AWARD NO. 2014-140603000007

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06547186
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 28
• Document Creation Date: March 8, 2023
• Document Release Date: August 27, 2019
• Case Number: F-2015-02731
• Publication Date: August 4, 2014

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I. Award No.
2014- 140603000007
2. Modification No.
Base
3. Effective Date
04 August 2014
4.
Page 1 of 23
5. Awarded To
University of Maryland
6. Sponsoring Office
Office of Integrated Missions
7. Period of Performance
04 August 2014 through
03 August 2016
8.Type of Agreement
Grant H
Cooperative Agreement 0
Other 0
9. Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No.
(b)(3
11. Remittance Ad.. �
See Article 4
12. Total Grant Amount
Govt. Share $239,798
Cost Share $ 0
Total $239,798
13. Funds Obligated:
This action: $239,798
Total: $239,798
14. Principal Investigator
Dr. Gary Ackerman
( 301) 405-6656
15 Pro. . .. � �.i. cer
16. Administrator
(b)(3;
17. Submit Payment Requests To
See Article 4
18. Paying Office
S. ss e as Block 17
19. Submit Reports To
As Directed by the Pro � : is Siscer
20. Accounting and Appropriation Data
Amount Obligated: $239,798
21. Research Title and/or Description of Project:
Anatomizing the CBRN Insider Threat (Topic 27)
Signature of Person Authorized to Sign
UNCLASSIFIED
For the United States of America
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UNCLASSIFIED
University of Maryland
2014-14063 1007
Base Agreement
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CIA Grant Agreement
ARTICLE 1 SCOPE OF THE AGRE
ARTICLE 2 D ONS
ARTICLE 3 ADMINISTRATIVE REQU
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAG
ARTICLE 8 REVISION TO FINANCIAL PLANS
ARTICLE 9 I IONS
ARTICLE 10 ANNUAL PERFO CE REPORTS
ARTICLE 11 INFO
TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC ORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 SUBJECTS
ARTICLE 17 I SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCED
ARTCILE 20 INFO RESOLUTION OF GRANT Al) STRATTON DISP
ARTICLE 21 RESEARCH MISCONDUCT
ARTICLE 22 ORTING CLASSIFIABLE INFORMATION
ARTICLE 23 ENVIRONMENTAL STANDARDS
ARTICLE 24 NONDISC I a ATION
ARTICLE 25 CERTIFICATIONS
ARTICLE 26 L ILITY
ARTICLE 27 SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE
CO
ARTICLE 28 PRIOR APPROVALS
ARTICLE 29 DATA RIGHTS
ARTICLE 30 USING TECHNICAL INFORMATION OURCES
ARTICLE 31 TRAFFICKING IN PERSONS PROTECTION
ARTICLE 32 FOREIGN TRAVEL IN SUPPORT OF PROGRAM
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UNCLASSIFIED
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University of Maryland
201414063 I II #7
Base A u ent
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cLEI SCOPE OF AG
The Recipient shall perform a coor ted research and development program in accordance
with the Recipient's technical portion of the proposal entitled "Anatomizing the CBRN Insider
Threat"
Award (04 August 2014 - 03 August 2016)
Government's Share $239,798
Recipients Share (cash or in-kind) $
Total First Year Agreement $239,798
Option Year (04 August 2016 - 03 August 2017) UNEXERCISED
Government's Share $119,559
Recipients Share (cash or in-kind) $
TotalOptionYearAi ent $119,559
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ARTICLE 2 DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are the 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 a ent, Research Tents and Conditions
(available at http: / / www .ns f .gov/pubs/policydocairte/termssidebyslcie.pdf) and its
attachments.
Recipient � An organization or other entity receiving a t or cooperative agreement. For
purposes of this Agreement, the Recipient is the University of Maryland.
P ormance Year -- Each consecutive twelve-month period from the effective date of this
agreement throughout the term of the a ent.
ncLE 3 ADMINISTRATIVE REO
A. This Agreement will be st in accordance with, and recipients shall comply with,
the Research Tenns and Conditions (available at
http://www.nsf .gov/pubs/policydocs.,rtc/termssidebyside .pdf)thC requirements of the
following 0 Circulars which are incorpo herein by reference:
� 0 Circular A-21, "Cost Principles for Educational Institutions," now codified at 2
CFR part 220;
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(b)(3)
University of Maryland
2014-14063 7
Base A'- ent
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� 0 Circular A-110, "Uniform A. �� strative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Or tions," now codified at 2 CFR part 215;
� 0 Circular A-122, "Cost Principles for Non-Profit Organizations," now codified at 2
CFR part 230;
� 0 Circular A-133, "Audits of State, Local Governments, and Nonprofit Institutions"
(27 June 03) (revised 26 June 07); and
� The Provisions of CIA Broad Agency Announcement No. ICPDP-2014-0001, entitled
"2014 Intelligence Community Postdoctoral Research Fellowship Pro (ICPDP)".
