency between the special conditions contained in the Articles of
this agreement and the Research Terms and Conditions, the Articles of the agreement shall
control. Should there be any inconsistency between the R h Terms and Conditions and any
special conditions contained in the CIA Broad Agency uncement, guides, brochures, etc.,
cited or included by reference in the agreement, the should be referred to the CIA Grants
Officer for guidance.
41227CLE 4 AD TRA TIV RESPONSD3
Val Intelligence Agency Grants Office
Attn:
Address:
Phone:
Fax:
OIM Contrac7
DC 20505
Technical Point0 Contact
Intelli ency Pro
ATTN:
Address:
Phone:
Fax:
Email:
Government Payment OfAce
Officer
The Internet Payment Platform (EPP) is a secure, web- electronic invoicing system
(accessible via the Internet) provided by the Dep cut of the Treasury's Financial
Management Service (FMS), in partnership with the Federal Reserve Bank of Boston. The
Grantee ghall provide the Grants Officer with the following information required for IPP
registration: Or �� tion Name, Tax Ides" .cation Number (TIN), on designated
1PP account atiministrator, to include: name, position, phone number, and email s.
UNCLASSIFIED
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Org: 'ons currently registered with IPP through another Government agency must still
register separately for payments from this Agency.
Wi . � 1-2 weeks after the t award is si ed, the information provided in p ph above
will be forwarded to IPP and the or. � � ,tion desi ed IPP account . .. � � -strator will then
receive two emails from the Treasury Web Applications is cttue's (TWAI) email
twairtov eroc.twai.szov as follows: 1) From "IPP User Administration" -- the
Or zation's IPP User ID, a link to the IPP Application, and the IPP Helpdesk phone number,
and 2) From "Treasury UPS User A. .. � 'stration" � the Or �zation's IPP password (sent
within 24 hours of the email).
During registration, one (1) initial �� strative user account is created for the organiwItion for
the submitted TIN. The EF'P account - r is required to set up all other o � tion
user accounts, including other . strators. Registration is complete when the IPP account
Stiministrator logs into the IPP website with the User ED and password provided by TWA!
accepts the "rules of behavior".
The Grantee shall access a first time login video found on the IPP homepage, which provides
step-by-step instructions for lo a� into IPP for the � time. Other self-help videos, to incl
and submitting invoices, are available only after logging into IPP.
Passwords in EPP expire every 180 days. Fourteen days prior to the end of the 180-day period,
IPP will send an email notification promp � . you to c e your password, If you do not
change your password once d the 180 days, or if you do not change your password when
prompted to do so, you must contact the IPP Helpdesk at 1-866-973-3131 to uulock your account
and to reset your password.
IPP requires that all
be. disabled. R
account
information
time � is desi
�
�
tees *fy annually. Failure to recertify will result in their accounts
cation are sent by e-mail to the address desi as the IPP
r for the Grantee. The Grantee shall be responsible for that any
by IPP for the p of re � cation is provided to IPP wi � the
in the correspo If the Grantee has any questions about the
cation process or if their account .- .mes disabled, the Grantee shall contact the IPP
Help Desk at 1-866-973-3131 for
For application specific questions such as how to create an invoice or how to set up notifications,
contact the IPP Helpdesk. For questions related to the .t, contact the Vendor Service Center
at
The Grantee s su t payment requests using IPP. The status of sub= invoices is
available in IPP. For other invoice or payment questions relating directly to this t award,
call the payment office o
ta
UNCLASSIFIED
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Invention rting
Grants Office
Address: 01M Contracts
Phone:
Fax:
Recipient's Principal Investigator
P.I. Name: Dr. Moe :,�� �� . � Hafezi
� ent: Jomtl stum Institute
I
Address:
Phone: [phone]
Fax:
Email: [e-mail]
Recipient's Authorized Organizational Representative
AOR Name: Takeia Bradley
Title: Contract Manger
Address: 3112 Lee Buil College Park, MD 20742
Phone: [phone]
Fax: [phone]
o umcLedu
ARTICLE 5 TEEM OF MIRE
The project has approved on scientific/technical merit for 24 months. The period of
performance is 01 September 2014 -31 August 2016.
ARTICLE 6 Y PERSONNEL
The key personnel listed below must be employed with University of Maryland at the time of
award and qUall be maintained, to the maximum extent possible, � ughout this , ent.
