ASSISTANCE AGREEMENT 2010*1045207*000

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06547184
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 77
• Document Creation Date: March 8, 2023
• Document Release Date: August 27, 2019
• Case Number: F-2015-02731
• Publication Date: July 12, 2010

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ASSISTANCE AGREEMENT
1. Award No.
2010*1045207*-000
2. Modification No.
Base
3. Effective Date
12 July 2010
4.
Page 1 of 18
5. Awarded To
University of Maryland
6. Sponsoring Office
Office of the Chief Scientist
7. Period of Performance
12 July 2010 through 11 July 2012
8.Typc
Grant
Cooperative
Other
of
Z4
0
Agreement
Agreement 10
9. Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No.
(b)C,
11. Remittance Address
See Article 4
12. Total Grant Amount
Govt. Share $239,998
Cost Share $ 0
Total $239,998
13. Funds Obligated!
This action: $50,000.00
Total $50,000.00
14. Principal Investigator
Dr. Shihab A. Sharnma
[phone]
15. Program Manager
16. Administrator:
(b)(2
17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
18. Paying Office
Same as Block 17
19. Submit Reports To
As Directed by the Technical Poim of Contact
_
Address:
Washington, DC
20505
20. Accounting and Appropriation Data
Amount Obligated: $50.000.00
21. Research Title and/or Description of Project:
Human and Algorithmic Robust Speaker Verification
For the Recipient
For the United States of America
22. �,. gnature offer tho zed to Sign
25, qi'trriahlra� rlf elrantc/Aarapmgmrc Offirw
(b)(2
23. Name and Title
AUTHORIZING UNIVERSITY OFFICIAL
Evan L. Crierie, Asst. Director
Research Administration & Advancement
University of Maryland, College Park, MD
Phone [phone]/Fax [phone]i
mail nraannmd Drill
24. Date Signed
.. 7
-'))e,)
)
20742
26. Name ot utricer
27, Date Signed
Grants Officer
(b)( 2
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Grants Office
Address: Contracting Team
AT
Phone:
Fax:
Email;
Recipient's
P.X. Name:
Department:
Address:
Phone:
Fax:
Email:
ash1ncton. DC 20505
Principal Investigator
Dr. Shihab A. Shama
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer Engineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
sesaumd.edu
Recipient's Authorized Organizational Representative
AOR Name:
Title:
Address:
Phone:
Fax:
Email;
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742
[phone]
[phone]
jfrankenQumd.edu
ARTICLE 5 TERM OF THE AGREEMENT
The project has been approved on scientific/technical merit for 24 months. The
period of performance is 12 JUIN, 2010 - 11 July 2012.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at
the time of award and shall be maintained, to the maximum extent possible,
throughout this agreement. Should changes be necessary, University of Maryland
shall notify the Agency Grants Office (identified in Block 6 of the face page)
in writing of the proposed substitute(s) within 30 days of the change in order
to obtain approval of the substitution from the CIA Program Manager.
KEY PERSONNEL:
Principal Investigator. Dr. Shihab A. Shamma
Fellow (when identified): TSP
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TABLE OF CONTENTS �
CIA Grant Agreement
ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE $ REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 HUMAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20 RESEARCH MISCONDUCT
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22 ENVIRONMENTAL STANDARDS
ARTICLE 23 NONDISCRIMINATION
ARTICLE 24 CERTIFICATIONS
ARTICLE 25 LIABILITY
ARTICLE 26 SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE
COMMUNITY
ARTICLE 27 PRIOR APPROVALS
ARTICLE 28 DATA RIGHTS
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
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ARTICLE 1 SCOPE OF THE AGREEMENT
The Recipient shall perform a coordinated research and development program in
accordance with the Recipient's technical portion of the proposal entitled
"Human and Algorithmic Robust Speaker Verification."
First Year (12 July 2010 - 11 July
Government's Share
Recipients Share (cash or in-kind)
Total First Year Agreement
Second Year (12 July 2011 - 11 July
Government's Share
Recipients Share (cash or in-kind)
Total Second Year Agreement
2011)
$119,999
0
$119,999
2012)
$119,999
0
$119,999
Total Government Share of Agreement $239,998
Option Year (12 July 2012 - 11 July 2013)(UNEXERCISED)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,995
Grand Total Government Share of Agreement $359,997
ARTICLE 2 DEFINITIONS
Parties -- For the purposes of this Agreement, the parties are university of
Maryland and the United States of America, hereinafter called the Government or
the Agency, represented by the Central Intelligence Agency.
Agreement -- The articles of this assistance agreement, Research Terms and
Conditions (available at
http://www.nsf.gov/pubs/policydocs/rtc/termssidebyside.pdf)
and its attachments.
Recipient -- An organization or other entity receiving a grant or cooperative
agreement. For purposes of this Agreement, the Recipient is 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
http://www.nsf.gov/pubs/policydocs/rtc/termssidebyside.pdf)the requirements of
the following OMB 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 Mon-
Profit Organizations now codified at 2 CFR part 215
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- 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
- The Provisions of CIA sroad Agency Announcement No. ICPDP-2010-0001, entitled
"2010 Intelligence Community Postdoctoral Research Fellowship Program."
B. Should there be any inconsistency between the special conditions contained in
the Articles of this agreement and the Research Terms and Conditions, the
Articles of the agreement shall control. Should there be any inconsistency
between the Research Terms and Conditions and any special conditions contained
in the CIA Broad Agency Announcement, guides, brochures, etc., cited or included
by reference in the agreement, the matter should be referred to the CIA Grants
Officer for guidance.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
Phone;
Fax:
Email:
Contracting Team
ARC
Washington, DC 20505
Technical Point of Contact
Central Intelligence
ATTN:
Address:
Phone:
Fax:
Email:
Agency Program Officer
Washington, DC 20505
Government Payment Office
Invoices shall be submitted using the Agency's Web Invoicing System (WInS). If
the Grantee is not registered in WinS, the Grantee shall call the vendor Service
Center on within two weeks of grant award to register. Items needed
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 Rtporting
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Grants Office
Address: Contracting Team
ARC
Phone:
Fax:
Email:
Recipient's
P.X. Name:
Department:
Address:
Phone:
Fax:
Email:
Washington, DC 20505
Principal Investigator
Dr. Shihab A. Shama
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer Engineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
sasaumd.edu
Recipient's Authorized Organizational Representative
AOR Name:
Title:
Address:
Phone:
Fax;
Email:
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742
[phone]
[phone]
[e-mail]
ARTICLE 5 TERM OF THE AGREEMENT
The project has been approved on scientific/technical merit for 24 months. The
period of performance is 12 July 2010 - 11 July 2012.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at
the time of award and shall be maintained, to the maximum extent possible,
throughout this agreement. Should changes be necessary, University of Maryland
shall notify the Agency Grants Office (identified in Block 6 of the face page)
in writing of the proposed substitute(s) within 30 days of the change in order
to obtain approval of the substitution from the CIA Program Manager.
KEY PERSONNEL:
Principal Investigator: Dr. Shihab A. Shamma
Fellow (when identified): TIM
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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 exclusively for the execution and operation of the Agreement Scope
Government funds shall not be utilized to support the Recipient's operations or
administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount
obligated on this Agreement or by amendment to this Agreement. The Government's
share for full performance of this award is $239,998. Of this amount, $239,998
is allotted and available or 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:
availability of funds;
satisfactory scientific/technical progress; and
compliance with any special conditions of the agreement.
7.4 Advance Payment
To request advance payments, recipients shall submit a request for advance
payment. The original and two copies of each request shall be submitted to:
B. CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds
committed to the project by the Government and the Recipient and used to further
eligible program objectives.
7.6 Closeout Adjustments
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The Government may make a downward adjustment to the Government funding amount
after completion of the effort under an agreement, when appropriate in
accordance with OMB Circular A-110.
ARTICLE 8 REVISION TO FINANCIAL PLANS
A. The financial plan, or approved budget, is the financial expression of the
effort to be performed under this agreement as approved during the award
process. This agreement and its terms and conditions reflect the approved
financial plan. Some changes to the plan require prior approval, as described
below.
R. Recipients are authorized to:
Carry forward unobligated balances to subsequent funding periods (with the
exception of the final funding period)
C. The CIA Grants Officer's prior written approval is required for actions
which:
1. Change the scope or objective of a project. The Principal Investigator must
consult with the Program manager and receive written approval from the Grants
Officer before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program
performance under this agreement.
2. Change key personnel. Support for the project may not continue without the
active direction of the Principal Investigator and/or Postdoctoral Fellows
approved for, and identified in, this Assistance Agreement_ If the approved
Principal Investigator/Postdoctoral Fellow severs his or her connection with the
recipient institution or otherwise relinquishes active direction of the project,
either permanently or for a significant length of time (three months or more),
the recipient institution must either:
(i) Appoint a replacement Principal Investigator/Postdoctoral Fellow
with the approval of the Program Manager, or
(ii) Relinquish the Assistance Agreement, in which case the Agreement
shall be terminated.
3_ change the recipient institution's cost share amount reflected in the
approved budget
4. use human subjects or vertebrate animals
require no cost extensions exceeding 12 months
6. Unless otherwise directed by the Grant Officer, any unexpended balance of
funds which remains at the end of any funding period, except the final funding
period of the grant, shall be carried over to the next funding period, and may
be used to defray costs of any funding period of the grant. This includes
allowing the carry over of funds to the second and subsequent years of a
multiple year grant. This provision also applies to subcontractors performing
substantive work under the grant.
7. SPECIAL CONDITIONS
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N/A
8. OPTION
The Government may extend the term of this grant by issuing a unilateral
modification_
Option Year (12 July 2012 - 11 July 2013)(UNEXERCISED)
Government's Share $119,999
Recipients Share (cash or in-kind) 0
Total option Year Agreement $119,999
ARTICLE 9 INVENTIONS
(a) The clause entitled "Rights to Inventions Made by Nonprofit Organizations
and Small Business Firms," (37 CFR 401) is hereby incorporated by reference and
the clauses in paragraph 401.14 are modified as follows: replace the word
"contractor" with "Recipient"; replace the words "agency," "Federal Agency" and
"funding Federal Agency" with "government"; replace the word "contract" with
"agreement"; delete paragraphs (g)(2), (g)(3) and the words "to be performed by
a small business firm or domestic nonprofit organization" from paragraph (g)(1);
paragraph (1), Communications, point of contact on matters relating to this
clause will be the CIA Grants Officer
(b) The Recipient shall file Invention (Patent) Reports as of the close of the
performance year and at the end of the term for this Agreement. Annual reports
are due 60 days after the end of each year of performance and final reports are
due 60 days after the expiration of the final performance period. Negative
reports are also required. The Recipient shall submit the original and one copy
to the Grants Officer.
(c) Final payment cannot be made nor can the agreement be closed out until the
recipient delivers to the Government all disclosures of subject inventions
required by this agreement, an acceptable final report pursuant to article 12
entitled "Annual and Final Technical Reports," and all confirmatory instruments.
A. All rights and title to data and technical data, as defined in 48 CPR
27.401, generated under this agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose
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.
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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):
1. Papers presented at meetings, conferences, seminars, etc.
ii. Consultative and advisory functions to other laboratories and
agencies on research supported under the agreement. Provide factual information
about the subject matter, institutions, dates, and the names of individuals
involved.
(7) New discoveries, inventions, or patent disclosures and specific applications
stemming from the research effort.
The Postdoctoral Fellow is also required to present the status of the research
grant at the annual IC Postdoctoral Research Fellowship Program Colloquium.
10.2 Final Technical Report
A. A Final Technical Report is due at the completion of the agreement. This
report will provide a comprehensive, cumulative, and substantive summary of the
progress and significant accomplishments achieved during the total period of the
effort covered by the agreement. Each of the topics described in section 2.1
above shall be addressed as appropriate for the effort performed. Publications
may be bound and attached as appendices.
B. When the results of a research effort have not previously been reported in
scientific or technical publications, the Final Technical Report must provide
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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) 295, 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 T.ECIINICAL REPORTS
11.1 Reports
This report shall be prepared only if requested by the Government program
officer. It shall be submitted in letter format and is usually not longer than
three pages in length. Its primary purpose is to inform the project
engineer/program manager about significant events, accomplishments, and
anticipated problems that may affect the conduct of the planned effort. It
should summarize the progress of the effort being performed, new discoveries,
inventions or patent disclosures, anticipated changes in commitments of key
personnel and in the planned approach; acquisition or fabrication of major or
special research equipment; and the titles of manuscripts planned for
publication_ The Recipient shall send the Agency program officer one copy signed
by the principal investigator within 15 days after the request.
