ASSISTANCE AGREEMENT 2010*1058114*000

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06547182
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 99
• Document Creation Date: March 8, 2023
• Document Release Date: August 27, 2019
• Case Number: F-2015-02731
• Publication Date: July 14, 2010

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ASSISTANCE AGREEMENT
1. Award No.
2010*1058114*000
2. Modification No.
Base
3. Effective Date
14 July 2010
4,
Page 1 of 18
5. Awarded To
University of Maryland
6. Sponsoring Office
Office of the Chief Scientist
7. Period
14 July
of Performance
2010 through 13 July 2012
8.Type of
Grant a
-
Agreement
9. Authority
10. Purchase Request or Funding Document No.
Cooperative
Agreement �
31 USC 6304 and
(b)(3)
Other 0
19 LJSC 2358
11. Remittance Address
Sce Article 4
12. Total Grant Amount
Govt. Share $240,000
Cost Share $ 0
Total $240,000
13. Funds Obligated:
This action: $240,000
Total: $240,000
14 Principal Investigator
15. Program Manager
16, Administrator
Dr. Alan Migdall
(301)975-231 I
(b)(3
17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
18. Paying Office
Same as Block 17
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3`,
Address
Washington, DC
20505
20. Accounting and Appropriation Data
Amount Obligated: $240,000
21. Research Title and/or Description of Project
A High Rate Photon Pock State Generator & Number-Resolving Detector for Super Resolution
Pr the Recipient
For the United States of America
(b)(3
22. Signature of Person Authorized to Sign
a Frankordelt Contract Manager
23 Name and Title
24. Date Signed
.7. Date Signed
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TABLE OF CONTENTS -
CIA Grant Agreement
ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE 8 REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 HUMAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20 RESEARCH MISCONDUCT
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22 ENVIRONMENTAL STANDARDS
ARTICLE 23 NONDISCRIMINATION
ARTICLE 24 CERTIFICATIONS
ARTICLE 25 LIABILITY
ARTICLE 26 SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE
COMMUNITY
ARTICLE 27 PRIOR APPROVALS
ARTICLE 28 DATA RIGHTS
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
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ARTICLE / SCOPE OP VIE AGINEENSfirr
The Recipient shall perform a coordinated research and development program in
accordance with the Recipient's technical portion of the proposal entitled ".A
High Rate Photon Pock State Generator & Number-Resolving Detector for Super
Resolution."
First Year (14 July 2010 - 13 July 2011)
Government's Share
$120,000
Recipients Share (cash or in-kind)
$ 0
Total First Year Agreement
$120,000
Second Year (14 July 2011 - 13 July 2012)
Government's Share $120,000
Recipients Share (cash or in-kind)
$ 0
Total Second Year Agreement
$120,000
Total Government Share of Agreement
$240,000
Option Year (14 July 2012 - 13 July 2013)(UNEXERCISED)
Government's Share
$119,999
Recipients Share (cash or in-kind)
$
Total Option Year Agreement
$119,999
Grand Total Government Share of Agreement $359,959
ARTICLE 2 DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are university of
Maryland and the United States of America, hereinafter called the Government or
the Agency, represented by the Central Intelligence Agency.
Agreement -- The articles of this assistance agreement, Research Terms and
Conditions (available at
http://www.nsf.qov/nubs/policydocs/rtc/termssidebyside.pdf) and its attachments.
Recipient -- An organization or other entity receiving a grant or cooperative
agreement. For purposes of this Agreement, the Recipient is the University of
Maryland.
Performance Year -- Each consecutive twelve-month period from the effective date
of this agreement throughout the term of the agreement.
ART.raris 3 ADMINISTRATIVE REQUIREMENTS
A_ This Agreement will be administered in accordance with, and recipients shall
comply with, the Research Terms and Conditions (available at
http://www.nsf.gov/yubs/policydocs/rtc/termssidebyside.pdf)the requirements of
the following OMB Circulars which are incorporated herein by reference:
- OMB Circular A-2I now codified at 2 CFR part 220, '1Cost Principles for
Educational Institutions-
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- OMB Circular A-1101 Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-
Profit Organizations now codified at 2 CFR part 215
- OMB circular A-122. "Cost Principles for Non-Profit Organizations-, now
codified at 2 CFR part 230
- 0Mt 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-2010-0001, entitled
2010 Intelligence Community Postdoctoral Research Fellowship Program."
B. Should there be any inconsistency between the special conditions
the Articles of this agreement and the Research Terms and
Articles of the agreement shall control. Should there be
between the Research Terms and Conditions and any special
in the CIA Broad Agency Announcement, guides, brochures, etc., cited or
by reference in the agreement, the matter should be referred to the CIA
Officer for guidance.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
Phone:
Fax:
Email:
Contracting Team
ARC
Washington, DC 20505
Technical Point of Contact
Central Intelligence Agency Program Officer
ATTN:
Address:
Phone:
Fax:
Email:
Washington, DC 20505
Government Payment Office
contained in
Conditions, the
any inconsistency
Conditions contained
included
Grants
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
Invoices shall be submitted Using the Agency's Web Invoicing System (WInS). If
the Grantee is not registered in WInS, the Grantee shall call the Vendor Service
Center on within two weeks of grant award to register. Items needed (b)(3)
to facilitate registration include: a valid grant number and the name, phone
number, and e-mail address for the Grantee's point of contact. The Grantee may
make inquiries regarding Invoices to the payment office on
If the Grantee is unable to submit a payment request in electronic form, or the
Agency is unable to receive a payment request in electronic form, the Grantee
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(b)(3)
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shall submit the payment request using a method mutually agreed to by the
Grantee, the Grants Officer, and the payment office.
Invention Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Pax:
Email:
Recipient's
P.1. Name:
Department:
Address:
Phone:
Fax:
Email:
Recipient's
AOR Name:
Title:
Address:
Phone:
F&X:
Email:
ARTICLE
Washington, DC 20505
principal Investigator
Dr. Alan Migdall
Joint Quantum Institute
National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 8441
Gaithersburg, MD 20899-8441
[phone]
[phone]
[e-mail]
Authorized Organizational Representative
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742-4111
[phone]
[phone]
[e-mail]
5 TERM OF THE AGREEMENT
The project hag been approved on scientific/technical merit for 24 months. The
period of performance is 14 July 2010 - 13 July 2012.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at
the time of award and shall be maintained, to the maximum extent possible,
throughout this agreement. Should changes be necessary, University of Maryland
shall notify the Agency Grants Office (identified in Block 6 of the face page)
in writing of the proposed substitute(s) within 30 days of the change in order
to obtain approval of the substitution from the CIA Program Manager.
KEY PERSONNEL:
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Principal Investigator: Dr. Alan Migdall
Sellow (when identified): TBD
ARTICLE 7 FISCAL IGINAGEMENT
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
administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount
obligated on this Agreement or by amendment to this Agreement The Government's
share for full performance of this award is $240,000. Of this amount, $240,000
is allotted and available for payment. This grant is fully funded. The
Government is not obligated to reimburse the Recipient for expenditures in
excess of the amount of funding obligated and allotted by the Government.
7.3 Incremental Funding Actions
Unless otherwise 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 been received
from the Principal investigator.
Incremental funding is contingent on:
i. availability of funds;
satisfactory scientific/technical progress; and
compliance with any special conditions of the agreement.
7.4 Advance Payment
TO request advance payments, recipients shall submit a request for advance
payment. The original and two copies of each request shall be submitted to:
S. CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds
committed to the project by the Government and the Recipient and used to further
eligible program objectives.
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 OMB Circular A-110.
ARTICLE 8 REVISION TO FINANCIAL PLANS
A_ The financial 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
financial plan_ Some changes to the plan require prior approval, as described
below.
S. Recipients are authorized to:
Carry forward unobligated balances to subsequent funding periods (with the
exception of the final funding period)
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 Program manager and receive written approval from the Grants
Officer before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program
performance under this agreement,
2. Change key personnel. Support for the project may not continue without the
active direction of the Principal Investigator and/or Postdoctoral Fellows
approved for, and identified in, this Assistance Agreement. /f the approved
Principal investigator/Postdoctoral Fellow severs his or her connection with the
recipient institution or otherwise relinquishes active direction of the project,
either permanently or for a significant length of time (three months or more),
the recipient institution must either:
(i) Appoint a replacement Principal Investigator/Postdoctoral Fellow
with the approval of the Program Manager, or
(ii) Relinquish the Assistance Agreement, in which case the Agreement
shall be terminated.
3. change the recipient institution's cost share amount reflected in the
approved budget
4. use human subjects or vertebrate animals
5. require no cost extensions exceeding 12 months
6_ Unless otherwise directed by the Grant Officer, any unexpended balance of
funds which remains at the end of any funding period, except the final funding
period of the grant, shall be carried over to the next funding period, and may
be used to defray costs of any funding period of the grant. This includes
allowing the carry over of funds to the second and subsequent years of a
multiple year grant. This provision also applies to subcontractors performing
substantive work under the grant.
7. SPECIAL CONDITIONS
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N/A
S. OPTION
N/A
ARTICLE 9 INVENTIONS
(a) The clause entitled "Rights to Inventions Made by Nonprofit Organizations
and Small Business Firms," (37 CFR 401) is hereby incorporated by reference and
the clauses in paragraph 401.14 are modified as follows: replace the word
"contractor" with "Recipient"; replace the words "agency," "Federal Agency" and
"funding Federal Agency" with "government"; replace the word "contract" with
"agreement"; delete paragraphs (g)(2), (g) (3) and the words "to be performed by
a small business firm or domestic nonprofit organization" from paragraph (g)(1);
paragraph (1), Communications, point of contact on matters relating to this
clause will be the CIA Grants Officer
(b) The Recipient shall file Invention (Patent) Reports as of the close of the
performance 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 final performance period. Negative
reports are also required. The Recipient shall submit the original and one copy
to the Grants Officer.
Cc) Final payment cannot be made nor can the agreement be closed out until the
recipient delivers to the Government all disclosures of subject inventions
required by this agreement, an acceptable final report pursuant to article 12
entitled "Annual and Final Technical Reports," and all confirmatory instruments.
A. All rights and title to data and technical data, as defined in 48 CFR
27.401, generated under this agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose
for governmental purposes any data, technology and inventions, whether patented
or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works
developed under this agreement. All such copyrights will be in the name of the
Recipient. The Recipient hereby grants the U.S. Government a non-exclusive,
non-transferable, royalty-free, fully paid-up license to reproduce, prepare
derivative works, distribute copies to the public, and perform publicly and
display publicly, for governmental purposes, any copyrighted materials developed
under this agreement, and to authorize others to do so.
D_ The Recipient is responsible for affixing appropriate markings indicating
the rights of the Government on all data and technical data delivered under the
agreement. The Government shall be deemed to have unlimited rights in all data
and technical data delivered without markings,
ARTICLE 40 ANNUAL PERFORMANCE REPORTS
10.1 Annual Performance Report
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A. Annual reports are required for efforts of more than one year. This report
will provide a concise and factual discussion of the significant accomplishments
and progress during the year covered by the report. Each of the topics described
below shall be addressed for the effort being performed:
(1) A comparison of actual accomplishments with the goals and objectives
established for the period, the findings of the investigator, or both.
(2) Reasons why established goals were not met, if appropriate.
(3) Other pertinent information including, when appropriate, analysis and
explanation of cost overruns.
B. In addition, for research awards, each of the following topics (a) through
(7) shall be addressed as appropriate to the research effort being performed:
(4) A cumulative chronological list of written publications in technical
journals. Include those in press as well as manuscripts in preparation and
planned for later submission. Indicate likely journals, authors, and titles.
(5) A list of professional personnel associated with the research effort_ List
any advanced degrees awarded, including dates, recipient, type of degree, and
thesis title.
(6) Interactions (Related Activities):
L Papers presented at meetings, conferences, seminars, etc.
ii. Consultative and advisory functions to other laboratories and
agencies on research supported under the agreement. Provide factual information
about the subject matter, institutions, dates, and the names of individuals
involved.
(7) New discoveries, inventions, or patent disclosures and specific applications
stemming from the research effort.
The Postdoctoral Fellow is also required to present the status of the research
grant 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 comprehensive, cumulative, and substantive summary of the
progress and significant accomplishments achieved during the total period of the
effort covered by the agreement. Each of the topics described in section 2_1
above shall be addressed as appropriate for the effort performed. Publications
may be bound and attached as appendices.
B. When the results of a research effort have not previously been reported in
scientific or technical publications, the Final Technical Report must provide
sufficient detailed discussions of findings and accomplishments obtained in
pursuit of the planned research objectives.
10.3 Report Submittal
The Recipient shall submit annual and final technical reports in the original
and two copies to the Agency's program officer within 90 days after completion
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of the period covered by the report. The Recipient shall provide a copy of the
transmittal letter to the Grants Officer.
10.4 Format
A. Cover and title page. Standard Form (SF) 298, Report Documentation Page,
shall be used. Item 13 of the form should contain a 100 to 200 word abstract
summarizing technical progress during the reporting period. style should be
third person singular using past tense. Jargon, special symbols or notations,
subscripts, mathematical symbols or foreign alphabet letters are not permitted.
All pages should be of good quality for copying purposes.
R. Recipient's format is acceptable.
ARTICLE' 12 INFORMAL TECHNICAL REPORTS
11.1 Reports
This report shall be prepared only if requested by the Government program
officer, it shall be submitted in letter format and is usually not longer than
three pages in length. Its primary purpose is to inform the project
engineer/program manager about significant events, accomplishments, and
anticipated problems that may affect the conduct of the planned effort. It
should summarize the progress of the effort being performed, new discoveries,
inventions or patent disclosures, anticipated changes 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 within 15 days after the request.
A brief quarterly report maV be required after each three month period. (The
annual report replaces the ieport for the last quarter of the year). Each
quarterly report should describe the progress of the research project relative
to the milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results. It
is anticipated that Government involvement in this grant will be limited to
general oversight.
ARTICLE 12 SCIENTIFIC REPORTS
1. For research agreements, this report shall be used for rapidly disseminating
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 student's
thesis. Before preparing a Scientific Report, obtain written permission from the
Program manager who will then furnish detailed instructions for formatting,
reproducing, and distributing the report. Send the Agency program manager two
copies.
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2. On its cover, a scientific report shall prominently display the following
disclaimer: "The views and conclusions contained in this document are those of
the authors and should not be interpreted as necessarily representing the
official policies or endorsements, either expressed or implied, of the U.S.
Government."
ARTICLE 13 REPORTING FINANCIAL INFORMATION
Recipients shall submit financial reporting information in accordance with the
following.
13.1 Interim Vinancial Reports
A. The Recipient shall submit an interim Federal Financial Report (FFR 425)
within 30 days following the end of each quarter. The original 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 been drawn during the
reporting period.
S. Both cash management and financial status information should he reported on
the same form for single award reporting.
13.2 Final Federal Financial Report
The recipient shall submit the final FFR no later than 90 days following the
completion of the agreement. The original and a copy of the report shall be
submitted to the Grants Administration Office identified in block 16 of the
cover page.
13.3 Unexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds
which remains at the end of any funding period, except the final funding period
of the grant, shall be carried over to the next funding period, and may be used
to defray costs of any funding period of the grant. This includes
allowing the carry over of funds to the second and subsequent years of a
multiple year grant, but it does not apply to options, which require current
year funding. This provision also applies to subcontractors performing
substantive work under the grant.
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
A. The Recipient may make formal public disclosure of the scientific and
technical information from this supported work (e.g., release articles for
appropriate professional publications or present papers at scientific meetings
or symposia) and will take the following steps;
(1) A copy of the article, paper, report, etc., shall be
Government 45 days prior to submission for publication.
provided to the
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(2) Reference shall be attributed to a grant issued by the Intelligence
Community Postdoctoral Research Fellowship Program, or as may otherwise be
prescribed by the Grants Officer.
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-Publicity
The Recipient shall not use or allow to be used any aspect of this solicitation
and/or agreement for publicity. Publicity means, but is not limited to,
advertising (e.g. trade magazines, newspapers, Internet, radio, television
etc.), communications with the media, marketing, or a reference for new
business. It is further understood that this obligation shall not expire upon
completion or termination of this agreement, but will continue indefinitely.
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 Officer.
Recipients are not required to obtain waivers when informing offices within this
Agency of agreements it has performed or is in the process of performing.
ARTICLE 16 HUMAN SUBJECTS
Approval is required by CIA prior to any work beginning involving human subject
use. All proposals that involve the use of human subjects must include
documentation of their ability to follow Federal guidelines for the protection
of human subjects. This includes, but is not limited to, protocol approval
mechanisms, approved Institutional Review Boards (IRB), and Federal Wide
Assurances. These requirements are based on expected human use issues sometime
during the entire length of the proposed effort. The recipient shall provide
their IRB approval of specific research, the blank informed user consent form,
and the protocol and related documents as requested for secondary approval by
CIA
ARTICLE 17 ANIMAL SUBJECTS
Approval is required by CIA prior to work beginning involving animal subject
use. Proposals selected for funding that will use vertebrate animals in the
research must comply with the Animal Welfare Act [7 U_S.C. 2131 et seq.] and
the regulations promulgated there under by the Secretary of Agriculture fs, CFR
1.1- 4.117 pertaining to the humane care, handling, and treatment of
vertebrate animals held or used for research, teaching or other activities
supported by Federal awards. The recipient is expected to ensure that the
guidelines described in the National Academy of Science (sIAS) 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 Appendix D to the NAZ Guide).
ARTICLE 18 MODIFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in
good faith with the other signatory parties to determine the desirability of the
proposed modification. Modifications shall not be effective until a written
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modification is signed by the Agreement signatories (or their successors),
Administrative modifications may be unilaterally executed by the CIA Grants
Officer.
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement 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 opportunity to
explain or correct the breach or deficiency within 50 days from receipt of
notice. If grounds for termination for cause still exist, the Government may
terminate or suspend performance. If suspension is invoked, the Government may
withhold further payments, or prohibit the Recipient from incurring additional
obligation of funds until corrective action is taken. If this agreement is
terminated after the Recipient has received Government funding, the closeout
procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the
following situations by:
A. the Agency when the recipient has materially failed to comply with the
terms and conditions of the award;
B. the Agency when it has other reasonable cause including departure of
the Principal Investigator.
C. the Agency and the recipient by mutual agreement (if the Agency and the
recipient cannot reach an agreement, the Agency reserves the right to
unilaterally terminated the award); or
D. the recipient on written notice to the Agency setting forth the reasons
for such action, the effective date, and, in the case of partial termination,
the portion to be terminated or suspended (with the understanding that if the
Agency determines that the unterminated portion will not accomplish the purposes
of the agreement, it may suspend or terminate the entire agreement.)
E. Notwithstanding the above, for security or safety reasons or in the case of a
serious breach that could lead to irreparable damage, the Agency Grants Officer
may order immediate suspension of work, in whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative
Conference of the U.S., and with the intent of the provisions of Alternative
Dispute Resolution, the CLA. provides the informal resolution processes described
below concerning disputes or disagreements that may arise over a Grants
Officer's post-award decisions under a CIA agreement.
B. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
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i. cost disallowances pursuant to a Grants Officer's decision (e.g.,
specific disallowances under an individual grant or as a result of an
audit report);
ii. termination orders; and
iii. the final settlement amount under a termination.
Procedures
i The recipient should submit a certified letter to the Agency's
Procurement Executive via the Grants Officer noting the recipient's
disagreement or dispute and identifying the Agency's Grants officer's
decision in question, giving reasons for the request for review and
providing any other material pertinent to the request.
ii. The letter to the Procurement Executive must be postmarked no later
than 30 days after the date of the letter notifying 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 preparing it will be
granted.
iii. The request for review need not follow a prescribed format; however,
it must contain a full statement of the recipient's position with respect
to the disputed matter and the facts and 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 original
decision); if an error in fact or application of Agency policy is noted in
the original decision; or improper procedures were followed in the
original decision.
iv. The Procurement Executive, will review or designate one or more
individuals to review the matter. One reviewing official will be at least
at a management level equivalent to the official who made the decision
that is being reviewed. In no case, will the review be undertaken by any
individual involved with the decision or involved in recommending and/or
monitoring the scientific and engineering aspects of the project or
responsible for negotiating and/or administrating its business aspects.
v. The designated individual(s) will review and consider all relevant
information available. A report which identifies the conclusion and
recommendation will be completed within 30 days and forwarded to the
Procurement Executive or his/her designee for a final and unappealable
written decision for the agency. The Procurement Executive or his/her
designee will communicate the decision in writing to the recipient.
ARTICLE 20 RESEARCH MISCONDUCT
All research awards issued by the CIA are subject to the Federal Policy on
Research Misconduct published in the Federal Register on December 6, 2000 (GS FR
76260). The following definitions will be used when applying this policy:
1. Research misconduct means the fabrication, falsification, or plagiarism in
proposing, performing, or reviewing research, or in reporting research
results. Research misconduct does not include honest error or difference of
opinion_
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ii. Fabrication is making up data or results and recording or reporting them.
iii. Falsification means manipulating research materials, equipment, or
processes, or changing or omitting data or results such that the research is
not accurately represented in the research record.
iv_ Plagiarism is the appropriation of another person's ideas, processes,
results or words without giving appropriate credit.