Should ci es be necessary, University of land shall notify the Agency Grants Office
tified in Block 6 of the face page) in writing of the proposed substitute(s) within 30 days of
the cu e in order to obtain approval of the substitution from the CIA Pro ss �es er
KEY PERSONNEL:
Principal Investi r: Dr. Mo
Fellow (when identified): TBD
�
.
I # '4
Hafezi
UNCLASSIFIED
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TICLE 7 FISCAL AG
7.1 Restrictions of the Use of Government Funds
Government funds provided under this Agreement must be allocated by the Recipient
exclusively for the execution and operation of the Agreement Scope. Government funds shall not
be utilized to support the Recipient's operations or inistration unre to this A $ t.
Oil
7.2. Obligation
11
O
In no case shall the Government's s. Icial obligation exceed the amount obligated on this
ent or by amendment to this Agreement. The Government's share for full performance of
this award is $240, i. Of this amount, S240,1 'is allotted and available for payment. This
t is fully funded. The Government is not obligated to reimburse the Recipient for
ditures in excess of the amount of funding ob s and allotted by the Government.
:4 SI
7.3 incremental Funding Actions
Unless oth specified in the agreement, each successive increment of a continuing grant
will be funded at the level specified in Article 1 without a formal request from the recipient
provided an annual report has received from the Principal Investigator.
Incremental funding is contingent on:
i. Availability of funds;
u. Satis ry sc. � . c/teclmical progress; and
Compliance with any special conditions of the
7.4 Advance Payment
ent
To request advance payments, recipients shall su .� t a request for advance payment. The
original and two copies of each request be submitted to:
73 Pro
.4
I I
Income
CIA Grants ce, Block 6
All pro :,.� income earned during the project period shall be
project by the Government and the ipient and used to eligible pro objectives.
UNCLASSIFIED
to funds committed to the
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7.6 Closeout Adjustments
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The Government may make a downward adjustment to the Government funding amount after
completion of the effort under an agreement, when appropriate in accordance with 0 Circular
A-H O.
nE ION PLANS
A. The � � cial plan, or approved budget, is the financial expression of the effort to be
performed under this agreement as approved during the award process. This agreement and its
terms and conditions reflect the approved .cial plan. Some changes to the plan require prior
approval, as described below.
B. Recipients are authorized to:
Carry forward unobligated balances to subsequent funding periods (with the exception of the
final �� � mg sod)
C. The CIA Grants Officer's prior written approval is required for actions which:
1. Change the scope or objective of a project. The Principal Investigator must consult
with the Pro cer and receive written approval from the Grants Officer before
devi the research objectives defined in the i � t proposal or any sub-award,
out of su :.tive pro performance under this a s em.
transfer or contrac
�
2. � .:e key personnel. Su� � � rt for the project may not continue without the active
direction of the Principal Investigator and/or Postdoctoral Fellows � � oved for,
identified in, this Assistance A � ent. If the approved Principal
Investigator/Postdoctoral Fellow severs his or her connection with the recipient
institution or o se relinquishes active direction of the project, either . � ently or
for a si cant length of time (three months or more), the recipient institution must
either:
�III
�
i. A � � int a replacement Principal Investi r/Postdoctoral Fellow with the
approval of the Pro Officer, or
ii. Relinquish the Assistance ement, in which case the Agreement shall be
ted.
$S I ;
3. Change the recipient institution's cost share amount reflected in the approved budget.
4. Use h subjects or vertebrate animals.
5. Require no cost extensions exceeding 12 months.
UNCLASSIFIED
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6. Unless otherwise directed by the Grant Officer, any unex balance of funds
which remains at the end of any funding period, except the funding period of the
t, shall be carried over to the next funding period, and may be used to defray costs of
any funding period of the .4 "et. This includes allowing the carryover of funds to the
second and subsequent years of a multiple year t. This provision also applies to
subcontractors performing substantive work under the t.
7. SPECIAL CONDITIONS
N/A
8. OPTION
The Government may extend the term of this t by i a unilateral modification.