A brief quarterly report may be required after each three month period. (The
annual report replaces the report for the last quarter of the year). Each
quarterly report should describe the progress of the research project relative
to the milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results. It
is anticipated that Government involvement in this grant will be limited to
general oversight.
ARTICLE 12 SCIENTIFIC REPORTS
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 comoutations not
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normally accepted by technical journals. It is not appropriate for a student's
thesis. Before preparing a Scientific Report, obtain written permission from the
Program manager who will then furnish detailed instructions for formatting,
reproducing, and distributing the report, Send the Agency program manager two
copies.
2. On its cover, a scientific report shall prominently display the following
disclaimer: "The views and conclusions contained in this document are those of
the authors and should not be interpreted as necessarily representing the
official policies or endorsements, either expressed or implied, of the U.S.
Government."
ARTICLE 13 REPORTING FINANCIAL INFORMTION
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 PPR 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 14 PUBLIC DISCLOSURE OF SCIENTIFIC AM 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
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appropriate professional publications or present papers at scientific meetings
or symposia) and will take the following steps;
(1) A copy of the article, paper, report, etc., shall be 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.
E. The Recipient may utilize the scientific and technical information resulting
from this support in consulting or discussing this and related information with
other qualified individuals or groups of individuals, where appropriate, for
furthering this research and/or development effort. The provision of A(2) shall
apply to such exchanges of information.
ARTICLE 15 Non-Publicity
The Recipient shall not use or allow to be used any aspect of this solicitation
and/or agreement for publicity, Publicity means, but is not limited to,
advertising (e.g. trade magazines, newspapers, Internet, radio, television
etc.), communications with the media, marketing, or a reference for new
business. It is further understood that this obligation shall not expire upon
completion or termination of this agreement, but will continue indefinitely.
The Recipient may request a waiver or release from the foregoing but shall not
deviate there from unless authorized to do so in writing by the Grants Officer.
Recipients are not required to obtain waivers when informing offices within this
Agency of agreements it has performed or is in the process of perfoLming.
ARTICLE 26 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 (IRE), and Federal Wide
Assurances. These requirements are based on expected human use issues sometime
during the entire length of the proposed effort. The recipient shall provide
their IRE approval of specific research, the blank informed user consent form,
and the protocol and related documents as requested for secondary approval by
CIA.
ARTICLE 17 ANIMAL SOBJECT5
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 (included as Appendix I) to the NAS Guide).
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?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 TE.RMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement for
cause. If the Recipient fails to comply with the terms and conditions of this
agreement, the CIA Grants Officer will provide written notice of breach or
deficiency to the Recipient and will provide the Recipient an opportunity to
explain or correct the breach or deficiency within 30 days from receipt of
notice. If grounds for termination for cause still exist, the Government may
terminate or suspend performance. If suspension is invoked, the Government may
withhold further payments, or prohibit the Recipient from incurring additional
obligation of funds until corrective action is taken. If this agreement is
terminated after the Recipient has received Government funding, the closeout
procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the
following situations by;
A. the Agency when the recipient has materially failed to comply with the
terms and conditions of the award;
B. the Agency when it has other reasonable cause; including departure of
the Principal Investigator,
C. the Agency and the recipient by mutual agreement (if the Agency and the
recipient cannot reach an agreement, the Agency reserves the right to
unilaterally terminated the award); or
D. the recipient on written notice to the Agency setting forth the reasons
for such action, the effective date, and, in the case of partial termination,
the portion to be terminated or suspended (with the understanding that if the
Agency determines that the unterminated portion will not accomplish the purposes
of the agreement, it may suspend or terminate the entire agreement.)
E. Notwithstanding the above, for security or safety reasons or in the case of a
serious breach that could lead to irreparable damage, the Agency Grants Officer
may order immediate suspension of work, in whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative
Conference of the U.S., and with the intent of the provisions of Alternative
Dispute Resolution, the CIA provides the informal resolution processes described
below concerning disputes or disagreements that may arise over a Grants
Officer's post-award decisions under a CIA agreement.
B. Scope of Post-Award Disputes Covered
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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);
ii. termination orders; and
iii. the final settlement amount under a termination.
C. Procedures
i The recipient should submit a certified letter to the Agency's
Procurement Executive via the Grants Officer noting the recipient's
disagreement or dispute and identifying the Agency's Grants Officer's
decision in question, giving reasons for the request for review and
providing any other material pertinent to the request.
ii. The letter to the Procurement Executive must be postmarked no later
than 30 days after the date of the letter notifying the recipient of the
decision in question. The time for filing a request for review is strictly
enforced and no extensions for the purpose of preparing it will be
granted.
iii. The request for review need not follow a prescribed format; however,
it must contain a full statement of the recipient's position with respect
to the disputed matter and the facts and reasons in support of the
recipient's position. Requests will be reviewed if the recipient submits
new information (which was unavailable at the time of the original
decision); if an error in fact or application of Agency policy is noted in
the original decision; or improper procedures were followed in the
original decision.
iv. The Procurement Executive, will review or designate one or more
individuals to review the matter. One reviewing official will be at least
at a management level equivalent to the official who made the decision
that is being reviewed. in no case, will the review be undertaken by any
individual involved with the decision or involved in recommending and/or
monitoring the scientific and engineering aspects of the project or
responsible for negotiating and/or administrating its business aspects.
v. The designated individual(s) will review and consider all relevant
information available. A report which identifies the conclusion and
recommendation will be completed within 30 days and forwarded to the
Procurement Executive or his/her designee for a final and unappealable
written decision for the agency. The Procurement Executive or his/her
designee will communicate the decision in writing to the recipient.
ARTICLE 20 RESEARCH MISCONDUCT
All research awards issued by the CIA are subject to the Federal Policy on
Research misconduct published in the Federal Register on December 6, 2000 (65 FR
76260). The following definitions will be used when applying this policy:
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i. 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 omitting data or results such that the research is
not accurately represented in the research record_
iv. Plagiarism is the appropriation of another person's ideas,
reaults or words without giving appropriate credit.
processes,
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.
ARTICLE 22 ENVIRONMENTAL STANDARDS
The Recipient agrees to the following environment standards;
A. Comply with applicable provisions of the Clean Air Act (42 U.S.0 7401, et
seq.) and Clean Water Act (33 V.S.C. 1251, et seq.), as implemented by Executive
Order 11738 (3 CFR, 1971- 1 975 Comp., p799I and Environmental Protection Agency
(EPA) rules at 40 CFR part 15. In accordance with the EPA rules, the Recipient
further agrees that it will:
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4, AJEJ Cr.o4401. AU* A..
- Not use any facility on EPA's List of Violating Facilities in performing any
award that is nonexempt under 40 CFR 15.5, as long as the facility remains on
the list.
- Notify the awarding agency if it intends to use a facility in performing this
award that is on the List of Violating Facilities or that the Recipient knows
has been recommended to be placed on the List of Violating Facilities.
B. Identify to the awarding agency any impact this award may have on the quality
of the human environment, and provide help the agency may need to comply with
the National Environmental Policy Act (NEPA, at 42 V.S.C. 4321, et seq.) and to
prepare Environmental Impact statements or other required environmental
documentation. In such cases, the Recipient agrees to take no action that will
have an adverse environmental impact (e.g. physical disturbance of a site such
as breaking of ground) until the agency provides written Approval.
ARTICLE 23 NONDISCRIMINATION
Sy 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 /X of the Education Amendments of
1972 (20 V.S.C. 1881, 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 prior to
award of this agreement, are hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility
Matters.
E. 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
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such steps as may be deemed necessary to insure or protect itself, its
employees, and its property.
imucuu 26 SPONSORSHIP BY AN AGENCY WITHIN THE
INTELLIGENCE cumannari:
This grant is sponsored by the Central Intelligence Agency, an Agency within the
Intelligence committee. To ensure compliance with Executive Order 12333, dated 4
December 1981, (revised 30 July 08) the individual signing this instrument on
behalf of the academic institution is authorized by the institution to contract
with an Agency within the Intelligence Community.
ARTICLE 27 PRIOR APPROVALS
As appropriate, prior approval of the following deviations from budget and
program plans are required;
(1) The Grantee must consult the Program Manager in Block 15 of the
Award/modification document through the AGO at the Administrative Office in
Block 16 or the Grant Procurement Office in Block 6 of the Award/Modification
document before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program
performance under this award.
(2) Support for the project may not continue without the active direction of the
Principal Investigator approved for, and identified in, this Grant. If the
approved Principal Investigator severs his or her connection with the Grantee or
otherwise relinquishes active direction of the project, either permanently or
for a significant length of time (three months or more), the Grantee must
either;
(1) Appoint a replacement Principal Investigator with the approval
the Program Manager in Block 15 through the Grant Procurement Office in
Block 6 of the Award/Modification document, or
of
(ii) Relinquish the Grant, in which case the Grant shall be terminated
(3) Extension for the expiration period of this Grant - The AGO at the
Administrative Office in Block 16 of the Award/Modification document has
authority to approve a no-funds extension request meeting all of the following
parameters:
(i) a One-time basis only; and
(ii) for a period not to exceed 90 days; and
(iii) where $50,000.00 or less of obligated funds remain to be
expended.
In other cases, where a request is outside one or more of the parameters, a no-
funds extension can only be approved with the concurrence of the Program Manager
in Block 15 of the Award/Modification document. For any no-funds extension to be
effective, a written grant modification must be issued and signed by the AGO at
the Administrative Office in Block 16 under the circumstances above or the
Sponsoring Office in Block 6 of the Award/Modification document.
ARTICLE 28 DATA RIGHTS
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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.
S. The Recipient hereby grants to the U.S. Government a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose
for governmental purposes any data, technology and inventions, whether patented
or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works
developed under this agreement. All such copyrights will be in the name of the
Recipient_ The Recipient hereby grants the U.S. Government a non-exclusive,
non-transferable, royalty-free, fully paid-up license to reproduce, prepare
derivative works, distribute copies to the public, and perform publicly and
display publicly, for governmental purposes, any copyrighted materials developed
under this agreement, and to authorize others to do so_
D. The Recipient is responsible for affixing appropriate markings indicating
the rights of the Government on all data and technical data delivered under the
agreement. The Government shall be deemed to have unlimited rights in all data
and technical data delivered without markings,
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
To the extent practical, the recipient will use the technical information
resources of the Defense Technical Information Center (DTTc) and other
Government or private facilities to investigate recent and on-going research and
avoid needless duplication of scientific and engineering effort.
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ASSISTANCE AGREEMENT
1. Award No.
2010*1045207*000
2. Modification No.
One (001,
3. Effective Date
17 December 2010
4.
Page 1 o13
5. Awarded To
University of Maryland �
6. Sponsoring Office
Office of the Chief Scientist
7 Period of Performance
12 July 2010 through 11 July 2012
&Type of Agreement
Grant tE3
Cooperative Agrcement III
Other MI
9. Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No.
N/A
11. Remittance Address
See Article 4
12. Total Grant Amount
Govt. Share $239.998
Cost Share $ 0
Total $239,998
13. Funds Obligated:
This action: $0.00
Total: $50.000.00
14. Principal Investigator
15. Program Manager
16. Administrator.
Dr. Slihab A. Shamma
(301)4-05-6842
(b)(3)
17. Submit
Vendor
Arm: Mail
Payment Requests To
Payments
Roam
18. Paying Office
Same as Block 17
19. Submit Reports To
As Directed by the Technical Point of Contact
Address'
Washington, DC
(b)(3)
20505
20. Accounting and Appropriation Data
21. Research Title and/or Description of Project:
Human and Algorithmic Robust Speaker Verification
For the Recipient
For the United States of America
(b)(2
22 S' tare t Person Authl� ,....,:., a S' u.
26
27. Dace Signed
ame and Title 40/'
littera L O'Malley, Ottflifitel hisiiiiiff
4. Date Signed
Grants Officer
(b)(::
Ito

ta. Jac
1
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2010*1045207*000
University of Maryland
Modification 1
Page 2 of 3
A. The purpose of this modification is to revise Article 4: Administrative
Responsibilities, to reflect a change in procedure for submitting invoices.