B. Should there be any inconsistency between the special conditions contained in the Articles of
this agreement and the Research Terms and Conditions, the Articles of the agreement shall
control. Should there be any inconsistency between the 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 a �,;404I ent, the matter should be referred to the CIA Grants
Officer for guidance.
4
NS
Central Intelligence Agency Grants �face
Attn:
A
Phone:
Fax:
Email:
OIM Contracts
Wash=
on, DC 20505
Technical Point of Contact
Central Intelli ence A cy Pro
ATTN:
Address:
Phone:
Fax:
Email:
.4
p.
Officer
DC 20505
4
UNCLASSIFIED
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
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University of Maryland
2014-14063000007
Base Agreement
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Government Payment Office
The Internet Payment Platform (IPP) is a secure, web-based electronic invoicing system
(accessible via the Internet) provided by the Department of the Treasury's Financial
Management Service (FMS) in ership with the Federal Reserve Bank of Boston. The
Grantee shall provide the cer with the following information required for IPP
registration: tion Name, Tax Identification Number (TIN), and Organization desi
IPP account a s. inistrator, to include: name, position, phone number, and email address.
Organizations currently registered with IPP through another Government agency must still
ter separately for payments from this Agency.
%CO
ted
# 1-2 weeks after the grant award is signed, the information provided in paragraph above
will be forwarded to IPP and the or � � tiOn designated 1PP account wirninistrator will then
receive two emails from the T Web Applications Infrastructure's (TWA') email address
[e-mail],twai.gov as follows: 1) From "IPP User Administration" � the
zation's IPP User ID, a link to the IPP Application, and the IPP Helpdesk phone number,
and 2) From "Treasury UPS User Administration" � the Organization's EPP password (sent
wi # . 24 hours of the first email).
During stration, one (1) initial administrative user account is created for the organization for
the submitted TIN. The IPP account administrator is required to set up all other organization
user accounts, including other sidminiRtrators. Registration is complete when the IPP account
a.11. inistrator logs into the IPP website with the User ID and password provided by TWAI
accepts the "rules of behavior".
The Grantee shall access a first time login video found on the IPP homepage, which provides
step-by-step instructions for logging into IPP for the first time. Other self-help videos, to include
creating and submitting invoices, are available only after logging into IPP.
Passwords in IPP expire every 180 days. Fourteen days prior to the end of the 180-day period,
IPP will send an email notification prompting you to change your password. If you do not
change your password once � the 180 days, or if you do not change your password when
prompted to do so, you must contact the IPP Helpdesk at 1-866-973-3131 to unlock your account
and to reset your password.
IPP requires that all Grantees *fy annually. Failure to r will result in their accounts
g disabled. Recertification requests are sent by e-mail to the address desi ted as the EPP
account � t or for the �## tee. The Grantee shall be responsible for ensuring that any
information requested by IPP for the purposes of recertification is provided to IPP within the
time e desi . :ted in the correspondence. If the Grantee has any questions about the
SO
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University of Maryland
2014-14063000007
Base A eat
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recertification process or if their account becomes disabled, the Grantee chall contact the IPP
Help Desk at 1-866-973-3131 for assistance.
For application specific questions such as how to create an invoice or how to set up notifications,
contact the EPP Helpdesk. For questions related to the grant, contact the Vendor Service Centel
at
The Grantee shall submit payment requests using IPP. The status of submitted invoices is
available in EPP. For other invoice or payment questions relating directly to this t award,
call the payment office or
Invention '- .rtn
Grants
Address:
Phone:
Fax:
Email.
OIM Contracts
Washington, DC 20505
Recinients Principal Investigator
P.I. Name: Gary Ackerman
Department: Start Center
A Baltimore Ave., Suite 250, College Park,
Phone: [phone]
Fax: [phone]
Email: [e-mail]
Recipient's Authorized Organizational Representative
AOR Name: Evan Criccie
Assistant I ir, Research A.... inistration
A . ss: 3112 Lee Bldg., College Park, It 20742
Title:
Phone: [phone]
Fax: [phone]
Email: [e-mail]
II
20740
TIC QF THE 4 G g RT
The project has approved on scientific/t.'cal merit for 24 months. The period of
performance 1s04 August 2014 through 03 August 2016.