Option Year (01 Sep . .d 2 . 31 41 20171
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total Option Year A ent $120,000
ARTICLE 91 TIONS
RC1SED
A. The clause entitled "Rights to Inventions Made by Nonprofit Or tions and Small
Business Firms," (37 CFR 401) is hereby incorporated by ref and the clauses in paragraph
401.14 are modified as follows: replace the word "contractor" with "Recipient"; replace the
words "agency," "F Agency" . " ' g F Agency" with "government"; replace
the word "contract" with " ent"; delete par:: �hs (gX2), (g)(3) and the words "to be
performed by a cnoll business or domestic nonprofit org:.$ A' :on" from :ph (g)(1);
�h (1), Communications, point of contact on matters relating to this clause will be the
CIA Grants Officer
B. The Recipient shall file Invention (Patent) � as of the close of the pelf� .... year
and at the end of the term for this Agreement. Annual reports are due 60 days after the end of
each year of performance and final reports are due 60 days after the expiration of the
performance period. Negative reports are also required. The Recipient shall s the original
and one copy to the � Officer.
C. Final payment cannot be e nor can the agreement be closed out until the recipient
delivers to the Government all discl of subject inventions required by this agreement, an
ble fmal report pursuant to article 12 'tied "Annual Final Technical Reports," and
all co ry instrwnents.
0'
1. All rights and title to and technical data, as defined in 48 CFR 27.401, generated
under this ent shall vest in the Recipient.
UNCLASSIFIED
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2. The Recipient hereby .1 tS to the U.S. Gov � it � a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose for
go ental p . ses any data, t 'ology and inventions, whether patented or not,
e or developed under this Agreement.
�
3. The Recipient reserves the right to protect by copyright ori works developed
under this � ent All such copyrights will be in the name of the Recipient The
Recipient hereby ;,. ts the U.S. Government a non-exclusive, non-transferable, royalty-
free, fully paid-up license to reproduce, pr derivative works, distribute copies to the
public, and perform publicly and display publicly, for governmental p � . sea, any
cop ted materials developed under this agreement, and to authorize others to do so.
4. The Recipient is responsible for mg appropriate . indicating the rights of
the Government on all data and technical deliv under the agreement The
Government be deemed to have unlimited rights in all and technical
delivered without markings.
�
TICLEJO ALP
10.1 Annual Performance Report
A Annual reports are required for efforts of more than one year. This ..rt will provide a
concise and factual discussion of the significant accompli . ents and progresS during the year
coy by the report. Each of the topics "bed below shall be addressed for the effort being
performed:
I. A comparison of actual accompli ..ents with the goals and objectives establi
for the period, the findings of the investigator, or both.
�
ns why established goals were not met, if appropriate.
3. Other ent information including, when appropriate, ysis and explanation of
cost ov
B. In addition, for
41 411
h a � each of the following topics (4) through (7) 5ha1I be
d as priate to the r h effort being performed:
4. A cumulative chronological list of publications in technical jo . Include
those in press as well as manuscripts in preparation and p � ed for later submission.
Indicate likely jo authors, and titles.
�
5. A list of professional personnel associated with the research effort. List any advanced
degrees awarded, iucl recipient, type of de ,and thesis title.
UNCLASSIFIED
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6. Interactions (Related Activities):
i. Papers presented at meetings, conferences, seminars, etc.
Consul ve and advisory functions to other laboratories and agencies on research
supported under the ent. Provide factual information about the subject
matter, institutions, dates, and the names of individuals involved.
7. New discoveries, inv *OAS, or patent disclosures and specific applications
from the research effort.
It It
The Postdoctoral Fellow is also required to present the status of the research t at the annual
IC Postdoctoral Research Fellowship Program Colloquium.
10.2 Final Technical Report
A. A Final Technical Report is due at the completion of the agreement. This report will provide a
compre cumulative, and substantive s It of the pro and significant
accompli ents achieved during the total period of the effort coy -. by the `: ement Each
of the topics described shall be ad sed as appropriate for the effort performed. Publications
rnay be bound and attached as dices.
B. When the results of a research effort have not previously . r din scientific or
technical publications, the Final Technical rt must provide sufficient detailed discussions of
findings and accomplisbments obtained in pursuit of the p � ed research objectives.
10.3 rt Submittal
The Recipient shAll submit annual and
Agency's pro officer wi 90 days
The Recipient provide a copy of the
�
10.4 Format
technical reports in the on
completion of the period coy
'ttal letter to the Grants
and two copies to the
by the report_
cer.
A. Cover and title page. Standard Form (SF) 298, Report on Page!, shall be used.
Item 13 of the form should contain a 100 to 200 word
Prgr
d � the repo ' . period. Style should be third person singular using ;IL; tenstectense.caJairgon,ess
special symbols or notations, subscripts, ematical symbols or foreign alphabet letters are not
penatitted. All pages should be of g quality for copying p ses.