B. Accordingly, the following Article(s) are revised/restated as follows:
*Changes reflected in BOLD.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intelligence Agency Grants Office
Attn:
Address:
Phone:
Pax:
Email!
Contracting Team
ARC
Washington, DC 20505
Technical Point of Contact
Central Intelligence AgencY Program
Officer
(b)(3)
ATTN:
Address:
Washington, DC 20505
Phone:
Fax
(b)(3)
Email:
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
(b)(3)
to facilitate registration include;
a valid grant number and the name, phone
number, and e-mail address for the
Grantee's point of contact. The Grantee may
make inquiries regarding invoices
to the payment office on
(b)(3)
If the Grantee is unable to submit a payment request in electronic form, or the
Agency is unable to receive a payment request in 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 Reortinq
Grants Office
Address: Contracting Team
ARC
Phone:
Washington, DC 20505
2
(b)(3)
(b)(3)
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2010*1045207*000
University of Maryland
Modification 1
Page 3 of 3
Fax:
Email:
Recipient Investigator
P.I. Name:
Department:
Address:
Phone:
Fax:
Dr. Shihab A. Shamma
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer Engineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
sasqumd.edu
Recipient's Authorized Organizational EaptmsaLav,y
AOR Name:
Title:
Address:
Phone:
Fax:
Email:
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742
[phone]
[phone]
jfrankenaumd.edu
C. Except as provided herein, all other Articles shall remain UNCHANGED and in
full force and effect.
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�
\........1 ASSISTANCE AGREEMENT ..L..)-----
1_ Award No.
2010*1045207*000
2., Modification No.
Mod 02
3. Effective Date
26 Aupst 2011
4.
Page 1 of 18
5. Awarded To
University of Ivlaryland
6. Sponsoring Office
Office of the Chief Scientist
7, Period of Performance
12 July 2010 through 11 July 2012
8.Type
Grant
Cooperative
Other
of
ej
III
Agreement
Agreement III
r 9. Authority
31 USC 6304 and
10 USC 2358
10. Purchase Request or Funding Document No,
Multiple
11. Remittance Address
See Article 4
12. Total Grant Amount
Govt. Share $239,998
Cost Share $ 0
Total $239,998
13. Funds Obligated!
This action: $189,998
Total: $239,998
14. Principal Investigator
Or. Shihab A. Shamma
[phone]
15. Program Manager
16. Administrator;
(b)(2
17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
18. Paying Office
Same as Block 17
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3)
Address Washington, DC
20505
20. Accounting and Appropriation Data
Amount Obligated: $239,998. This modification increases grant funding from $50,000 by $189,998 to $239,998. The grant is fully funded.
21. Research Title and/or Description of Project:
Human and Algorithmic Robust Speaker Verification
For the Recipient
For the United States of America
22. Signamre of Person Authorized to Sign
25. Si
(b)(2
23. Name and Tide
24. Date Signed
26.
27. Date Signed
ft L.. ,.., ,...,1,...,..1
Grants Officer
23 Auj 20( ((b)('
1
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TABLE OF CONTENTS -
CIA Grant Agreement
ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE S REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICIT1
ARTICLE 16 aumAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20 RESEARCH MISCONDUCT
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22 ENVIRONMENTAL STANDARDS
ARTICLE 23 NONDISCRIMINATION
ARTICLE 24 CERTIFICATIONS
ARTICLE 25 LIABILITY
ARTICLE 26 SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE
COMMUNITY
ARTICLE 27 PRIOR APPROVALS
ARTICLE 28 DATA RIGHTS
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
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ARMEICIX / SOME OF THE 2OWNTENCE1VT
The Recipient shall perform a coordinated research and development program
accordance with the Recipient's technical portion of the proposal entitled
"Human and Algorithmic Robust Speaker Vercation."
First Year (12 July 2010 - 11 July 2011)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $119,999
Second Year (12 July 2011 - 11 July 2012)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $119,999
Total Government Share of Agreement $239,99g
Option Year (12 July 2012 - 11 July 2013)(UNEXERCIS3O)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,999
Grand Total Government Share of Agreement $359,997
in
ARM= 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 -
Conditions
http://www.
Recipient -
agreement.
Maryland.
- The articles of this assistance agreement, Research Terms and
(available at
nsf.gov/pubsLpolicydocs/rtc/termssidebyside�pdf) and its attachments.
- An organization or other entity receiving a grant or cooperative
For purposes of this Agreement, the Recipient is University of
Performance Year -- Each consecutive twelve-month period from the effective date
of this agreement throughout the term of the agreement.
ARTICLE 3 ADMINISTRATIVE .R.E'QUIREME1VTS
A. This Agreement will be administered in accordance with, and recipients shall
comply with, the Research Terms and Conditions (available at
http://www.nsf.gov/pubs/policydocs/rtc/termssidebyside.pdf)the requirements of
the following OMB Circulars which are incorporated herein by reference:
- OMB Circular A-21 now codified at 2 CFR part 220, "Ccst 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
3
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a
- OME 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
- The Provisions of CIA Broad Agency Announcement No. ICPDP-2010-0001, entitled
'2010 Intelligence Community Postdoctoral Research Fellowship Program."
B. Should there be any inconsistency between the special conditions contained in
the Articles of this agreement and the Research Terms and Condition*, 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:
Phone:
Fax:
Email:
Contracting Team
ARC
Washington, DC 20505
Technical Point of Contact
Central Intelligence
ATTN:
Address:
Phone:
Fax:
Email:
Agency
Program Officer
Washington, DC 20505
Government Payment Office
Invoices shall be submitted using the Internet Payment Platform (1PP). If the
Grantee is not registered in /PP, the Grantee shall call the Vendor Service
Center on within two weeks of grant award to register. Items needed
to facilitate registration include: a valid grant number and the name, phone
number, and e-mail address for the Grantee's point of contact. The Grantee may
make inquiries regarding invoices to the payment office on
If the Grantee is unable to submit a payment request in electronic form, or the
Agency is unable to receive a payment request in electronic form, the Grantee
shall submit the payment request using a method mutually agreed to by the
Grantee, the Grants Officer, and the payment office.
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rg � b
Invention Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Fax
Email:
Recipient's
P.I. Name:
Department;
Address:
Phone:
Fax:
Email:
Washington, DC 20505
Principal Investigator
Dr. Shihab A. Shamma
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer Engineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
[e-mail]
Recipient's Authorized Organizational Representative
AOR Name:
Title:
Address:
Phone:
Fax;
Email:
Jill A. Frankenfield
Contract Manager, office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742
[phone]
(3131) 314-9569
[e-mail]
ARTICLE 5 TERM CUP THE AGREEMENT
The project has been approved on scientific/technical mrit for 24 months. The
period of performance is 12 July 2010 - 11 July 2012.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at
the time of award and shall be maintained, to the maximum extent possible,
throughout this agreement. Should changes be necessary, University of Maryland
shall notify the Agency Grants Office (identified in Block 6 of the face page)
in writing of the proposed substitute(s) within SO days of the change in order
to obtain approval of the substitution from the CIA Program Manager.
KEY PERSONNEL;
Principal Investigator: Dr. Shihab A. Shamma
Fellow (when identified): TED
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AR DI CLE 7 FISCAL MANAGEMENT
7.1 RestrictionS of the Use of Government Funds
Government funds provided under this Agreement must be allocated by the
Recipient exclusively for the execution and operation of the Agreement scope.
Government funds shall not be utilized to support the Recipient's operations or
administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount
obligated on this Agreement or by amendment to this Agreement. The Government's
share for full performance of this award is $239,598. Off this amount, 8239,998
is allotted and available for payment. This grant is fully funded_ The
Government is not obligated to reimburse the Recipient z7.or expenditures in
excess of the amount of funding obligated and allotted by the Government.
7.3 Incremental runding Actions
Unless otherwise specified in the agreement, each successive increment of a
continuing grant will be funded at the level specified in Article 1 without a
formal request from the recipient provided an annual report has been received
from the Principal Investigator.
Incremental funding is contingent on:
i. availability of funds;
satisfactory scientific/technical progress; and
compliance with any special conditions of the agreement.
7.4 Advance Payment
To request advance payments, recipients shall submit a request for advance
payment. The original and two copies of'each request shall be submitted to:
B. CIA Grants Office, Block 6
7_5 Program Income
All program income earned during the project period shall be added to funds
committed to the project by the Government and the Reciient 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 o the effort under an agreement, when appropriate in
accordance with OMB Circular A-110.
6
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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
which:
1_ Change the scope or objective of a project. The Principal Investigator must
consult with the Program manager and receive written approval from the Grants
Officer before deviating from the research objectives defined in the grant
propo8a1 or any sub-award, transfer or contracting out of substantive program
performance under this agreement,
2. Change key personnel. Support for the project may not continue without the
active direction of the Principal Investigator and/or Postdoctoral Fellows
approved for, and identified in, this Assistance Agreement. If the approved
Principal Investigator/Postdoctoral Fellow severs his or her connection with the
recipient institution or otherwise relinquishes active direction of the project,
either permanently or for a significant length of time (three months or more),
the recipient institution must either:
(i) Appoint a replacement Principal Investigator/Postdoctoral Fellow
with the approval of the Program Manager, or
(ii) Relinquish the Assistance Agreement, in which case the Agreement
shall be terminated.
3. change the recipient institution's cost share amount reflected in the
approved budget
4. use human subjects or vertebrate animals
S. 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
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7
The Government may extend the term of this grant by issuing a unilateral
modification.
Option Year (12 July 2012 - 11 July 2013)(VNEXBRCISED)
Government's Share
$119,999
Recipients Share (cash or in-kind)
0
Total Option Year Agreement
$119,999
ARTICLE 9 INVENTIONS
(a) The clause entitled "Rights to Inventions Made by Nonprofit Organizations
and Small nusiness Firms," (37 CFR 401) is hereby incorporated by reference and
the clauses in paragraph 401.14 are modified as follows: replace the word
"contractor" with "Recipient"; replace the words "agency," "Federal Agency" and
"funding Federal Agency" with "government"; replace the word "contract" with
"agreement"; delete paragraphs (g)(2), (g)(3) and the words "to be performed by
a small business firm or domestic nonprofit organization" from paragraph (g)(1);
paragraph (1), Communications, point of contact on matters relating to this
clause will be the CIA Grants Officer
(b) The Recipient shall file Invention (Patent) Reports as of the close of the
performance year and at the end of the term for this Agreement. Annual reports
are due 60 days after the end of each year of performance and final reports are
due 60 days after the expiration of the final performance period_ Negative
reports are also required. The Recipient shall submit the original and one copy
to the Grants Officer.
(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 nursuant to article 12
entitled "Annual and Final Technical Reports," and all zonfirmatory instruments.
A. All rights and title to data and technical data, as defined in 48 CFR
27.401, generated under this agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-
transferable, royalty-free, fully paid-up license to use, duplicate, or disclose
for governmental purposes any data, technology and inventions, whether patented
or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works
developed under this agreement. All such copyrights will be in the name of the
Recipient. The Recipient hereby grants the U.S. Government a non-exclusive,
non-transferable, royalty-free, fully paid-up license to reproduce, prepare
derivative works, distribute copies to the public, and perform publicly and
display publicly, for governmental purposes, any copyrighted materials developed
under this agreement, and to authorize others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating
the rights of the Government on all data and technical data delivered under the
agreement. The Government shall be deemed to have unlimited rights in all data
and technical data delivered without markings.
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
10.1 Annual Performance Report
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A. Annual reports are required for efforts of more than one Year. This report
will provide a concise and factual discussion of the significant accomplishments
and progress during the year covered by the report. Each of the topics described
below shall be addressed for the effort being performed!
(1) A comparison of actual accomplishments with the goals and objectives
established for the period, the findings of the investicator, or both.
(2) Reasons why established goals were not met, it 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 applications
stemming from the research effort.
The Postdoctoral Fellow is also required to present the status of the research
grant at the annual IC Postdoctoral Research Fellowship Program colloquium.
10.2 Final Technical Report
A. A Final Technical RepOrt is due at the completion of the agreement. This
report will provide a comprehensive, cumulative, and substantive summary of the
progress and significant accomplishments achieved during the total period of the
effort covered by the agreement. Each of the topics described in section 2_1
above shall be addressed as appropriate for the effort performed_ Publications
may be bound and attached as appendices.
B. When the results of a research effort have not previously been reported in
scientific or technical Publications, the Final Technical Report must provide
sufficient detailed discussions of findings and accomplishments obtained in
pursuit of the planned research objectives.