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2014-l4O63s..s 47
Base Agreement
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ARM 6 Y PE 0
The key personnel listed below must be employed with the University of Maryland at the time of
award and shall be maintained, to the maximum extent possible, throughout this agreement
Should changes be n , the 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 c e in order to obtain approval of the substitution from the CIA Program Officer.
KEY P ONNEL:
Principal Investi Dr. Gary Ackerman
Fellow (when identified): TIM
ARTICLE 7 FISCAL AGE 1 NT
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 A . ent Scope. Government funds shall not
be utilized to su. � srt the Recipient's � . tions or � stration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation ex the amount obligated on this
ent or by amendment to this Agreement. The Government's e for fail performance of
this award is $239,798. Of this amount, $239,798 is allotted and available for payment. This
t 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.
" � 41 � I
7.3 Incremental Funding Actions
Unless otherwise specified in the a ent, each successive increment of a continuing
will be funded at the level specified in Article 1 without a formal request from the recipient
provided an annual r �rt has been received from the Principal Investigator.
Incleuiental funding is contingent on:
1. Availability of funds;
Satisfactory scientific/technical progress; and
Compliance with any special conditions of the a
7.4 Advance Payment
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(b)(3)
University of Maryland
2014-14063000007
Base Agreement
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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 Grantss ce, Block 6
7.5 Program Income
All pro income earned during the project period shall be to funds committed to the
project by the Government and the Recipient and used to further eligible pro objectives.
7.6 Closeout Adjustments
The Gov exit may make a downward adjustment to the Government funding amount after
completion of the effort under an a:' ..ent, when appropriate in accordance with OMB Circular
A-110.
CLE8
VISION TO FINeg
A. The financial plan, or approved budget, is the � � cial 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 .. � ved financial plan. Some changes to the plan require prior
approval, as descn � below.
B. Recipients are authorized to:
Carry forward unobli balances to subsequent funding periods (with the exception of the
is period)
C. The CIA Grants
II 'It
er's prior written �roval is required for actions which:
1. Change the scope or objective of a project. The Principal Investigator must consult
with the Pro. �� Officer and receive written;.. 'val from the Grants Officer before
deviating from the research objectives defined in the � t pro.. or any sub-award,
transfer or contra � � out of substantive program performance under this agreement.
2. Change key'one!. Support 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/Postdoctoral Fellow severs his or her connection with the recipient
institution or otherwise relinquishes active direction of the project, either. � endy or
for a significant length of time (three months or more), the recipient institution must
either.
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University of Maryland
2014-14063000007
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i. Appoint a replacement Principal Investigator/Postdoctoral Fellow with the
approval of the Programs cer, or
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 an
5. Require no cost extensions ex 4mg 12 months.
,11,11/
6. Unless otherwise directed by the Grant Officer, any unexpen. balance of funds
which remains at the end of any funding period, except the final funding period of the
t, shall be carried over to the next funding period, and may be used to defray costs of
any funding period of the t. This includes allowing the carryover of funds to the
second and subsequent years of a multiple year , . This provision also applies to
subcontractors performing substantive work under the .4 St.
7. SPECIAL CONDITIONS
N/A
8. OPTION
The Government may extend the term of this t by issuing a unilateral modification.
Option Year (04 August 201(-Qa August 2017) 4 RCISED
Government's Share $119,559
Recipients Share (cash or in-kind)
0
Total Option Year Agreement
$119,559
ARTICLE 9 INVENTIONS
A. The clause entitled "Rights to Inventions Made by Nonprofit Oreons 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 ward "contractor" with "Recipient"; replace the
words "agency," "Federal Agency" and "funding Federal Agency" with "government"; replace
the word "contract" with "ai Eit", delete para.. hs (g)(2), (g)(3) and the wards "to be
performed by a 1 business or domestic nonprofit o � tion" from paragraph (g)(1);
h (1), Communications, point of contact on matters relating to this clause will be the
ClAGrantss cer
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(b)(3)
University of Maryland
2014-14063 7
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B. The Recipient shall file Invention (Patent) Reports as of the close of the performance year
and at the end of the tarn for this A? --'ent. Annual reports are due 60 days after the end of
each year of performance and final r . � are due 60 days after the expiration of the final
performance period. Negative reports are also -4. The Recipient shall submit the on
and one copy to the Grants Officer.
C. Final payment cannot be made nor can the a ent be closed out until the recipient
delivers to the Government all disclosures of subject inventions required by this agreement, an
acceptable report pursuant to article 12 entitled "Annual and Final Technical Reports," and
all confumatory � � �� ents.
1. All rights and title to and technical data, as defined in 48 CFR 27.401, generated
under this agreement chAll vest in the ipient.
2. 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,
e or developed under this � .4 lent.