B. Recipient's format is acceptable.
UNCLASSIFIED
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11.1 Quarterly
Quarterly reports shall be submitted at the end of each three month period in accordance with the
erly Report Template prom by the Pro Officer. (The annual report replaces the
report for the last of the year). This report will provide a concise and discussion
of the significant accomplishments and progress during each quarter covered by the report. Each
quarterly report should describe the progress of the research project relative to the milestones
were defined in the proposal. If the quarterly report cannot be submitted,an email should
be sent to the Officer and Pro Officer providing an explanation.
11.2 Informal
This report shall be prep only if requested by the Government pro officer. It shall be
submitted in letter format and is usually not longer than three pages in length. Its
purpose is to inform the project engineer/program officer about significant events,
accomplishments, and anticipated problems . may affect the co ct of the planned effort. It
should summarize the progress of the effort being performed, new discoveries, inventions or
patent disclosures, anticipated I . I in commitments of key personnel and in the planned
approach; acquisition or fabrication of major or special research equipment; and the titles of
manuscripts planned for publication. The Recipient shall send the Agency program officer one
copy signed by the principal investigator wi 15 days after the request
$11
11.3 Government Visits
The Government may visit the Recipient to discuss project status and
TICLE 12 SCIENTIFIC PORTS
A. For research ents, this - . .rt shall be used for rapidly di ting highly significant
research results or for scientific reports that are too long or that contains useful compilations of
data, tables, and computations not normally accepted by technical journals. It is not appropriate
for a � fs thesis. Before p � g a Scientific Report, obtain written � `ssion from the
Officer who will furnish detailed � "ons for formatting, � � 'ucing, d
distrib the report. d the Agency pro officer two copies.
B. On its cover, a scientific report chfill prominently display the following disc �.er: "The
views and conclusions contained in this document are those of the authors and should not be
hat as necessarily represe . the official policies or endorsements, either expressed or
implied, of the U.S. Government"
UNCLASSIFIED
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INFO
Recipients shall submit financial reporting information in accordance with the folio
13.1 Interim Financial rts
A. The Recipient shall su. t an interim F Financial Report (FFR 425) within 30 days
following the end of each quarter. The ori and a copy of the report should be submitted to
the Grants Officer list identified in Block 16 of the cover page. Recipients are required to update,
certify and submit the FFR to the Agency by the due date even if funds have not � drawn
during the repo period.
B. Both cash � ement
for single award reporting.
13.2 Final F � Financial rt
ial status information should be reported on the same form
The recipient shall submit the FFR no later than 90 days following the completion of the
ent TheoriL. and a copy of the report shall be su 'tied to the Grants Administration
Office identified in block 16 of the cover .-, e
13.3 U �- ed Balances
Unless otherwise by the Grant Officer, any 'u ded balance of funds which remains
at the end of any fun period, except the final funding period of the grant, chall be carried
over to the next ...�� period, and may be used to defray costs of any funding period of the
t. This includes allowing the carryover of funds to the second and subsequent years of a
multiple year t, but it does not apply to options, which require it year funding. This
provision also applies to subcontractors perforating substantive work under the it.
�
T1CLE 14 PUBLIC DISCLOSURE OF SCIE1V17F1C I'EC CAL
0 ON
A. The Recipient may make formal public disclosure of the scientific and technical information
from this rted work (e.g., release articles for a . priate professional publications or
p ent papers at scientific meetings or symposia) and will take the following steps;
�
1. A copy of the article� report, etc., shall be provi
prior to submission for publication,
to the Goivemment 45 days
2. Reference chan be attributed to a grant issued by the Intelligence Opmmunity
P. octoral � Fellowship Pro ; ** or as ii ; y otherwise belprescribed by the
Grants Officer.
UNCLASSIFIED
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B. The Recipient may utilize the scientific and technical information resulting from this support
in consulting or discussing this and related information with other qualified individuals or groups
of individuals, where appropriate, for furthering this research and/or development effort. The
provision of A(2) shall apply to such exchanges of information.
ARTICLE 15 NON-PUBLI
The Recipient shall not use or allow to be used any of this solicitation and/or agreement
for publicity. Publicity means, but is not limited to, advertising (e.g. trade m es,
ne - . :.� Internet, radio, television etc.), communications with the media, mark , or a
reference for new business. It is further understood this obligation 1 not expire upon
completion or t tion of this agreement, but will continue indefutitely. The Recipient may
request a waiver or release from the foregoing but shall not deviate there from unless authorized
to do so in writing by the Grants cer. Recipients are not required to obtain waivers when
informing offices wit this this Agency of agreements it has performed or is in the process of
performing.