10.3 Report Submittal
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The Recipient shall submit annual and final technical r liorts 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 commitments of key
personnel and in the planned approach; acquisition or fabrication of major or
special research equipment; and the titles of manuscripts planned for
publication. The Recipient shall send the Agency program officer one copy signed
by the principal investigator within 15 days after the request.
A brief quarterly report may be required after each three month period. (The
annual report replaces the report for the last quarter nf the year). Each
quarterly report should describe the progress of the research project relative
to the milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results_ It
is anticipated that Government involvement in this grant will be limited to
general oversight.
ARTICLE 12 SCIENTIFIC REPORTS
1. For research agreements, this report shall be used for rapidly disseminating
highly significant research results or for scientific reports that are too long
or that contains useful compilations of data, tables, and computations not
normally accepted by technical journals. It is not appropriate for a student's
thesis. Before preparing a Scientific Report, obtain written permission from the
Program Manager who will then furnish detailed instructions for formatting,
reproducing, and distributing the report. Send the Agency program manager two
copies.
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2. On its cover, a scientific report shall prominently display the following
disclaimer: "The views and conclusions contained in this document are those of
the authors and should not he interpreted as necessarily representing the
official policies or endorsements, either expressed or implied, of the U.S.
Government."
ARTICLE 13 REPORTING FINANCIAL INFORMATION
Recipients hall submit financial reporting information in accordance with the
following.
13.1 :nterim 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, certefy and submit the FPR 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 PPR 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 Vnexpended Balances
Unless otherwise directed by the Grant Officer, any unexpended balance of funds
which remains at the end of any funding period, except the final funding period
of the grant, shall be carried over to the next funding period, and may be used
to defray costs of any funding period of the grant This includes
allowing the carry over of funds to the second and subsequent years of a
multiple year grant, but it does not apply to options, which require current
year funding. This provision also applies to subcontractors performing
substantive work under the grant.
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMA241.0.N
A. The Recipient may make formal public disclosure of the scientific and
technical information from this supported work (e.g., release articles for
appropriate professional publications or present papers at scientific meetings
or symposia) and will take the following steps;
(1) A copy of the article, paper, report, etc., shall he provided to the
Government 45 days prior to submission for publication.
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(2) Reference shall be attributed to a grant issued by the Intelligence
Community Postdoctoral Research Fellowship Program, or as may otherwise be
prescribed by the Grants officer.
B. The Recipient may utilize the scientific and technical information resulting
from this support in consulting or discussing this and related information with
other qualified individuals or groups of individuals, where appropriate, for
furthering this research and/or development effort_ The provision of A(2) shall
apply to such exchanges of information.
ARTICLE 15 Nan -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 ROMAN SUBJRCTS
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 (IRE), and Federal Wide
Assurances. These requirements are based on expected human use issues sometime
during the entire length of the proposed effort. The recipient shall provide
their IRE approval of specific research, the blank informed user consent form,
and the protocol and related documents as requested for secondary approval by
CIA.
ARTICLE 17 ANIMAL SUBJECTS
Approval is required by CIA prior to work beginning involving animal subject
use. Proposals selected for funding that will use vertebrate animals in the
research must comply with the Animal Welfare Act [7 U.S.C. 2131 et seq.] and
the regulations promulgated there under by the Secretary of Agriculture f9 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 (included as Appendix D to the NAS Guide).
ARTICLE 18 MODIFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in
good faith with the other signatory parties to determine the desirability of the
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proposed modification. Modifications shall not be effective until a written
modification is signed by the Agreement signatories (or their successors).
Administrative modifications may be unilaterally executed by the CIA Grants
Officer.
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement for
cause. If the Recipient fails to comply with the terms and conditions of this
agreement, the CIA Grants Officer will provide written notice of breach or
deficiency to the Recipient and will provide the Recipient an opportunity to
explain or correct the breach or deficiency within 30 days from receipt of
notice. If grounds for termination for cause still exist, the Government may
terminate or suspend performance. If suspension is invoked, the Government may
withhold further payments, or prohibit the Recipient from incurring additional
obligation of funds until corrective action is taken. If this agreement is
terminated after the Recipient has received Government funding, the closeout
procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the
following situations by:
A. the Agency when the recipient has materially failed to comply with the
terms and conditions of the award;
B. the Agency when it has other reasonable cause; including departure of
the Principal Investigator.
C. the Agency and the recipient by mutual agreement (if the Agency and the
recipient cannot reach an agreement, the Agency reserves the right to
unilaterally terminated the award); or
D. the recipient on written notice to the Agency setting forth the reasons
for such action, the effective date, and, in the case of partial termination,
the portion to be terminated or suspended (with the understanding that if the
Agency determines that the unterminated portion will not accomplish the purposes
of the agreement, it may suspend or terminate the entire agreement.)
E. Notwithstanding the above, for security or safety reasons or in the case of a
serious breach that could lead to irreparable damage, the Agency Grants Officer
may order immediate suspension of work, in whole or in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative
Conference of the U.S., and with the intent of the provisions of Alternative
Dispute Resolution, the CIA provides the informal resolution processes described
below concerning disputes or disagreements that may arise over a Grants
Officer's post-award decisions under a CIA agreement.
B. Scope of Post-Award Disputes Covered
The disputes below are covered under this process:
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i. cost disallowances pursuant to a Grants Off ice's decision (e.g.,
specific disallowances under an individual grant or as a result of an
audit report);
ii_ termination orders; and
iii. the final settlement amount under a termination.
Procedures
i The recipient should submit a certified letter to the Agency's
Procurement Executive via the Grants Officer noting the recipient's
disagreement or dispute and identifying the Agency's Grants Officer's
decision in question, giving reasons for the request for review and
providing any other material pertinent to the request.
ii. The letter to the Procurement Executive must be postmarked no
than 30 days after the date of the letter notifying the recipient
decision in question. The time for filing a request for
enforced and no extensions for the purpose of preparing
granted.
review is
it will be
later
of the
strictly
iii. The request for review need not follow a prescribed format; however,
it must contain a full statement of the recipient's position with respect
to the disputed matter and the facts and reasons in support of the
recipient's position. Requests will be reviewed if the recipient submits
new information (which was unavailable at the time of the original
decision); if an error in fact or application of Agency policy is noted in
the original decision; or improper procedures were followed in the
original decision.
iv. The Procurement Executive, will review or deslgnate one or more
individuals to review the matter. One reviewing official will be at least
at a management level equivalent to the official who made the decision
that is being reviewed. In no case, will the review be undertaken by any
individual involved with the decision or involved in recommending and/or
monitoring the scientific and engineering aspects of the project or
responsible for negotiating and/or administrating its business aspects.
v. The designated individual(s) will review and consider all relevant
information available. A report which identifies :he 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 Ioxecutive or his/her
designee will communicate the decision in writing to the recipient.
ARTICLE 20 RESEARCH MISC'ONDTIC'T,
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 F-
7�260). The following definitions will be used when applying this policy:
1. Research misconduct means the fabrication, falsification, or plagiarism in
proposing, performing, or reviewing research, or in reporting research
results. Research misconduct does not include honest error or difference of
opinion.
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ii. Fabrication is making up data or results and recording or reporting them.
iii. Falsification means manipulating research materials, equipment, or
processes, or changing or omitting data or results such that the research is
not accurately represented in the research record.
iv. Plagiarism is the appropriation of another person's ideas, processes,
results or words without giving appropriate credit.
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 humATI
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 CLAS,S'I.F1ABLE 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 P/ should promptly notify
the awarding agency's program manager.
ARTICLE 22 ENVIRONMENTAL STANDARDS
The Recipient agrees to the following environment standards;
A. Comply with applicable provisions of the Clean Air Act (42 U.S.0 7401, et
seq.) and Clean water Act (33 V.S.C. 1251, at seq.), as implemented by Executive
Order 11738 (3 CPR, 1971- 1 975 Comp., p7991 and Environmental Protection Agency
(EPA) rules at 40 CFR part 15. /n 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 CPR 15,5, as long as the facility remains on
the list.
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11 Of.D41 YU. If
- Notify the awarding agency if it intends to use a facility in performing this
award that is on the List of Violating Facilities or that the Recipient knows
has been recommended to be placed on the List of Violating Facilities.
B. Identify to the awarding agency any impact this award may have on the quality
of the human environment, and provide help the agency may need to comply with
the National Environmental Policy Act (NEPA, at 42 VS.. 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.).
E. On the basis of sex or blindness, in Title IX of the Education Amendments of
1972 (20 V.S.C. 1681, et seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.C. 6101,
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 prior to
award of this agreement, are hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility
Matters.
S. 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 COMAKINITY
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 19'81, (revised 30 auly 08) the individual signing this instrument on
behalf of the academic institution is authorized by the institution to contract
with an Agency within the Intelligence community.
ARTICLE 27 PRIOR APPROVALS
As appropriate, prior approval of the following deviations from budget and
program plans are required:
(1) The Grantee must consult the Program manager in Block 15 of the
Award/Modification document through the AGO at the Administrative Office in
Block 16 or the Grant Procurement Office in Block 6 of the Award/Modification
document before deviating from the research objectives defined in the grant
proposal or any sub-award, transfer or contracting out of substantive program
performance under this award.
(2) Support for the project may not continue without the active direction of the
Principal Investigator approved for, and identified in, this Grant_ If the
approved Principal Investigator severs his or her connection with the Grantee or
otherwise relinquishes active direction of the project, either permanently or
for a significant length of time (three months or more), the Grantee must
either:
(i) Appoint a replacement Principal Investigator with the approval of
the Program Manager in Block 15 through the Grant Procurement Office in
Block 6 of the Award/Modification document, or
(ii) Relinquish the Grant, in which case the Grant shall be terminated
(3) Extension for the expiration period of this Grant - The AGO at the
Administrative Office in Block 16 of the Award/Modification document has
authority to approve a no-funds extension request meeting all of the following
parameters;
(i) a one-time basis only; and
(ii) for a period not to exceed 90 days; and
(iii) where $50,000.00 or less of obligated funds remain to be
expended.
/n 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.
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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 appropria=le 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 IICEPORMATMg RESOURCES
To the extent practical, the recipient will use the technical information
resources of the Defense Technical Information Center (DTIC) and other
Government or private facilities to investigate recent and on-going research and
avoid needless duplication of scientific and engineering effort.
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ASSISTANCE AGREEMENT
1. Award No.
20 I 0*1045207*000
2. Modification No.
Mod 03
3. Effective Date
11 Jul 2012
4.