3. The Recipient reserves the right to protect by copyright ori works developed
under this agreement. All such copyrights will be in the name of the Recipient. The
Recipient hereby ts the U.S. Government a non-exclusive, non-transferable, royalty-
five, fully paid-up license to reproduce, are derivative works, distribute copies to the
public, . perform publicly and display publicly, for governmental purposes, any
copyrighted materials developed under this agreement, and to authorize others to do so.
�
4. The Recipient is r nsible 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 =limited rights in all data and technical data
deliv s without markings.
ART" !
PERFORMANCE RE iR
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 si cant accomplishments and progress � g the year
cov by the report. Each of the topics descn � below shall be essed 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.
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2.R
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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
ad. -sed 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, , etc.
Consultative and ry functions to other laboratories and agencies on research
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 t at the annual
IC Postdoctoral Research Fellowship Program Colloquium.
10.2 Final Technical R
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
accompli � ..ents achieved during the total period of the effort coy by the agreement. Each
of the topics described shall be addressed as appropriate for the effort performed. Publications
may be bound and attached as . . dices.
B. When the results of a h effort have not previously been reported in scientific or
technical publications, the Final Technical Report must provide sufficient detailed discussions of
Endings and accomplishments obtained in pursuit of the p ed research objectives.
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University of Maryland
2014-14063 17
Base Agreement
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1!
10.3 Report Submittal
The Recipient shall submit annual and � technical -� � rts in the ori and two copies to the
Agency's pro officer within 90 days after completion of the period covered by the report.
The Recipient shall provide a copy of the � �� 'ttal letter to the Grants Officer.
�
10.4 Format
A. Cover and title page. Stan 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.
11.1 erly Reports
Quarterly reports shall be submitted at the end of each � month period in acco � -�� ce with the
erly Report Template provided by the Pro � Officer. (The annual report replaces the
rt for the last quarter of the year). This report will provide a concise and factual discussion
of the significant accompli �� ents and progress during each quarter covered by the report. Each
quarterly report should describe the progress of the h project relative to the milestones
that were defined in the proposal. If the quarterly report cannot be submitted, an email should
be sent to the Grants Officer and Pro u Officer providing an explanation.
#
11.2 Informal Reports
This report shall be prep only if requested by the Govenunent pro officer. It shall be
submitted in letter format and is usually not longer than three pages in length. Its
purpose is to inform the project engineer/pro , �� officer about s 'ficant events,
accomplishments, and anticipated problems that may affect the conduct of the p � � ed effort. It
should Of ft :4 e 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 p ��� � ed for publication. The� ipient send the Agency pro -1 Ol officer one
copy signed by the principal investi r within 15 days after the request.
11.3 Government Visits
The Government may visit the Recipient to discuss project status
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FIC PORTS
A. For research agreements, this report shall be used for rapidly di ating highly $i cant
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 rt, obtain written permission from the
Pro cer who will then furnish detailed instructions for formatting, reproducing, and
distributing the report. Send the Agency program officer 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 enting the official policies or endorsements, either expressed or
implied, of the U.S. Government."
ARTICLE 13 REPORTING FINANCIAL INFORMATION
Recipients submit fin cial 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 on and a copy of the report should be submi to
the Grants Officer list identified in Block 16 of the cover page. Recipients are required to ..te,
c a 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
for single award reporting.
6 I
cial status information should be reported on the same form
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 on 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 B: .ces
Unless otherwise directed by the Grant Officer, any unexpended b 'ice of funds which remains
at the ead of any funding 'cid, except the flal period of the � I it, shall be carried
over to the next funding 'od, and may be used to defray costs of any finding period of the
t. This includes allowing the carryover of funds to the second and subsequent years of a
* I
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multiple year t, but it does not apply to options, which require current year funding. This
provision also applies to subcontractors performing substantive work under the it.
CD C SURE OF SC MC AIVD TEC
A. The Recipient may make formal public disclosure of the scientific and technical information
from this a . .rted work (e.g., release articles for .ropriate 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 provided to the Government 45 days
prior to submission for publication.
2. Reference shall be attributed to a t issued by the Intelligence Community
Postdoctoral earch 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 .. � 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,
new ,Internet, radio, television etc.), communications with the media, marketing, or a
reference for new business. It is further unth 'a that this obligation shall not expire upon
completion or .. � . .tion of this a ent, 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 * .6cer. Recipients are not required to obtain waivers when
informing offices wi this Agency of a ... ents it has performed or is in the process of
performing.