Research means all basic, applied, and demonstration research in all fields
of science, engineering, mathematics, education, linguistics, medicine,
psychology, social sciences, statistics, and research involving human
subjects or animals.
vi. Research institutions includes all organizations using Federal funds for
research, including, for example, colleges and universities, intramural
Federal research laboratories, Federally funded research and development
centers, national user facilities, industrial laboratories, or other research
institutes.
vii. Research record is the record of data or results that embody the facts
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 allegation of research misconduct should be reported to the CIA Grants
Officer
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
(a) This award is intended for unclassified, publicly releasable research. The
recipient will not be granted access to classified information. The awarding
agency does not expect that the results of the research project will involve
classified information.
(b) If, however, in conducting 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 dissemination of the results, the PI should promptly notify
the awarding agency's program manager.
ARTICLE 22 ENVIRONMENTAL STANDARDS
The Recipient agrees 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 V.S.C. 1251, et seq.), as implemented by Executive
Order 11738 (3 CFR, 1971- 1 975 Comp., p7991 and Environmental Protection Agency
(EPA) rules at 40 CFR part 15. In accordance with the EPA rules, the Recipient
further agrees that it will;
- Not use any facility on EPA's List of Violating Facilities in performing any
award that is nonexempt under 40 CFR 15.5, as long as the facility remains on
the list.
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- Notify the awarding agency if it intends to use a facility in performing this
award that is on the List of Violating Facilities or that the Recipient knows
has been recommended to be placed on the List of Violating Facilities.
S. Identify to the awarding 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 (TEPA, at 42 V.S.C. 4321, at seq.) and to
prepare Environmental Impact Statements or other required environmental
documentation. In such cases, the Recipient agrees to take no action that will
have an adverse environmental impact (e.g. physical disturbance of a site such
as breaking of ground) until the agency provides written Approval_
ninCIAS 23 NONDISCRIMINATION
Ey signing this agreement or accepting funds under the agreement, the Recipient
assures that it will comply with applicable provisions of the following,
national policies prohibiting discrimination:
A. on the basis of race, color, or national origin, in Title VI of the Civil
Rights Act of 1964 (42 V.S.C. 2000d, et seq.).
S. On the basis of sex or blindness, in Title IX of the Education Amendments of
1972 (20 V.S.C. 1681, et seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.C, 6101,
at seq.), as implemented by the Department of Health and Human Services
regulations at 45 CFR part 90.
D. on the basis of disability, in the Americans with Disabilities Act.
ARTICLE 24 CERTIFICATIONS
The following Certifications, which have been executed by the Recipient prior to
award of this agreement, are hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility
Matters_
B. Certification regarding Drug-Free Workplace Requirements.
C. Certification regarding Lobbying.
ARTICLE 25 LIABILITY
The Agency cannot assume any liability for accidents, illnesses or claims
arising out of any work supported by an award or for unauthorized use of
patented or copyrighted materials. The grantee institution is advised to take
such steps as may be deemed necessary to insure or protect itself, its
employees, and its property.
ARTICLE 26 SPONSCIRSHIP BY AN AGENCY WITHIN THE
INTELLIGENCE COMMUNITY
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This grant is sponsored by the Central Intelligence Agency, an Agency within the
Intelligence Committee. To ensure compliance with Executive Order 12333, dated 4
December 1981, (revised 30 July 05) the individual signing this instrument on
behalf of the academic institution is authorized by the institution to contract
with an Agency within the Intelligence Community.
ARTICLE 27 PRIOR APPROVALS
As appropriate, prior approval of the following deviations from budget and
program plans are required:
(1) The Grantee must consult the Program Manager in Block 15 of the
Award/Modification document through the AGO at the Administrative Office in
Block 16 or the Grant Procurement Office in Block 6 of the Award/Modification
document before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program
performance under this award.
(2) Support for the project may not continue without the active direction of the
Principal Investigator approved 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) Appoint a replacement Principal Investigator with the approval of
the Program Manager in Block 15 through the Grant Procurement Office in
Block 6 of the Award/Modification document, or
(ii) Relinquish the Grant, in which case the Grant shall be terminated
(3) Extension for the expiration period of this Grant - The AGO at the
Administrative Office in Block 16 of the Award/Modification document has
authority to approve a no-funds extension request meeting all of the following
parameters:
(i) a one-time basis only; and
(ii) for a period not to exceed 90 days; and
(iii) where $50,000.00 or less of obligated funds remain to be
expended.
In other cases, where a request is outside one or more of the parameters, a no-
funds extension can only be approved with the concurrence of the Program Manager
in Block 15 of the Award/Modification document. For any no-funds extension to be
effective, a written grant modification must be issued and signed by the AGO at
the Administrative Office in Block 16 under the circumstances above or the
Sponsoring Office in Block 6 of the Award/Modification document.
ARTICLE 28 DATA RIGHTS
A. All rights and title to data and technical data, as defined in 48 CPR
27_401, generated under this agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose
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for governmental purposes any data, technology and inventions, whether patented
or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works
developed under this agreement, All such copyrights will be in the name of the
Recipient. The Recipient hereby grants the U.S. Government a non-exclusive,
non-transferable, royalty-free, fully paid-up license to reproduce, prepare
derivative works, distribute copies to the public, and perform publicly and
display publicly, for governmental purposes, any copyrighted materials developed
under this agreement, and to authorize others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating
the rights of the Government on all data and technical data delivered under the
agreement. The Government shall be deemed to have unlimited rights in all data
and technical data delivered without markings.
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
To the extent practical, the recipient will use the technical information
resources of the Defense Technical Information Center (DTTC) and other
Government or private facilities to investigate recent and on-going research and
avoid needless duplication of scientific and engineering effort.
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ASSXSTANCE AGREEMENT
1- Award No.
2010*1058114*000
2. Modification No.
001
3. Effective Date
12 January 2011
4.
Page 1 of 3
5. Awarded To
University of Maryland
6. Sponsoring Office
Office of the Chief Scientist
7 Period of Performance
14 July 2010 through 13 July 2012
&Type of Agreement
Grant
Cooperative Agreement �
Other 0
9 Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No.
N/A
11. Remittance Address
See Article 4
12. Total Grant Amount
Govt. Share $240,000
Cost Share 5 0
Total $240.000
13. Funds Obligate&
This action: $0.00
Total: $240.000
14. Principal Investigator
15. Progniun Manager
16. Administrator
Dr. Alan Migdall
[phone]
(b)G
17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
18, Paying Office
Same as Block 17
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3)
Address. Washington, Pc
20505
20. Accounting and Appropriation Data
N/A
21. Reraarch Title and/or Description of Project:
A High Rate Photon Pock State Generator & Number-Resolving Detector for Super Resolution
For the Recipient
For the United States of America
22. Signature of Person Authorized to Si
(b)(2
23. Name ai Title
24. Date Signed
to. Name or QM=
2/. Date Signed
Jill Frankenfield, Contract Manager
I i2
Grants Officer
(b)(2
///3///
i i
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2010*1058114*000
University of Maryland
Modification 1
Page 2 of 3
A. The purpose of this modification is to revise Article 4: Administrative
Responsibilities, to reflect a change in procedure for submitting invoices.
B. Accordingly, the following Article(s) are revised/restated as follows:
*Changes reflected in HOLD.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
Phone:
Fax
Email:
Contracting Team
ARC
Washington, DC 2450S
Technical Point of Contact
Central Intelligence
ATTN:
Address:
Phone:
Fax:
Email:
Agency Program Officer
Washington, DC 2050$
Government Payment Office
Invoices shall be submitted using the Internet Payment Platform (IPP). If the
Grantee is not registered in /PP, the Grantee shall call the Vendor Service
Center on within two weeks of grant award to register. Items needed
to facilitate registration include: a valid grant number and the name, phone
number, and e-mail address for the Grantee's point of contact. The Grantee may
make inquiries regarding invoices to the payment office on
If the Grantee is unable to submit a payment request in electronic form, or the
Agency is unable to receive a payment request in electronic form, the Grantee
shall subm4t the payment request using a method mutually agreed to by the
Grantee, the C;rants Officer, and the payment office.
Invention Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Washington, DC 20505
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2010*1058114*000
University of Maryland
Modification 1
Page 3 of 3
Fax
Email!
Recipient's
P.I. Name;
Department:
Address:
Phone:
Fax:
Email:
Recipient
AOR Name:
Title:
Address:
Phone:
Fax;
Email:
C.
Principal Investigator
Dr. Alan Migdall
Joint Quantum Institute
National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 8441
aithershurg, MID 20899-8441
[phone]
[phone]
migdallenist.gov
Authorized Organizational Representative
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
university of Maryland
College Park, MD 20742-4111
[phone]
[phone]
jfrankenGumd.edu
Except as provided herein., all other Articles remain UNCHANGED and in full
force and effect.
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ASSISTANCE AGREEMENT
Modificarion No.
. Award No.
.
3 Effective Date
Page 1 of 15
20104058110'000
002
05 July 2012
. Awarded to
. Sponsoring Office
. Period of Performance
University of Maryland
Office of Integrated
Missions
12 July 2010 through 30 June 2013
Type of Agreement
Authority
10. Purchase Request
or Funding Document No.
Grant
31 USC 6304 and
N/A
Cooperative Agreement El
10 USC 2358
Other El
11 Remittance Address
12. Total Grant Amount
13. Funds Obligated:
See Article 4
Govt. Share: $240,000
This action: $0
Cost Share: SO
Total: $240,000
Total: $240,000
4. Principal Investigator
Dr. Alan Migdall
[phone]
17. Submit Payment Requests to
Vendor Payments
Attn: Mail Roo
Address:
Washington, DC 2050
1$. Program Manager
16. Administrator
20. Accounting and Appropriation Data
Amount Obligated: $240,000
18. Paying Office
Same as Block 17
(b)(3)
19. Submit Reports
As Directed by the Technical Point of Contact
(b)(3)
21. Research Title and/or Description of Project
A High Rate Photon rock State Generator & Number-Resolving Detector/or Super Resolution
22. For the Recipient
24. Signature of Person Aujhorized Sign
26. Nam d Title
Jill enheld, Co Manager
27. Date Signed
(b)(3)
3rants Officer
9- Date Signed
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University of Maryland
2010*1058114*000
Mod 002
Page 1 of 1
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For questions regarding this modification please contact
Summary of changes
The purpose of this modification is to extend the POP at no additional cost to the Government and make
administrative changes. As a result, the following changes are made:
1. Change Block 6 "Sponsoring Office" on grant cover page from Office of Chief Scientist to Office of
Integrated Missions
2. Change Block 7 "Period of Performance" on Grant cover page from 12 July 2010 through 11 July 2012 by
11 months to 12 July 2010 through 30 June 201.3.
3. Change Block 15 "Program Manager" from
4. Change Block 16 "Administrator" frorn
5. Change Article 1 to:
a. Extend the "Second Year" from 12 July 2010 through 11 July 2012 by 11 months to 12 July 2010
through 30 June 2013.
b. Change the "Option Year" from 14 July 2012 through 13 July 2013 by 11 months to 01 July 2013
through 30 June 2014.
6. Change Article 4 as follows:
a. Grants Officer frorr
. Technical Point of Contact from
. Invention reporting from
7. Change Article 5 Term of Agreement from 24 months by 11 months to 35 months and revise the POP from
12 July 2010 through 11 July 2012 by 11 months to 12 July 2010 through 30 June 2013.
8. Change Article 8 Revision to Financial Plans "Options � from a POP of 12 July 2010 through 11 July 2013 by
11 months to 01 July 2013 through 30 June 2014.
All other articles remain unchanged and in full force and effect.
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TABLE OF CONTENTS � CIA Grant Aareement
ARTICLE 1: SCOPE OF THE AGREEMENT
ARTICLE 2: DEFINITIONS
ARTICLE 3: ADMINISTRATIVE REQUIREMENTS
ARTICLE 4: ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5: TERM OF THE AGREEMENT
ARTICLE 6: KEY PERSONNEL
ARTICLE 7: FISCAL MANAGEMENT
ARTICLE $: REVISIONS TO FINANCIAL PLANS
ARTICLE 9: INVENTIONS
ARTICLE 10: ANNUAL PERFORMANCE REPORTS
ARTICLE 11: INFORMAL TECHNICAL REPORTS
ARTICLE 12: SCIENTIFIC REPORTS
ARTICLE 18: REPORTING FINANCIAL INFORMATION
ARTICLE 14: PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL INFORMATION
ARTICLE 15: NONPUBLICITY
ARTICLE 16: HUMAN SUBJECTS
ARTICLE 17: ANIMAL SUBJECTS
ARTICLE 18: MODIFICATIONS
ARTICLE 19: SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20: RESEARCH MISCONDUCT
ARTICLE 21: REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22: ENVIRONMENTAL STANDARDS
ARTICLE 23: NONDISCRIMINATION
ARTICLE 24: CERTIFICATIONS
ARTICLE 25: LIABILITY
ARTICLE 26: SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE COMMUNITY
ARTICLE 27: PRIOR APPROVALS
ARTICLE 28: DATA RIGHTS
ARTICLE 29: USING TECHNICAL INFORMATION RESOURCES
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ARTICLE 1: SCOPE OF THEAGREEMENa
The Recipient shall perform a coordinated research and development program in accordance with the
Recipient's technical portion of the proposal entitled "A High Rate Photon Fock State Generator &
Number-Resolving Detector for Super Resolution".
First Year (12 July 2010 � 11 July 20th
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $120.000
Second Year (12 July 2011 �30 June 20131
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $120,000
Total Government Share of Agreement $240,000
Option June ao
Government's Share
Recipients Share (cash or in-kind)
Total Option Year Agreement
14 U E.XE_RCISED)
$119,999
$
$119,999
Grand Total Government Share of Agreement $240,000
ARTICLE 2: DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are University of Maryland and the United
States of America, hereinafter called the Government or the Agency, represented by the Central
Intelligence Agency.
Agreement � The articles of this assistance agreement, Research Terms and Conditions (available at
http://www.nsf.aov/pubs/policvdocsirtc/termssidebysidemdf) and its attachments.
Recipient -- An organization or other entity receiving a grant or cooperative agreement. For purposes of
this Agreement, the Recipient is University of Maryland.
Performance Year -- Each consecutive twelve-month period from the effective date of this agreement
throughout the term of the agreement.
ARTICLE 3: ADMINISTRATIVE REQUIREMENTS
A. This Agreement will be administered in accordance with, and recipients shall comply with, the
Research Terms and Conditions (available at
httpS`www.nsf.covioubsipolicydocsirtc/termssidebyside.pathe requirements of the following OMB
Circulars which are incorporated herein by reference:
a. OMB Circular A-21 now codified at 2 CFR part 220, "Cost Principles for Educational
Institutions"
b. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations now codified
at 2 CFR part 215
c. OMB Circular A-122. "Cost Principles for Non-Profit Organizations", now codified at 2 CFR
part 230
d. OMB Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions" (27
June 03); (revised 26 June 07) and
I. �
PEC�77
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e. The Provisions of CIA Broad Agency Announcement No. ICPDP-2010-0001, entitled u2010
Intelligence Community Postdoctoral Research Fellowship Program."
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 Research Terms and Conditions and any special
conditions contained in the CIA Broad Agency Announcement, guides, brochures, etc., cited or
included by reference in the agreement, the matter should be referred to the CIA Grants Officer for
guidance.
ARTICLE 4: ADMINISTRATIVE RESPONSIS LITIES
Central Intellioence Ackency Grants Office
Attn:
Address: ;Itriing Team
ARC
Washington, DC 20505
Phone:
Fax:
Email:
Technical Point of Contact
Central Intelligence Agency Program Officer
ATTN:
Address: Washin
Phone:
Fax:
Email:
on DC 20
Government Payment Office
Invoices shall be submitted using the Internet Payment Platform (113151. tif the Grantee is not registered in
IPP, the Grantee shall call the Vendor Service Center on within two weeks of grant award
to register. Items needed to facilitate registration include: a valid grant number and the name, phone
number, and e-mail address for the Grantee's ociff of contact. The Grantee may make inquiries regarding
invoices to the payment office or
If the Grantee is unable to submit a payment request in electronic form, or the Agency is unable to
receive a payment request in electronic tom, the Grantee shall submit the payment request using a
method mutually agreed to by the Grantee, the Grants Officer, and the payment office.
Invention Repor_ting
Grants Office
Address: Contracting Team
Phone:
Fax:
Email:
C 20505
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Recipient's Principal Investigator
P.I. Name:
Department:
Address:
Phone:
Fax:
Email:
Dr. Alan Migiall
Joint Quantum Institute
National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 8441
Gaithersburg, MD 20899-8441
[phone]
[phone]
miadall@nist.00v
Recipient's Authorized Organizational Reoresentative
AOR Name:
Address:
Phone:
Fax:
Email:
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742-4111
[phone]
[phone]
[e-mail]
ARTICLE 5: TERM OF THE AGREEMENT
The project has been approved on scientific/technical merit for 36 months. The period of performance is
12 July 2010 � 30 June 2013.
ARTICLE 6: KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at the time of award and
shall be maintained, to the maximum extent possible, throughout this agreement. Should changes be
necessary, University of Maryland shall notify the Agency Grants Office (identified in Block 6 of the face
page) in writing of the proposed substitute(s) within 30 days of the change in order to obtain approval of
the substitution from the CIA Program Manager.
KEY PERSONNEL:
Principal Investigator: Dr. Alan Migdall
Fellow (when identified):
ARTICLE,21,EISCAL MANAGEMENT
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 administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount obligated on this Agreement or
by amendment to this Agreement. The Government's share for full performance of this award is
$240,000. Of this amount, $240,000 is allotted and available for payment. This grant is fully funded. The
Government is not obligated to reimburse the Recipient for expenditures in excess of the amount of
funding obligated and allotted by the Government.
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7.3 Incremental Funding Actions
Unless otherwise 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 been received from the Principal Investigator.
Incremental funding is contingent on:
A. Availability of funds;
B. Satisfactory scientific/technical progress; and
C. Compliance with any special conditions of the agreement.
7.4 Advance Payment
To request advance payments, recipients shall submit a request for advance payment. The original arid
two copies of each request shall be submitted to:
CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds committed to the project by
the Government and the Recipient and used to further eligible program objectives.
7.6 Closeout Adjustments
The Government may make a downward adjustment to the Government funding amount after completion
of the effort under art agreement, when appropriate in accordance with OMB Circular A-110.
ARTICLE 8: REVISION TO FINANCIAL PLANS
A. The financial 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 financial 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 funding
period)
C. The CIA Grants Officers prior written approval is required for actions which:
a. Change the scope or objective of a project. The Principal Investigator must consult with the
Program manager and receive written approval from the Grants Officer before deviating from
the research objectives defined in the grant proposal or any sub-award, transfer or
contracting out of substantive program performance under this agreement.
b. Change key personnel. Support for the project may not continue without the active direction
of the Principal Investigator and/or Postdoctoral Fellows approved for, and identified in, this
Assistance Agreement. If the approved Principal Investigator/Postdoctoral Fellow severs his
or her connection with the recipient institution or otherwise relinquishes active direction of the
project, either permanently or for a significant length of time (three months or more), the
recipient institution must either:
i. Appoint a replacement Principal Investigator/Postdoctoral Fellow with the approval of
the Program Manager, or
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IL Relinquish the Assistance Agreement, in which case the Agreement shall be
terminated.
ill. Change the recipient institution's cost share amount reflected in the approved budget
iv. Use human subjects or vertebrate animals
v. Require no cost extensions exceeding 12 months
D. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at
the end of any funding period, except the final funding period of the grant, shall be carried over to the
next funding period, arid may be used to defray costs of any funding period of the grant. This includes
allowing the carryover of funds to the second and subsequent years of a multiple year grant. This
provision also applies to subcontractors performing substantive work under the grant.
E. SPECIAL CONDITIONS: N/A
F. OPTION
The Government may extend the term of this grant by issuing a unilateral modification.
Option Year (01 July 2013 �30 June 2014)LUNE?(ERCISED)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,999
ARTICLE 9: INVENTIONS
A. The clause entitled "Rights to Inventions Made by Nonprofit Organizations and Small Business
Firms," (37 CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are
modified as follows: replace the word "contractor with "Recipient"; replace the words 'agency,'
"Federal Agency' and "funding Federal Agency" with 'government"; replace the word "contract" with
"agreement"; delete paragraphs (g)(2), (g)(3) and the words 'to be performed by a small business
firm or domestic nonprofit organization" from paragraph (g)(I); paragraph (1), Communications, point
of contact on matters relating to this clause will be the CIA Grants Officer
B. The Recipient shall file Invention (Patent) Reports as of the close of the performance 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 final performance period.
Negative reports are also required. The Recipient shall submit the original and one copy to the
Grants Officer.