Page 1 of 18
5. Awarded To
University of Maryland
6. Sponsoring Office
Office of Integrated Missions
7. Period of Performance
12 July 2010 through 15 November
2012
8.Type of Agreement
Grant
Cooperative Agreement
Other 0
9. Authority
31 USC 6304 and
10 USC 235
10. Purchase Request or Funding Document No.
Multiple
11. Remittance Address
See Article 4
14. Principal Investigator
Dr. Shihab A. Shama
[phone]
12. Total Grant Amount
Govt. Share $239,998
Cost Share $ 0
Total $239,998
13. Funds Obligated:
This action: $0
Total: $239,998
15, Program Manager
16. Administrator:
(b)(3)
17. Submit Payment Requests To
Vendor Payments
Attn: Mail Room
Address: Washington, DC
20505
20. Accounting and Appropriation Data
Amount Obligated: $239,998,
18. Paying Office
Same as Block 17
21. Research 'Iitle and/or Description of Project:
Human and Algorithmic Robust Speaker Verification
For the Recipient
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3)
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TABLE OF CONTENTS �
CIA. Gnnfj*qrecrnent
ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE 8 REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 HUMAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20 RESEARCH MISCONDUCT
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22 ENVIRONMENTAL STANDARDS
ARTICLE 2$ 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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TABLE OF CONTENTS �
CIA Grant Agreement
ARTICLE 1 SCOPE OF THE AGREEMENT
ARTICLE 2 DEFINITIONS
ARTICLE 3 ADMINISTRATIVE REQUIREMENTS
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
ARTICLE 5 TERM OF THE AGREEMENT
ARTICLE 6 KEY PERSONNEL
ARTICLE 7 FISCAL MANAGEMENT
ARTICLE 8 REVISION TO FINANCIAL PLANS
ARTICLE 9 INVENTIONS
ARTICLE 10 ANNUAL PERFORMANCE REPORTS
ARTICLE 11 INFORMAL TECHNICAL REPORTS
ARTICLE 12 SCIENTIFIC REPORTS
ARTICLE 13 REPORTING FINANCIAL INFORMATION
ARTICLE 14 PUBLIC DISCLOSURE OF SCIENTIFIC AND TECHNICAL
INFORMATION
ARTICLE 15 NONPUBLICITY
ARTICLE 16 HUMAN SUBJECTS
ARTICLE 17 ANIMAL SUBJECTS
ARTICLE 18 MODIFICATIONS
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
ARTCILE 20 RESEARCH MISCONDUCT
ARTICLE 21 REPORTING CLASSIFIABLE INFORMATION
ARTICLE 22 ENVIRONMENTAL STANDARDS
ARTICLE 23 NONDISCRIMINATION
ARTICLE 24 CERTIFICATIONS
ARTICLE 25 LIABILITY
ARTICLE 26 SPONSORSHIP BY AN AGENCY WITHIN THE INTELLIGENCE
COMMUNITY
ARTICLE 27 PRIOR APPROVALS
ARTICLE 28 DATA RIGHTS
ARTICLE 29 USING TECHNICAL INFORMATION RESOURCES
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ARTICLE I SCOPE OF THE AGREEMENT
The Recipient shall perform a coordinated research and development program in accordance with the
Recipients technical portion of the proposal entitled 'Decision Making in the Absence of Data: Combining Expert
Judgements"
First Year (12 July 2010� 11 July 2011)
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $120,000
Second Year (12 July 2011. � 11 July 20131
Government's Share $120,000
Recipients Share (cash or in-kind) $ 0
Total Second Year Agreement $120,000
Total Government Share of Agreement $240,000
Ootiee:Oar (12 July 2013 � 11 July 20141(UNEXERCISED1
Governments Share $120,000
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $120,000
Grand Total Government Share of Agreement $360,000
Parties � For the purposes of this Agreement, the parties are University of Maryland and the United States
of America, hereinafter called the Government or the Agency, represented by the Central Intelligence
Agency.
Agreement -- The articles of this assistance agreement, Research Terms and Conditions (available at
http://wwvir.nstaavipubsinolicvdocs/rtoltermssidebyside.pdf) 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 REOUIR
ENTS
A. This Agreement will be administered in accordance with, and recipients shall comply with, the Research
Terms and Conditions (available at http://www.nsf. gov/pubsipolicydocs/rtc/termssidebyside.odf)the
requirements of the following OMB 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-2010-0001, entitled "2010 Intelligence
Community Postdoctoral Research Fellowship Program.*
B. Should there be any inconsistency between the special conditions contained in the Articles of this
agreement and the Research Terms and Conditions, the Articles of the agreement shall control. Should
there be any inconsistency between the Research Terms and Conditions and any special conditions
contained in the CIA Broad Agency Announcement, guides, brochures, etc., cited or included by reference in
the agreement, the matter should be referred to the CIA Grants Officer for guidance.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intellioence Mencv Grants Office
Attn:
Address:
Phone:
Fax:
Email:
ontracting Team
ARC
Technical Point of Contact
Central Intelligence Agency Program Officer
ATTN:
Address: Washington, DC 20505
Phone:
Fax:
Email:
Government Payment Office
Invoices shall be submitted using the Internet Payment Platform (IPP). lithe Grantee is not registered in
IPP, the Grantee shall call the Vendor Service Center on within two weeks of grant award to (b)(3)
register. Items needed to facilitate registration include: a vauia grant nuirber and the name, phone number,
and e-mail address for the Grantee's ooint of contact The Grantee may make inquiries regarding invoices to
the payment office on (b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
If the Grantee is unable to submit a payment request in electronic form, or the Agency is unable to receive a
payment request in 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 Office
Address: Contracting Team
ARC
Phone:
Fax:
Washin
on DC 20505
(b)(3)
(b)(3)
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Recipient's PrincipalInvestioator
P.1. Name:
Department:
Address:
Phone:
Fax:
Email:
Dr. Shihab A. Shamma
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer Engineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
[e-mail]
Recipient's Authorized Oroanizational Representative
AOR Name:
Title:
Address:
Phone:
Fax*
Jill A. Frankenfield
Contract Manager, Office of Research Administration & Advancement
3112 Lee Building
University of Maryland
College Park, MD 20742
[phone]
[phone]
[e-mail]
AR77CLE 5 TERM OP THE AGREEMENT
The project has been approved on scientific/technical merit for 28 months. The period of performance is 12
July 2010� 15 November 2012.
ARTICLE 6 KEY PERSONNEL
The key personnel listed below must be employed with University of Maryland at the time of award and shall
be maintained, to the maximum extent possible, throughout this agreement Should changes be necessary,
University of Maryland shall notify the Agency Grants Office (identified in Block 6 of the face page) in writing
of the proposed substitute(s) within 30 days of the change in order to obtain approval of the substitution from
the CIA Program Manager.
KEY PERSONNEL:
Principal Investigator Dr. Shihab A. Shamma
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 exclusively for the
execution and operation of the Agreement Scope. Government funds shall not be utilized to support the
Recipients operations or administration unrelated to this Agreement.
7.2. Obligation
0
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In no case shall the Government's financial obligation exceed the amount obligated on this Agreement or by
amendment to this Agreement. The Government's share for full performance of this award is 24O,000. Of
this amount, $240,000 is allotted and available for payment. This grant is fully funded. The Government is
not obligated to reimburse the Recipient for expenditures in excess of the amount of funding obligated and
allotted by the Government.
7.3 Incremental Funding Actions
Unless otherwise specified in the agreement, each successive increment of a continuing grant will be funded
at the level specified in Article I without a formal request from the recipient provided an annual report has
been received from the Principal Investigator.
Incremental funding is contingent on:
i. availability of funds;
satisfactory scientific/technical progress; and
iii. 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:
8. CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds committed to the project by the
Government and the Recipient and used to further eligible program objectives.
7.6 Closeout Adjustments
The Government may make a downward adjustment to the Government funding amount after completion of
the effort under an agreement, when appropriate in accordance with OMB Circular A-110.
ARTICLE B REVISION TO FINANCIAL PLANS
A. The financial plan, or approved budget, is the financial expression of the effort to be performed under this
agreement as approved during the award process. This agreement and its terms and conditions reflect the
approved financial plan. Some changes to the plan require prior approval, as described below.
B. Recipients are authorized to:
Carry forward unobligated balances to subsequent funding periods (with the exception of the final funding
period)
C. The CIA Grants Officers prior written approval is required for actions which:
1.21.7f. a ,"r .214. CST vea,
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1. Change the scope or objective of a project. The Principal Investigator must consult with the Program
manager and receive written approval from the Grants Officer before deviating from the research objectives
defined in the grant proposal or any sub-award, transfer or contracting out of substantive program
performance under this agreement.
2. Change key personnel. Support for the project may not continue without the active direction of the
Principal Investigator and/or Postdoctoral Fellows approved for, and identified in, this Assistance
Agreement If the approved Principal Investigator/Postdoctoral Fellow severs his or her connection with the
recipient institution or otherwise relinquishes active direction of the project, either permanently or for a
significant length of time (three months or more), the recipient institution must either:
(i) Appoint a replacement Principal Investigator/Postdoctoral Fellow with the approval of the
Program Manager, or
(ii) Relinquish the Assistance Agreement, in which case the Agreement shall be terminated.
3 change the recipient institution's cost share amount reflected in the approved budget
4. use human subjects or vertebrate animals
5. require no cost extensions exceeding 12 months
6. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the
end of any funding period, except the final funding period of the grant, shall be carried over to the next
funding period, and may be used to defray costs of any funding period of the grant. This includes
allowing the carry over of funds to the second and subsequent years of a multiple year grant. This provision
also applies to subcontractors performing substantive work under the grant.
7. SPECIAL CONDITIONS
N/A
8. OPTION
The Government may extend the term of this grant by issuing a unilateral modification.
Option Year (12 July 2013 through 11 July 2014)(UNEXEFiCISED)
Government's Share $240,000
Recipients Share (cash or in-kind) 0
Total Option Year Agreement $240,000
ARTICLE 9 INVENTIONS
(a) The clause entitled "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms,"
(37 CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are modified as
follows; replace the word "contractor with "Recipient"; replace the words "agency,' "Federal Agency" and
"funding Federal Agency" with "government"; replace the word 'contract" with "agreement"; delete
paragraphs (g)(2), (g)(3) and the words "to be performed by a small business firm or domestic nonprofit
organization" from paragraph (g)(I);
paragraph (1), Communications, point of contact on matters relating to this clause will be the CIA Grants
Officer
(b) The Recipient shall file Invention (Patent) Reports as of the close of the performance year and at the
end of the term for this Agreement. Annual reports are due 60 days after the end of each year of
performance and final reports are due 60 days after the expiration of the final performance period. Negative
reports are also required. The Recipient shall submit the original and one copy to the Grants Officer.
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(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,a and all confirmatory instruments.
A. All rights and title to data and technical data, as defined in 48 CFR 27.401, generated under this
agreement shall vest in the Recipient.
B. The Recipient hereby grants to the U.S. Government a non-exclusive, non-transferable, royalty-free, fully
paid-up license to use, duplicate, or disclose for governmental purposes any data, technology and
inventions, whether patented or not, made or developed under this Agreement.
C. The Recipient reserves the right to protect by copyright original works developed under this agreement.
All suth 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.
AR77CLE 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 applications stemming from the research
effort.
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The Postdoctoral Fellow is also required to present the status of the research grant at the annual IC
Postdoctoral Research Fellowship Program Colloquium.
10.2 Final Technical Report
A. A Final Technical Report is due at the completion of the agreement. This report will provide a
comprehensive, cumulative, and substantive summary of the progress and significant accomplishments
achieved during the total period of the effort covered by the agreement. Each of the topics described in
section 2.1 above shall be addressed as appropriate for the effort performed. Publications may be bound
and attached as appendices.
B. When the results of a research effort have not previously been reported in scientific or technical
publications, the Final Technical Report must provide sufficient detailed discussions of findings and
accomplishments obtained in pursuit of the planned research objectives.
10.3 Report Submittal
The Recipient shall submit annual and final technical reports in the original and two copies to the Agency's
program officer within 90 days after completion of the period covered by the report. The Recipient shall
provide a copy of the transmittal letter to the Grants Officer.
10.4 Format
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 commitments of key personnel and in
the planned approach; acquisition or fabrication of major or special research equipment; and the titles of
manuscripts planned for publication. The Recipient shall send the Agency program officer one copy signed
by the principal investigator within 15 days after the request.
A brief quarterly report may be required after each three month period. (The annual report replaces the
report for the last quarter of the year). Each quarterly report should describe the progress of the research
project relative to the milestones that were defined in the proposal.
11.2 Government Visits
The Government may visit the Recipient to discuss project status and results. It is anticipated that
Government involvement in this grant will be limited to general oversight.
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ARTICLE 12 SCIENTIFIC PORT
1. For research agreements, this report shall be used for rapidly disseminating highly significant research
results or for scientific reports that are too long or that contains useful compilations of data, tables, and
computations not normally accepted by technical Journals. It is not appropriate for a student's thesis. Before
preparing a Scientific Report, obtain written permission from the Program Manager who will then furnish
detailed instructions for formatting, reproducing, and distributing the report. Send the Agency program
manager two copies.
2. On its cover, a scientific report shall prominently display the following disclaimer: "The views and
conclusions contained in this document are those of the authors and should not be interpreted as
necessarily representing the official policies or endorsements, either expressed or implied, of the U.S.
Government."
ARTICLE 13 REPORTING FINANCIAIJNFO
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.
133 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.
RTICL
4 UBLIC D SCLOSURE' OF SCIENTIFIC AND TECHNICAL INFORMATION
A. The Recipient may make formal public disclosure of the scientific and technical information from this
supported work (e.g., release articles for appropriate professional publications or present papers at scientific
meetings or symposia) and will take the following steps;
(1) A copy of the article, paper, report, etc., shall be provided to the Government 45 days prior to submission
for publication.
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(2) Reference shall be attributed to a grant issued by the Intelligence Community Postdoctoral Research
Fellowship Program, or as may otherwise be prescribed by the Grants Officer.
B. The Recipient may utilize the scientific and technical information resulting from this support in consulting
or discussing this and related information with other qualified individuals or groups of individuals, where
appropriate, for furthering this research and/or development effort. The provision of A(2) shall apply to such
exchanges of information.