TICLE 16
SUBJECTS
A val is required by CIA prior to any work be g involving human subject use. Al]
proposals that involve the use of human subjects must include entation of their ability to
follow Federal guidelines for the protection of human subjects. This includes, but is not limited
to, Protocol .. oval mcciIIS, ved Institutional Review Boards ( *), and Federal
Wide Assurances. These requirements are based on expected human use issues sometime during
the entire length of the pro effort. The recipient I provide their r � approval of
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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 of Agriculture [9 CFR 1.1- 4.11] ing 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 A ent who wishes to modify the A.. -a�� est shall confer in good faith
with the other si ry parties to determine the desirability of the proposed modification.
Modifications s not be effective until a written modification is signed by the A ent
signatories (or their successors). A. . � �tive modifications may be unilaterally executed by
the CIA Officer.
Traz 19 SUSFENSIQN44 TE ATION PR ZDUES
19.1 The Government reserves the right to � .d or terminate this a exit for cause. If the
Recipient fails to comply with the terms and conditions of this agreement, the CIA Grants
Officer will provide written notice of breach or deficiency to the Recipient and will provide the
Recipient an � rtunity to explain or correct the breach or deficiency within 30 days from
receipt of notice. If grounds for t *. :on 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 in � � -tional obligation of funds until corrective
action is taken. If this agreement is a � a ted after the Recipient has received Government
g, the closeout � in OMB Circular A-110 apply.
The agreement may be � .ded 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;
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B. The Agency when it has other reasonable cause; including departure of the Principal
Invest] r.
C. The Agency and the recipient by mutual a em (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 sus... ded
(with the understanding that if the Agency determines that the unt � ted portion will not
accomplish the p of the agreement, it may suspend or terminate the entire a ent.)
E. Notwithstanding the above, for security or safety reasons or in the case of a serious breach
that could lead to irreparable ge, the Agency Grants Officer may order immediate
sion of work, in whole or in part.
77CLE 20 - i 0 L OLUTIONOFG ADM 7701Y DISPUTES
A. Consistent with the Recommendation on Grant Disputes by the A... � istrative Conference of
the U.S , and with the intent of the provisions of Alternative Dispute Resolution, the CIA
provides the infoxmal resolution. described below concerning disputes or disagreements
that may arise over a Grants Officer's post-award decisions under a CIA a ii cut.
B. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
1. Cost lowances pursuant to a Grants Officer's decision (e.g., specific
disallowances under an individual t or as a result of an audit report);
C. Pr
2. T ii . . on orders; and
3. The
� s
settlement amount under a termination.
1. 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 . sent to the request.
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AR
2. 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 extension.s for the purpose of
preparing it will be � ted.
3. The request for review need not follow a prescri format; however, it must contain
a full statement of the recipient's position with res 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
ori decision); if an error in fact or application of Agency policy is noted in the
on decision; or improper proc were followed in the original decision.
�
4. The Procurement Executive will review or deal u te one or more individuals to
review the matter. One reviewing official will be at least at a ement level
equivalent to the official who � the decision that is reviewed. In no case,
will the review be undertaken by any individual involved with the decision or
involved in recommending ancVor monitoring the scientific and engineering aspects
of the project or responsible for negotiating and/or administrating its business aspects.
5. 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 forwar to the Procurement Executive or his/her
designee for a � and unappealable written decision for the agency. The
Pr. ent Executive or his/her designee will communicate the decision in wn
to the recipient.
CLE 2.1 RFS7ARCH cp
4 �
All � h awards issued by the CIA are subject to the Federal Policy on Research Misconduct
published in the Federal Register on ber 6, 2000 (65 FR 76260). The following definitions
will be used when applying this policy:
i. Res duct 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 erence of opinion.
U.
Sj
is making up data or results and recording or them.
iii. Falsification means manipulating r materials, s pment, or processes, or changing or
omitting data or results such that the research is not accurately represented in the ch
record.
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iv. p sm is the appropriation of another person's ideas
giving appropriate credit.
� It
results or words without
v. Research � all basic, applied, and demonstration research in all fields of science,
�ming, mathematics, education, linguistics, medicine, psychology, social sciences,
statistics, and research involving human subjects or � S.
wa:
vi. institutions incl all organizations using F 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 ern y the facts resulting from scientific
inquiry, and includes, but is not to, research. . .sals, laboratory records, both
physical and electronics, progress rts, abstracts, theses, oral presentations, internal
reports, and journal articles.
Any allegation of research misconduct should be reported to the ca Grants Officer
ARTICLE 22 REPORTING CLASSIF LE INFO TION
A. This award is intended for unclassified, publicly releasable research. The recipient will not
be ted access to classified information. The awarding agency does not expect that the results
of the h project will involve classified information.