C. Final payment cannot be made nor can the agreement be closed out until the recipient delivers to the
Government all disclosures of subject inventions required by this agreement, an acceptable final
report pursuant to article 12 entitled 'Annual and Final Technical Reports," and all confirmatory
instruments.
D. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
E. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free,
fully paid-up license to use, duplicate, or disclose for governmental purposes any data, technology
and inventions, whether patented or not, made or developed under this Agreement.
F. The Recipient reserves the right to protect by copyright original works developed under this
agreement, All such copyrights will be in the name of the Recipient. The Recipient hereby grants the
U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-up license to reproduce,
prepare derivative works, distribute copies to the public, and perform publicly and display publicly, for
governmental purposes, any copyrighted materials developed under this agreement, and to authorize
others to do so.
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G. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government
on all data and technical data delivered under the agreement. The Government shall be deemed to
have unlimited rights in all data and technical data delivered without markings.
ARTICLE 10: ANNUAL PERFORMANCE REPORTS
10.1 Annual Performance Report
A. Annual reports are required for efforts of more than one year. This report will provide a concise and
factual discussion of the significant accomplishments and progress during the year covered by the
report. Each of the topics described below shall be addressed for the effort being performed!
a. A comparison of actual accomplishments with the goals and objectives established for the
period, the findings of the investigator, or both.
b. Reasons why established goals were not met, if appropriate.
. Other pertinent information including, when appropriate, analysis and explanation of cost
overruns.
In addition, for research awards, each of the following topics (a) through (d) shall be addressed as
appropriate to the research effort being performed:
a. A cumulative chronological list of written publications in technical journals. Include those in
press as well as manuscripts in preparation and planned for later submission. Indicate likely
journals, authors, and titles.
b. A list of professional personnel associated with the research effort. List any advanced
degrees awarded, including dates, recipient, type of degree, and thesis title.
Interactions (Related Activities):
i. Papers presented at meetings, conferences, seminars, etc.
ii. Consultative and advisory functions to other laboratories and agencies on research
supported under the agreement. Provide factual information about the subject matter,
institutions, dates, and the names of individuals involved.
New discoveries, inventions, or patent disclosures and specific applications stemming from
the research effort.
The Postdoctoral Fellow is also required to present the status of the research grant 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
comprehensive, cumulative, and substantive summary of the progress and significant
accomplishments achieved during the total period of the effort covered by the agreement. Each of the
topics described in section 2.1 above shall be addressed as appropriate for the effort performed.
Publications may be bound and attached as appendices.
B. When the results of a research effort have not previously been reported in scientific or technical
publications, the Final Technical Report must provide sufficient detailed discussions of findings and
accomplishments obtained in pursuit of the planned research objectives.
10.3 Report Submittal
The Recipient shall submit annual and final technical reports in the original and two copies to the
Agency's program Officer within 90 days after completion of the period covered by the report. The
Recipient shall provide a copy of the transmittal letter to the Grants Officer.
10.4 Format
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A. Cover and title page. Standard Form (SF) 298, Report Documentation Page, shall be used. Item 13 of
the form should contain a 100 to 200 word abstract summarizing technical progress during the
reporting period. Style should be third person singular using past tense. Jargon, special symbols or
notations, subscripts, mathematical symbols or foreign alphabet letters are not permitted. All pages
should be of good quality for copying purposes.
B. Recipients format is acceptable.
ARTICLE 11: INFORMAL TECHNICAL REPORTS
11.1 Reports
This report shall be prepared only if requested by the Government program officer. It shall be submitted in
letter format and is usually not longer than three pages in length. Its primary purpose is to inform the
project engineer/program manager about significant events, accomplishments, and anticipated problems
that may affect the conduct of the planned effort It should summarize the progress of the effort being
performed, new discoveries, inventions or patent disclosures, anticipated changes 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 within 16 days after the request.
A brief quarterly report may be required after each three month period. (The annual report replaces the
report for the last quarter of the year). Each quarterly report should describe the progress of the research
project relative to the milestones that were defined in the proposal.
11,2 Government Visits
The Government may visit the Recipient to discuss project status and results. It is anticipated that
Government involvement in this grant will be limited to general oversight.
ARTICLE 12: SCIENTIFIC REPORTS
A. For research agreements, this report shall be used for rapidly disseminating 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
student's thesis. Before preparing a Scientific Report, obtain written permission from the Program
Manager who will then furnish detailed instructions for formatting, reproducing, and distributing the
report. Send the Agency program manager two copies.
B. On its cover, a scientific report shall prominently display the following disclaimer: 'The views and
conclusions contained in this document are those of the authors and should not be interpreted as
necessarily representing the official policies or endorsements, either expressed or implied, of the U.S.
Government."
ARTICLE 1$: REPORTING FINANCIAL INFORMATION
Recipients shall submit financial reporting information in accordance with the following.
13.1 Interim Financial Reports
A. The Recipient shall submit an interim Federal Financial Report (FFR 425) within 30 days following the
end of each quarter. The original 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 been drawn during the reporting period.
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B. Both cash management and financial status information should be reported on the same form for
single award reporting.
13.2 Final Federal Financial Report
The recipient shall submit the final FFR no later than 90 days following the completion of the agreement.
The original and a copy of the report shall be submitted to the Grants Administration Office identified in
block 16 of the cover page.
13.3 Unexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the
end of any funding period, except the final funding period of the grant, shall be carried over to the next
funding period, and may be used to defray costs of any funding period of the grant. This includes
allowing the carry over of funds to the second and subsequent years of a multiple year grant, but it does
not apply to options, which require current year funding. This provision also applies to subcontractors
performing substantive work under the grant.
ARTICLE 14: PUBUC DISCLOSURE AND TECHNICAL INFORMATION
A. The Recipient may make formal public disclosure of the scientific and technical information from this
supported work (e.g., release articles for appropriate professional publications or present papers at
scientific meetings or symposia) and will take the following steps;
a. A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to
submission for publication.
b. Reference shall be attributed to a grant issued by the Intelligence Community Postdoctoral
Research Fellowship Program, or as may otherwise be prescribed by the Grants Officer.
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-Publicity
The Recipient shall not use or allow to be used any aspect of this solicitation and/or agreement for
publicity. Publicity means, but is not limited to, advertising (e.g. trade magazines, newspapers, Internet,
radio, television etc.), communications with the media, marketing, or a reference for new business. It is
further understood that this obligation shall not expire upon completion or termination of this agreement,
but will continue indefinitely. 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 Officer. Recipients are not
required to obtain waivers when informing offices within this Agency of agreements it has performed or is
in the process of performing.
ARTICLE_15: HUMAN SUBJECTS
Approval is required by CIA prior to any work beginning involving human subject use. All proposals that
Involve the use of human subjects must include documentation of their ability to follow Federal guidelines
for the protection of human subjects. This includes, but is not limited to, protocol approval mechanisms,
approved Institutional Review Boards (IRS), and Federal Wide Assurances. These requirements are
based on expected human use issues sometime during the entire length of the proposed effort. The
recipient shall provide their IRB approval of specific research, the blank informed user consent form, and
the protocol and related documents as requested for secondary approval by CIA.
ABppLE IT: ANIMAL,SUB4EPTS
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Approval is required by CIA prior to work beginning invoKing animal subject use. Proposals selected for
funding that will use vertebrate animals in the research must comply with the Animal Welfare Act [7
U.S.C. 2131 et seq.] and the regulations promulgated there under by the Secretary of Agriculture [9
CFR 1.1- 4.11j pertaining to the humane care, handling, and treatment of vertebrate animals held or
used for research, teaching or other activities supported by Federal awards. The recipient is expected
to ensure that the guidelines described 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
Appendix D to the NAS Guide).
ARTICLE 18: MODIFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in good faith with the other
signatory parties to determine the desirability of the proposed modification. Modifications shall not be
effective until a written modification is signed by the Agreement signatories (or their successors).
Administrative modifications may be unilaterally executed by the CIA Grants Officer.
ARTICLE 19: SUSPENSION AND TERMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement 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 opportunity to explain or
correct the breach or deficiency within 30 days from receipt of notice. If grounds for termination for cause
still exist, the Government may terminate or suspend performance. If suspension is invoked, the
Government may withhold further payments, or prohibit the Recipient from incurring additional obligation
of funds until corrective action is taken. If this agreement is terminated after the Recipient has received
Government funding, the closeout procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the following situations by:
A. The Agency when the recipient has materially failed to comply with the terms and conditions of the
award;
B. The Agency when it has other reasonable cause; including departure of the Principal Investigator.
C. The Agency and the recipient by mutual agreement (if the Agency and the recipient cannot reach an
agreement, the Agency reserves the right to unilaterally terminated the award); or
D. The recipient on written notice to the Agency setting forth the reasons for such action, the effective
date, and, in the case of partial termination, the portion to be terminated or suspended (with the
understanding that if the Agency determines that the unterminated portion will not accomplish the
purposes of the agreement, it may suspend or terminate the entire agreement.)
E. Notwithstanding the above, for security or safety reasons or in the case of a serious breach that could
lead to irreparable damage, the Agency Grants Officer may order immediate suspension of work, in
whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative Conference of the
U.S., and with the intent of the provisions of Alternative Dispute Resolution, the CIA provides the
informal resolution processes described below concerning disputes or disagreements that may arise
over a Grants Officer's post-award decisions under a CIA agreement.
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S. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
a. Cost disallowances pursuant to a Grants Officer's decision (e.g., specific disallowances under
an individual grant or as a result of an audit report);
b. Termination orders; and
c. The final settlement amount under a termination.
C. Procedures
a. The recipient should submit a certified letter to the Agency's Procurement Executive via the
Grants Officer noting the recipient's disagreement or dispute and identifying the Agency's
Grants Officer's decision in question, giving reasons for the request for review and providing
any other material pertinent to the request.
b. The letter to the Procurement Executive must be postmarked no later than 30 days after the
dale of the letter notifying 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 preparing it will be
granted.
c. The request for review need not follow a prescribed format; however, it must contain a full
statement of the recipients position with respect to the disputed matter and the facts and
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 original decision); if an
error in fact or application of Agency policy is noted in the original decision; or improper
procedures were followed in the original decision.
d. The Procurement Executive, will review or designate one or more individuals to review the
matter. One reviewing official will be at least at a management level equivalent to the official
who made the decision that is being reviewed. in no case, will the review be undertaken by
any individual involved with the decision or involved in recommending and/or monitoring the
scientific and engineering aspects of the project or responsible for negotiating and/or
administrating its business aspects.
e. The designated individual(s) will review and consider all relevant information available. A
report which identifies the conclusion and recommendation will be completed within 30 days
and forwarded to the Procurement Executive or his/her designee for a final and unappealable
written decision for the agency. The Procurement Executive or his/her designee will
communicate the decision in writing to the recipient.
ARTICLE 20: RESEARCH MISCONDUCT
All research awards Issued by the CIA are subject to the Federal Policy on Research Misconduct
published in the Federal Register on December 6, 2000 (65 FR 76260). The following definitions will be
used when applying this policy:
A. Research misconduct means the fabrication, falsification, or plagiarism in proposing, performing, or
reviewing research, or in reporting research results. Research misconduct does not include honest
error or difference of opinion.
B. Fabrication is making up data or results and recording or reporting them.
C. Falsification means manipulating research materials, equipment, or processes, or changing or
omitting data or results such that the research is not accurately represented in the research record.
D. Plagiarism is the appropriation of another person's ideas, processes, results or words without giving
appropriate credit.
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E. Research means all basic, applied, and demonstration research in all fields of science, engineering,
mathematics, education, linguistics, medicine, psychology, social sciences, statistics, and research
involving human subjects or animals.
F. Research institutions includes all organizations using Federal funds for research, including, for
example, colleges and universities, intramural Federal research laboratories, Federally funded
research and development centers, national user facilities, industrial laboratories, or other research
institutes,
G. Research record is the record of data or results that embody the facts 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 allegation of research misconduct should be reported to the CIA Grants Officer
ARTICLE 21: REPORTING CLASSIFIABLE INFORMATION
A. This award is intended for unclassified, publicly releasable research. The recipient will not be granted
access to classified information. The awarding agency does not expect that the results of the
research project will involve classified information.
B. If, however, in conducting the activities supported under this award, the principal investigator (121) is
concerned that any of the research results involve potentially classifiable information that may warrant
Government restrictions on the dissemination of the results, the PI should promptly notify the
awarding agency's program manager.
ARTICLE 22: ENVIRONMENTAL STANDARDS
The Recipient agrees 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 Aot
(33 V.S.C. 1251,4t seq.), as Implemented by Executive Order 11788(3 CFR, 1971- 1 975 Comp.,
p7991 and Environmental Protection Agency (EPA) rules at 40 OFR part 15. In accordance with the
EPA rules, the Recipient further agrees that it will:
a. Not use any facility on EPA's List of Violating Facilities in performing any award that is
nonexempt under 40.C1R 15.5, as long as the facility remains on the list.
b. Notify the awarding agency if it Intends to use -a facility in performing this award that is on the
List of Violating Facilities or that the Recipient knows has been recommended to be placed
on the List of Violating Facilities.
B. Identify to the awarding 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 VS.C. 4321, et seq.) and to prepare Environmental Impact Statements or
other required environmental documentation. In such cases, the Recipient agrees to take no action
that will have an adverse environmental impact (e.g. physical disturbance of a site such as breaking
of ground) until the agency provides written Approval.
ARTICLE 23: NONDISCRIMINATION
By signing this agreement or accepting funds under the agreement, the Recipient assures that it will
comply with applicable provisions of the following, national policies prohibiting discrimination:
A. On the basis of race, color, or national origin, in Title VI of the Civil Rights Act Of 1964 (42 V.S.C.
2000d, et seq.).
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B. On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 V.S.C. 1681,
at seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.O. 6101, at seq.), as implemented
by the Department of Health and Human Services regulations at 45 CFR part 90.
D. On the basis of disability, in the Americans with Disabilities Act.
ARTICLE 24: CERTIFICATIONS
The following Certifications, which have been executed by the Recipient prior to award of this agreement,
are hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility Matters.
B. Certification regarding Drug-Free Workplace Requirements.
C. Certification regarding Lobbying.
ARTICLE 25: LIABILITY
The Agency cannot assume any liability for accidents, illnesses or claims arising out of any work
supported by an award or for unauthorized use of patented or copyrighted materials. The grantee
institution is advised to take such steps as may be deemed necessary to insure or protect itself, its
employees, and its property.
ARTICLE 26: RYAN AGENCY WITHIN THE INTELLIGENCE COMMUNITY
This grant is sponsored by the Central intelligence Agency, an Agency within the Intelligence Committee.
To ensure compliance with Executive Order 12833, dated 4 December 1981, (revised 80 July 08) the
individual signing this instrument on behalf of the academic institution is authorized by the institution to
contract with an Agency within the Intelligence Community.
ARTICLE 27: PRIOR APPROVALS
As appropriate, prior approval of the following deviations from budget and program plans are required:
A. The Grantee must consult the Program Manager in Block 15c1 the Award/Modification document
through the AGO at the Administrative Office in Block 16 or the Grant Procurement Office in Block 6
of the Award/Modification document before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program performance under this
award.
B. Support for the project may not continue without the active direction of the Principal Investigator
approved 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:
a. Appoint a replacement Principal Investigator with the approval of the Program Manager in
Block 15 through the Grant Procurement Office in Block 6 of the Award/Modification
document, or
b. Relinquish the Grant, in which case the Grant shall be terminated
c. Extension for the expiration period of this Grant � The AGO at the Administrative Office in
Block 16 of the Award/Modification document has authority to approve a no-funds extension
request meetino all of the following parameters:
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i. a one-time basis only; and
ii. for a period not to exceed 90 days; and
iii. where $50.000.00 or less of obligated funds remain to be expended.
In other cases, where a request is outside one or more of the parameters, a no-funds extension can only
be approved with the concurrence of the Program Manager in Block 15 of the Award/Modification
document. For any no-funds extension to be effective, a written grant modification must be issued and
signed by the AGO at the Administrative Office in Block 16 under the circumstances above or the
Sponsoring Office in Block 6 of the Award/Modification document.
ARTICLE 28: DATA RIGHTS
A. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free,
fully paid-up license to use, duplicate, or disclose for governmental purposes any data, technology
and inventions, whether patented or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works developed under this
agreement All such copyrights will be in the name of the Recipient. The Recipient hereby grants the
U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-up license to reproduce,
prepare derivative works, distribute copies to the public, and perform publicly and display publicly, for
governmental purposes, any copyrighted materials developed under this agreement, and to authorize
others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government
on all data and technical data delivered under the agreement. The Government shall be deemed to
have unlimited rights in all data and technical data delivered without markings.
ARTICLE 29: USING TECHNICAL INFORMATION RESOURCES
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 and avoid needless duplication of scientific and engineering effort.
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ASSISTANCE AG ' � '
. Award No.
2010*10581 4 �Oa
2. Modi5cazion No.
3. Effective Date
05 July 2012
4. Page 1 of 15
5. Awarded to
University of Maryland
6. Sponsoring s cc
� .. of Lotegrated Missions
7, Period of P.- ., .
12 July 2010 30 June 2013
8. Type of
Grant � 4
. . ....
Other 0
�-, - �..-..t
ve A ix 0
. Authority
31 USC 6304 and
10 USC 2358
10. . � Documen No.
N/A
1 1. Remittance Address
See Article 4
12. Total Grant Amount
Govt Shire: $240,000
Cost Share: SO
Total: S240,4 ii
13 Funds Obligated:
This action: $O
Total: $240,"
4 . cipal In
15. ' I.I1
16. Administrator
Dr. Alan Mig
[phone]
(b)(3
17. Submit Payment Requests to
Vendor Payments
Attn: Mail �.m
18. Paying Office
o as Block 17
19 Su. t Reports
As D - by the Technical Point of Contact
(b)(
. s .. DC 20505
20. Accounting and � . . �'on Data
... ant $240,000
21. . Title and/or Description of Project
A High Rate Photon Pock State . & Number-Resolving Detector for Super Resolution
i
22. For the Recipient
(b)(3
24. Signatuie
of F'erson oSgn
26. Namtitind
Title
27 Date S'
Date Signed
Grants � 0.
6 11 la. (b)(3
.7 � n_r
nm.
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University of Maryland
2010*1058114*
Mod 002
Page 1 of 1
I I
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For questions regarding this modification please contact
5ummary of _changes
The purpose of this modification is to extend the POP at no additional cost to the Government and make
administrative changes. As a result, the following changes are made:
1. Change Block 6 "Sponsoring Office" on grant cover page from Office of Chief Scientist to Office of
Integrated Missions
2. Change Block 7 "Period of Performance" on Grant cover page from 12 July 2010 through 11 July 2012 by
11 months to 12 July 2010 through 30 June 2013.
3. Change Block 15 "Program Manager" from
4. Change Block 16 "Administrator" from
5. Change Article 1 to:
a. Extend the "Second Year" from 12 July 2010 through 21 July 2012 by 11 months to 12 July 2010
through 30 June 2013.
b. Change the "Option Year" from 14 July 2012 through 13 July 2013 by 11 months to 01 July 2013
through 30 June 2014.
6. Change Article 4 as follows:
a. Grants Officer from
b. Technical Point of Contact fron$
c. Invention reporting fron
7. Change Article S Term of eement from 24 months by 11 months to 35 months and revise the POP from
12 July 2010 through 11 July 2012 by 11 months to 12 July 2010 through 30 June 2013.
8. Change Article 8 Revision to Financial Plans "Options" from a POP of 12 July 2010 through 11 July 2013 by
11 months to 01 July 2013 through 30 June 2014.
All other articles remain unchanged and in full force and effect.
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TA OF CO A G.
ARTICLE 1. SCOPE OF THE AGREEMENT
ARTICLE 2: DEFINITIONS
ARTICLE 3: ADMINISTRATIVE REQUIREMENTS
ARTICLE 4: ADMINISTRATIVE RESPONSIBILMES
ARTICLE 5. TERM OF THE AGREEMENT
ARTICLE 6: KEY PERSONNEL
ARTICLE 7: FISCAL MANAGEMENT
ARTICLE 8: REVISIONS TO FINANCIAL PLANS
ARTICLE 9: INVENTIONS
ARTICLE 10: ANNUAL PERFOR CE REPORTS
ARTICLE 11: INFORMAL TECHNICAL REPORTS
ARTICLE 12: SCIENTIFIC REPORTS
ARTICLE 13: RE TING Fl CIAL INFORMATION
ARTICLE 14: PUBUC DISCLOSURE OF SCIENTIFIC AND TECHNICAL INFOR TION
ARTICLE 15: NONPUBLICrTY
ARTICLE 16: HUMAN SUBJECTS
ARTICLE 17: ANIMAL SUBJECTS
A CLE 18 iDIFICATIONS
ARTICLE 19: SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20: RESEARCH MI �NDUCT
ARTICLE 21: REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22: ENVIRONMENTAL STANDARDS
ARTICLE 23: NONDISCRIMINATION
ARTICLE 24: CERTIFICATIONS
ARTICLE 25: LIABILITY
ARTICLE 26: SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE COMMUNITY
ARTICLE 27: PRIOR APPROVALS
ARTICLE 28: DATA RIGHTS
ARTICLE 29: USING TECHNICAL INFORMATION RESOURCES
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PE
The Recipient shall perform a coordinated research and deve � � ent program in accordance with the
Recipient's technical portion of the p � � � entitled "A High Rate Photon Fock State Generator &
Number-Resoiving or for Super Resolution".
