ASSISTANCE AGREEMENT 2011-11071400011

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06547185
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 24
• Document Creation Date: March 8, 2023
• Document Release Date: August 27, 2019
• Case Number: F-2015-02731
• Publication Date: August 26, 2011

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ASSISTANCE AGREEMENT
No,
1071400011
ded To
ty of Maryland
Coopera
Other I
Remittance
Ad
See Article 4
14. Principal nvestigator
7 Payment Requests T
Vcndor Payments
Ann: Mail Room
Address'
20505
2. Mai6carion No.
Rase
9. Authority
31 USC 6304 and
10 USC 2358
3. Effective Date
26 Augu.st 2011
6. Sponsoring Office
Office of the Chief Scientist
12. Total GrantAmount
Govt. Share $238,430
Cost Share $ 0
Total $238,430
5. Program Manager
Accounting d Appropriation Data
b at d: S23&430
PaytngO
ock 17
21 Research Tit1 aridJor Decri1tion of Project:
nferring Plausible Interpretations for Data Based on Weak CaRelations
10. Purchase R
16. Administrator
UeS
4
Page 1 of 18
7. Period of Pert�
26 August 2
or Funding Document
,430
,430
(b)(3)
(b)(3)
9. Submit Reports To
As Directed by the Technical Point of Contact
For the Rocipient
22. Signatyre of Peison uthoiized tt Sign
23. d Title
Ji1Iiarlkenfie1d,
4. Date Signed
(b)(3)
For the United es of Ament
Officer
21, Date
(b)(3)
(b)(3)
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TABLE OF CONTENTS -
CIA Grant Agreement
ARTICLE I SCOPE OF THE AGRE
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINIsTRATIvE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE 8 REVISION TO FINANCIAL FLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 HUMAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 1$ 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 THE AGREEMEN
The Recipient shall perform a coordinated research and development program in accordance with the
Recipient's technical portion of the proposal entitled Inferring Plausible Interpretations for Data Based on
Weak Causal Relations
First Year (26 August 2011 � 25 August 2012)
Government's Share
$119,700
Recipients Share (cash or in-kind)
$ 0
Total First Year Agreement
$119,700
Second Year (26 August 20 25 Au
2013
Government's Share
,730
Recipients Share (cash or in-kind)
0
Total Second Year Agreement
18,730
Total Government Share of Agreement $238,430
Third Year OPTION (26 Augtja2013 �25 AUQU5t 2014) UNEXERC SED
Government's Share
$118,892
Recipients Share (cash or in-kind)
$ 0
Total Second Year Agreement
$118,892
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
blip ://www.nsf ov/ ubs/ Id do / ern 'deb side. df) 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 htto://www.nsf.gov/oubsLoolicvdocsinc/:ermssideb id df)the
requirements of the following OfvIB Circulars which are incorporated herein by reference:
- OMB Circular A-21 now codified at 2 CFR part 220, "Cost Principles for Educational Institutions"
- 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
- OMB Circular A-122. "Cost Principles for Non-Profit Organizations", now codified at 2 CFR part 230
- OMB Circular A-133, 'Audits of State, Local Governments, and Nonprofit Institutions' (27 June 03):
(revised 26 June 07) and
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- The Provisions of CIA Broad Agency Announcement No. ICPDP-2011-0001 n I d "2011 Intelligence
Community Postdoctoral Research Fellowship Program."
B. Should there be any inconsistency between the special conditions contaired 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 RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
Washington, DC 20505
Phone:
Fax:
Email:
Technical Point of Contact
Central Intelligence Agency Program Officer
ATTN:
Address:
Phone:
Fax:
Email:
Washin
on, DC 20505
Government Payment Office
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 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 or
If the Grantee is unable to submit a payrnent 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
agreed to by the Grantee, the Grants Officer, and the payment office.
Invention Reporting
Grants Officer
Address: Contracting Team
ARC
Phone:
Fax:
Email:
n =on. DC 2 505
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ULF Ai sio.-sa ry.