B. If, however, in conducting the activities supported under this award, the principal investigator
(P1) is concerned that any of the research results involve potentially classifiable information that
may warrant Govenunent restrictions on the dis lion of the results, the PI should promptly
notify the awarding agency's pro officer.
ENVIRON I NTAL STAND
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 U.S.C. 1251, et seq.), as implemented by Executive Order 11738 (3 CFR, 1971- I
975 Comp., p799] 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 perfo any award that is
nonexempt under 40 CFR 15.5, as long as the facility remains on the list.
44
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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.
B. Identify to the aw agency any impact this award may have on the quality of the human
environment, and provide help the agency may need to comply with the National Environmental
Policy Act (NEPA, at 42 U.S.C. 4321, et seq.) and to are Environmental Impact Statements
or other required environmental documentation In such cases, the Recipient a to take no
action that will have an adverse environmental impact (e.g. physical dis . uce of a site such as
breaking of ground) until the agency provides written Approval.
ARTICLE 24 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
disc �
p.
�
A. On the basis of race, color, or national origin, m Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2 et seq.).
B. On the basis of sex or blindness, in Title DC of the Education Amendments of 1972 (20
U.S.C. 1681, et seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C. 6101, et seq.), as
implemented by the �� ent of Health and Human Services regulations at 45 CFR part 90.
D. On the basis of disability, in the Americans with Disabilities Act
ARTICLE 25 CERTIFICATIONS
The following Certifications, which have been executed by the Recipient prior to award of this
agreement, are hereby incorporated by reference:
A. C
� �
cation ding Debarment, Su
I
sion, and
B. Certification regarding Drug-Free Workplace Requirements.
C. Certification re ..g Lobbying.
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CLE
The Agency cannot assume any liability for accidents, illnesses or claims arising out of any work
su .rted 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
I Ia .41
IP BY AN A N Ii WITHIN THE INTELLIGENCE
This u at is sponsored by the Central Intelligence Agency, an Agency within the Intelligence
Committee. To ensure compliance with Executive Order 12333, dated 4 December 1981,
( 30 July 08) the individual signing this instrument on behalf of the academic institution is
authorized by the institution to contract with an Agency Wits . the Intelligence Community.
' TICLE 28 NUO PRO VALS
te, prior approval of the following deviations from budget and pro plans are
A. The Grantee must consult the Pro Officer in Block 15 of the A odification
document throu the AGO at the A istrative Office in Block 16 or the Grant
cc in Block 6 of the Award/Ms. a cation document before deviating from the research
objectives defined in the t pro or any sub-award, transfer or contracting out of
substantive pro .. performance under this award.
as
ent
B. Support for the project may not continue without the active direction of the Principal
Investigator approved for, and i-stifled in, this Grant. If the a. .ved Principal Investigator
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:
1. A. � 'it a replacement Principal Investigator with the a. val of the ProfOfficer in
Block 15 through the Grant � uent Office in Block 6 of the Award/Modification
document, or
2. Relinquish the Grant, in which case the Grant shall be
111
S.
ted
C. Extension for the expiration period of this Grant � The AGO at the Administrative ce in
Block 16 of the Award/M ' cation document has authority to . rove a no-funds extension
request meeting all of the following parameters:
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1. A one-time basis only; and
2. For a period not to exceed 90 days; and
3, Where $50,000.00 or less of 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 Officer in Block 15 of the
Aw . odification document. For any no-funds extension to be effective, a written � t
modification must be issued and signed by the AGO at the A � .istrative Office in Block 16
under the cu r ces above or the Sponsoring Office in Block 6 of the Award/Modification
document.
ARTICLE 29 DATA
A. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under
this a ant shall vest in the Recipient.
B. The Recipient hereby ts to the U.S. Government a irrevocable, non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose for governmental
purposes any data, t ology and inventions, whether patented or not, made or developed under
this ement.
C. The Recipient reserves the right to protect by copyright on 1 works developed under this
a ent. All such copyrights will be in the name of the Recipient. The Recipient hereby
ts the U.S. Government a non-exclusive, non-transferable, royalty-free, fully paid-up license
to reproduce, 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 and technical data delivered under the agreement. The Government shall
be deemed to have unlimited rights in all data and technical data delivered without . gs.
ARTICLE 30 USING 7ECHNIC4LORMA OUR
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 n � ess duplication of scientific and engineering effort.
LE 31 TRAFFICKING IN PERSONS PROTECTION
A. Provisions applicable to a recipient that is a private entity.
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1, You as the recipient, your employees, sub recipients under this award, and sub-
recipients' employees may not �
i. � ge in sever forms of trafficking in persons during the period of time that
the award is in effect;
a commercial sex act during the period of time that the award is in
effect; or
iii. Use forced labor in the performance of the award or subawards under the
award.