First Year (12 Julx2010 � 11 July 2011)
Government's Share $120,
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $120
Sec. d Year (12 Julv 2011 �,30 June 2013)
Government's Share $120,
Recipients Share (cash or in-kind) $ 0
T Second Year Agreement $120,
Total Government Share of Agreement
II
.5'
� I
Option Year j()1 Je1y.,2013 �30 June 2014) (UNEXERCISED)
Government's Share $119,
Recipients Share (cash or in-kind) $ 0
T Option VearAgreement $119,999
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Grand Total Government Share of Agreement $240,
ARnmig g: Q
Parties -- For the.' �oses of this Agreement, the parties are University of Maryland and the United
States of America, hereinafter the Government or the Agency, represented by the Central
Intelligence Agency.
Agreement � The articles of this assistance agreement, R earch Terms and Conditions (available at
htto://vhvvi.n v/ ubs/Dol � � rtc/terrnssi and its attaohments.
Recipient � An organization or other entity receiving a grant or cooperative agreement. For pu
this Agreement, the Recipient is University of Maryland.
Performance Year � Each consecutive twelve-month period from the effective date of this agreement
throughout the term of the agreement
A 3:1W
R
A. This Agreement will be administered in acco
Re Terms and Conditions (available at
http://www.nst aqvioubs/ coin � the requirements of the following OMB
Circulars which are incorporated herein by ref
a. OMB Circular A-21 now codified at 2 CFR part , "Cost Principles for Educational
Institutions"
b. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, H s, and Other Non Profit Organizations now codified
at 2 CFR part 215
c. OMB Circular A-122, �Cost Principles for Non-Profit Organizations", now codified at 2 CFR
part 230
d. OMB Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions" (27
June 03); (revised 26 June 07) and
with, and recipients shall comply with, the
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e. The Provisions of CIA Broad Agency Announcement No. ICPDP-2010-0001, entitled "2010
Intelligence Community Postdoctoral Research Fellowship ram."
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 n the Research Terms and Conditions and any special
conditions contained in the CIA Broad Agency Announcement, guides, brochures, etc., cited or
included by reference in the agreement, the matter should be referred to the CIA Grants Officer for
guidance.
A LE 4: flVE R
Central Intellicience Agency Grants Office
Attn:
Address:
Phone:
Fax:
Email:
Contracting Team
ARC
Technical Point sd Contact
Central Intelligence Agency Program Officer
ATTN:
Address: Washi n, DC
Phone:
Fax:
Email:
Government Payment Office
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
Invoices shall be submitted using the Internet Payment Platform (IPP). If the Grantee is not registered in
IPP, the Grantee shall call the Vendor Service Center on within two weeks of grant award (b)(3)
to rag' r. Items needed to facilitate registration include: a valid grant number and the name, phone
number, and e-mail address for the Grantee's point of contact. The Grantee may make inquiries regarding
invoices to the payment office on (b)(3)
If the Grantee is unable to submit a payment request in electronic form, or the A is unable to
receive a payment request in electronic form, the Grantee shall submit the payment request using a
method mutually agreed to by the Grantee, the Grants Officer, and the payment
Invention Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Fax:
Email:
(b)(3)
(b)(3)
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Recipient's Principal Investigator
P.I. Name: Dr. Alan Migdah
Department: Joint Quantum In
Address: National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 8441
Gaithersburg, MD 2
Phone: [phone]
Fax: [phone]
Email: rnigdallOnistgov
�
Recipient's Authorized Organizational Rear
AOR Name: Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
Address: 3112 Lee Building
University of Maryland
College Park, MD 20742-4111
Phone: [phone]
Fax: [phone]
Email: ifranken 0 umd.edu
MOP THE AREEME
The project has n � � �ved on scientific/technical merit for 36 months. The period of performance is
12 July 2010 - 30 June 2013.
A OF
SONNEL
The key personnel listed below must be ernp %sat University of Maryland at the time of award and
shall be maintained, to the maximum extent possible, throughout this agreement. Should changes be
sary, University of Maryland shall notify the Agency Grants Office (identified in Block 6 of the face
page) in writing of the pr ed substitute(s) within 30 days of the change in order to obtain approval of
the substitution from the CIA Program Manager.
�
KEY PERSONNEL:
�
Principal Investigator: Dr. Alan Migdall
Fellow (when identified):
ARflCL 7fISC4L MANAGE
7.1 Restrictions of the Us* 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 s the
Recipients operations or administration unrelated to this Agreement.
72. Obligation
In no case shall the Governments financial obligation e the amount obh on this Agreement or
by amendment to this Agreement. The Government's share for full performance of this award is
$240. � Of this amount� is allotted and available for payment This grant is fully funded. The
Government Is not obligated to reimburse the Recipient for expenditures in excess of the amount of
funding obrigated and allotted by the Government
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7.3 Incremental Funding Actions
Unless otherwise �: 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 been received from the Principal Investigator.
Incremental funding is contingent on:
A. Availability of funds;
B. Satisfactory � � Ical progress; and
C. Compliance with any special conditions of the agreement
7.4 a Payment
To request advance payments, recipients shall submit a request tor advance payment The original and
two copies of each request shall be submitted to:
CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be ad � to funds committed to the project by
the Government and the Recipient and used to further eligible program objectives.
7.6 Closeout Adjustments
The Government may make a downward adjustment to the Government funding amount after completion
of the effort under an agreement, when app acco with OMB Circular A-110.
AR R NLPLANS
A. The financial plan, or approved at, 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 financial plan. Some changes to the plan require prior approval, as descri
below.
B. Recipients are autho to:
Carry forward unobilgated balances to su tient funding periods (with the exception of the final funding
period)
C. The CIA Grants Officers prior written approval is required for actions which:
a. Change the � � or objective of a project. The Principal Investigator must consult with the
Program m � r arid receive approval from the Grants Officer � e deviating from
the research objectives defined in the grant proposal or any sub-award, transfer or
contracting out of substantive program performance under this agreement
b. Change key personnel. Support for the p � may not continue without the active direction
of the Principal Investigator and/or Postdoctoral Fellows approved for, identified in, this
As � Agreement. If the roved Pri al investigator/P oral Fellow severs his
or her con a with the recipient institution or otherwise relinquishes active direction of the
project, either permanently or for a significant length of time (three months or more), the
recipient institution must either
� � � nt a replacement Principal investigator/P � - � � ral Fellow with the approval of
the Program Manager, or
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ii, Relinquish the Assistance Agreement, in which case the Agreement shall be
termin � �
iii. Change the recipient institution's cost share amount reflected in the approved budget
iv. Use human subjects or vertebrate animals
v. Require no cost extensions e � ng 12 months
D. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at
the end of any funding period, except the final funding period of the grant, shall be carried over to the
next funding period, and may be used to defray costs of any funding period of the grant. This includes
allowing the carryover of funds to the second and subsequent years of a multiple year grant. This
provision also applies to subcontractors performing substantive work under the grant.
I I
E. SPECIAL CONDITIONS: N/A
F. OPTION
The Government may extend the term of this grant by issuing a unilateral modification
Option Year 101 Juiv2013-30 Jung 2014KVNEXERCISED)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement 8119,999
ARTI E 9: INVENTIONS
A. The clause entitled "Rights to Inventions Mad, by Nonprofit Organizations and Small Business
Firms," (37 CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are
modified as follows: replace the word 'contractor with "Recipient"; replace the words 'agency,'
"Federal Agency" and "funding Federal Agency* with mgovemmenr; replace the word 'contract' with
"agreement"; delete paragraphs (g)(2), (g)(3) and the words 'to be performed by a small business
firm or domestic nonprofit organization" from paragraph (g)(l); para � (1), Communications, point
of contact on matters relating to this clause will be the CIA Grants Officer
B. The Recipient shall file Invention (Patent) Reports as of the close of the performance 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 final performance period.
Negative reports are also required. The Recipient shall submit the original and one copy to the
Grants Officer.
C. Final payment cannot be made nor can the agreement be closed out until the recipient delivers to the
Government all disclosures of subject inventions required by this agreement, an a �� �� - � * final
rt pursuant to article 12 entitled 'Annual and Final Technical Re and all confirmatory
instruments.
D. All lights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
E. The lent hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free,
fully paid-up license to use, duplicate, or disclose for governmental pu any data, technology
and inventions, wh r patented or not, m or devel � under this Agreement.
F. The Recipient reserves the right to by ��� �yright original works devel� � � under this
agreement. All such copyrights will be in the name of the Recipient. The Recipient hereby grants the
U.S. Government a non-exclusive, non-transferable, royalty-free, fully �� up license to reproduce,
prepare derivative works, distribute copies to the public, and rm publicly and display publicly, for
governmental purposes, any copyrighted materials devel under this agreement, and to authorize
others to do so.
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G. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government
on all data and technical data delivered under the agreement. The Government shall be deemed to
have unlimited rights in all data and technical data delivered without markings.
AR q 10; ANNUA PERFORMANCE R
10.1 Annual Performance R
A. Annual reports are required for efforts of more than one year. This report will provide a concise and
factual discussion of the significant accomplishments and progress during the year covered by the
report. Each of the topics described below shall be addressed for the effort being performed:
a. A comparison of actual accomplishments with the goals and objectives fished for the
period, the findings of the investigator, or both.
b. Reasons why established were not met, if appropriate.
c, Other pertinent information including, when appropriate, analysis and explanation of cost
overruns.
B. In addition, for research a , each of the following topics (a) through (d) shall be addressed as
appropriate to the research effort being performed;
a. A cumulative chronological list of written publications in technical journals. Include those in
press as well as manuscripts in preparation and planned for later submission. Indicate likely
journals, authors, and titles.
b. A list of professional el ted with the research ettort. List any advanced
degrees awarded, including dates, recipient, type of degree, and thesis title.
c. Interactions (Rel Activities):
i. Papers presented at me* � , conferenoes, seminars, etc.
ii. Consultative and advisory functions to other laboratories and agencies on research
sup under the agreement. Provide factual Information � 'ut the subject matter,
institutions, dates, and the names of individuals involved.
d. New d ries, inventions, or patent disclosures arid � ic applications stemming from
the research effort
The Post .rat Fellow is also required to present the s of the research grant at the annual IC
Postdoctoral Research Fellowship Program Colloquium.
�
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a.
10.2 Final Technical Report
A. A Final Technical Report is due at the completion of the agreement. This report will provide a
comprehensive, cumulative, and substantive summary of the progress and significant
accomplishments achieved during the total period of the effort d by the agreement. Each of the
topics described in section 2.1 above shall be addressed as appropriate for the effort performed.
Publications may be bound and attached as ndices.
B. When the results of a research effort have not previously n reported in scientific or technical
publications. the Final Technical Report must provide sufficient detailed discussions of findings and
accomplishments obtained in pursuit of the planned research objectives.
10.3 Report Submittal
The Recipient shall submit annual and final technical reports in the original and two copies to the
Agency's program officer within 90 days after completion of the period covered by the report. The
Recipient shall provide a copy of the transmittal letter to the Grants Officer.
10.4 Format
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A. Cover and title page. Form (SF) , Report Documentation Page, shall be used. item 13 of
the form should contain a 100 to 200 word abstract summarizing technical progress during the
reporting period. Style should be third person si lar using t tense. Jargon, special symbols or
notations, su , m atical symbols or foreign alphabet letters are not permitted. All pages
should be of � quality for copying purposes.
B. Recipient's format is acceptable.
A
Eli: IN TEHNlc4LREpO
11.1 Reports
This report shall be pr red only if requested by the Government ram officer. it shall be submitted in
letter format and is usually not longer than three pages in length. Its primary purpose is to inform the
project engineer/program manager about significant events. accomplishments, and anticipated lems
that may affect the ��� � o, of the planned effort. It should summarize the progress of the effort being
performed, new discoveries, inventions or patent disclosures, anticipated changes in commitments of key
personnel and in the planned approach; acquisition or fabrication of major or research equipment;
and the titles of manuscripts planned for publication. The Recipient shall send the Agency � � � ram officer
one �y signed by the principal investigator within 15 days after the request
� �
A brief quarterly report may be required after each three month period. (The annual report replaces the
report for the last quarter of the year). Each quarterly report should describe the progress of the research
project relative to the milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results. It is anticipated that
Government involvement in this grant will be limited to general oversight.
RflCLE1& SC s Re
RE 1tt-
A. For rch agreements, this report shall be used for � ly disseminating highly significant
research results or for scientific reports that are too long or that contains useful compilations of data,
tables, and computations not normally rt.,. � ad by technical journals. It is not appropriate for a
student's � . Before preparing a Scientific Report, in written permission from the Program
Manager who will then furnish detailed instructions for formatting, r � � ucing, and distributing the
report Send the Agency program manager two copies.
B. On its cover, a scientific report shall prominently display the following disclaimer 'The views and
conclusions contained in this document are those of the authors and should not be interpreted as
necessarily representing the official policies or endorsements, either expressed or implied, of the U.S.
Government.'
A 1$: REP9 i Fl
f IM4T1ON
Recipients shall submit financial reporting information in
131 Interim Financial R rts
with the following.
A. The Recipient shall submit an interim Federal Financial Report (FFR 425) within 30 days following the
end of each quarter. The original and a copy of the report should be submitted to the Grants
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 been drawn during the n9 period.
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B. Both cash management and financial status information should be repotted on the same form for
single award reporting.
13.2 Final Federal Financial Report
The recipient shall submit the final FFR no later than 90 days following the completion of the agreement.
The original and a copy of the report shall be submitted to the Grants Administration Office identified in
block 16 of the cover page.
13.3 Unexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the
end of any funding period, except the final funding period of the grant, shall be carried over to the next
funding period, and may be used to defray costs of any funding period of the grant This includes
allowing the carry over of funds to the second and subsequent years of a multiple year grant, but it does
not apply to options, which require current year funding. This provision also applies to subcontractors
performing substantive work under the grant.
ARTICLE 14: PUBLIC DISCLOSURE OF_SCIEN77F1C ANILTECMICAL INFORAMTION
A. The Recipient may make formal public disclosure of the scientific and technical Information from this
supported work (e.g., release articles for appropriate professional publications or present papers at
scientific meetings or symposia) and will take the following steps;
a. A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to
submission for publication.
b. Reference shall be attributed to a grant issued by the Intelligence Community Postdoctoral
Research Fellowship Program, or as may otherwise be prescribed by the Grants Officer.
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.
ilaripLE 15: Itign-Publioity
The Recipient shall not use or allow to be used any aspect of this solicitation and/or agreement for
publicity. Publicity means, but is not limited to, advertising (e.g. trade magazines, newspapers, Internet,
radio, television etc.), communications with the media, marketing, or a reference for new business. It is
further understood that this obligation shall not expire upon completion or termination of this agreement,
but will continue indefinitely. 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 Officer. Recipients are not
required to obtain waivers when informing offices within this Agency of agreements it has performed or is
in the process of performing.
ARTICLE 16: HUMAN SUBJECTS
Approval is required by CIA prior to any work beginning involving human subject use. All proposals that
involve the use of human subjects must include documentation of their ability to follow Federal guidelines
for the protection of human subjects. This includes, but is not limited to, protocol approval mechanisms,
approved Institutional Review Boards (IRS), and Fedora! Wide Assurances. These requirements are
based on expected human use issues sometime during the entire length of the proposed effort. The
recipient shall provide their IRB approval of specific research, the blank informed user consent form, and
the protocol and related documents as requested for secondary approval by CIA.
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Approval is required by CIA prior to work beginning involving animal subject use. Proposals selected for
funding that will use vertebrate animals in the research must comply with the Animal Welfare Act [7
U.S.C. 2131 et seq.] and the regulations promulgated there under by the Secretary of Agriculture [9
CPR 1.1- 4.11j pertaining to the humane care, handling, and treatment of vertebrate animals held or
used for research, teaching or other activities supported by Federal awards. The recipient is expected
to ensure that the guidelines described in the National Academy of Science (NAS) Publication, "Guide
for the Cans 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
Appendix D to the NAS Guide).
ARTICLE 18: KOD,IFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in good faith with the other
signatory parties to determine the desirability of the proposed modification. Modifications shall not be
effective until a written modification is signed by the Agreement signatories (or their successors).
Administrative modifications may be unilaterally executed by the CIA Grants Officer.
ARTICLE If: EWEN:NON AND TERHINATION PROCEINRES
19.1
The Government reserves the right to suspend or terminate this agreement 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 opportunity to explain or
correct the breach or deficiency within 30 days from receipt of notice. If grounds for termination for cause
still exist, the Government may terminate or suspend performance. If suspension Is invoked, the
Government may withhold further payments, or prohibit the Recipient from incurring additional obligation
of funds until corrective action is taken. If this agreement is terminated after the Recipient has received
Government funding, the closeout procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the following situations by:
A. The Agency when the recipient has materially failed to comply with the terms and conditions of the
award;
B. The Agency when it has other reasonable cause; including departure of the Principal Investigator.
C. The Agency and the recipient by mutual agreement (if the Agency and the recipient cannot reach an
agreement, the Agency reserves the right to unilaterally terminated the award); or
D. The recipient on valtten notice to the Agency setting forth the reasons for such action, the effective
date, and, in the case of partial termination, the portion to be terminated or suspended (with the
understanding that if the Agency determines that the unterminated portion will not accomplish the
purposes of the agreement, It may suspend or terminate the entire agreement)
E. Notwithstanding the above, for security or safety reasons or in the case of a serious breach that could
lead to irreparable damage, the Agency Grants Officer may order immediate suspension of work, in
whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative Conference of the
U.S., and with the intent of the provisions of Alternative Dispute Resolution, the CIA provides the
informal resolution processes described below concerning disputes or disagreements that may arise
over a Grants Officers post-award decisions under a CIA agiviement.
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Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
a. Cost disallo pursuant to a Grants Officer's decision (e.g.,
an individual grant or as a result of an audit report);
b. Termination orders; and
c. The final settlement amount under a termination.
disallowances under
C. Procedures
a. The recipient should submit a certified letter to the Agency's Procurement Executive via the
Grants Officer n the recipient's disagr or dispute and identifying the Agencys
Grants s d ' in question, giving nriatons for the request for review and providing
any other material pertinent to the request
b. The letter to the Procurement Executive must be postmarked no later than 30 days after the
of the letter notifying the recipient of the decision in q The time for filing a
request for review is enforced and no extensions for the pu � of preparing it will be
granted.
c. The request for review need not follow a p � format; however, it must �� a full
ment of the recipient's position with respect to the � �uted matter and the facts and
in au. � � of the nes position. R will be reviewed if the recipient
submits new information (which was unavailable at the time of the original on); if an
error in fact or � # Heaton of Agency policy is noted in the original decision; or improper
procedures were followed in the original decision.
d, The Procurement Ex e, will review or designate one or more I to review the
matter. One reviewing official will at least at a management level equivalent to the official
who made the decision that is being reviewed. In no case, will the review be undertaken by
any Individual Involved with the decision or involved in recommending and/or monitoring the
scientific and engineering aspects of the project or responsible for negotiating and/or
administrating its business aspects.
e. The designated individual(s) will review and consider all t information available. A
report which identifies the conclusion and recommendation will be completed within 30 days
and forwarded to the Procurement Executive or his/her designee for a final and un labia
wn decision for the agency. The Procurement Executive or his/her designee will
communicate the decision in writing to the recipient.
A E H MI
All research awards issued by the CIA are subject to the Federal Policy on Research Misconduct
published in the Federal Regist,r on December 6, 2000 (65 FR 76260). The following definitions will be
used when applying this policy:
A. Research misconduct means the fabrication, falsification, or plagiarism in proposing, performing, or
reviewing research, or in reporting research results. Research m .nduct does not include honest
error or difference of opinion.
B. Fabrication is making up data or results and ��� � ing or reporting them.
C. Falsification means manipulating research materials, equipment, or processes, or changing or
omitting data or results such that the research is not accurately represented in the research record.
D. Plagiarism is the appropriation of another person's ideas, processes, results or words without giving
appropriate credit.
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E. Research means all basic. , and demonstration research in all fields of ,engineering,
m atics, education, linguistics, medicine, psychology, social sciences, statistics, and research
involving human subjects or animals.
F. Research institutions includes all organizations using Federal funds for research, including, for
example, colleges and universities, intramural Federal r laboratories, Federally f
research and development centers, national user facilities, industrial laboratories, or other re
institutes.
G. Research record is the record of data or results that em � � � the facts resulting from scientific inquiry,
and includes, but is not limited to, research proposals, laboratory . , both physical and
electronics, progress reports, , theses, oral p tions, internal reports, and journal
articles.
Any allegation of research misconduct should be reported to the CIA Grants Officer
BLE
A. This award is intended for unclassified, publicly rele 'e research. The recipient will not be granted
access to classified information. The awarding agency does not expect that the results of the
research project will involve classified information.