TICLE 16
S CTS
val is by CIA prior to any work beginning involving human subject use. All
proposals involve the use of human subjects must include documentation of their ability to
follow F guidelines for the protection of human subjects. This includes, but is not limited
to, protocol approval race � s, approved Institutional Review Boards I ), and Federal
Wide Assurances. These req � ents are on ex ed human use issues sometime during
the entire length of the proposed effort. The recipient shall provide their ' royal of
specific research, the blank informed user consent form, the protocol and related documents
as requested for secondary approval by CIA.
TICLE 17
Approval is required by CIA prior to work involving animal subject use. Proposals
set � for finding '-. will use vertebrate s in the - . h must comply with the
Welfare Act [7 U.S.C. 2131 et seq.] and the regulations promul there under by
the Secretary of "culture [9 CFR 1.1- 4.11] � " g to the humane care, ing, and
treatment of vertebrate animals held or used for research, teaching or other activities supported
by Federal awards. The recipient is expected to et the guidelines descri . -. in the
National Academy of Science (NAS) Publication, "Guide for the Care and Use of Laboratory
Animals" (1996) are followed and to comply with the Public Health Service Policy and
Government Principles Regarding the Care and Use of Animals (included as AO . .dix D to the
NAS Guide).
UNCLASSIFIED
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Ma 18 "MATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in g faith
with the other si � :tory parties to � .. . the desirability of the proposed modification.
Modifications shall not be effective until a written modification is ' ...ed by the Agreement
si ,,: .ries (or their successors). Administrative modifications may be unilaterally executed by
the CIA Grants Officer.
ARTICLE 195U. ION 7E Ar.,4 ON EDURES
19..1 The Government reserves the right to d or II .te this a merit for cause. If the
Recipient fails to comply with the terms and conditions of this agreement, the CIA Grants
Officer will provide written notice of breach or deficiency to the Recipient and will provide the
Recipient an � � . �rtunity to explain or correct the breach or deficiency within 30 days from
receipt of notice. If grounds fort . 'on for cause still exist, the Government may . �
or su . d performance. If � . on is invoked, the Government may withhold
payments, or prohibit the Recipient from incurring additional obligation of funds until corrective
action is taken. If this agreement is t ei I e after the ipient has received Government
fan the closeout procedures in 0 Circular A-110 apply.
The
.41
situations by:
t may be
Or te
I I
in whole or in in any of the following
A. The Agency when the recipient has y failed to comply with the terms
of the award;
B. The Agency w
Investigator.
conditions
it has other reasonable cause; incl departure of the Principal
C. The Agency and the recipient by mutual ement (if the Agency and the recipient cannot
reach an sent, the Agency es the right to unilaterally t. ted the award); or
D. The recipient on written notice to the Agency se forth the
effective , and, in the case of 'al . ss.son,theportiontobet
(with the un ding that if the Agency determines that the unt
accomplish the purposes of the agreement, it may � or
for skich action, the
d or s '''ed
on will not
the entire agreement.)
E. Notwi :1. s g the above, for security or safety reasons or in the case of a serious breach
that could lead to irreparable e, the A cy Grants I cer may order is. ill -,e
on of work, in whole or in part.
� 441
UNCLASSIFIED
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ARTICLE 2 FO
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OLI ON OF G
11
TI UN DISPUTES
A. Co with the Recommendation on Grant Disputes by the A. .. strafive Conference of
the U.S., and with the intent of the provisions of Alternative � iute Resolution, the CIA
provides the informal resolution p s described below concerning disputes or disagreements
that may arise over a Grants Officer's post-award decisions under a CIA ent.
B. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
1. Cost disallowances pursuant to a Grants Officer's decision (e.g., specific
disallowances under an individual t or as a result of an audit report);
2.T
3. The
C. Procedures
411
0
tion orders; and
settlement amount under a
If I
I. The recipient should submit a certified letter to the Agency's Procurement Executive
via the Grants Officer noting the recipient's disa ent or dispute and iden g
the Agency's Grants Officer's decision in question, giving reasons for the request for
review and providing any other 4 4 t to the request.