2. We as the Federal Awarding Agency may unilaterally terminate this award, without
ty, if you or a subrecipient that is a private entity �
i. Is determined to have violated a prohibition in paragraph A. I of this award
term; or
ii. Has an �� sloyee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in para. h A.1 of this
award term through conduct that is either �
a. Associated with performance under this award; or
b. Imputed to you or the subrecipient using the standards and due process
for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, "OMB Guidelines to Agencies on
Government wide Debarment and Suspension (Non. . ent).
B. Provision applicable to a recipient other � � a private entity. We as the Federal Government
awarding agency may unilat ly terminate this award, without ty, if a subrecipient that
is a private entity �
1. Is determined to have violated licable prohibition in paragraph A.1 of this
award term; or
2. Has an employee who is determined by the agency official authorized to t 14 � 'ate the
award to have violated an applicable prohibition in paragraph A.1 of this award term
ugh conduct that is either �
i. Associated with performance under this award; or
Imputed to the subrecipient using the standards and due process for imputing
the conduct of an individual to an or - -on that are provided in CFR Part
180, "0 Guidelines to Agencies on Government wide Debarment and
Sus ion (Nonpr ent).
C. Provisions applicable to any recipient.
1. You must inform us imm tely of any information you receive from any source
alleging a violation of a prohibition in ph A.1 of this award term.
2. Our right to terminate unilaterally that is described in para � A.2 or B of this
section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)), and
Is in addition to all other remedies for noncompliance that are available to us
under this award.
I
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3. You must include the requirements of para �h A.1 of this award term in any
subaward you make to a private entity.
D. Definitions. For purposes of this award tem:
1. "Employee" means either:
i. An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this award; or
ii. Another person engaged in the performance of the project or pro ta .� under
this award and not compensated by you including, but not limited to, a
volunteer or individual whose services are contributed by a third party as an
in-kind contribution toward cost sharing or matching requirements.
2. "Forced Labor" means labor obtained by any of the following methods: the
recruitment, oring, transportation, provision, or obtaining of a person for labor or
services, through the use of force, fraud, or coercion for the purpose of subjection to
involuntary servitude, peonage, debt bondage, or slavery.
3. "Private entity":
i. Means any entity other than a State, local government, Indian tribe, or foreign
public entity, as those terms are defined in 2 CFR 175.25.
ii. Includes:
a. A nonprofit or on, including any nonprofit institution of higher
education, hospital, or tribal or " tion other than one included in
the definition of Indian tribe at 2 CFR175.25(b).
b. A for-profit organization.
4. "Severe forms of trafficking in ens,""commercial sex act," and "coercion" have
the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).
p FOREIGN TRA L IN SUPPORT OF PR
Before any foreign travel may be taken in � � ert of this program, the Recipient must request
a. oval in " � or via e-mail from the Grants Officer at least 30 days prior to Recipient's
planned departure. The following information shall be provided: destination, conference details,
general travel itinerary, hotel, and a copy of the paper or presentation submitted for the venue.
The Grants Officer will provide approval or disa� � .val in writing or via e-mail.
23
UNCLASSIFIED
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Fax Profs
89-24-14 l:09p
(b)(3)
Award No,
2014- 14063000007
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2. ModifitatiOn No,
Da
24 Setxernber 2014
4.
Page 1 of 23
Awsrdd To
University af Maryland
Sp
n
. Per
04 August 2014 through
03 August 2016
Type of Agreement
-e Agr
A
4 Princip
Gary Ackerman
1) 4054656
17. Sub
See Article 4
. S 9,798
Cost Share $ 0
Total $239,298
5 0 c
20 d Appropriation D
bL
tO
9,798
scripts
idert
as Block 17
7
6. Ad
UNCLASSIFIED
ub
DecFunding
To
Directed by thc Program of
(b)(3)
(b)(3)
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University of Maryland
201414063000007
Modification No, 001
Page 1 of 1
For questions r
The purpose of this �modidicati
Personnel Article. As a result,
1 Update Article 6, Key Perso
MI otber articles rem
Postdoctoral Fellow to
d and in full force and effect.
UNCLASSIFIED
(b)(3)
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ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employe
award and shall be maintained, to the maxArnurn extent possible,
Should changes be necessary, the University of Maryland shall notr the Agency
(identified in Block 6 of the face page) in writing of the proposed substitutefs) within 30 days of
the change in order to obtain approval of the substitution from the CIA Prograrn Officer.