B. if, however. In conducting the activities su � ad under this award, the principal investigator (PI) is
� that any of the research results involve ntially classifiable information that may warrant
Government � 'orts on the ination of the results, the PI should promptly notify the
awarding agencYs program manager.
� �
AR
AL STAND
. .
The Recipient agrees to the following environment standards;
A. Comply with � f� � e provisions of the Clean Air Act (42 U.S.0 7401, et seq.) and Clean Water Act
(33 V.S.C. 1251, -St �.), as implemented by I Order 11738(3 CFR, 1971- 1 975 Comp.,
p799] and Environmental Protection Agency (EPA) rules at 40 CFR part 15. In acco with the
EPA rules, the Recipient further agrees that it will:
a. Not use any facility oh EPA's List of Violating Facilities in performing any award that is
none � under 4Q CFR 15S, as le as the facility remains on the list.
b. Notify the 'rig agency If it intends to use.a facility in performing this award that is on the
List of Violating Facilities or that the pent knows has been mended to be placed
on the List of Violating Facilities.
B. Identify to the awarding a y any impact this award may have on the quality of the human
environment, and provide help the agency may n � to comply with the N � nal Environmental
Policy Act (NEPA, at 42 V.S.C. 4321, et seq.) and to prepare Environmental Impact Statements or
other required environmental docu bon. In such cases, the Recipient agrees to take no action
that will have an adverse environmental impact (e.g. physical disturbance of a site such as breaking
of ground) until the agency provides written Approval.
A
By signing this agreement or ng funds under the agreement, the Recipient assures that it will
comply with applicable provisions of the following, national policies prohibiting discrimi on:
A. On the basis of race, color. or
, et seq.).
t
�
I origin, in Title VI of the Civil Flights Act bf 1 (42 V.S.C.
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B. On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 V.S.O. 1681,
at seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.C. 6101, et seq.), as implemented
by the rtment of Health and Human Services regulations at 45 CFR part 90.
D. On the basis of disability, in the Americans with Dis ilities Act.
CE
The following Certifications, which have been executed by the Recipient prior to award of this agreement,
are hereby incorporated by reference:
A. Certification . .ing Debarment, Suspension, and Other Responsibility Matters.
B. Certification regarding Drug-Fr Workplace Requirements.
C. Certification re Ing Lobbying.
ARTICLE 25: LIABILITY
The Agency cannot assume any liability for accidents, illnesses or claims arising out of any work
suPPorted by an award or for unauthorized use of patented or copyrig materials. The grantee
institution is advised to take such s as may be mad n to insure or protect itself, its
employees, and its property.
TICLE IQBiWIP
MU
This grant is sponsored by the Central Intelligence Agency, an Agency within the Intelligence Committee.
To ensure lance with Executive Order 12333, dated 4 December 1981, (revised 30 July 08) the
individual signing this instrument on behalf of the academic institution is authorized by the institution to
contract with an Agency within the Intelligence Community.
AR LE 27: � R L ALS
As appropriate, prior approval of the following deviations from budget and program plans are required;
A. The Grantee must consult the Program Manager in Block 16 of the A odification document
th h the AGO at the Administrative Office in Block 16 or the Grant Procurement in Block 6
of the Aw cation document before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of dye program performance under this
award.
B. Support for the project may not continue the active direction of the Prine� � I Investigator
approved for, and identified in, this Grant. If the roved Principal Investigator severs his or her
connection with the Grantee or o ' relinquishes active direction of the project, either
permanently or for a significant length of time (three months or more), the Grantee must either:
a. � � � int a replacement Principal Investigator with the � royal of the Program Manager in
Block 15 through the Grant Procurement Office in Block 6 of the AwardModification
document, or
b. Relinquish the Grant, in which case the Grant shall be terminated
C. Extension for the expiration period of this Grant - The AGO at the Administrative Office in
Block 1601 the A ification document has authority to approve a no-funds extension
meetina arll of the following parameters:
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I. a one-time basis only; and
ii. for a period not to exceed 90 days; and
where $50, 0.00 or less of obligated funds remain to bee . -nded.
II
In other cases, where a request is outside one or more of the parameters, a no-funds extension can only
be approved with the concurrence of the Program Manager in Block 15 of the Awar ification
document. For any no-funds extension to be effective, a written grant modification must be issued and
signed by the AGO at the Administrative Office in Block 16 under the circumstances above or the
Sponsoring Office in B 6 of the A � odification document.
ARTICLE 28: DATA RIG/ITS
A. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free,
fully paid-up r to use, duplicate, or disclose for governmental pu any data, technology
and inventions, whether pat or not, made or dove,. � � under this Agreement.
C. The Recipient reserves right to protect by copyright original works dove � � � under this
agreement. All such P yrights will be In the name of the Recipient. The Recipient hereby grants the
U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-up license to reproduce,
p to derivative works, distribute copies to the public, and perform publicly and display publicly, for
governmental purposes, any copyrighted materials developed under this agreement, and to authorize
others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government
on all data and technical data delivered under the agreement The Government shall be deemed to
have unlimited rights in all data and technical data delivered without markings.
RYICLE 29: SINO TECHNIC �. FOR
To the extent p ,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 and avoid needless duplication of scientific and engineering effort.
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ASSISTANCE AG1tE
Award No.
2. Modification No.
3. Effective Date
age 1 of 15
2010410581 14 I I
002
05 July 2012
Awarded to
. Sponsoring Office
Period of Performance
University of Maryland
Office of Integrated Missions
12 July 2010 through 30 June 2013
Type of Agreement
. Authority
10 Purchase Request or Fundrng Document No.
Grant
31 USC 6104 and
N/A
Cooperative Agreement 0
10 USC 2358
Other
11. Remittance Address
See Article 4
12.
Total Chitin Amount
13
Rinds Obligated:
Govt. Share: $240.000
This action: $O
Cost Share: $0
Total; $240, �
Total: 5240, I,
14 Principal Investigator
Dr. Alan Migdall
[phone]
15. Program Manager
16. Admini
(b)(3)
17 Submit Payment Requests to
Vendor Payments
Arm: Mail Room
Address.
Washington, DC 20505
18. Paying Office
Same as Block 17
20. Accounting and Appropriation
Amount Obli : $240,
I I
19. Su Reports
M Directed by the Technical Point of Contact
21 Research Title and/or Description of Project
A High Rate Photon Pock State Generator & Number-Resolving Detector for Super Resolution
22. For the Recipient
24. Signature of Person Authorized to Sign
26. Name and litle
27 Date Signed
(b)(3)
GTEUItS Officer
(b)(3)
I >012- (b)(3)
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TAB F CIA Qrant A
ARTICLE 1: SCOPE OF THE AGREEMENT
ARTICLE 2: DEFINITIONS
ARTICLE 3: ADMINISTRATIVE REQUIREMENTS
ARTICLE 4: ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5: TERM OF THE AGREEMENT
ARTICLE 6: KEY PERSONNEL
ARTICLE 7: FISCAL MANAGEMENT
ARTICLE 8: REVISIONS TO FINANCIAL PLANS
ARTICLE 9: INVENTIONS
ARTICLE 10: ANNUAL PERFOR CE REPORTS
ARTICLE 11: INFORMAL TECHNICAL REPORTS
ARTICLE 12: SCIENTIFIC REPORTS
ARTICLE 13: REPORTING FINANCIAL INFORMATION
ARTICLE 14: PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL INFOR TION
ARTICLE 15: NONPUBUCITY
ARTICLE 16: HUMAN SUBJECTS
ARTICLE 17: ANIMAL SUBJECTS
ARTICLE 18: MODIFICATIONS
ARTICLE 19: SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20: RESEARCH MISCONDUCT
ARTICLE 21: REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22: ENVIRONMENTAL STANDARDS
ARTICLE 23: NONDISCRIMINATION
ARTICLE 24: CERTIFICATIONS
ARTICLE 25: LIABILITY
ARTICLE 26: SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE COMMUNITY
ARTICLE 27: PRIOR APPROVALS
ARTICLE 28: DATA RIGHTS
ARTICLE 29: USING TECHNICAL INFORMATION RESOURCES
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ARTICLE I: SCOPE QF THE AGREEMENT
The Recipient shall perform a coordinated research and development program in accordance with the
Recipient's technical portion of the pro entitled �A High Rate Photon Fock State Generator &
Number-Resolving Detector for Super Resolution".
First Year (12 July 2010 � 11 July 2011)
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $120,000
Second Year (12 July 2011 �30 June 2013)
Government's Share $120,
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $120,
II
II I
Total Government Share of Agreement $240,000
Option Year (P1 July 2013� 30 June 2014) (UNEXERCISED)
Government's Share $119,
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,
�
�
Grand Total Government Share of Agreement $240,
ARTICLE 2: DERNMONS
Parties -- For the pu of this Agreement, the parties are University of Maryland and the United
States of America, hereinafter called the Government or the Agency, represented by the Central
Intelligence Agency.
Agreement � The articles of this ass agreement, Research Terms and Conditions (available at
hrp://www.nstgovipubsioolicvdocs/rtc/termssidebysidepdf) and its attachments.
Recipient � An organization or other entity receiving a grant or cooperative agreement For pu
this Agreement, the Recipient Is University of Maryland.
Performance Year � Each consecutive twelve-month period from the effective date of this agreement
throughout the term of the agreement.
A 3:
a
RE EA4
A. This Agreement will be administered in accordance with, and recipients shall with, the
Research Terms and Conditions (available at
titto:// .00v ol � � ssisligysja � � the requirements of the following OMB
Circulars which are incorporated herein by reference:
a. OMB Circular A-21 now ied at 2 CFR part 220, "Cost Principles for Educational
Institutions"
b. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, H. --�-tals, and Other Non-Profit Organizations now codified
at 2 CFR pail 215
c. OMB Circular A-122. `Cost Principles for Non-Profit Organizations", now codified at 2 CFR
Part
d. OMB Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions' (27
June 03); (revised 26 June 07) and
�
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e. The Provisions of CIA Broad Agency Announcement No. ICPDP-201
Intelligence Community Postdoctoral Research Fellowship Program?'
B. Should there be any inconsistency between the special conditions canter 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 Research Terms and Conditions and any special
conditions contained in the CIA Broad Agency Announcement, guides, brochures. etc., cited or
inclu by reference in the agreement, the matter should be referred to the CIA Grants Officer for
guidance.
LE 4: A
NSIBILJTIEq
Central Intelligence Agency Grants Office
Attn:
Address: Contracting Team
ARC
Phone:
Fax:
Email:
Technical Point of
Central Intelligence Agency Program Officer
ATTN;
Address:
Phone:
Fax:
Email:
Washington. DC 20505
Government Payment Off.
�
0 0
1, entitled '2010
(b)(3)
(b)(3)
Invoices shall be submitted using the Internet Payment P IPP If the Grantee is not registered in
IPP, the Grantee shall call the Vendor Service Center on in two weeks of grant award (b)(3)
to register. Items needed to facilitate registration include: a v grant number and the name, phone
number, and e-mail address for the G 's point of contact. The Grantee may make inquiries regarding
invoices to the payment office on (b)(3)
If the Grantee is unable to submit a payment request in electronic form, or the Agency is unable to
receive a payment request In e ic form, the Grantee shall submit the payment request using a
method mutually agreed to by the Grantee, the Grants Officer, and the payment o
Inventign Reporting
Grants Office
Address: Contracting Team (b)(3)
ARC
Phone:
Fax:
Email:
Washington. DC 20505
(b)(3)
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Recipient's Principal Investioator
P.I. Name: Dr. Alan Migdall
ant: Joint Quantum Institute
National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 1
rg, MD 9-
Phone: [phone]
Fax: [phone]
Email: migdallenist. Gov
110 �
Address:
U
�
ients Authorized Oreanizational Representative
AOR Name: Jill A. Frankenfield
Title: Contract Manager, Office of Research Administration 8 Advancement
Address: 3112 Lee Building
University of Maryland
College Park, MD 20742-4111
Phone: [phone]
Fax: [phone]
5: TERM _QF THE AG
The project has been approved on scientific/technical merit for 36 months. The performance is
12 July 2010 � 30 June 2013.
6: KEY
The key personnel listed below must be employed with University of Maryland at the time of award and
shall be maintained, to the maximum e ii:nt possible, throughout this agreement Should changes be
necessary, University of Maryland shall notify the Agency Grants Office (identified in Block 6 of the face
page) in writing of the pro substitute(s) within 30 days of the change in order to � � t: n approval of
the substitution from the CIA Program Or.
KEY PERSONNEL:
Principal In tor: Dr. Alan Migdall
Fellow (when identified):
AR
7: F1
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 ope � n of the Agreement . Government funds shall not be utilized to support the
Recipient's rations or administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount obligated on this Agreement or
by amendment to this Agreement. The Government's share for full performance of this award is
$240, . Of this amount, $240, # is allotted and available for payment This grant is fully funded. The
Government is not obligated to reimburse Recipient for : I � � 'res in excess of the amount of
funding obligated and allotted by the Government
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7 3 Incremental Funding Actions
Unless MS.� 0" led 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 been received from the Principal Investigator.
Incremental funding is contingent on:
A. Availability of funds;
B. Satisfactory scie nical progress; and
C. Compliance with any special conditions of the agreement
7.4 Advance Payment
To request advance payments, recipients shall submit a request for advance payment. The original and
two �les of each request shall be submi to:
� 0
CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds comm to the project by
the Government and the Recipient and used to further eligible program objectives.
7.6 Closeout Adjustments
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 OMB Circular A-110.
AR 8: A 0 J ANCIAL PLAN.
A. The financial plan, or approved budget, is the financial expression of the effort to be performed under
this agreement as approved during the award p . This agreement and its terms and conditions
reflect the approved financial plan. Some changes to the plan require prior approval, as descn
below.
B. Recipients are authorized to:
Carry forward unobligated balances to subsequent funding periods (with the ex ..n of the final funding
period)
�
C. The CIA Grants Officer's prior written approval is required for actions which:
a. Chang. the a..., or objective of a project Pie Principal Investigator must consult with the
Program manager and receive written approval from the Grants Officer before deviating from
the research objectives defined in the grant � - - or any sub-award, transfer or
ng out of substantive . ram performance under this agreement.
b. Change key personnel. Su... for the project may not continue without the active direction
of the Principal Inv: .gator and/or Postdoctoral Fellows approved for, and identified in. this
Assistance Agreement If the approved Principal Investigator/Po octoral Fellow severs his
or her conn �� with the recipient institution or otherwise relinquishes active direction of the
Project, either permanently or for a significant length of time (thr months or more), the
recipient institution must either.
I. Appoint a replacement P �al Investi /P. � � oral Fellow with the approval of
the Program Manager, or
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ii. Relinquish the Assistance ment, in which case the Agreement shall be
terminated.
iii. Change the recipient � � 's cost share amount reflected in the roved budget
iv. Use human subjects or vertebrate animals
v. Require no cost extensions exceeding 12 months
D. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at
the end of any funding period, except the final funding period of the grant, shall be over to the
next funding period, and may be used to defray costs of any funding period of the grant. This includes
allowing the carryover of funds to the second and su uent years of a multiple year grant. This
provision also ies to ctors performing substantive work under the grant.
E. SPECIAL CONDITIONS. N/A
F. OPTION
The Government may extend the term of this grant by issuing a unilateral modification.
01 July 2013 �30 4ene 2014KU
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,999
I * #
AR77 E I
A1 A.
NS
A. The clause en � "Rights to Inventions Made by Nonprofit Organizations and Small Business
Firms," (37 CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are
modified as follows: replace the word "contractor with "Recipient"; replace the words �
�Federal Agency and 'funding Federal Agency with "government"; ce the word "contract" with
"ag r; delete parag � (g)(2), (g)(3) and the words "to be performed by a small business
firm or domestic n �rofit organization" from paragraph (g)(I); p - .raph (1), Communications, point
of contact on matters relating to this clause will be the CIA Grants Officer
B. The Recipient shall file Invention (Patent) Reports as of the close of the perform 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 final performance period.
Negative r are also required. The R lent shall submit the original and one copy to the
Grants Officer.
�
C. Final payment cannot be made nor can the agreement be closed out until the recipient delivers to the
Government all disclosures of subject inventions required by this agreement, an � t, � e final
report pursuant to article 12 entitled "Annual and Final Technical Reports,' and all confirmatory
instruments.
D. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
E. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free,
fully paid-up license to use, duplicate, or disclose for governmental ..-- any data, technol
and inventions, whether patented or not, made or devel � under this Agreement.
�
F. The R � "ent reserves the right to protect by copyright original works devel � under this
agreement All such copyrights will be in the name of the Recipient The Recipient hereby grants the
U.S. Government a non-exclusive, non-transf ,royalty-free, fully paid-up license to reproduce,
P derivative works, cl � copies to the public, and perform publicly and display publicly, for
governmental purposes, any copyrighted materials under this agreement, and to authorize
others to do so.
�
a
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G. The Recipient is responsible for affixing appropriate marldngs ng the rights of the Government
on all data and technical data delivered under the agreement The Government shall be deemed to
have unlimited rights in all and technical data delivered without markings.
ARTICLE10: ANNUAL PERFORMANCE R - FITS
10.1 Annual Performance Report
A. Annual reports are required for efforts of more than one year. This report will provide a concise and
factual discussion of the significant lishments and progress during the year covered by the
report Each of the topics described w shall be addressed for the effort � .rrned
a. A comparison of actual accomplishments with the goals and established for the
period, the findings of the investigator, or
b. R
c. Other 'nent information including, when appropriate, analysis and nation of cost
overruns.
B. In addition, for awards, each of the following topics (a) through (d) shall be addressed as
ropriate to the research effort being performed:
a. A cumulative chronological list of written publications in technical journals. Include those in
press as well as manuscripts in preparation and planned for later submission. Indicate likely
journals, authors, and titles.
b. A list of professional personnel iated with the research effort. List any advanced
degrees awarded, including dates, recipient, type of � � ee, and thesis title.
C. I iris (Related Activities):
I. Papers presented at m gs, conferences, seminars, etc.
and a.' � functions to r laboratories and agencies on research
supported under the agreement. Provide f I information about the subject matter,
institutions, dates, and the names of individuals involved.
d. New discoveries, inventions, or patent disclosures and specific applications stemming from
the research effort.
�
why established goals were not met, if appropriate.
The Post. � ..ral Fellow is also required to present the status of the research grant 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
comprehensive, cumulative, and substantive summary of the progress and significant
accomplishments achieved during the total period of the effort covered by the agreement Each of the
topics d � in section 2.1 above shall be addressed as appropriate for the effort performed.
Publications may be nd and attached as endicea.
's
B. When the results of a research effort have not previously been reported in scientific or technical
publications, the Final Technical Report must provide sufficient detailed discussions of findings and
accomplishments obtai in pursuit of the planned research objectives.
10.3 Report Submittal
The R- ent shall submit annual and final technical in the original and two copies to the
Agency's program officer within 90 days after completion of the period covered by the report The
Recipient shall provide a copy of the transmittal letter to the Grants Officer.
10.4 Format
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A. Cover and title page. Standard Form (SF) 298, Report Documentation Page, shall be used. Item 13 of
the form should contain a 100 to 200 word abstract summarizing' progress dunng the
reporting period. Style should be third person singular using past tense. Jargon, special symbols or
notations, subscripts, mathematical symbols or foreign al t letters are not permitted All pa
shOuld be of g quality for �ying purposes.
B. Recipient's format is
CH
111.4
11.1 Reports
This report shall be p only if requ by the Government program officer. It shall be submitted in
letter format and is usually not longer than three pages in length. Its primary purpose is to inform the
project engineer/program manager about significant events, accomplishments, and antici problems
that may affect the conduct of the planned effort. It should summarize the progress of the effort being
performed, new discoveries, inventions or patent disclosures, anticipated changes In commitments of key
personnel and in the planned approach; acquisition or fabrication of major or special research equi
and the titles of manuscripts planned for publication. The Recipient shall send the Agency � ram officer
one copy signed by the principal inve tor within 15 days after the
A brief quarterly report may be required r each three month period. (The annual n replaces the
report for the last quarter of the year). Each quarterly report should describe the progress of the research
project relative to the milestones that were defined in the proposal.
112 Government Visits
The Government may visit the Recipient to. project status and results. It is anticipated that
Government involvement in this grant will be limited to general oversight.
ARTICLE 12:_SCIENT7FIC REPORTS
A. For research agreements, this report shall be used for rapidly disseminating highly significant
research results or for scientific rts that are too long or that contains useful compilations of data,
tables, and computations not normally accepted by technical journals. It is not ropriate for a
student's thesis. Before preparing a Scientific Report, obtain written permission from the Program
Manager who will then furnish detailed instructions for formatting, reproducing, and distil the
report. Send the Agency program m r two copies.
B. On its cover, a scientific r shall prominently of - � ay the following disclaimer: "The views and
conclusions contained in this document are those of the authors and should not be interpreted as
necessarily representing the official policies or endorsements, either expressed Of implied, of the U.S.