2. The letter to the Procurement Executive must be postmarked no later than 30 days
after the date of the letter no � g the recipient of the decision in question. The time
for filing a request for review is strictly enforced and no extensions for the purpose of
P � � it will be
3. The request for review need not follow a prescribed format; however, it must contain
a full statement of the recipient's position with to the disputed matter and the
facts . reasons in support of the recipient's position. Requests will be reviewed if
the recipient submits new information (which was unavailable at the time of the
ori decision); if an error in fact or application of Agency policy is noted in the
on decision; or improper procedures were followed in the o decision.
.1.
4. The ent Executive will review or designate one or more individuals to
review the One revi official will be at least at am: anent level
equivalent to the official who e the decision is being reviewed. In no c.41-se,
will the review be un en by any involved with the decision or
involved in recommending � or monitoring the scientific and engineering
of the project or responsible for negotiating or . � stra its business cts.
UNCLASSIFIED
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5. The designated individual(s) will review and consider all relevant information
available. A report which identifies the conclusion . . recommendation will be
completed within 30 days and forwarded to the Procurement Executive or his/her
for a final and . � able written decision for the agency. The
ent Executive or his/her designee will communicate the decision in writing
to the recipient.
21 H CO uUCT
All research awards issued by the CIA are subject to the Federal Policy on Research Misconduct
published in the F- Re on December 6,2000 (65 FR 76260). The folio definitions
will be used when 'lying this policy:
i. Research misconduct means the fabrication, falsification, or p sm in proposing,
performing, or reviewing h, or in reporting results. Research misconduct does
not include honest error or erence of opinion.
ii. Fabrication is
� �
g up or results and reco or repo them.
iii. � cation means manipu h equipment, or processes, or chan or
omi .: . � data or results such that the research is not accurately represented in the r h
record.
is the appropriation of another person's i processes, results or words without
rate credit
v. Re means all basic, applied, and dem on research in all fields of science,
engineering, math .. ..'cs, education, linguistics, medicine, psychology, social sciences,
statistics, and re � invol human subjects or
411
vi. R institutions includes all tions using Federal funds for r h, including,
for example, colleges and universities, intramural Federal ch laboratories, Federally
research and development centers, national user facilities, industrial laboratories, or
other h institutes.
vii. h record is the record of data or results that em y the resulting from scientific
inquiry, and includes, but is not limited to, research proposals, laboratory records, both
physical and electronics, progress reports, abstracts, theses, oral presentations, internal
reports, and journal articles.
Any all
�
on of research misconduct should be
UNCLASSIFIED
to the CIA Grants Officer
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TICIF 22 TING C ThM8LE
TION
A. This award is intended for unclassified, publicly releasable h. The recipient will not
be granted access to classified information. The �� g agency s not expect that the results
of the research project will involve classified information.
B. If, however, in condu the activities supported under this award, the principal investigator
(PI) is concerned that any of the research results involve potentially classifiable information that
may warrant Government restrictions on the dis � .tion of the results, the PI should promptly
notify the a .�. agency's program officer.
TICLE 23 0 AL ST
The Recipient a to the following environment standards;
A. Comply with applicable provisions of the Clean Air Act (42 U.S.0 7401, et seq.) and Clean
Water Act (33 U.S.C. 1251, et seq.), as � .. .lemented by Executive Order 11738 (3 CFR, 1971- 1
975 Comp., p799] and Environmental Protection Agency (EPA) rules at 40 CFR 15. In
acco .ce with the EPA rules, the Recipient further 14 that it will:
� Not use any facility on EPA's List of Viol Facilities in perfe any award
nonexempt under 40 CFR 15.5, as long as the facility on the list.
� Notify the a g agency if it in ds to use a facility in perfo a. .tbisawardthatis
on the List of Violating Facilities or that the Recipient knows has recommended to
be placed on the List of Violating Facilities.
B. Identify to the a �.g agency any impact this award may have on the quality of the human
environment, and provide help the agency may need to comply with the National Environmental
Policy Act (NEPA, at 42 U.S.C. 4321, et seq.) and to prepare Environmental Impact Statements
or other req environmental documentation. In such cases, the Recipient s to take no
action that will have an adverse environmental impact (e.g. physical disturbance of a site such as
bre of ground) until the agency provides written A val.
ARTICLE 24 NO 'ISCRiMINATION
By si g this agr-,.a ant or acc � funds under the agreement, the Recipient assures that it
will comply with applicable provisions of the following, nati. � policies prohibiting
'on:
A. On the basis of race, color, or national on � in Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2 . et seq.).
UNCLASSIFIED
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B. On the basis of sex or blindness, in Title of the Education Amendments of 1972 (20
U.S.C. 1681, et seq.)