ARTICLE 15 Non-Publicity
The Recipient shall not use or allow to be wed any aspect of this solicitation and/or agreement for
publicity. Publicity means, NI )s not limited IP, advertising (e.g. trade maga4ries, 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 (lRB), and Federal Wide Assurances. These requirements are based
on expected human use issues sometime during the entire length of the proposed effort The recipient shall
provide their IRB approval of specific research, the blank informed user consent form and the protocol and
related documents as requested for secondary approval by CIA.
ARTICLE 17 ANIMAL SUBJECTS
Approval is required by CIA prior to work beginning involving animal subject use. Proposals selected for
funding that will use vertebrate animals in the research must comply with the Animal Welfare Act [7 U.S.C.
2131 et seq.] and the regulations promulgated there under by the Secretary of Agriculture [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 (included as Appendix D to the NAS
Guide).
ARTICLE 18 MODIFICATIONS
Any party to this Agreement who wishes to modify the Agreement shall confer in good faith with the other
signatory parties to determine the desirability of the proposed modification. Modifications shall not be
effective until a written modification is signed by the Agreement signatories (or their successors).
Administrative modifications may be unilaterally executed by the CIA Grants Officer.
ARTICLE 19 SUSPENSION AND TERMINATION PROCEDURES
19.1
The Government reserves the right to suspend or terminate this agreement for cause. If the Recipient fails
to comply with the terms and conditions of this agreement, the CIA Grants Officer will provide written notice
of breach or deficiency to the Recipient and will provide the Recipient an opportunity to explain or correct the
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breach or deficiency within 30 days from receipt of notice. If grounds for termination for cause still exist, the
Government may terminate or suspend performance. If suspension is invoked, the Government may
withhold further payments, or prohibit the Recipient from incurring additional obligation of funds until
corrective action is taken. If this agreement is terminated after the Recipient has received Government
funding, the closeout procedures in OMB Circular A-110 apply.
The agreement may be suspended or terminated in whole or in part in any of the following situations by:
A. the Agency when the recipient has materially failed to comply with the terms and conditions of the
award;
B. the Agency when it has other reasonable cause; including departure of the Principal Investigator.
C. the Agency and the recipient by mutual agreement (if the Agency and the recipient cannot reach
an agreement, the Agency reserves the right to unilaterally terminated the award); or
D. the recipient on written notice to the Agency setting forth the reasons for such action, the effective
date, and, in the case of partial termination, the portion to be terminated or suspended (with the
understanding that if the Agency determines that the unterminated portion will not accomplish the purposes
of the agreement, it may suspend or terminate the entire agreement)
E. Notwithstanding the above, for security or safety reasons or in the case of a serious breach that could
lead to irreparable damage, the Agency Grants Officer may order immediate suspension of work, in whole or
in part.
19.2 Informal Resolution of Grant Administration Disputes
A. Consistent with the Recommendation on Grant Disputes by the Administrative Conference of the U.S.,
and with the intent of the provisions of Alternative Dispute Resolution, the CIA provides the informal
resolution processes described below concerning disputes or disagreements that mayarise over a Grants
Officers 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 Officers decision (e.g., specific disallowances under an
individual grant or as a result of an audit report);
ii. termination orders; and
iii. the final settlement amount under a termination.
C. Procedures
i The recipient should submit a certified letter to the Agency's Procurement Executive via the Grants
Officer noting the recipient's disagreement or dispute and identifying the Agency's Grants Officers
decision in question, giving reasons for the request for review and providing any other material
pertinent to the request.
ii. The letter to the Procurement Executive must be postmarked no later than 30 days after the date
of the letter notifying the recipient of the decision in question. The time for filing a request for review
is strictly enforced and no extensions for the purpose of preparing it will be granted.
iii. The request for review need not follow a prescribed format; however, it must contain a full
statement of the recipient's position with respect to the disputed matter and the facts and reasons in
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support of the recipient's position. Requests will be reviewed if the recipient submits new information
(which was unavailable at the time of the original decision); if an error in fact or application of
Agency policy is noted in the original decision; or improper procedures were followed in the original
decision.
iv. The Procurement Executive, will review or designate one or more individuals to review the
matter. One reviewing official will be at least at a management level equivalent to the official who
made the decision that is being reviewed. In no case, will the review be undertaken by any individual
involved with the decision or involved in recommending and/or monitoring the scientific and
engineering aspects of the project or responsible for negotiating and/or administrating its business
aspects.
V. The designated individual(s) will review and consider all relevant information available. A report
which identifies the conclusion and recommendation will be completed within 30 days and forwarded
to the Procurement Executive or his/her designee for a final and unappealable written decision for
the agency. The Procurement Executive or his/her designee will communicate the decision in writing
to the recipient.
ARTICLE 20 RESEARCH MISCONDUCT
All research awards issued by the CIA are subject to the Federal Policy on Research Misconduct published
in the Federal Register on December 6, 2000 (65 FR 76260). The following definitions will be used when
applying this policy;
i. 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 omitting
data or results such that the research is not accurately represented in the research record.
iv. Plagiarism is the appropriation of another person's ideas, processes, results or words without giving
appropriate credit.
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 institvtions 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. Res_parch 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, interned reports, and journal articles.
Any allegation of research misconduct should be reported to the CIA Grants Officer
ARTICLE 21 REPOR I MASSIF! BLE INFORMATO
(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.
13
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(b) If, however, in conducting the activities supported under this award, the principal investigator (PI) is
concerned that any of the research results involve potentially classifiable information that may warrant
Government restrictions on the dissemination of the results, the PI should promptly notify the awarding
agency's program manager.
ARTICLE 22 ENVIRONMENTAL STANDARDS
The Recipient agrees to the following environment standards;
A. Comply with applicable provisions of the Clean Air Act (42 U.S.0 7401, et seq.) and Clean Water Act (33
1251. et seq.), as implemented by Executive Order 11738 (3 CFR, 1971- 1 975 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 performing any award that is nonexempt under 40
CFR 15.5, as long as the facility remains on the list.
- Notify the awarding agency if it intends to use a facility in performing this award that is on the List of
Violating Facilities or that the Recipient knows has been recommended to be placed on the List of Violating
Facilities.
B. Identify to the awarding agency any impact this award may have on the quality of the human
environment, and provide help the agency may need to comply with the National Environmental Policy Act
(NEPA, at 42 V.S.C. 4321, at seq.) and to prepare Environmental Impact Statements or other required
environmental documentation. In such cases, the Recipient agrees to take no action that will have an
adverse environmental impact (e.g. physical disturbance of a site such as breaking of ground) until the
agency provides written Approval.
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 Amendments of 1972 (20 V.S.C. 1681, et
seq.)
C. On the basis of age, in the Age Discrimination Act of 1975 (42 V.S.C. 6101, 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 prior to award of this agreement,
are hereby incorporated by reference:
A. Certification regarding Debarment, Suspension, and Other Responsibility Matters.
B. Certification regarding Drug-Free Workplace Requirements.
C. Certification regarding Lobbying.
14
CT � fi..1
1016.C.TV7T inv ran
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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 copydghted 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.
ARTICLE26SPONSOP$HPANAGNCY WITHIN THEjELLIGEfjCECQMMUMTv
This grant is sponsored by the Central Intelligence Agency, an Agency within the Intelligence Committee. To
ensure compliance with Executive Order 12333, dated 4 December 1981, (revised 30 July 08) the individual
signing this instrument on behalf of the academic institution is authorized by the institution to contract with
an Agency within the Intelligence Community.
Aangl..E 27 PRIOR APPROVALS
As appropriate, pnor approval of the following deviations from budget and program plans are required:
(1) The Grantee must consult the Program Manager in Block 15 of the Award/Modification document
through the AGO at the Administrative Office in Block 16 or the Grant Procurement Office in Block 6 of the
Award/Modification document before deviating from the research objectives defined in the grant proposal or
any sub-award, transfer or contracting out of substantive program performance under this award.
(2) Support for the project may not continue without the active direction of the Principal Investigator
approved for, and identified in, this Grant If the approved Principal Investigator severs his or her connection
with the Grantee or otherwise relinquishes active direction of the project, either permanently or for a
significant length of time (three months or more), the Grantee must either:
(i) Appoint a replacement Principal investigator with the approval of the Program Manager in
Block 15 through the Grant Procurement Office in Block 6 of the Award/Modification document, or
(ii) Relinquish the Grant, in which case the Grant shall be terminated
(3) Extension for the expiration period of this Grant � The AGO at the Administrative Office in Block
16 of the Award/Modification document has authority to approve a no-funds extension request meeting all
of the following parameters:
(i) a one-time basis only; and
(ii) for a period not to exceed 90 days; and
(iii) where $50,00040 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 80? the Award/Modification document.
ARTICLE 28 DATA RIGHTS
A. AU rights and title to data and technical data, as defined in 48 CPR 27.401, generated under this
agreement shall vest in the Recipient.
8. 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
Y112,1��� T em.s ��� am se.
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15
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C. The Recipient reserves the right to protect by copyright original works developed under this agreement.
All such copyrights will be in the name of the Recipient. The Recipient hereby grants the U.S. Government
a non-exclusive, non-transferable, royalty-free, fully paid-up license to reproduce, prepare derivative works,
distribute copies to the public, and perform publicly and display publicly, for governmental purposes, any
copyrighted materials developed under this agreement, and to authorize others to do so.
D. The Recipient is responsible for affixing appropriate markings indicating the rights of the Government on
all data and technical data delivered under the agreement. The Government shall be deemed to have
unlimited rights In all data and technical data delivered without markings.
ARTICLE 29 USING TECHNICALINFORMATION RESOURCES
To the extent practical, the recipient will use the technical information resources of the Defense Technical
Information Center (DT1C) and other Government or private facilities to investigate recent and on-going
research and avoid needless duplication of scientific and engineering effort.
16
.R1s.
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University of Maryland
2010*1045207*000
Mod 003
Page 1 of 1
For questions regarding this modification please contact
Summary of Chances
The purpose of this modification is to extend the POP at no additional cost to the Government and make
administrative changes. As a result, the following changes are made:
1. Change Block 6 "Sponsoring Officer" from Office of Chief Scientist to Office of Integrated Missions.
2. Change Block 7 "Period of Performance" on Grant cover page from 12 July 2010 through 11 July 2012 by 4
months to 12 July 2010 through 15 November 2012.
3. Change Block 15 "Program Manager" frorr
4. Change Block 16 "Administrator" from
5. Change Article 1 to:
a. Extend the "Second Year from 12 July 2010 through 11 July 2012 by 4 months to 12 July 2010
through 15 November 2012.
. Shift the "Option Year" POP from 12 July 2012 through 11 July 2013 by 4 months to 16 November
2012 through 15 November 2013.
6. Change Article 4 as follows:
a. Grants Officer from
b. Technical Point of Contact frorr
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
invention reporting from
7. Change Article 5 Term Of Agreement from 24 months by 4 months to 28 months and a POP of 12 July
2010 through 11 July 2012 by 4 months to 12 July 2010 through 15 November 2012,
8. Change Article 8 Revision to Financial Plans "Options" from a POP of 12 July 2012 through 11 July 2013 by (b)(3)
4 months to 16 November 2012 through 15 November 2013.
All other articles remain unchanged and in full force and effect.
ene-r .
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UNCLASSIFIED
FACSIMILE TRANSMITTAL
FROM:
FAX #
DATE: 09 August 2012
(b)(3)
NO. OF PAGES: (INC.
FAX COVER SHEET)
TO: University of Maryland
FAX #: [phone]
ORGANIZATION:
ATTN: Jill A. Frankenfield
TEL#/EXT: [phone]
COMMENTS:
Ms. Frankenfield,
Attached is Modification 2 to Grant Number 2010*1045207*000 for Dr. Shihab Shamma.
Please review it and fax a signed copy (Page 1 only) back to my attention al
by 16 August 2012. If you have any questions, let me know.
Thank you,
ASS
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(b)(3)
(b)(3)
Approved for Release: 2019/06/25 C06547184
Argil I Sn X OP4 11E. T
SID :
Number : Date : 08-22-12 09:48
Date/Tine
Dialled number
Subscriber
8-22 9:48
Durat.