Government`
A1I LE 7I:
L JNFOR
Recipients shall submit financial reporting information in aoco with the following.
13_1 Interim Financial Reports
A. The Recipient shall submit an interim Federal Financial Report (FFR 425) within 30 days following the
end of each quarter. The � � � and a �y of the report should be submitted to the Grants Officer
list iden " in Block 16 of the cover page. Recipients are required to update, certify and submit the
FR to the Agency by the due date even if funds have not been drawn during the reporting period.
1.1
OT 'Si AT.7.V11%
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B. Both cash management and financial status information should be reported on the same form for
single award reporting.
13.2 Final Federal Financial Report
The recipient shall submit the final FFR no later than 90 days following the completion of the agreement.
The original and a copy of the report shall be submitted to the Grants Administration Office identified in
block 16 of the cover page.
13.3 Unexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the
end of any funding period, except the final funding period of the grant, shall be carried over to the next
funding period, and may be used to defray costs of any funding period of the grant This includes
allowing the carry over of funds to the second and subsequent years of a multiple year grant, but it does
not apply to options, which require current year funding. This provision also applies to subcontractors
performing substantive work under the grant.
ARTICLE 14: PUBLIC DISCLOSURE OF SDIENTIPN AND TECHNICAL INFORMATION
A. The Recipient may make formal public disclosure of the scientific and technical information from this
supported work (e.g., release articles for appropriate professional publications or present papers at
scientific meetings or symposia) and will take the following steps;
a. A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to
submission for publication.
b. Reference shall be attributed to a grant Issued by the Intelligence Community Postdoctoral
Research Fellowship Program, or as may otherwise be prescribed by the Grants Officer.
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.
ARTICLE15: Non-Publicity
The Recipient shall not use or allow to be used any aspect of this solicitation andror agreement for
publicity. Publicity means, but is not limited to, advertising (e.g. trade magazines, newspapers, Internet,
radio, television etc.), communications with the media, marketing, or a reference for now business. It is
further understood that this obligation shall not expire upon completion or termination of this agreement,
but will continue indefinitely. 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 Officer. Recipients are not
required to obtain waivers when informing offices within this Agency of agreements it has performed or is
in the process of performing.
ARTICLg 16: HUMAN SIMJECTS
Approval is required by CIA prior to any work beginning involving human subject use. All proposals that
involve the use of human subjects must include documentation of their ability to follow Federal guidelines
for the protection of human subjects. This includes, but is not limited to, protocol approval mechanisms,
approved Institutional Review Boards (IRB), and Federal Wide Assurances. These requirements are
based on expected human use issues sometime during the entire length of the proposed effort. The
recipient shall provide their IRS approval of specific research, the blank Informed user consent form, and
the protocol and related documents as requested for secondary approval by CIA.
ARTICLE 17: ANIMAL SUB.IEM
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Approval is required by CIA prior to work beginning involving animal subject use. Proposals selected for
funding that will use vertebrate animals in the research must comply with the Animal Welfare Act [7
U.S.C. 2131 et seq.] and the regulations promulgated there under by the Secretary of Agriculture [9
CFR 1.1- 4.11] pertaining to the humane care, handling, and treatment of vertebrate animals held or
used for research, ing or other activities supported by F- . -ral awards. The recipient is cted
to ensure that the guidelines descri in the National Academy of Science (NAS) Publ on, *Guide
for the Care and Use of Laboratory Animals' (1996) are followed and to comply with the Public
Service Policy and Government Principles Regarding the Care and Use of Animals (included as
�endix D to the NAS Guide).
LE 18;
�
770
Any party to this Agreement who wishes to modify the Agreement shall confer in � � � � faith with the other
signatory es to determine the desirability of the � � � ed modification. Modifications shall not be
effective until a written m � '-- ;. is signed by the Agreement signatories (or their successors).
Administrative modifications may be unilaterally* ed by the CIA Grants Officer.
19: $USfENSION AND TE NATIQNjR � DURES
19.1
The Government reserves the right to suspend or mate this agreement for cause. If the Recipient
fails to comply with the terms and condibons of this agreement, the CIA Grants Officer will provide written
nate of breach or deficiency to the Recipient and will provide the .� 'lent an opportunity to e in or
correct the breach or deficiency within 30 days from of notice. if grounds for termination for cause
still exist, the Government may terminate or sus performance. If sus n Is invoked, the
Government may withhold further payments, or prohibit the Recipient from incurring a. � nal obligation
of funds until co action is taken. If this agreement is terminated after the Recipient has received
Government funding, the closeout procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the following situations by:
A. The Agency when the recipient has materially failed to comply with the terms and conditions of the
award;
B. The Agency when it has other e cause; including departure of the Principal Investigator.
C. The Agency and the nt by mutual agreement (if the Agency and the recipient cannot reach an
agreement, the Agency reserves the right to unilaterally terminated the award); or
D. The � nt on written notice to the Agency setting forth the for such a.. � n, the effective
date, and, in the case of partial termination, the portion to be term' � or suspended (with the
understanding that if the Agency determines that the unterminated portion will not accomplish the
Pu of the agreement, it may sus or terminate the entire agreement.)
E. ding the above, for security or safety r or in the case of a serious breach that could
lead to irrepar damage, the Agency Grants Officer may order immediate suspension of work, in
whole or in part.
19.2 Informal Resolution of Grant Admin Disputes
A. with the Reoomm bon on Grant Disputes by the Administrative Conference of the
U.S., and with the intent of the provisions of Alternative Dispute Resolution, the CIA provides the
informal resolution pr descnbed below concerning disputes or disa ants that may arise
over a Grants Officers � -award � under a CIA agreement.
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B. Scope of Post-Award Disputes Covered
The disputes below are covered under this p
a. Cost o pursuant to a Grants
an individual grant or as a result of an audit report);
b. Termination orders; and
c. The final ment amount under a termination.
� : .
(e.g.,
disallowances under
C. Procedures
a. The - 'lent should submit a certified letter to the Agency's Procurement Executive via the
Grants Officer noting the recipient's d. � reement or dispute and identifying the Agency's
Grants Officers decision in question, giving reasons for the request for review and providing
any other material pertinent to the request
b. The letter to the Procurement Executive must be postmarked no later than 30 days after the
of the latter notifying the ' .ent of the decision in question. The time for filing a
eel for review is strictly enforced and no extensions for the purpose of preparing it will be
granted.
c. The uest for review need not follow a prescribed format; however, it must contain a tull
statement of the � ient's Ition with to the disputed matter and the facts and
� in support of the r nt's ition. Requests will reviewed if the ' ient
submits new information (which was unavail at the time of the original decision); if an
error in fact or appl ' of Agency policy is noted in the original decision; or improper
pr � tee were followed in the original decision.
d. The Procurement Executive, wiN or designate one or more Individuals to review the
matter. One reviewing official will be at least at a management level equivalent to official
who made the decision is being reviewed. In no case, will the review be undertaken by
any individual Involved with the decision or Involved in recommending and/or monitoring the
sc and engineering aspects of the pr or responsible for bating and/or
administrating its business as .
e. The designated individual(s) will review and consider all relevant information available. A
which identifies the conclusion and recommendation will be completed within 30 days
and forwarded to the Procurement Executive or his/her design for a final and un alable
written decision for the agency. The Procurement Executive or his/her designee will
cornmun the decision in writing to the recipient
LE � Rg
All research awards issued by the CIA are subject to the Federal Policy on Research Misconduct
published in the Federal Register on December 6, 2000 (65 FR 76260). The following definitions will be
used when applying this policy:
A. Research misconduct means the fabrication, falsification, or plagiarism in proposing, performing, or
reviewing research, or in reporting research results. Research misconduct not include h
error or difference of opinion.
B. Fabrication is making up data or results and recording or re.. ng them.
C. Falsification means manipulating research materials, equipment, or processes, or changing or
omitting data or results such that the research is not accurately represented in the research record.
D. Plagiarism is the app �iation of another
appropriate credit.
Is
as, pr
V :
results or words without giving
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UNCLASS1F
University of Maryland
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Modification No.:
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#
$ �
For questions regarding this modification please contact
Su of
se of this modification is to change the A
changes are made:
*nistrative Grants Officer from
the Pro Manager's contact information. As a result, the following
1. In Block 15 Pro
Manager
2. In Block 16, the A
changed fron
�
phone number is changed from
*nistrator is changed fron
3. In 'de 4, the following changes are � e:
a. The
to
The phone number is
ts cer and contact information is changed as follows:
G itsi er
Phone
ax
(b)(3)
b. The Technical Point of Contact ret the same ; however,
the following contact information is changed to reflect new numbers (mailing
address and email remain unchanged):
From
Phone
To
_a
c. The following Invention Reporting contact information is changed as follows
(mailing address remains the same):
To
Phone
Fax
All other wesremalnunchangedandinfull force ideffect,
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UNCLASSIFIED
ASSISTANCE AGREEMENT
I. Award No.
20109058114*r. i
2. Modification No.
i i �
3. Effective Date
14 January 2013
4.
Page 1 of 15
5. Awarded to
University of Maryland
6. Sponsoring Office
Office of Integrated Missions
7. Period of Performance
12 July 2010 through 30 June
2013
8. Type of
Grant
Cooperative
0
Other
Agreement
04
0
Agreement
9. Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No.
N/A
11. Remittance Address
See Article 4
12. Total Grant Amount
Govt. Share: $240,000
Cost Share: $0
Total: $240,000
13. Funds Obligated:
This action: $0
Total: $240,000
14. Principal Investigator
Dr. Alan Migdall
[phone]
15. Program Manager
16. Administrator
I
17. Submit Payment Requests to
Vendor Payments
Attn: Mail Room
18. Paying Office
Same as Block 17
19. Submit Reports
As Directed by the Technical Point of Contact
Address
Washington, DC 20505
20. Accounting and Appropriation Data
Amount Obligated: $240,000
21. Research Title and/or Description of Project
A High Rate Photon Fock State Generator & Number-Resolving Detector for Super Resolution
22. For the Recipient
23. For the United States of America
24. Signature of Person Authorized to Sign
25.
26. Name and Title
27. Date Signed
28. Name of Officer ,...
29. Date Signed
2/74 0 /3
Grants Officer
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I -
TABLE OF CONTENTS � CIA Grant Aireentent
ARTICLE 1: SCOPE OF THE AG ENT
ARTICI P 2: DEFINITIONS
ARTICLE 3: ADMINISTRATIVE 0 Ul F.NTS
ARTICLE 4: ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5: TERM OF THE AG� ENT
ARTICLE 6: KEY PERSONNEL
ARTICLE 7: FISCAL MANAGEMENT
ARTIO P 8. REVISIONS TO FINANCIAL PLANS
ARTICLE 9: INVENTIONS
ARTICLE 10: ANNUAL P RMANCE S RTS
ARTICLE 11: INFORMAL TECHNICAL REPORTS
ARTY"' P 12: SCIENTIFIC 0 RTS
ARTICIP 13: RTING FINANCIAL INFORMATION
ARTICLE 14: PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL INFORMATION
ARTICLE IS: NONPUBLICITY
ARTICLE 16: HUMAN SUBJECTS
ARTICLE 17: ANIMAL SUBJECTS
ARTICLE 18: MODIFICATIONS
ARTICLE 19: SUSPENSION AND TERMINATION PR S URES
ARTCILE 20: EARCH MISCONDUCT
ARTICLE 21: R �RTING CLASSIFIABLE INFORMATION
ARTIOY 22: ENVIRONMENTAL STANDARDS
ARTICLE 23: NONDISCRIMINATION
ARTICLE 24: CERTIFICATIONS
ARTICLE 25: LIABILITY
ARTICLE 26: SPONSORSHIP BY AN AGENCY WITHIN THE I IGENCE COMMUNITY
ARTIC1P 27: PRIOR APPROVALS
ARTICLE 28: DATA RIGHTS
ARTICLE 29: USING TECHNICAL INFORMATION OURCES
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I It
ARTICLE 1: SCOPE OF THE AG' 'MENT
The Recipient shall perform a coordinated research and development program in accordance with the Recipient's
technical portion of the proposal entitled "A High Rate Photon Fock State Generator & Number-Resolving Detector
for Super Resolution".
First Ygar (12 July 2010 � 11 July 2011)
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $120,000
Second Year (12 July 2011 �30 June 20131
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $120
I
Total Government Share of Agreement $240,000
Qption Year (01 July 2013 �30 June 2014)
Government's Share
Recipients Share (cash or in-kind)
Total Option Year Agreement
�
$119,999
$ 0
$119,999
CIS ED )
Grand Total Government Share of Agreement $240,
ARTICLE 2: DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are University of Maryland and the United States of
America, hereinafter called the Government or the Agency, represented by the Central Intelligence Agency.
111
Agreement -- The articles of this assistance agreement, Research Terms and Conditions (available at
httpJ.rnuf lic rm bysigle and its attachments.
Recipient � An organization or other entity receiving a grant or cooperative agreement. For purposes of this
Agreement, the Recipient is University of Maryland.
Performance Year � Each consecutive twelve-month period from the effective date of this agreement throughout the
term of the agreement.
ARTICLE 3: ADMINISTRATIVE REOUIREMENTS
A. This Agreement will be administered in accordance with, and recipients shall comply with, the Research Terms
and Conditions (available at bttp://www.nsf.gov/pubs/policydocs/rtc./termssidebyside.pdOthe requirements of
the following OMB Circulars which are incorporated herein by reference:
a. OMB Circular A-21 now codified at 2 CFR part 220, "Cost Principles for Educational Institutions"
b. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education. Hospitals, and Other Non-Profit Organizations now codified at 2
CFR part 215
c. OMB Circular A-122. "Cost Principles for Non-Profit Organizations", now codified at 2 CFR part 230
d. OMB 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-2010-0001, entitled "2010
Intelligence Community Postdoctoral Research Fellowship In."
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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 a ment shall control. Should there be any
inconsistency between the Research Terms and Conditions and any special conditions contained in the CIA
Broad Agency Announcement, guides, brochures, etc.., cited or included by reference in the agreement, the
matter should be referred to the CIA Grants Officer for guidance.
ARTICLE 4; ADMINISTRATIVE RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
ARC
Phone:
Fax:
Email:
Technical Point of Contact
Central Intelligence Agency Pro
ATTN:
Address:
Phone:
Fax:
Email:
Officer
Washin
on, DC 20505
Government Payment Office
(b)(3)
(b)(3)
(b)(3)
(b)(3)
Invoices shall be submitted using the Internet Payment Platform (IPP). If the Grantee is not registered in 1PP, the
Grantee shall call the Vendor Service Center on within two weeks of grant award to register. Items
needed to facilitate registration include: a valid grant number and the name, phone number, and e-mail address for
the Grantee's point of contact. The Grantee may make inquiries regarding invoices to the payment office onr--
If the Grantee is unable to submit a payment request in electronic form, or the Agency is unable to receive a
payment request in electronic form, the Grantee shall submit the payment request using a method mutually a
by the Grantee, the Grants Officer, and the payment office.
Invention Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Fax:
Email:
was= ton, DC 20505
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(b)(3)
(b)(3)
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ient's Princip Investigator
P.I. Name: Dr. Alan Migdall
Department: Joint Quantum Institute
Address: National Institute of Standards and Technology
University of Maryland
100 Bureau Dr, MS 1
Gaithersburg, MD 20899-8441
Phone: [phone]
Fax: (301):.-5700
Email: miadall@nistgov
Recipient's Authorized nizational Representative
AOR Name: Jill A. FranIcenfield
Title: Contract Manager, Office of Research Administration & Advancement
Address: 3112 Lee Building
University of Maryland
College Park, MD 20742-4111
Phone: [phone]
Fax: [phone]
Email: [e-mail]
OF ;EA(
The project has been approved on scientific/technical merit for 36 months. The period of performance is 12 July
2010 � 30 June 2013.
ARTICLE 6: KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at the time of award and shall be
maintained, to the maximum extent possible, throughout this agreement. Should changes be necessary, University of
Maryland shall notify the Agency Grants Office (identified in Block 6 of the face page) in writing of the proposed
substitute(s) within 30 days of the change in order to obtain approval of the substitution from the CIA
KEY PERSONNEL:
Principal Investigator. Dr. Alan Migdall
Fellow
ICLB 7: FISCAL MANA
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 administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount obligated on this Agreement or by
amendment to this Agreement. The Government's share for full performance of this award is $240,000. Of this
amount, $240, It is allotted and available for payment. This grant is fully funded. The Government is not obligated
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to reimburse the Recipient for expenditures in excess of the amount of funding obligated and allotted by the
Government.
7.3 Incremental Funding Actions
Unless otherwise 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 been received
from the Principal Investigator.
Incremental funding is contingent on:
A. Availability of funds;
B. Satisfactory scientific/technical progress; and
C. Compliance with any special conditions of the agreement.
7.4 Advance Payment
To request advance payments, recipients shall submit a request for advance payment. The original and two copies
of each request shall be submitted to:
CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds committed to the project by the
Government and the Recipient and used to further eligible program objectives.
7.6 Closeout Adjustments
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 OMB Circular A-110.
ARTICLE 8: REVIVON TO FINANCIAL PLANS
A. The financial 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 financial plan. Some changes to the plan require prior approval, as described below.
W. Recipients are authorized to:
Carry forward unobli ted balances to subsequent funding periods (with the exception of the final funding period)
C. The CIA Grants Officer's prior written approval is required for actions which:
a. Change the scope or objective of a project. The Principal Investigator must consult with the Program
manager and receive written approval from the Grants Officer before deviating from the research
objectives defined in the grant proposal or any sub-award, transfer or contracting out of substantive
program performance under this agreement.
b. Change key personnel. Support for the project may not continue without the active direction of the
Principal Investigator and/or Postdoctoral Fellows approved for, and identified in, this Assistance
Agreement. If the approved Principal Investigator/Postdoctoral Fellow severs his or her connection
with the recipient institution or otherwise relinquishes active direction of the project, either
permanently or for a significant length of time (three months or more), the recipient institution must
either:
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i. Appoint a replacement Principal Investi tor/Postdoctoral Fellow with the approval of the
Program Manager, or
ii. Relinquish the Assistance Agreement, in which case the Agreement shall be terminated.
iii. Change the recipient institution's cost share amount reflected in the approved budget
iv. Use human subjects or vertebrate animals
v. Require no cost extensions exceeding 12 months
D. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the end of
any funding period, except the final funding period of the grant, shall be carried over to the next funding period,
and may be used to defray costs of any funding period of the grant. This includes allowing the carryover of
funds to the second and subsequent years of a multiple year grant. This provision also applies to subcontractors
performing substantive work under the grant.
E. SPECIAL CONDITIONS: N/A
F. OPTION
The Government may extend the term of this grant by issuing a unilateral modification.
Option Year (01 July 2013 � 30 June 2014) (UNEXERCISED1
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,999
ARTICLE 9: INVENTIONS
A. The clause entitled "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms," (37
C.FR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are modified as follows:
replace the word "contractor" with "Recipient"; replace the words "agency," "Federal Agency" and "funding
Federal Agency" with "government"; replace the word "contract" with "agreement"; delete para phs (gX2),
(g)(3) and the words "to be performed by a small business firm or domestic nonprofit organization" from
paragraph (g)(1); paragraph (1), Communications, point of contact on matters relating to this clause will be the
CIA Grants Officer
B. The Recipient shall file Invention (Patent) Reports as of the close of the performance 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 final performance period. Negative reports are also required.
The Recipient shall submit the original and one copy to the Grants Officer.
C. Final payment cannot be made nor can the agreement be closed out until the recipient delivers to the
Government all disclosures of subject inventions required by this agreement, an acceptable final report pursuant
to article 12 entitled "Annual and Final Technical Reports," and all confirmatory instruments.
D. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this agreement shall
vest in the Recipient.
E. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-
up license to use, duplicate, or disclose for governmental purposes any data, technology and inventions, whether
patented or not, made or developed under this Agreement
F. The Recipient reserves the right to protect by copyright original works developed under this agreement. All
such copyrights will be in the name of the Recipient. The Recipient hereby grants the U.S. Government a non-
exclusive, non-transferable, royalty-free, fully paid-up license to reproduce, prepare derivative works, distribute
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copies to the public, and perform publicly and display publicly, for governmental purposes, any copyrighted
materials developed under this agreement, and to authorize others to do so.
G. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government on all
data and technical data delivered under the agreement. The Government shall be deemed to have unlimited
rights in all data and technical data delivered without markings.
ARTICLE 10: ANNUAL PERFORMANCE REPORTS
10.1 Annual Performance Report
A. Annual reports are required for efforts of more than one year. This report will provide a concise and factual
discussion of the significant accomplishments and progress during the year covered by the report. Each of the
topics described below shall be addressed for the effort being performed:
a. A comparison of actual accomplishments with the goals and objectives established for the period, the
findings of the investigator, or both.
b. Reasons why established goals were not met, if appropriate.
c. Other pertinent information including, when appropriate, analysis and explanation of cost overruns.