C. On the basis of age, in the Age Dis 'on Act of 1975 (42 U.S.C. 6101, et seq.), as
implemented by the Department of Health and Human Services regulations at 45 CFR part 90.
D. On the
II I
s of ility, in the Americans with Disabilities Act.
CLE 25 CE TIFICITIOM
The following Certifications, which have, executed by the Recipient prior to award of this
ent, are hereby inc *rated by reference:
�
A. Certification reg Debarment, S a ion, and Other risibility Matters.
B. Certification re
C.
I
-Free Workplace Requirements.
cation regarding Lobbying.
ARTICLE 26 I
The Agency cannot assume any liability for accidents, illnesses or claims arisin out of any work
rted by an award or for unauthorized use of patented or copyrighted materials. The tee
institution is �� d to take such steps as may be deemed necessary to insure or protect itself, its
employees, and its property.
TICLE 7 NSORSHIP BY AN AGENCY FVITION
CO fry
This is sponsored by the Central Intelligence Agency, an A cy within the Intelligence
Committee. To ensure compliance with Executive Order 12333, dated 4 ember 1981,
(revised 30 July 08) the is*vi � Si this .� ent on behalf of the � emic institution is
authorized by the institution to contract with an Agency within the Intelligence Community.
ARThCLE 2 PRIOR APPROVALS
As appropriate, prior a. �val of the following deviations from budget and pro plans are
required:
A. TheOranteemustconsulttheProi a Officer in Block 15 of the A cation
document through the AGO at the A strative s .ce in Block 16 or the Grant Procurement
Office in Block 6 of the A cation document before de ..; � from the research
objectives de in the t proposal or any sub-a a er or contracting out of
substantive program performance under this award.
UNCLASSIFIED
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B. Support for the project may not continue without the active 'on of the Principal
Investigator . a � ved for, and identified in, this Grant If the approved Principal Investigator
severs his or her connection with the Grantee or otherwise relinquishes active direction of the
project, either permanently or for a significant length of time (three months or more), the Grantee
must either:
I. A � int a replacement Principal Investigator with the royal of the Program Officer in
Block 15 through the Grant Pr. ent Office in Block 6 of the A odification
document, or
2. Relinquish the in which case the Grant Oval be
all a:
ted
C. Extension for the expiration period of this Grant � The AGO at the Administrative ce in
Block 16 of the Award/Ms.' cation document has authority to approve a no-funds ion
request vs a of the folio parameters:
1. A one-time basis only; and
2. For a period not to exceed 90 days; and
3. Where $50,000.00 or less of obli funds remain to be ex
In other cases, where a request is outside one or more of the p:4;. , a no- . s extension
can only be a. � .ved with the concurrence of the Program Officer in Block 15 of the
Award/Modification document For any no-funds a 'on to be effective, a written t
modification must be issued and signed by the AGO at the A 'strativePiceinBlockl6
under the circumstances above or the Sponsoring Office in Block 6 of the Award/M cation
ent
ARTLCLE 29 DA L4 RIGHTS
A. All rights and title to technical
this agreement shall vest in the Recipient.
in 48 CFR 27.401, generated
B. The Recipient hereby grants to the U.S. Government a irrevocable, non-exclusive, non-
erable, royalty- , fully paid-up license to use, duplicate, or disclose for governmental
purposes any data, technology and inventions, whe patented or not, made or developed under
this Agreement.
C. Recipient reserves the right to protect by copyright on works developed under this
ent All such copyrights will be in the name of the Recipient The Recipient hereby
ts the U.S. Government a non-exclusive, non- erable, royalty-free, fully paid-up license
to reproduce, prepare derivative w , distribute copies to the public, and perform publicly and
display publicly, for governmental p ses, y copyrighted materials developed under this
ent, and to authorize � �- to do so.
UNCLASSIFIED
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D. The Recipient is
Government on all
be deemed to have
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sible for g appropriate indicating the rights of the
and technical data delivered under the exit. The Government shall
led rights in all data and technical data delivered without markings
AR TECAL INFO TION 0 'CES
To the extent practical, the recipient will use the technical information resources of the Defense
Technical Information Center (DTIC) and other Government or private facilities to investigate
recent and on-going research s avoid needless duplication of scientific and engin effort.