KEY PERSONNEL:
Principal Investigator: Dr. Gary Ackemnan
Fellow (when identified): Cory Davenport
ARTICLE 7 FISCAL MANAGEMENT
7.1 Restrictions of the Use of Government Funds
Government funds provided under this Agreement must ocated by the Recipient
naively for the execution and operation of the Agement Scope. Government funds shall not
ilized to support the Recipients operations Of adnainistration unrelated to this Agreement.
7,2. Obligation
Juno case shall the Govemmexts fin2ncia1 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 8239,798. Of this amount, $239,798 is allotted and available for payment. This
's fully funded. The Government is not obligated to reimburse the Recipient for
Ia eXCeSS of the amount of funding obligated and allotted by the Government,
cital �ng Actions
Uiiles otherwise specified in the agreernetit, each
will be fimded at the level specified in Article I without a renal request ftc
provided an annual report has been received from the Principal Investigator.
Mirka:Lenin funding is contingent on:
i. Availability of funds;
it. Satisfactory scientific/technical progress; and
iii Compliance with any special conditions of the agreement.
7.4 Advance Payment
7
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Jamila A. Rattler
From:
Sent:
To:
Subject:
(b)(3)
Thursday, October 02, 2014 1:22 PM
Jamila A. Rattler
RE: 2014-14063000007 - Mod 001
Hi Jamila,
The correct contract number is in the subject line of this email (a 0 was deleted between the 6 and 3). I noted the error
on the award and sent an email to Kathryn Calderone on 8/7/14. The Modification includes the correct contract number
and should not require a pen & ink change. Sorry about the confusion-
From: Jamila A. Rattler [[e-mail]]
Sent: Wednesday, October 01, 2014 12:44 PM
To:
Subject. 4-140603000007 - Mod 001
I just noticed that the award # referenced on Mod 001 is incorrect. Would you like to correct that or would you like me
to pen & ink the change on our copy of the mod?
Thanks,
Jamila
Jamila Rattler
Contract Manager
University of Maryland
Office of Research Administration
3112 Lee Building
College Park, MD 20742-5141
Phone: [phone]
Fax: [phone]
irattler@umd edu
1
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Proposal Title: Anato iz g the CBRN Insider Threat
Solicitation #: ICPDP-2014-0001
Topic #: 27 (Identifying Insider Threat Behavior Characteristics)
Human Subjects: No
PI: Gary Ackerman
Acting Director of Unconventional Weapons and Technologies
National Consortium for the Study of Terrorism and Responses to
Terrorism
University of Maryland
Phone: [phone]; Fax: [phone]; E-mail:
[e-mail]
Institutional Address: Office of Research Administration, 3112 Lee Building
College Park, Maryland, 20742-5141
Phone: [phone]; Fax: [phone]; E-mail:[e-mail]
AOR:
Evan Crierie, Assistant Director
Office of Research Administration
University of Maryland-College Park
Phone: [phone]; Fax: [phone]; E-Mail: [e-mail]
Insiders, as a result of their inherent knowledge of and access to organizational processes and
materials, often present an "Achilles' heel" for security. Nowhere is this more true than in the
realm of technologies related to chemical, biological, radiological and nuclear (CBRN) weapons,
often clustered together under the rubric of" "(weapons of mass destruction). Since the
most dangerous CBRN weapons also tend to require the greatest technical expertise and access
to materials and equipment, terrorists and other malefactors seeking these weapons will in most
cases require the assistance of an existing technical expert. Indeed, the Commission on the
Prevention of Weapons of Mass Destruction Proliferation and Terrorism concluded that the
United States should be far more worried about a bioscientist becoming a terrorist than a terrorist
becoming a bioscientist, a sentiment which holds equally with respect to C,R, and N weapons.
Yet the existing research on insider threats has barely addressed scientists in particular (with
some pointed exceptions). Moreover, much of the research that exists on the topic of insider
threats is narrow in scope, focusing on just one behavioral indicator or utilizing methodology
from just one academic discipline. The proposed research to be uncle en by the IC Postdoc
will expand upon past empirical and theoretical research at the National Consortium for the
Study of Terrorism and Responses to Terrorism (START) focused on understanding and
detecting CBRN adversaries and combine this with START's recent assessments of the insider
threat in various domains. Most importantly, it will embrace START's multi-disciplinary and
multi-methodological approaches (i.e., utilizing different methods and perspectives derived from
multiple research disciplines) to assess burgeoning issues in national security.
This research will be directed towards developing a set of observable, validatable behavioral
indicators at all stages of insider threat prevention (e.g., recruiting, hiring, periodic review and
ongoing monitoring) that can identify when a CBRN scientist or technician is likely to engage in
counterproductive or otherwise harmful activity. Special attention will be given to computer
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