B. In addition, for research awards, each of the following topics (a) through (d) shall be addressed as appropriate to
the research effort being performed:
a. A cumulative chronological list of written publications in technical journals. Include those in press as
well as manuscripts in preparation and planned for later submission. Indicate likely journals, authors,
and titles.
b. A list of professional personnel associated with the research effort. List any advanced degrees
awarded, including dates, recipient, type of degree, and thesis title.
c. Interactions (Rel I-. Activities):
i. Papers presented at meetings, conferences, seminars, etc.
Consultative and advisory functions to other laboratories and agencies on research supported
under the agreement. Provide factual information about the subject matter, institutions, dates,
and the names of individuals involved.
d. New discoveries, inventions, or patent disclosures and specific applications stemming from the
research effort.
The Postdoctoral Fellow is also required to present the status of the research grant 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 comprehensive,
cumulative, and substantive summary of the progress and significant accomplishments achieved during the total
period of the effort covered by the agreement. Each of the topics described in section 2.1 above shall be
addressed as appropriate for the effort performed. Publications may be bound and attached as appendices.
B When the results of a research effort have not previously been reported in scientific or technical publications,
the Final Technical Report must provide sufficient detailed discussions of findings and accomplishments
obtained in pursuit of the planned research objectives.
10.3 Report Submittal
The Recipient shall submit annual and final technical reports in the original and two copies to the Agency's program
officer within 90 days after completion of the period covered by the report. The Recipient shall provide a copy of the
transmittal letter to the Grants Officer.
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10.4 Format
A. Cover and title page. Standard Form (SF) 298, Report Documentation Page, shall be used. Item 13 of the form
should contain a 100 to 200 word abstract summarizing technical progress during the reporting period. Style
should be third person singular using past tense. Jargon, special symbols or notations, subscripts, mathematical
symbols or foreign alphabet letters are not permitted. All pages should be of good quality for copying purposes.
B. Recipient's format is acceptable.
ARTICLE AI: INFORMAL TECHNICAL REPORTS
11.1 Reports
This report shall be prepared only if requested by the Government program officer. It shall be submitted in letter
format and is usually not longer than three pages in length. Its primary purpose is to inform the project
engineer/program manager about significant events, accomplishments, and anticipated problems that may affect the
conduct of the planned effort. It should summarize the progress of the effort being performed, new discoveries,
inventions or patent disclosures, anticipated changes 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
within 15 days after the request.
A brief quarterly report may be required after each three month period (The annual report replaces the report for the
last quarter of the year). Each quarterly report should describe the progress of the research project relative to the
milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results. It is anticipated that Government
involvement in this grant will be limited to general oversight.
ARTICLE 12: SCIENTIFIC REPORTS
A. For research agreements, this report shall be used for rapidly disseminating 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 student's thesis. Before preparing a Scientific
Report, obtain written permission from the Program Manager who will then furnish detailed instructions for
formatting, reproducing, and distributing the report. Send the Agency program manager two copies.
B. On its cover, a scientific report shall prominently display the following disclaimer: "The views and conclusions
contained in this document are those of the authors and should not be interpreted as necessarily representing the
official policies or endorsements, either expressed or implied, of the U.S. Government."
ARTICLE 13: REPORTING FINANCIAL INFORMATION
Recipients shall submit financial reporting information in accordance with the following.
13.1 Interim Financial Reports
A. The Recipient shall submit an interim Federal Financial Report (FFR 425) within 30 days following the end of
each quarter. The original 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 been drawn during the reporting period.
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B. Both cash management and financial status information should be reported on the same form for single award
reporting.
13.2 Final Federal Financial Report
The recipient shall submit the final FFR no later than 90 days following the completion of the agreement. The
original and a copy of the report shall be submitted to the Grants Administration Office identified in block 16 of the
cover page.
13.3 Unexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the end of any
funding period, except the final funding period of the grant, shall be carried over to the next funding period, and may
he used to defray costs of any funding period of the grant This includes
allowing the carry over of funds to the second and subsequent years of a multiple year nt, but it does not apply to
options, which require current year funding. This provision also applies to subcontractors performing substantive
work under the grant.
ARTICLE 14: PUpLIC DISCLOSURE OF SCIE1+177FIC AND TECHNICAL INFORMATION
A. The Recipient may make formal public disclosure of the scientific and technical information from this
supported work (e.g., release articles for appropriate professional publications or present papers at scientific
meetings or symposia) and will take the following steps;
a. A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to
submission for publication.
b. Reference shall be attributed to a grant issued by the Intelligence Community Postdoctoral Research
Fellowship Program, or as may otherwise be prescribed by the Grants Officer.
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.
ARTICLE1 : Non-Publicity
The Recipient shall not use or allow to be used any aspect of this solicitation and/or agreement for
publicity. Publicity means, but is not limited to, advertising (e.g. trade magazines, newspapers, Internet, radio,
television etc.), communications with the media, marketing, or a reference for new business. It is further understood
that this obligation shall not expire upon completion or termination of this agreement, but will continue indefinitely.
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 Officer. Recipients are not required to obtain waivers when informing offices
within this Agency of agreements it has performed or is in the process of performing.
ARTICLE 16: HUMAN SUBJECTS
Approval is required by CIA prior to any work beginning involving human subject use. All proposals that involve
the use of human subjects must include documentation of their ability to follow Federal guidelines for the protection
of human subjects. This includes, but is not limited to, protocol approval mechanisms, approved Institutional
Review Boards (IRB), and Federal Wide Assurances. These requirements are based on expected human use issues
sometime during the entire length of the proposed effort. The recipient shall provide their IRB approval of specific
research, the blank informed user consent form, and the protocol and related documents as requested for secondary
approval by CIA.
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ARTICLE 17: ANIMAL SUBJECTS
Approval is required by CIA prior to work beginning involving animal subject use. Proposals selected for funding
that will use vertebrate animals in the research must comply with the Animal Welfare Act [7 U.S.C. 2131 et seq.)
and the regulations promulgated there under by the Secretary of Agriculture [9 CFR. 1.1- 4.111 pertaining to the
humane care, handling, and treatment of vertebrate animals held or used for research, teaching or other activities
supported by Federal awards. The recipient is expected to ensure that the guidelines described 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 Appendix D to the NAS Guide).
ARTICLE 18: MODIFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in good faith with the other signatory
parties to determine the desirability of the proposed modification. Modifications shall not be effective until a written
modification is signed by the Agreement signatories (or their successors) Administrative modifications may be
unilaterally executed by the CIA Grants Officer.
ARTICLE 19: SUSPENSION AND TERMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement 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 opportunity to explain or correct the breach or
deficiency within 30 days from receipt of notice. If grounds for termination for cause still exist, the Government
may terminate or suspend performance. If suspension is invoked, the Government may withhold further payments,
or prohibit the Recipient from incurring additional obligation of funds until corrective action is taken. If this
agreement is terminated after the Recipient has received Government funding, the closeout procedures in OMB
Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the following situations by:
A. The Agency when the recipient has materially failed to comply with the terms and conditions of the award;
B. The Agency when it has other reasonable cause; including departure of the Principal Investigator.
C. The Agency and the recipient by mutual agreement (if the Agency and the recipient cannot reach an agreement,
the Agency reserves the right to unilaterally terminated the award); or
D. The recipient on written notice to the Agency setting forth the reasons for such action, the effective date, and, in
the case of partial termination, the portion to be terminated or suspended (with the understanding that if the
Agency determines that the unterminated portion will not accomplish the purposes of the agreement, it may
suspend or terminate the entire agreement.)
E. Notwithstanding the above, for security or safety reasons or in the case of a serious breach that could lead to
irreparable damage, the Agency Grants Officer may order immediate suspension of work, in whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative Conference of the U.S., and with
the intent of the provisions of Alternative Dispute Resolution, the CIA provides the informal resolution
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processes described below concerning disputes or disagreements that may arise over a Grants Officer's post-
award decisions under a CIA agreement.
B. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
a. Cost disallowances pursuant to a Grants Officer's decision (e.g., specific disallowances under an
individual grant or as a result of an audit report);
b, Termination orders, and
c. The final settlement amount under a termination.
C. Procedures
a. The recipient should submit a certified letter to the Agency's Procurement Executive via the Grants
Officer noting the recipient's disagreement or dispute and identifying the Agency's Grants Officer's
decision in question, giving reasons for the request for review and providing any other material
pertinent to the request.
b. The letter to the Procurement Executive must be postmarked no later than 30 days after the date of the
letter notifying 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 preparing it will be granted.
c. The request for review need not follow a prescribed format; however, it must contain a full statement
of the recipient's position with respect to the disputed matter and the facts and 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 original decision); if an error in fact or application of Agency policy is
noted in the original decision; or improper procedures were followed in the original decision.
d. The Procurement Executive, will review or designate one or more individuals to review the matter.
One reviewing official will be at least at a management level equivalent to the official who made the
decision that is being reviewed. In no case, will the review be undertaken by any individual involved
with the decision or involved in recommending and/or monitoring the scientific and engineering
aspects of the project or responsible for negotiating and/or administrating its business aspects.
e. The designated individual(s) will review and consider all relevant information available. A report
which identifies the conclusion and recommendation will be completed within 30 days and forwarded
to the Procurement Executive or his/her designee for a final and unappealable written decision for the
agency. The Procurement Executive or his/her designee will communicate the decision in writing to
the recipient.
ARTICLE 20: RESEARCH MISCONDUCT
All research awards issued by the CIA are subject to the Federal Policy on Research Misconduct published in the
Federal Register on December 6, 2000 (65 FR 76260). The following definitions will be used when applying this
policy:
A. Research misconduct means the fabrication, falsification, or plagiarism in proposing, performing, or reviewing
research, or in reporting research results. Research misconduct does not include honest error or difference of
opinion.
B. Fabrication is making up data or results and recording or reporting them.
C. Falsification means manipulating research materials, equipment, or processes, or changing or omitting data or
results such that the research is not accurately represented in the research record.
D. Plagiarism is the appropriation of another person's ideas, processes, results or words without giving appropriate
credit.
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E. Research means all basic, applied, and demonstration research in all fields of science, engineering,
mathematics, education, linguistics, medicine, psychology, social sciences, statistics, and research involving
human subjects or animals.
F Research institutions includes all organizations using Federal funds for research, including, for example,
colleges and universities, intramural Federal research laboratories, Federally funded research and development
centers, national user facilities, industrial laboratories, or other research institutes.
G. Research record is the record of data or results that embody the facts 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 allegation of research misconduct should be reported to the CIA Grants Officer
ARTICLE 21: REPORTING CLASSIFIABLE INFORMATION
A. This award is intended for unclassified, publicly releasable research. The recipient will not be granted access to
classified information. The awarding agency does not expect that the results of the research project will involve
classified information.
B. If, however, in conducting 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 dissemination of the results, the PI should promptly notify the awarding agency's program
manager.
ARTICLE 22: ENVIRONMENTAL STANDARDS
The Recipient agrees 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
V.S.C. 1251, et seq.), as implemented by Executive Order 11738 (3 CFR, 1971- 1 975 Comp., p79491 and
Environmental Protection Agency (EPA) rules at 40 CFR part 15.1n accordance with the EPA rules, the
Recipient further agrees that it will:
a. Not use any facility on EPA's List of Violating Facilities in performing any award that is nonexempt
under 40 CFR 15.5, as long as the facility remains on the list.
b. Notify the awarding agency if it intends to use a facility in performing this award that is on the List of
Violating Facilities or that the Recipient knows has been recommended to be placed on the List of
Violating Facilities.
B. Identify to the awarding 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 V.S.C.
4321, et seq.) and to prepare Environmental Impact Statements or other required environmental documentation.
In such cases, the Recipient agrees to take no action that will have an adverse environmental impact (e.g.
physical disturbance of a site such as breaking of ground) until the agency provides written Approval.
ARTICLE 23: NONDISCRIMINATION
By signing this agreement or accepting funds under the agreement, the Recipient assures that it will comply with
applicable provisions of the following, national policies prohibiting discrimination:
A. On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of 1964 (42 V.S.C. 2000d, et
seq.).
UNCLASSIFIED
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B. On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 V.S.C. 1681, et seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.C. 6101, at seq.), as implemented by the
Department of Health and Human Services regulations at 45 CFR part 90,
D. On the basis of disability, in the Americans with Disabilities Act.
ARTICLE 24: CERTIFICATIONS
The following Certifications, which have been executed by the Recipient prior to award of this agreement, are
hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility Matters.
13. Certification regarding Drug-Free Workplace Requirements.
C. Certification regarding Lobbying.
ARTICLE 25: LIABILITY
The Agency cannot assume any liability for accidents, illnesses or claims arising out of any work supported by an
award or for unauthorized use of patented or copyrighted materials. The grantee institution is advised to take such
steps as may be deemed necessary to insure or protect itself, its employees, and its property.
ARTICLE 26: SPONSORSHIP BY AN "WAVY WITHIN THE INTELLIGENCE COMMUNITY
This grant is sponsored by the Central Intelligence Agency, an Agency within the Intelligence Committee. To ensure
compliance with Executive Order 12333, dated 4 December 1981, (revised 30 July 08) the individual signing this
instrument on behalf of the academic institution is authorized by the institution to contract with an Agency within
the Intelligence Community.
ARTICLE 27: PRIOR 'PROVALS
As appropriate, prior approval of the following deviations from budget and program plans are required:
A. The Grantee must consult the Program Manager in Block 15 of the Award/Modification document through the
AGO at the Administrative Office in Block 16 or the Grant Procurement Office in Block 6 of the
Award/Modification document before deviating from the research objectives defined in the grant proposal or
any sub-award, transfer or contracting out of substantive program performance under this award.
B. Support for the project may not continue without the active direction of the Principal Investigator approved 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
a. Appoint a replacement Principal Investigator with the approval of the Program Manager in Block 15
through the Grant Procurement Office in Block 6 of the Award/Modification document, or
b. Relinquish the Grant, in which case the Grant shall be terminated
c. Extension for the expiration period of this Grant � The AGO at the Administrative Office in Block 16
of the Award/Modification document has authority to approve a no-funds extension request meeting
a of the following parameters:
I. a one-time basis only; and
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I
ii. for a period not to exceed 90 days; and
where $50,000.00 or less of obligated funds remain to be expended.
In other cases, where a request is outside one or more of the parameters, a no funds extension can only be approved
with the concurrence of the Program Manager in Block 15 of the Award/Modification document. For any no-funds
extension to be effective, a written grant modification must be issued and signed by the AGO at the Administrative
Office in Block 16 under the circumstances above or the Sponsoring Office in Block 6 of the Award/Modification
document
ARTICLE 28: DATA RIGHTS
A. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this agreement shall
vest in the Recipient.
B. The Recipient hereby grants to the U.S, Government a non-exclusive, non-transferable, royalty-free, fully paid-
up license to use, duplicate, or disclose for governmental purposes any data, technology and inventions, whether
patented or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works developed under this agreement All
such copyrights will be in the name of the Recipient. The Recipient hereby grants the U.S. Government a non-
exclusive, non-transferable, royalty-free, fully paid-up license to reproduce, prepare derivative works, distribute
copies to the public, and perform publicly and display publicly, for governmental purposes, any copyrighted
materials developed under this agreement, and to authorize others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government on all
data and technical data delivered under the agreement. The Government shall be deemed to have unlimited
rights in all data and technical data delivered without markings.
ARTICLE 29: USING TECHNICAL INFORMATION RESOURCES
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
and avoid needless duplication of scientific and engineering effort.
UNCLASSIFIED
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1
Date:
Time:
To:
Fax:
Thursday, May 23, 2013
10:35:27 AM
Jill Frankenfield
Subject: Fax received from '703'
Page:
From:
Company:
Phone:
Fax:
1 of 7
703
54577
SI.
194 e$1,
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nw-cc-mol.) Ic;ba= rrom;
_
WO-44-1J 110:LJa rg;
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UNCLASSTFIED
z
FACSIMILE TRANSMITTAL
FROM
FAX 0
DATE: May 2013
NO. OF PAGES: (INC.
FAX COVER SHEET) 6
TO: University of Maryland
FAX.: [phone]
ORGANIZATION:
A'TTN: Jill Frankenfieid
TELNEXT: [phone]
COMMENTS:
Ms. Frankenfield,
Attached is Modification 5 to Grant Number 2010'1058114'000. Since we are exercising a
priced option your signature is not necessary.
Additionally, Article 13 of the Grant requires submission of quarterly financial reports (FFR
425). We have not been receiving this report. Please immediately submit a report for the
period ending 31 March 2013. This reported can be submitted via email to
If you have any questions, let me know.
Thank you,
tui Conige X2Li() tototi 4-turt,
uricvssitrav
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University of Maryland
2010-10581144XX)
Modification No.: 005
Page 1 of 1
For questions regarding this modification please contac
$un vatC
The purpose of this modification is to Cxercise a priced option for the period 01 July 2013
through 30 June 2014. Specifically, this modification increases the Grant value and finding and
extends the period of performance. As a result, the following changes are made:
I. Change Block 7 "Period of Performance" on Grunt cover page from 12 July 2010 through
30 June 2013 by 12 months to ;12 July 2010 through 30 June 2014.
2. Change Block 12 "Total Grant Amount" on Grant cover page from $240.000 by
$119,999 to $359,999.
3. Change Block 13 "Funds Obligated" and Block 20 "Amounting and Appropriation Data"
on Grant cover page to increase funding amount obligated (mm $240,(XX) by $119,999 to
$359,999.
4. Change Article 1, Scope of the Agreement, to:
a. Option Year (01 July 2013 through 30 June 2014) EXERCISED 20 May 2013
versus UNEXERC1SED.
5. Ch Article 5, Term of Agreement, from 36 months by 12 months to 48 months and
the period of performance from 12 July 2010 through 30 June 2013 by 12 months to 12
July 2010 through 30 June 2014.
6. Change Article 7, Fiscal Management, Section 7.2, Obligation to:
a. Increase the Government's share For run perInrmance of this award from
$240,000 by $119,999 to $359,999. Additionally, the amount allotted and
available for payment is increased from $240, # by $119,999 to $359,999.
7. Change Article 8, Revision to Financial Plans, Section 8, Option to:
a Option Year (01 July 2013 through 30 June 2014) EXERCISED 20 May 2013
versus UNbXERC1SEb.
All other articles
in full force effect,
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ASSISTANCE AGRRRM ENT
Award No
20101,1058114'1000
2. i 'cation No.
(X)5
'3. Effective Date
20 May 2013
4.
Page 1 of 15
5. A to
University of Maryland
- 6. Sponiawing 0 'ficc
Offia: 01 Integrated MiSSiOftS
_
7. Period of Performance
12 July 2010 through 30 June
2014
8 Type of
Grant
Cooperative
0
Agreement
JI4
El
Agreement
9. An ty
31 USC 6304 arid
10 USC 2358
10. Purchase Request or Funding Document No.
N/A
II. Remittance Address
See Article 4
- 12. Total Grant Amount
Govt. Share: $359,999
Cost $hare: $0
Total: $359,999
13. Funds 0bIigated
This action: $119,999
Total: $359,999
14. Principal Investigator
Dr. Alan Migdall
[phone]
IS. Program Manager
16. Administrator
17. Submit Payment Requests to
Vendor Payments
Ann: Mail Room
tt:
Washington, DC 20505
18, Paying Office
20. Accounting and Appropriation Data
Amount �thirsted: $359,999
Same as Block 17
9 Submit Reports
As Directed by the Technical Point of Contact
21. Research Title and/or Dtaieriplion of Project
A High Rate on Fock State Generator & Number-Resolving Detector for Super Resolution
22. For ilk: Recipient
23 124 the Umnal State of America
24. Signature of Person Authorized to Sign
25 Signature of (inter. Agnamients Offiem
26. Name anti Title
27. Date Signed
2K. Name of Ofrirrr
Grants Officer
UNCLASSIFIED
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University or !Naryhind
2010-1058114-000
Modification No.: 005
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ARTICLE SCOFF: OF THE AGREEMENT
The Recipient shill perform a coordinated research and development program in accordance with the Recipient's
technical portion tot the pmposal entitled "A Ffigh Rate Photon Fock State Gencrutor & Number-Resolving Detector
for Super Resolution",
first Year (12 Julv,2010 � 11 July 2011)
Goverr�mera'N Share t 120,
Recipients Shure (cat or on-kind) $ 0
Total First Year Agreement SI 20000
$econd Year (121,gly 2011 � 30 Jyne 2013)
Government's Share 5120.
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $120,000
'total Government Shure of A
5240.000
c)inion Year 101 July 2013 �30 lime 20141 (F;XFRCISED 20 May 2013$
Government's Share S119,999
Recipients Share (cash or in-kind) S 0
Total Option Year Agreement $119,999
Grand Total Government Share of Agreement $359,999
ARTICIX 2: DEFINITION;
Parties -- For the purposes of this Agreement, the parties are University of Maryland and the United States of
America, hereinaPkw called the Government or the Agency. represented by the Central Intelligence Agency.
Agreement -- The articles of this assistance agreement, Research Terns.: and Conditions (available at
lottp://www.nsf,eovintibs/ciolicyglocstrtc/ternwido..byside.pd0 and its attachments.