0'16"
Mode
NORMAL
Pages
2
Status
Correct
*** To be replaced soon : Drum
University of Maryland
Office of Research Administration
3112 Lee Building
College Park, MD 20742
Muriel Averilla-Chin Phone: [phone]
Fax: [phone]
Email Address: maveril umd.edu
To:
Company:
CIA
From:
Muriel Averilla-Chin, Sr. Contract Administrator
Date:
8/22/12
0 of Pages
(Includes Lover)
2
Re:
Grant Number 20101'1045207400
Comments:
In accordance with instructions, attached is the signed
modification. 1 apologize for the delay.
Thank you,
Muriel
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University of Maryland
Office of Research Administration
3112 Lee Building
College Park, MD 20742
Muriel Averilla-Chin Phone: [phone]
Fax [phone]
Email Address: mave ill umd.edu
To:
Company:
CIA
From:
Muriel Averilla-Chin,
Sr. Contract Administrator
Date:
8/22/12
# of Pages
(includes cover)
2
Re:
Grant Number 2010*1045207*000
Comments:
In accordance with instructions, attached is the signed
modification. I apologize for the delay.
Thank you,
Muriel
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1. Award No.
2010*1045207*000
5. Awarded To
University of Maryland
8.Type of Agreement
Grant
Cooperative Agreement 0
Other 0
11. Remittance Address
Sec Article 4
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2. Modification No.
Mod 004
9. Authority
31 USC 6304 and
10 USC 2358
ASSISTANCE. AGREEMENT
3. Effective Date
26 November 2012
6. Sponsoring Office
Oftcc of Integrated Missions
10. Purchase Request or Funding Document No.
Multiple
12. Total Grant Amount
Govt. Shire $239,998
Cost Share $ 0
Total $239,998
14. Principal investigator
Dr. Shihab A. Shamma
[phone]
r�11�1���
IS. Program Manager
4,
Page 1 ol 18
7. Period of Performance
12 July 2011) through 28 February 2013
13. Funds Obligated:
This action: $0
Total: $239,998
16 Administrator:
I
17. Submit Payment Requests To
Vendor Payments
Aim: Mail Room
Address: Washington, DC
20505
20. Accounting and Appropriation Data
Amount Ohliptcd: $239.998.
21. Research Title and/or Description of Project:
Human and Algorithmic Robust Speaker Verification
(b)(3)
18. Paying Otlicb
Same as Block 17
For the Recipient
19. Submit Reports To
As Directed by the Technical Point of Contact
(b)(3)
For the United States of America
22. ature of Persqii Authorized
am and Title
A
24. Date Signed
N-111aUllit NI If�.16L
(b)(3)
c Signed
t 7._ct (9-01
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Ei
ARTICLE 1 SCOPE OF THEAGREEM NT
The Recipient shall perform a coordinated research and development program in accordance with the
Recipient's technical portion of the proposal entitled "Human and Algorithmic Robust Speaker Verification."
First Year (12 July 2010- 11 July 2011)
Government's Share $119,999
Recipients Share (cash or in-kind) $ 0
Total First Year Agreement $119,999
econd Y ar 1 -28 February 2013)
Government's Share 19,999
Recipients Share (cash or in-kind) 0
Total Second Year Agreement $ 19,999
Total Government Share of Agreement $239,998
Qption Year (01 March 2013 - 28 February 2014)(UNEXERCISED)
Government's Share 119,999
Recipients Share (cash or in-kind) $ 0
Total Option Year Agreement $119,999
Grand Total Government Share of Agreement $359,997
AR77CLE 2 DEFINITIONS
Parties -- For the purposes of this AgreemInt, 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
htt ://www.nsf, ov/ ubs/ oli doc / cherressideb side. df) and its attachments.
Recipient -- An organization or other entity eceiving 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 http://www.nsf.00v/pubsipolicydocs/rIcitermssigebvside.Obthe
requirements of the following OMB 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 Administratilve 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-2010-0001, entitled "2010 Intelligence
Community Postdoctoral Research Fellowship Program."
B. Should there be any inconsistency between the special conditions contained in the Articles of this
agreement and the Research Tams 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 Annoiincement, guides, brochures, etc., cited or included by reference in
the agreement, the matter should be referbd to the CIA Grants Officer for guidance.
ARTICLE 4 ADMINISTRATIVE RESPONSIBILITIES
Central Intellig_csen Agency Grants Office
ontracting Team
ARC
ton DC 20505
Technical Point of Contact
Central Intelligence Agency Program Officer
ATTN:
Address:
Phone:
Fax:
Email:
VVashin
ton DC 20505
Government Payment Office
Invoices shall be submitted using the InterTet Payment PlAffnrrn fiPPi if the Grantee is not registered in
IPP, the Grantee shall call the Vendor Service Center on ithin 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 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 Reporting
Grants Office
Address: Contracting Team
ARC
Phone:
Fax:
Email:
Washin
on, DC 20505
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Recipient's Prinsipal Investigator
Name:
Department:
Address:
Phone:
Fax:
Email:
Dr. Shihab A. Shamma
Center for Auditory and Acoustic Research
Institute for Systems Research
Electrical and Computer dngineering
University of Maryland
College Park, MD 20742
[phone]
[phone]
[e-mail]
Recipient's Authorized Organizational Representative
AOR Name: Jill A. Frankenfield
Title: Contract Manager, Office of Research Administration & Advancement
Address: 3112 Lee Building
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 for 28 months. The period of performance is 12
July 2010 � 28 February 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. Shihab A. Shamma
Fellow: Gregory Sell
ARTICLE 7 FISCAL MANAGEMENT
7.1 Restrictions of the Use of Government rinds
Government funds provided under this Agreement must be allocated by the Recipient exclusively for the
execution and operation of the Agreement Scope. Government funds shall not be utilized to support the
Recipient's operations or administration unrelated to this Agreement.
7.2. Obligation
In no case shall the Government's financial obligation exceed the amount obligated on this Agreement or by
amendment to this Agreement. The Government's share for full performance of this award is $239,998. Of
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this amount, $239,998 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:
1. availability of funds;
satisfactory scientific/technical progress; and
iii. compliance with any special conditions of the agreement.
7.4 Advance Payment
To request advance payments, recipients
copies of each request shall be submitted
shall submit a request for advance payment. The original and two
to:
B. CIA Grants Office, Block 6
7.5 Program Income
All program income earned during the project period shall be added to funds committed to the project by the
Government and the Recipient and used Po 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 PaLANS
A. The financial plan, or approved budged 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 which:
1. Change the scope or objective of a project. The Principal Investigator must consult with the Program
manager and receive written approval from the Grants Officer before deviating from the research objectives
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defined in the grant proposal or any sub-award, transfer or contracting out of substantive program
performance under this agreement.
2. Change key personnel. Support for the roject 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 Inveitigator/Postdoctoral Fellow severs his or her connection with the
recipient institution or otherwise relinquishies 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 Priecipal Investigator/Postdoctoral Fellow with the approval of the
Program Manager, or
(ii) Relinquish the Assistance
Agreement, in which case the Agreement shall be terminated.
3. change the recipient institution's cost share amount reflected in the approved budget
4. use human subjects or vertebrate animals
5. require no cost extensions exceeding 12 months
6. Unless otherwise directed by the Grant Officer, any unexpended balance of funds which remains at the
end of any funding period, except the final funding period of the grant, shall be carried over to the next
funding period, and may be used to defraylcosts of any funding period of the grant. This includes
allowing the carry over of funds to the sec9nd 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.
Option Year (01 March 2013-28 February 2014)(UNEXERCISED)
Government's Share $19.999
Recipients Share (cash or in-kind) 10
Total Option Year Agreement $119,999
ARTICLE 9 INVENTIONS
(a) The clause entitled 'Rights to Inventions Made by Nonprofit Organizations and Small Business Firms,"
(37 CFR 401) is hereby incorporated by reference and the clauses in paragraph 401.14 are modified as
follows: replace the word 'contractor with "Recipient"; replace the words "agency," 'Federal Agency" and
"funding Federal Agency" with "government; replace the word "contract' with "agreement"; delete
paragraphs (g)(2), (g)(3) and the words "to be performed by a small business firm or domestic nonprofit
organization" from paragraph (g)(I);
paragraph (1), Communications, point of contact on matters relating to this clause will be the CIA Grants
Officer
(b) The Recipient shall file Invention (Paten) Reports as of the close of the performance year and at the
end of the term for this Agreement. Annual reports are due 60 days after the end of each year of
performance and final reports are due 60 days after the expiration of the final performance period. Negative
reports are also required. The Recipient shall submit the original and one copy to the Grants Officer.
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/13-1.3 � tfta rg
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University of Maryland
2010-1 207-
Page 1 of 1
For questions regarding this modification please contact Mary S. at
Summary of Ch.
The purpose of this modification is to exercise a priced option for the period 01 March 2013 through 28
February 2014. Specifically, this modification increases the Grant value and funding and extends the
period of performance. As a result, the following changes are made:
1. Change Block 7 "Period of Performance" on Grant cover page from 12 July 2010 through 28
February 2013 by 12 months to 12 July 2010 through 28 February 2024
2. Change Block 12 "Total Grant Amount" on Grant cover page from $239 998 b $119,9
3. Change Block 13 "Funds Obligated" and Block 20 "Accounting and Appropriation Data" on Grant
cover page to increase funding amount obligated from $239,998 by $119,999 to $359,997.
4. Change Block 15 "Program Manager" to urate contact phone number
from
5. Change Article 1, Scope of the Agreement, to:
a. Option Year (01 March 2013 through 28 February 2014) EXERCISED versus
UNEXERCISED.
6. Change Article 4, Administrative Responsibilities, to update the Technical Point o
7. Change Article 5, Term of Agreement, from 31.5 months by 12 months to 43.5 months and the
period of performance from 12 July 2010 through 28 February 2013 by 12 months to 22 July
2010 through 28 February 2014.
8. Change Article 7, Fiscal Management, Section 7.2, Obligation to:
a. Increase the Government's share for full performance of this award from $239,998 by
$119,999 to $359,997. Additionally, the amount allotted and available for payment is
increased from $239,9 by $119,999 to $359,997.
9. Change Article 8, Revision to Financial Plans, Section 8, Options to:
a. Option Year (01 March 2013 through 28 February 2014) EXERCISED versus
UNEXERCISED.
All other articles remain unchanged and in full force and effect.
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Cr�1-143-.L3 NM � una rg 3
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ASSISTANCE AGREEMENT
Award No.
20101'1045207
2. Modification No.
Mod 005
3. E ve Ode
28 February 2013
Page I of 18
5.A
6 Sponsoring Office
7 Period cif Perfomiance
University of
cc of Intelrated Missions
12 July 2010 through 28 February 2014
8.TYPc of
9. Authority
10. Purchase Requeat or Funding Document No.
Gnint
0
31 USC 6304 and
Multiple
10 US( 2358
IL Ran Address
12. lOtal tirant Amount
13. Funds Obligated:
This action: $119,999
See Ankle 4
Govt. Share 8359,997
I ctal: $359,997
Cost Share 0
I otal 8359,997
4. Principal Investigator
15. P
16. Administrator,
(b)(3)
Dr.
A. Shamma
[phone]
7. Su
Payment R
1
18. Paying Office
19. Subaut Reports T
V. r P
Same as Bluck 17
As Directed by the redline:11 Point of Contad
Ann: M
Minn
DC
(b)(3)
20505
20. Accounting and Appropriation Data
Amount tAil
: 59,997
21. Tide andlor on of Project:
Hwnan and Algon *.c Robust S Verification
For the Recipient
For die United States or America
22. Signature of Person Authorized to Sign
23. N
Ind lific
24 Date Signed 26
(b)(3)
Grants Officer
7 Into Signed
(b)(3)
WI 1 6/ (
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The Rea shall
R ient's technical
a coordinated research and development program in - rice with the
of the p �� le t.. 'Human and � rithrnic
First Year (12 July 2010 - 11 July 20111
t's Share
ts Share (cash or in-kind) $
Total Fist Y ent $119,999
�
Year (12 July 2011 -28 February 2013)
s Share $119,
R nts Share (cash or in- $ 0
Total Year Agreement $119
�
Total Government Share of Agreement
n Y � r (01 March 2013 -28 February 2014)(EXERCISED)
Government's Share $119,
Share (cash or in-kind) $ 0
Total Year A $119,
Grand Total Government Share of Agreement .997
A
Speaker Verification.�
Parties -- For the purposes of this Agreement, the are University of Maryland and the United States
of , hereinafter called the Government or the Agency, represented by the Central Intel,
Agreement - The articles of this assistance ag . Research Terms and Conditions (ava at
titto://vntnv.nstgovlou .. a. 'ocs/rtc/term de.odf) and its attachments.
or other entity
ent, the Recipient is University of M
ng a grant or tive ag M. For pu of this
Performance Year - Each consecutive twelve-month from the effective date of this agreement
!tout the term of the t.