Recioents Prin
P.I. Name: James A. Reggie, Professor
Dept. of Computer Science & Institute for Advanced Computer Studies
University of Maryland
A.V. Williams Building
University of Maryland
College Park, MD 20742
Phone: [phone] (cell: 410-949-7005)
Fax: [phone]
Email: [e-mail]
Recipient's Authorized Organizational Representative
AOR: Barbara O'Malley,
Contract Manager
Office of Research Administration and Advancement
3112 Lee Bldg.,
University of Maryland
College Park, MD 20742
Phone: [phone]
Fax: [phone]
Email: [e-mail]
ARTICLE 5 TERM OF THE AGREEMENT
The project has been approved on scientific/technical merit for24 months. The period of performance is 26
August 2011 � 25 August 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. James Regg
Fellow (when identified): TBD
ARTICLE 7 FISCAL MANAGEMENT
7.1 Restrictions of the Use of Government Funds
Government funds provided under this Agreement must be allocated by the Recipient exclusive/NJ/ 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 Governments share for full performance of this award is $238,430. Of
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this amount, $236,430 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 at 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:
B. CIA Grants Office, Block 6
7.5 Program income
Al! 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 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 Officer's prior written approval is required for actions wh oh:
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.
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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. If the approved Principal Investigator/Postdoctoral Fellow severs his or her connection with the
recipient ins-titution 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
Relinquish the Assistance Agreement, in which case the Ag-eement 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
N/A
8. OPTION
The Government may extend the term of this grant by issuing a unilateral modification.
hird Year OPTION (26 August 2013 � 25 August 2014) UNEXERCISED
Government's Share $118,892
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $118,892
ARTICLE 9 INVENTIONS
(a) The clause entitled "Rights to Inventions Made by Nonprofit Organizat ons 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 firal 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.
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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 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:
(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 (4) 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):
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.
(7) New discoveries, inventions, or patent disclosures and specific applicat ons 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
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A. A Final Technical Report is due at the completion of the agreement. This -eport 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
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 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 comm tments of key personnel and in
the planned approach; acquisition or fabrication of major or special researcn 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 re.su'ts. 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
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computations not normally accepted by technical journals. It is not appropriate for a students 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.
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.
Govemment.'
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.
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 74 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) arid will take the following steps;
(1) A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to submission
for publication.
(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
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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 prcposed 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 AMMAL 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-
4.11] 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 (induced 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 Recipiert has received Government
funding, the closeout procedures in OMB Circular A-110 apply.
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The agreement may be suspended or terminated in whole or in part in any cf 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, arid, 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 C:A 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:
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);
termination orders; and
the final settlement amount under a termination_
C. Procedures
i The recipient should submit a certified letter to the Agency's Procu-ement 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.
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 mailer arid 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 Of application of
Agency policy is noted in the original decision; or improper procedures were followed in the original
decision.
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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 nformation 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:
- 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.
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 omitti
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.
v. 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.
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ry J.
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, e seg.) and Clean Water Act (33
V.S.C. 1251, et seq.), as implemented by Executive Order 11738 (3 CFR, 1 971 - 1 975 Comp., t)799] 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.
- Notify the awarding agency it it intends to use a facility in performing ths award that n 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.).
B. On the basis of sex or blindness, in Title IX of the Education Amendmen:s 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, et 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 pr or 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.
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ARTICLE 26 SPONSORSHIP BY AN 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 12333, dated 4 December 1961, (revised 30 July D6) 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 riot 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:
a one-time basis only; and
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, ncn-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.
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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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Approved for Release: 2019/06/25 C06547185-' LA-
�
0-11(lo(p (b)(3)
To:
Barbara O'Malley
From:
eggia
Fax:
Pages:
Phone:
7 August
2011
Grant 2011-1107
0 Urgent
El For Pev[ew 21 Please Comment
Please Reply 0 Please Recycle
Barbara,
Can you please sign and return the first page only of the Grant to
Thank you!
by 26 Aug 2011?
(b)(3)
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TRANSIII I ION BEVION T
Number
Date : 08-26-11 16:43
Date/Time
Dialled number
8-26 16:43
Durat
Mode
Pages
0' 16"
NORMAL
2
Status
r-To:
Correct
University of Maryland
Office of Research Administration & Advancement
3112 Lee Building
College Park, MD 20742
Muriel Averilla-Chin Phone: [phone]
Far: 301-314-959
[e-mail]
Address: M
net Averilla-Chin, Contract Administrator
Award No. 2
accordance with instructions, please find the first page
pied by an Authorized Representative.