Recipient -- An organization or other entity rewiving a grant or cooperative agreement. For purposes or this
Agreement, the Recipient is University uf Maryland,
Performarxx Year - Each consecutive twelvt>inonth period from the effective dare of this agreement throughout the
term or the agreement.
Vir
3: ADMINISTRATIVE REOUIRVIENTS
A. This Agreement will be administered in accordance with, and recipients shall comply with, the Research Terms
and Conditions (available at bttp://www.gsEgovImobs/policvdocsincltermssidebyside.pdf)the requirement* of
the following OMB Circulars which are incorporated herein by reference:
a. OMR Circular A-2/ now codified at 2 ('FR part 220. "Cost Principles for Educational institutions"
b. OMB Circular A-I 10, Uniform Administrative Requirements fur Grant* and Agreements with
Institutions of High= Education; Hospitals. and Other Non-Prurd Organizations now codified at 2
CFR part 215
c. OMB Circular A-122. "Coat Principles for Non-Profit Organizations", now codified at 2 CFR part 230
d. OMB Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions" (27 June 03):
(revised 26 June 07) and
c. The Provisions of CIA thatiti Agency Announcement No. ICPDP-2010-0001. entitled "2010
Intelligence Community Postdoctoral Research Fellowship Pmgram."
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Rocipiunt'% Principal Investipator
P.I. Name: Dr. Man Migdall
nePartment: Joint Quantum 'Institute
Address:National Institute of Standards and Technology
University of Maryland
100 Bureau Dr. MS 8441
Gaithersburg. MI) 20899-8441
Phone: [phone]
Fax: [phone]
migdall*nist.gov
Recipient's Authgriml Organizational Represpinative
AOR Name: Jill A. FraNtenfield
Title: Contract Manager, Office of Research Administration & Advancement
Address: 3112 i/X Building
University of Maryland
College Park, MD 207424111
Phone: [phone]
Fax: [phone]
Email: ifrankenqumd.edu
ARTICLE S: TERM OF rIIE AGREEMENT
The project has been approved on scionilicitechniigil merit for 36 months. The penod of performance Is 12 July
2010 � 30 June 2014.
ARTIci,E 6; KEY PERSONNEL,
The key personnel listed below must be employed with University of Maryland at the time of award and shall be
maintained, to the maximum extent possible, throughout this ugnxmcnt. Should changes he necessary. University of
Maryland shall notify the Agency Grants 011ice (identified in Block (S of the flux page) in writing of the proposed
substitute(s) within 30 days of the change in order to obtain approval Of the substitution from the CIA Program
Manager,
KEY PERSONNEL
Principal Investigator: Dr. Alan Migdall
Fellow: Boris Glebov
4 RTICLF.J; FISCAL MANAGEAt ENT
7.1 Restrieikins of the Use of Government Funds
Government funds provided under this Agreement must be allocalcd by the Recipient exclusively for the execution
and operation of the Agreement Scope. Government funds shall not he utilized to support the Recipient's operations
or administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Govemmcnfs lirtioncial obligation exceed the amount obligated on this Agnxment or by
amendment to this Agreement. The Cnovernment's share for full performance of this award is $359,999. Of this
amount, $359,909 is allotted and available for payment. This grant is fully funded. The Covernment is not obligated
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Modification No: 005
Page 7 of 15
i. Appoint a replacement Principal Investigator/Postdoctoral Fellow with the approval of the
Program Manager. or
ii. Relinquish the Assistance Agreement, in which case the Agreement shall be terminated.
iii. Change the recipient inititution's cost share amount reflected in the approved budget
iv. Use human subjects or vertebrate animals
v. Require no cost extensiOns exceeding 12 months
D. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the end of
any funding period, except the final funding period of the grant, shall he tarried over to the nest funding period,
and may be used to defray costs of any funding period of the grant. This includes allowing the carryover of
funds to the second and subsequent years of a multiple year grant. This provision also applies to subcontractors
performing substantive work under the grant.
E. SPECIAL CONDITIONS: N/A
F. OPTION
The Government may extend the term of this grunt by issuing a unilateral modification.
er (01 July 2QD -30 June 20141 ( EXERCISED 20 May 2013)
Government' a Share $119.999
Recipients Share (cash or in-kind)
S 0
Total Option Year Agreement
S119.999
ARTICLE V INVENTIONS
A. The clause entitled "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms," (37
CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 arc modified as follows:
replace the word "contractor" with "Recipient"; replace the words "agency," "Federal Agency" and "funding
Federal Agency" with "government"; replace the word "coroner with "agreement"; delete para (g)(2).
(10(3) and the words "to be performed by a small busines.s firm or domestic nonprofit organization" from
Paragraph WM: Para (1), Communications, point of contact on Mallen rchaing to this clause will be the
CIA Omits Officer
B. The Recipient shall file Invention (Patent) Reports as of the close of the performance 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 final performance period. Negative repents are also required
The Recipient shall submit the original and one copy to the Grants Officer.
C. Final payment cannot be made nor can the agreement be closed out until the recipient delivers to the
Government all disclosures of subject inventions riNuinal by this agreement, an awl-viable final report pursuant
U, article 12 entitled "Annual and Final Technical Reports," and all confirmatory instruments.
D. All rights and ulle to data and technical data, as delinial in 4It CFR 27.401, generated untk,7 this agreement shell
vest in the Recipient.
F. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-
up license to use. duplicate, or disclose for governmental purposes any data. technology and inventions, whether
patented or not, made or developed under this Agreement.
F. The Recipient reserves the right to protect by copyright original works developed under this agreement All
such copyrights will he in the name of the Recipient. The Recipient hereby grants the U.S Cinvemmeta a non-
exclusive, nun-transferable. royalty-free, fully paid-up license to reproduce, prepare derivative works. distribute
IINC7-ASSII4ED
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Approved for Release: 2019/06/25 C06547182
UNCLASSIFIED ;
ASSISTANCE AGRZEMENT
Award No.
2010*1058114 1 1 1
2. Modification No.
i i .
3 Effective Date
31 March 2014
4.
Page 1 of 15
. Awarded to
University of Mary
6. Sponsoring.
Office of
cc
Late Missions
7. Period of Perf.
12 July 2010 30 Juno
2014
. T of
Grant
0
Other
..ve
- nt
A
9. Authority
31 USC 6304 and
10 USC 2358
10. Purehaic Request or Funding Document No.
N/A
11. Remittance Address
See Article 4
12. Total Gram
Govt. Share: $359.999
Cost Share: 80
Total: $359.999
13 Funds Obligated:
This action: SO
Total: 8359,999
14. Principal
15. . ,
6. Administrator
Dr. Alan Migdall
[phone]
( '
17. Submit Payment
Vendor Payments
Attn: Mail Room
to
18. Paying Office
Same as Block 17
19. Submit .
As Directed by thc Technical Point of Contact
Address'
Washin . DC 20505
20. Accounting and Appropriation Data
Amount Obligated!
21. Research Tide and/or Description of Pmjoct
A High Rate Fock State Generator & Number-Resolving � -- r for Super Resolution
22. RN the Recipient
23. For the United States of America
24. Signature of Person Authorized to Sign
2.
26. Name and Title
27. Date Si
28. Name of Officer
29. Date Signed
3131 I( (b
Lirants Officer
UNCLASS
a. a 1 ag.fele. .1Bd, I T.
�Approved for Release: 2019/06/25 C06547182
Approved for Release: 2019/06/25 C06547182
University of Maryl
2010-105811
Modification No.
Page 1 of 1
UNC SIFIEU
For questions regarding this modification please comae
of modifi on is to ge the Pro
u te the i ts office inventioh
following changes are
1. In Block 15, the
The phone num
2. In Article 4, the Cent
ad to:
(Jig
(b)(3)
to (b)(3)
As a result, the (b)(3)
cy Grants cc � Invention R
OIM Con
Washington DC 2
s, phone and fax nu
tin
5
remain the
I I
In ft$11 force and
(b)(3)
(b)(3)
(b)(3)
(b)(3)
UNCLASSIFIED
Approved for Release: 2019/06/25 C06547182
Approved for Release: 2019/06/25 C06547182
UNCLASS
University of Maryland
2010-105811
Modification No.:
P 4 nfl5
The Provisions of CIA B Agency Announcement ble. I
Intent Community Pos toad h Fellowship Pro
414�
B. Should there be any inconsistency between the special conditions contai
and the Re Terms and Conditions. the Articles of the � ; ment
I 'stency between the Research T and � itions and any
Broad ' y Announcement. g � bi etc., citc.4 or incl
should he referred to the CIA Grants Officer for gu'
Central Intelligence Agency Grants ofri
Atm:
Address:
Phone.
Fax
Email:
Washin
n. DC 20505
Technical Point of Contact
Central Intelligence Agency
ATTN:
�
P-201
4
I
I, crtf "2010
in the Articles of this a
control. Should there be any
itions contained in the CIA
by ref in the a ment, the
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
Invoices shall be subnii using the Internet Payment Platform (IPPI). If the Grantee is re in IPP. the
Grantee shall call the V Service Center on Within two weeks of grant award to register. Items (b)(3)
a to facilitate regis s include; a valid I nu r and thq name phone . and e-mail for
the Grantee's point of contact. The Grantee may � inquiries � mg invoices to the payment office on
If the Grantee is unable to submit a payment request in electronic form, or the y is unable to receive a
payment req in el form. the Grantee shall submit the pa request using a me mutually
by the Grantee, the GrantsOfficer,: the payment office.
Invention Re
Grants Office
�Tess:
'tie:
Fax:
(b)(3)
(b)(3)
(b)(3)
UNCLASSIFIED
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Approved for Release: 2019/06/25 C06547182
UNCLASSIFIED
FACSIMILE TRANSMITTAL
FROM
FAX *
DATE: 31 March 2014
NO. OF PAGES: (INC.
FAX COVER SHEET) 4
TO: University of Maryland
FAX 0: (301) 3144569
ORGANIZATION:
ATTN: Jill Frankentield
TELNEXT: [phone]
COMMENTS:
Attached is unilateral modification 006. Only change pages are being sent and no signature is required.
Please let me know If you have any questions.
Thank youl
.0.
--Approved for Release: 2019/06/25 C06547182
Approved for Release: 2019/06/25 C06547182
ASSISTANCE AGREEMENT
�����������111111111011111.6
Award No.
2 Modification No.
3 Effective Date
4.
2010*1058114�000
007
31 March 20 4
Page 1 of 15
5. Awarded to
Sponsoring Office
Period of Performance
University of Maryland
Office of Integrated Missions
12 July 2010 through 31
December 2014
. Type of Agreement
. Authority
10. Purchase Request or Funding Document No.
Grant 23
31 USC 6304 and
N/A
Cooperative Agreement
10 USC 2358
0
Other 0
11. Remittance Address
See Article 4
7:4;. Principal Investigator
Dr. Alan Migdall
[phone]
12. Total Grant Amount
Govt. Share: $359,999
Cost Share: $O
Total: $359,999
13. Funds Obligated:
This action: SO
Total: S359,999
5. Program Manager
16. Administrator
7. Submit Payment Requests to
Vendor Payments
Attn: Mail Room
A.ddress,
Washington, tx- ZUZAD
18. Paying Office
20. Accounting and Appropriation Data
Amount Obligated: $359,999
Same as Block 17
19. Submit Reports
As Directed by the Technical Point of Contact
(b)(3)
(b)(3)
21. Research Tide and/or Description of Project
A High Rate Photon Fock State Generator tk Number-Resolving Detector for Super Resolution
22. For the RiZi
24. Signature of Person to Sign
26. Name and Title
TaktdiU.etibin Cortact
Cce ci Rooth MINNS=
27. Date Signed
23 For the United States of America
28. Name of Officer
Grants Officer
UNCLASSIFIED
n������������������00
(b)(3)
29. Date Signed
Fie
(122S3)
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UNCLASS
of this
tional cost to the Gov
cation is to ex . the "od of performance by 6 months at no
$
t. As a result, the following changes are
1. e Block 7 "Period of Pod. Ion
30 June 2014 by 6 months to 12 July 2010
2. C, �� e Artick 1, of the � , to:
a. Option Year (01 July 2013 through 31
2013.
3. Change Article 5, Term of A
-4:4 of perf. Of I,* from 12 July 2010
2010 through 31 .. - 2014.
4. ge Article 8, Revision to
a. Option Year (01 July 2013 � ugh 31
2013.
61.
University of Maryland
2010-105811
M cation No.: 007
1 of 1
For questions reg
The
Ii
C:
t cover page from 12 July 2010
g,h 31 b- . 2014.
2014) RCISED 20 May
48 months by 6 months to 54 months and the
gh 30 June 2014 by 6 months to 12 July
on 8F, Option to:
ber 2014) I CLSED 20 May
effect.
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Approved for Release: 2019/06/25 C06547182
UNCLAS
1,661 �
A. This - , will be -stered in �, with, and shall
and Comlidons (available at t�Ilvoww.nsf.govipabricsolicvdoc ssidelmide
' by reference:
at 2 part 2-20, "Cost
ve
ital.% and
�
University of Maryl
2010-105811 tu
M. � � - on No 007
Page 3 of 15
The Reci shall Perform a
technical portion of the
for Super Resolution".
10
6,4 6 61
development program in accordance with the Reci � t's
'tied "A Foci State � & Namber-Resolving Detector
Gov� 's Share
Recipients Share (cash or in-kind)
Total First Year A
6,0111 t
Year (12 July 2011 � 30 June 20131
Go t's Share $120,000
Share (cash or in- 410 I $ 0
$120
$ 0
S120
'II
9 1
Total Second Year meat
Total
III,.
Share of
.-00111 *
Go � 's Share
ts Share (cash or in-
Tonsil 'on Yein.
Grand Total Go
.00 � fe
ARTICLE 2: DEF1N777
�
Share of
� For the � .. of this Agr
hereinafter called the Go
� An
Agreement, the
000110 .001
1.1 II
term of the
0.161 II 00.1
If
*114 001
I'. �.At�A -"ill 10
$120.000
$240,000
1111
V* �
.0
S119,
$ 0
$119,999
$359999
the are University of
or the Agency, ted by the � Intelligence
Terms and Conditions (available at
idebvsida.pdf) and its a ,
on or o entity receiving
is University of Mary
Year Each
.4 .11,611
t or
. twelve-month period
���
�
�
and the United States of
y.
nt. For . �� � of this
date of this agreement � ughout the
the following 0
LO
b.0
which are
A-21 now
A-)10, U.
1nsti Ons of Higher
CFR part 215
c. 0 A-122. "Cost Principles for Non-Profit
d. 0 Circular A-133. "Audits & ' LocalGu
(revised 26 Awe 07) and
W. �
r0
UNCLASSIFLED
.00/0,40*
- �
��
�
ly with, the
the req
�
4iI
� for Educational
ts for Grants and
Non-Prollt
or.
1..11*
,g0f. 6
It 044
meats with
Terms
of
� 16
ons now tadat2
��� 00
ons". now at 2 CFR part 230
and Nonprofit Institutions" (27 June 03);
Approved for Release: 2019/06/25 C06547182
Approved for Release: 2019/06/25 C06547182
UN'-
Lw
University of Maryland
2010-1058114-
I I I
4 410-.10 4f1/
5 of 15
,
t'
No � 007
dl
*
vonstar
Pi- Name: Dr. Alan ltdigclall
pep Joint � cute
Address:National Institute of S and T
Phone:
Fax:
University of Maryland
100 Dr. MS 8441
Gai MD
[phone]
[phone]
[e-mail]
�
AOR Name:
Title:
Phone:
Fax:
Email:
_
Jill A.
Contract
3112 Lee B
University of Maryland
Co Park, MD 20'742-4111
[phone]
(301) 314 �
-
I
ARM - 5: TERN _oF rks AGRI
The project has
2010 � 31
b
A LE
The key
ned, to the
shall nodi'y the
te(s) wi " , 30 days of the
4 _
I. � �
2014.
_-
merit for 54 months. The period of per!. is 12 JulY
below most be ..i.loyed with University of Maryland at the time of award and shall be
extent possible. throu this ... -, t. Should be - - . University of
Grants Office (i in Block 6 of the face ) in writing of the
in order to obtain � � val of the ... � on from the CIA Pro
NNEL:
Principal Inv Dr. Alan Migdall
Fellow: Boris Glebov
7.1
of the Use of Go
"1.2. Oh on
In no case shall the Gov
so this
$359,999 is
�
41
Funds
must be by the Reel
s shall not be utilized to
4
exclusively for the execution
the Recipient's
S ob �'on exceed the amount obh on this or by
t The Gov t's share for full perf. . of this award is S359 . Of this
and available for pa This cis fully . � . The is not ob
UNCLASS
J.
Approved for Release: 2019/06/25 C06547182
S Ced 4.4 & & SOM. � a � .610 ay, Tad�����
Approved for Release: 2019/06/25 C06547182
UNCLASSIFIW
University of Maryland
2010-1058114-000
, No.: 007
� SO
7 of 15
i,�
t a rep
or
*sh the Assistance
ge the recipient
iv. Use human
It ". ts t Ols
hives
in which case the
ral Fellow with the � � val of the
shall be terminated.
ved � . � get
$1, I
's cost share amount reflected in the
�
v, no cost excel:fin 12 months
D Unless � 1.'"' by the Grant any of funds which remains at the end of
any except the of the � shall be carried over to the next Period,
and may be y costs of any period of the This includes �' the of
to the and uent years of a multiple year grant This provision also a to subcontractors
perfami'ng tive work under the grant-
E., SPECIAL. CONDITIONS: N/A
F. OPTION
The Go
Go
�
f
f 0
extend die term of this by is
Year (01Ju1y
's Share
ts Share (cash or in-kind)
Total Option Year
� I
44RTICLE_9: INVENTION
A_ The clause entitled
OFR 401) is
replace the word "
with "gov
(g)(3) and the words "to be pert'
44); . (1), Co
f
2P14)
$119,999
$ 0
$119,
up 20 May
to Inventions Made by Nonprofit Or
by and the clauses in
with "Reid � ; replace the words "
the word " � , � "with"
by a small firm or
point of contact on
11,1
CIA
s. II 41 , t
Dons S Business Firms," (37
b401.14 are modified as follows:
" and "funding
(gx2).
from
to this clause will be the
�
:O:SSI 4: I � I
B. The Recipient file In (Patent) as of the close of the pert. ,, , year and at the end of the
term for this Ili .... Annual are due 60 days after the end of ach year of Fed. �� �� and final
are due 60 days after the on of the pelf . Negative mom an also requited.
The ' t shall submit the and one copy to the Grants
C. Final pa cezmot be niede nor can the
Go all ures of subject in
to article 12 entitled "Annual and Final T
D.
E.
All rights and tide to data and
eat in the
fts 00,
data, as
The ' e � ts to the U.S. Go
up license to use, . .4. - or disclose for go
� or not, made or devel this
F. The - e et reserves the right to protect by
such oopyrights will be in the name oftlz Reci t. The Reci �
exclusive, non. - �le. royalty-free, fully paid-up license to
be closed out
by this
Reports," and all
50111 I 11
in 48 CFR 27.401,
the t delivers to the
L an �� . le final report pursuant
ts.
II �
under this agreement s
a non-exclusive, non-transferable, royalty-free, fully
logy and inventions,
any
under this -If All
the U.S. Government a non-
derivative works. -� � ute
Approved for Release: 2019/06/25 C06547182
S. /1 � 4111����
� 1.11������������ %WM,
Approved for Release: 2019/06/25 C06547182
UNCLASSIFIED
41k
FROM
FAX 0
FACSIMILE TRANSMITTAL
TO: University ot Maryland
FAX 0: [phone]
ORGANWAT1ON:
ATTN: Jill Frankenfield
TELNEXT: [phone]
DATE 8 may 2014
NO. OF PAGES: (INC.
FAX COVER SHEET) 6
COMMENTS:
Ms. Frankenfield,
Attached is Modification 7 to Grant Number 2010105811410/ Please sign the cover
page and return it to me at
If you have any questions, let me know.
Thank you,
Wr.1401MD
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pproved for Release: 2019/06/25 C06547182
A photon counting detector that can count the number of photons in a single optical pulse
opens up a number of measurements that are not possible without that capability. The
transition edge superconducting microbolometer (TES) is now offering such capability
and doing so with very high (95%) detection efficiency. We will use this detector for
measurement beyond the conventional optical limits. One scheme using the TES's
capability along with a coherent source will push image resolution beyond the usual
Rayleigh limit. Another scheme uses the TES's number resolving capability along with a
photon pair source to create high photon number Fock states which can be use for
additional resolution enhancement where the resolution can scale like X/N where X is the
wavelength of light and N is the number of photons in the state.
To make the high photon number Fock states, we use the number resolving capability of
the TES along with the basis of many heralded single photon sources to produce N-
photon sources. That will be done using a typical pair source such as produced by
parametric down conversion and instead of heralding at low rates on the occasional single
photon, we will herald on N-photon events that the TES can detect. This will be the basis
of a high rate N-photon source for the enhanced resolution measurements.
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