'TICLE 31 T CKIN PE ONS PROTECTION
A. Provisions applicable to a recipient that is a private entity.
1. You as the recipient, your employees, sub recipients this award, and sub-
recipients' employees may not �
i. Engage in sever forms of
the award is in effect;
Procure a commercial sex act during the period of time that the award is in
effect or
iii. Use forced labor in the performance of the award or subawards under the
award.
2. We as the Federal A .1 Agency may unilaterally te 14 I this award, without
penalty, if you or a subrecipient that is a private entity �
i. Is de -� ed to have violated a prohibition in para h A.1 of this award
term; or
ii. Has an employee who is determined by the agency official authorized to
te the award to have viol a prohibition in p � .h A.1 of this
award term through conduct that is either �
a. Associated with perfo a.. under this award; or
b. Imputed to you or the subrecipient using the standards and due process
for .uting the conduct of an individual to an organization that are
provided in 2 CFR part 180, "C. Guidelines to Agencies on
Government wide a sent and Suspension (No . . � :41 exit).
B. Provision .ficable to a recipient other than a private entity. We as the Federal Government
awarding agency may wail ly s' . this award, without . ty, if a subrecipient that
is a private entity �
I . Is determined to have violated an applicable prohibition in .h A.1 of this
award term; or
2. Has an employee who is d '�ed by the agency official authorized to terminate the
award to have violated an applicable prohibition in � t. .h A.1 of this award term
ugh conduct .a is either �
i. -. with performance under this a or
ii. Imputed to the subrecipient using the standards and due process for imp
the conduct of an individual to an or don that are provided in CFR Part
.49
IN �0
UNCLASSIF
I.
persons during the period of time that
�
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180, "OMB Guidelines to Agencies on Government wide Debarment and
Suspension (No c � ..��t).
C. Provisions applicable to any recipient.
1. You must inform us irrun tely of any information you receive from any source
alleging a violation of a prohibition in paragraph A.1 of this award term.
2. Our right to t te unilaterally that is described in aph A.2 or B of this
section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)), and
ii. Is in � � � 'lion to all other remedies for noncompliance that are available to us
under this award.
3. You must include the requirements of pax h A.1 of this award term in any
subaward you make to a private entity.
D. Definitions. For p � � � of this award term:
1. "Employee" means either:
i. An individual iloyed by you or a subrecipient who is engaged in the
performance of the project or pro under this award; or
ii. Another person engaged in the performance of the project or pro ��� �� under
this award and not co.. n.sated by you including, but not limited to, a
volunteer or individual whose services are contributed by a third party as an
in-kind contribution toward cost or matching requirements.
2. "Forced Labor" means r obtained by any of the following m � � � : the
recruitment, dation, provision, or ob � of a n for labor or
services, through the use of force, fraud, or coercion for the purpose of subjection to
involuntary servitude, peo e, debt bondage, or slavery.
3. "Private entity":
i. Means any entity other than a State, local government, tribe, or foreign
public entity, as those terms are defined in 2 CFR 175.25.
ii. 1nel
a. A nonprofit organization, including any nonprofit institution of higher
education, hospital, or tribal o tion other � � one included in
the definition of Indian tribe at 2 CFR175.25(b).
b. A for-profit � � tion.
4. "Severe forms of trafficking in persons," commercial sex act," and "coercion" have
the m..:111 given at section 103 of the TVPA, as am (22 U.S.C. 7102).
ART" E 32 FOREIGN TRAVEL IN SUP'RTOfPROGRAM
Before ��� y foreign travel may be taken in � . id of this pro the Recipient must request
approval in writing or via e-mail from the Grants Officer at least 30 days prior to Recipient's
planned d . The following information ch1�11 be provided: destination, conference details,
general travel itinerary, hotel, and a copy of the paper or tation su for the venue.
The Grants Officer will provide approval or proval in writing or via e-mail.
UNCLASSIFIED
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Summary: Topological features � global properties which are not discernible locally �
have attracted tremendous research attention in many fields of physics, ranging from
condensed matter to ultra cold gases. Recently, photonic systems have been under
investigation to explore various types of topological orders and to potentially develop
robust optical devices with built-in topological protection. In this research proposal, we
will (a) Develop an experimental implementation of a synthetic gauge field using silicon-
on-insulator (S01) photonic technology, (b) Theoretically investigate the strongly
interacting limit and develop effective theories for topological orders in a non-equilibrium
system.
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