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Date:
To:
Receiving Fax
Receiving Phone:
Pages:
Subject:
Reference:
Dear____
/31-31-13 1Z :PlZp p9: 1
pproved for Release: 2019/06/25 C06547185
(b)(3)
&id- 5-.2615
FACSIMILE TRANSMITTAL
SNIVAMVIONVISI
tit we:, D'trolizy
c-1.--(K709
47ncluding cover sheet
Modification
Contract I VceDi I
Please see the attached modification-changing the CO for the subject
Grant and updating the contact information for the PM. Since the
changes are administrative only, the modification Is unilateral and there is
no need for you to sign it. If you have any questions, feel free to contact
the undersigned at
Thank you,
Grants Officer
(b)(3)
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�LP el 1 .1}.411 � �FiLeer �
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9
UNCLASSIFIED
University of Maryland
2011-11071 111
Modification No.: 001
Page 1 of 1
For questions regarding this modification please contact Mary S. at
Su ry of Chan
It
The purpose of this modification is to change the Administrative Grants Officer from Julia L. to
Mary S., update the Program Manager's contact infonnation and change the Sponsoring Officc's
name. As a result, the following changes are made:
1. In Block 6, the name of the Sponsoring Office is changed from "Office of Chief
Scientist" to "Office of Integrated Missions".
2. In Block 15 Program Manager
i:thone number is changed from
3. In Block 16, the Administratoris changed from The phone number is
changed from
4. In Article 4, the following changes arc made:
a. The Grants Officer and contact information is changed as follows:
From
Grants Officer
Phone
Fax
To
b. Thc Technical Point of Contact remains the same
however, the following contact information is changed to reflect new numbers
(mailing address and email remain unchanged):
From
To
Phone
Fax
c. The following Invention Reporting contact information is changed as follows
(mailing address remains the same):
From
To
Phone
Fax
E I
All other articles remain unch ed and in full force and effect,
UNCLASSItgED
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ea a a %ran
111-31-13 1Z:02p Pg : 3
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UNCLASSIFIED
ASSISTANCE AG ENT .**---�
1. Award No.
2011-11071400011
2 Modification No.
001
3. Effective Date
14 January 2013
4.
Page 1 of 16
5. Awarded To
University of Maryland
6. Sponsoring Office
�(11et: of Integrated Missions
7. Period of Performance
26 August 2011 through 25 August
2013
8.Type of Agreement
Grant 04
Cooperative Agreement 0
Other 1:1
9. Authority
31 USC 6304 and
1() USC 2358
10 Purchase Request or Funding Document No.
11. Remittance Address
See Article 4
12. TotarGrant Amount
Govt. Share $238,430
Cost Share $ 0
Total $238,434)
13. Funds Obligated:
This action: $0
Total: $238,430
14. Principal Investigator
15. Program Manager
16. Administrator:
Dr. James Reggia
301405-2686
(b)(3)
.17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
18 Paying Office
Same as 13 lock 17
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3
Address
DC 205
JWashington,
20. Accounting and Appropriation Data
Amount Oblisahrd: $238,430
21. Research Title and/or Description of Project:
Inferring Plausible Interpretations for Data Rased on Weald Causal Relations
,
For the Recipient
For the United States of America
22. Signature of Person Authorized to Sign
e r....... "...����..p ...
25. S'
�� ....1
(b)(3
23. Name and Title
24. Date Signed
26. TSULAK. 1.11 .1.1/111,C1
27. Date Si ned
Grants Officer
///.5.- 20/? (b)(3
UNCLASSIFIED
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UNCLASSIFIED
University of Maryland
2011-11071400011
Modification No.: 001
Page 4 of 16
- OMB Circular A-I33, "Audits of State, I .ocal Governments, and Nonprofit Institutions" (27 June 03); (revised 26
June 07) and
- The Provisions of CIA Broad Agency Announcement No. ICPDP-2011-0001, entitled "2011 Intelligence Community
Postdoctoral Research Fellowship Program."
B. Should there he 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 Rroad 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.
4RT1LE 4 AI)MIN1STR4TIVlLRFSP
Central Intelligence Agency Grants Office
Ann:
Address:
Phone:
Fax:
Email:
Contracting Tram
ARC
Washin
ton, DC 20505
Technical Point of Contact
Central Intelligence A
ATTN:
Address: Washin ton, DC 20505
Phone:
Fax:
Email:
Government Payment Office
Invoices shall he submitted using the Internet Payment Platform (IPP) If the Cirantee is not registered in LPP. the
Grantee shall call the Vendor Service Center or 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 submit the payment request using a method mutually agreed to by the
Grantee. the Grants Officer, and the payment office.