A
LE 3 AD
B Circular A-21 now red at 2 CFR
, "Cost Principles for Educational Institutions"
B Circular A-110, Uniform Administrative Requirements for Grants and � ants with Ins( of
Higher E ton, , and r Non-Profd mations now codified at 2 CFR part 215
- OMB Circular A-122. "Cost Pit for Non-Profit izatione, now codified at 2 CFR part 230
- OMB Circular A-133. 'Audits of State, Local
� 26 June 07) and
nts. and Nonprofit I ions* (27 June 03);
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LCI-1,3 WI � $ttat
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rg ;
Contracting Team
ARC
- The Provisions of CIA Broad Agency Announcement No ICPDP-2010-
Community Postdoctoral Research Fellowship Program,"
� t
1, entitled '2010 Intelligence
B. Should there be any inconsistency between the special conditions contained in the Articles of this
ag t and the Research Terms and Conditions, the Articles of the ag nt shall control, Should
there be any inconsistency between the Research Terms Conditions and any I conditions
contained in the CIA Broad Agency Announcement, guides, brochures, etc., cited or included by reference in
the ag nt, the matter should be referred to the CIA Grants Officer for guidance.
ARTIC 4 ADMINISTRATIVE RE ES
central Intelligence Acenc Gran
Attn:
Address:
Phone:
Fax:
Email:
Central Intelligence Agency Proaram Officer
ATTN:
Address:
Phone:
Fax:
Email:
Government Ptpvment Office
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
Invoices shall be subm 'using the Internet Payment Platform (IPP). If the Grantee is not registered in
ipp, the Grantee shall call the Vendor Service Center or 'ithin two weeks of grant award to (b)(3)
register. Items n - - .ed to facilitate registration include: a valid grant number and the name, 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 t office.
Jnyention Reporting
Grants Office
Address Co
ARC
Phone:
Fax:
ng Team
Washington, DC 20505
(b)(3)
(b)(3)
(b)(3)
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um-Axt-AJ o./.waa rg: b
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Fax
R Is A
AOR Name:
Fax
Ema
15
Col
(301) 2
[phone]
0 urnd
Park. MD 20742
(301) 77
(301) 314
keneumd.
A
of R
has
12 July 2010 � 29 2014.
The key
barn
University of
of the
the CIA P
KEY PE
Principal
Fe G
A
7.1 R
nel mint be em
extent � � th
shall t8 Off
tbn & Advancement
hnical merit for 433 m
substitute(s) within 30 days of the ctia
r.
NEL:
or Dr. Stii
Sell
mma
of the Use of Government Funds
ment funds provi under A
8X and ration of the Agreement
ions or administration unre
7.2.
In no case
am
I.!,-
1
must be a
Gave
to this Ag
orm
of the page) in
royal of the substitution from
ted by the Recipient exclusively for the
not be utilized to su the
the Governments financial obligation ex � the a
to this Agreement. The Governments share for full
ad on this Agreement or by
ance of this award is 9359,997. Of
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um-Ao-La Erm?.z,ra rg;
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manager and receive
this amount. .997 is all � and available for payment. This is fully fun The Government is
not obligated to reimburse the Recipient tore. ms in of the amount of fu and
al by the Government.
t.
7.3 Incremental Funding Actions
Unless in the agreement. each
at the level � - in � 1 without a formal
n received from the Principal Investigator.
Incremental funding is co t :
i. avadability of funds:
satis
iii. compliance with any I conditions of the agreement.
7.4 Advance Payment
� 0,1 .
a Pa nta shall
of each request shall be �milted to:
7.5 Program Income
and
EL CIA Grants , Block 6
e increment of a continuing grant will be fun
from the -... an annual report has
request for advance payment The nal and two
All ram income earned during the project shall be
Government and the Recipient and used to further eligible
7.6 Adjustments
The ment may make a
the effort under an agreement.
SR
To
:
ram
to funds committed to the by the
*�
adjustment to the � ant funding amount after comp
rate in acco with OMB A-110.
AL NS
B. R
3.,P�t� -3-
plan, or roved b Is the al ex of the effort to be rmed under this
during the award . This agreement and its terms and conditions the
plan. Some to the plan require prior . at, as . �:. below.
are authorized to:
Carry forward unobligated balances to tort fu periods (with the ex
Pe
C. The CIA Grants r written royal is . for actions
IP:
of the final funding
1. Cha the scope or I - of a p The Principal Inv tor must consult with the P
from the Grants Officer before deviating from the research ob.
6
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O1:57a Ps: El
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defined in the or any sub-award, transfer or contracting out of
performance under this ant.
Program
2. CM key personnel. a � � n for the may not continue without the active direction of the
Principal investigator and/or P��, � � oral Fellows roved for. identified in. this Assistance
Agreement. ft the roved Principal Investigator/P Fellow his or her con ' � n with the
ins or 01 � - , relinq ' active direction of the . either permanently or for a
st t I � of time (three months or more), the
Program
"nt a
ger, Or
�
*WI
it institution must either:
ant Investigator/Postdoctoral Fellow with the of the
00 Re ish the nee Agreement. at
3. change the recipient institution's ref in the
4. use human � or vertebrate animals
5. require no cost extensions ex.rig 12 months
�
Z
nt shall be terminated.
budget
6. U rwise directed by the Grant Officer, any unexpe be of fu � which remains at the
end of any funding � , ex � the final finding period of the grant, shall be
funding , and may be used to defray costs of any funding ' of the grant. This �
allowing the carry over of to the and su tient years of a m year grant. This provision
to ors performing s work under the grant.
7. SPECIAL CONDI
N/A
8.
0.
The mem may extend the term of this
� n Year (01 2013-26 Fe
Government's Share
(cash or in-kind)
Year
Irikt
Total
:
by issuing a unilateral modification.
2014XEXERCISED)
$119.
0
$119.
over to the next
(a) The CIBUSS e 'Rights to Inventions M by izations and Small
(37 CFR 401) is hereby i ir I a ed by reference and the clauses in graph 401.14 are m
follows: the word .,,� with � � ' tli: replace the sa ,' *F I A
g Federal A 'govemmenr; replace the et with 6ag cWiete
paragraphs (0)(2). (g)(3) the *to be perf by a small business firm or dam
o izat1on6 from paragraph (g)Q);
paragraph (1), Cornmu '- � -, point of contact on relating to this clause will be the CIA Grants
(b) fuel
end of the term for this
Pert and final
are also required.
(Patent) R as of the close of the pert� year and at the
Annual are due 60 days after the end of each year of
rts are due 60 clays after the e tion of the final performance
The Recipient shall submit the and one a a y to the Grants Officer.
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From: Takeia M Bradley
To: Ittrie4 Averilla-Chia
Subject: FW: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
Date: Monday, September 30,2013 3:29:55 PM
H Muriel,
Second grant is FRS# 529653
Takeia M. Bradley
Contract Manager ORA
[phone] Direct Line
[phone] Main Office
From: ORAA
Sent: Monday, September 30, 2013 3:23 PM
To: Jill A. Frankenfield
Cc: Takeia M. Bradley
Subject: FW: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
From (b)(3)
Sent: Monday, September 30, 2013 3:03 PM
To: borisg-contact; miadallrftist,gov� sasisigtimd.edu; ORAA (b)(3)
Subject: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
Due to the lack of a continuing resolution, only emergency contracts can continue after 30
September 2013. Please cease working on subject grants effective 1 October 2013. Work on these
grants can re-start once a continuing resolution or budget has been passed by Congress. Formal
notification to re-start work will not be provided. Please listen to the news and once a continuing
resolution funding the Government for FY 2014 has been passed you may begin work again. We
apologize for any inconvenience this direction causes.
Grants Officer
(b)(3)
(b)(3)
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Approved for Release: 2019/06/25 C06547184
From: OPM
To: liii A FrankenfiPIrt
Cc: Muriel Avenlla-Chin
Subject: FW: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
Date: Thursday, October 17, 2013 1:12:03 PM
From:
Sent: Thursday, October 17, 2013 1.93 PM
To: borisg-contact; [e-mail]; [e-mail]; ORAA
Subject: FW: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
You can start working today since Congress passed a continuing resolution last night. Please contact
me with any questions.
Grants Officer
From:
Sent: Monday, September 30, 2013 3:03 PM
To: '[e-mail]'; '[e-mail]';
'[e-mail]'
Subject: IC Postdoc Program Grant 2010-1058114-000 and 2010-1045207-000
@umd.edu'; '[e-mail]';
Due to the lack of a continuing resolution, only emergency contracts can continue after 30
September 2013. Please cease working on subject grants effective 1 October 2013. Work on these
grants can re-start once a continuing resolution or budget has been passed by Congress. Formal
notification to re-start work will not be provided. Please listen to the news and once a continuing
resolution funding the Government for FY 2014 has been passed you may begin work again. We
apologize for any inconvenience this direction causes.
Grants Officer
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
(b)(3)
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uman and Algorithmic Robust Speaker Verification
Humans exhibit a remarkable ability to reliably classify sounds sources in their environment based
on a large array of acoustic features and perceptual attributes. One particular task that they excel at is
voice identification, especially among large numbers of individual acquaintances, famous personalities,
or among stereotypical groups and nationalities In this proposal, we outline a program of
psychoacoustic research coupled with mathematical modeling: (1) to define and psychoacoustically
characterize human performance levels under different circumstances; (2) to explore in a controlled
manner the specific perceptual attributes and contextual cues that humans utilize to perform this task; (3)
to develop a computational model that attempts to mimic the analysis and representations of acoustic
cues in human voices. This Post-Doctoral fellowship is a valuable complement to a recently awarded
program into robust speaker verification, which focuses on using cortical processing principles and
features, and combines scientists from the University of Maryland and the Johns Hopkins University
(BEST /IARPA-BAA-09-02).
Key contributors to this proposal are Drs. Clara Suied and Daniel Pressnitzer of the Ecole Normale
Superieure (Paris, France). We have sought their help and advice to design and conduct the
psychoacoustic tests. Both researchers have long experience with human performance in identification
of environmental sound sources and voices, and have conducted innovative experiments and modeling
in the field. They have volunteered to help conduct this research because of the unique opportunity it
affords to use biological algorithms to model this ability.
Overview of Previous Assessments of Human Voice Identification
The published scientific literature on human abilities to identify and/or verify voices is remarkably
scant. There has not been a sustained systematic effort to assess human abilities to identify voices and
verify them, and much of what has been done tended to constrain the tasks too much or too little to
allow for definitive conclusions. Part of the difficulty stems from the fact that people can utilize a large
number of cues in performing this task that range from simple voice irregularities, to peculiarities of the
phonetics, to emotional states and linguistic cues. While all these cues are invaluable, they tend to
complicate the picture and make it hard for scientists to understand the role of each cue in isolation, and
how they mutually interact.
Many cues are involved in the speaker identification process and the tests employed tend to favor
one over another (intentionally or otherwise). In one of the main paradigms, subjects are trained to
identify different speakers, and then asked (after different possible delays) to recall the name of the
speaker. Other paradigms include Elimination, Matching, and Discrimination. Studies of how humans
use various cues to identify voices considered a wide range of factors including the acoustic, perceptual,
cognitive, external, and the technological cues. Acoustic cues were among the earliest to be studied,
especially through the use of "speech spectrograms" and variety of phonemes. Perceptual cues rely on
pitch, timbre, and other more derivative attributes of sound. Perhaps one of the strongest and most
obvious such cues are male/female differences based on pitch, and more subtle and interesting are
correlates of vocal tract lengths (VTL), which in turn affect the "timbre" of the voice through different
placements and excursions of speech formants. Cognitive cues span a vast range of sources that include
Familiarity, Memory, Accents, Emotions, and Training among others. External cues such as Retention,
Duration of recordings, Variety of samples also enter in the assessment of human performance, although
they are "tangential" to the ability itself, but reflect more closely how the tests are done and the design
of the tasks. Finally, we have to also be aware of the effects of Technological cues such as influence of
sampling frequencies and analysis of energy contours recording quality.
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