Invention Reviling
Grants Office
Address: Contracting Team
UNCLASSIFIlill
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31 3A A3 Ais*W.P3r AV.
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UNCLASSIFIED
University of Maryland
2011-11071400011
Modification No.: 001
Page 5 of 16
ARC
Washington. DC 20505
Phone:
Fax:
Email:
Recipient's PriNioal Investigator
P.1. Name: James A. Reggia, Professor
Dept. of Computer Science & Institute for Advanced Computer Studies
University of Maryland
A.V. Williams Building
University of Maryland
College Park, MD 20742
Phone: [phone] (cell: 410-9497005)
Fax: [phone]
Email: [e-mail]
Rec.pient's Authorintl Qrganizational Represerjtativc
AOR: Barham O'Malley.
Contract Manager
Office or Research Administration and Advancement
3112 Lee Bldg.,
University of Maryland
College Park, MD 20742
Phone: [phone]
Vas: 301-314-9569
Email: oraaglumd.edu
ARTICLE 5 TERM OF THE AGREEMENT
The project has been approved on scientific/technical merit for 24 months. The period of performance is 26 August
2011 � 25 August 2013.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must he 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 appmval of the substitution from the CIA Program
Manager.
KEY PERSONNEL:
Principal Investigator: Dr. James Reggia
Fellow (when identified): TBD
UNCLASSIFIED
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Inferring Plausible Interpretations for Data Based on Weak Causal Relations
PI: James Reggie, Dept. of Computer Science, University of Maryland
IC Relevance, Goal and Objectives
Interpretation of data by intelligence analysts, sometimes referred to as "sensemaking", is
widely recognized to be a challenging task. For example, such data can be incomplete, noisy,
inconsistent, subtle, and voluminous. A critical aspect of the interpretative process involves
using cause-effect knowledge to generate and evaluate plausible explanatory hypotheses for the
data, a reasoning process that is often referred to in artificial intelligence (Al) as abductive
inference [J1,P1,R1,T11. This same type of reasoning is used in everyday common-sense
problem solving, and it is the basis for deoision making in many other disciplines, such as with
medical diagnosis, criminal investigation, software debugging, and scientific discovery.
Experimental studies have found that human abductive reasoning is a hypothesize-and-test
process, and have characterized its features in some detail, including that it is generally highly
focused on one or a few most likely hypotheses [El]. However, while abductive reasoning is in
general a rational approach, it can lead a person to prematurely focus on one apparently most
likely interpretation of data and to not consider other (perhaps more subtle) explanations
adequately. In particular, it can result in situations where an analyst misses a critical relevant
hypothesis that is based on weak (low probability or indirect) relationships.
� Substantial past effort has been made to formally represent causal knowledge and to capture
abductive reasoning processes in computational models [B I,N 1 ,P2,T2]. These models typically
construct preferred hypotheses that not only explain the observed data features, but do so while
being as parsimonious/simple as possible (Occam's Razor). However, computational modeling
of human abductive reasoning has proven to be very challenging. At present, general-purpose
abductive reasoning models that are both effective and robust in handling real-world applications
simply do not exist. Among other things, most current abductive inference systems are similar to
people in focusing on the one or a feW apparently most probable hypotheses - they do not
explicitly consider identifying less likely alternatives that are based on weak associations, even
though the latter might prove to be extremely important in certain situations. Further, as
explained below, current abductive systems are generally unable to adequately represent causal
and other knowledge at multiple levels of abstraction simultaneously, something that is critical
for the interpretation of textual/natural language data relevant to national intelligence efforts (as
well as in many other applications of abductive reasoning). The successful development of a
general purpose abductive system that encompasses weak relations, including in applications
where information must be integrated at multiple levels of detail, could thus have widespread
impact on supporting data interpretation.
In this context, the primary goal of this research is to develop and implement a general-
purpose computational model of abductive reasoning and to explore its potential usefulness in
supporting human data analysis. Achieving this goal is expected to produce more powerful and
robust computer-supported decision aids for real-world data mining, and to provide a deeper
understanding of human analytical reasoning. With existing computational abductive inference
methods, construction and ranking of parsimonious explanatory hypotheses is in large part based
on cause-effect relations between disorders and observed findings. Thus the key research
challenges are to determine how best to guide causal reasoning so that it encompasses selected
alternative explanations for data based on weak associations, and to extend such causally-guided
methods to work with data expressed at multiple levels simultaneously.
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