ML18184A573

Grant No. 31310018M0032

ML18184A573
Person / Time
Issue date:	07/03/2018
From:	M'Lita Carr Acquisition Management Division
To:
References
31310018M0032
Download: ML18184A573 (29)

Text

Page 1 of 29 Grant and Cooperative Agreement CHOOSE ONE:

COOPERATIVE AGREEMENT GRANT X

COOPERATIVE AGREEMENT RECIPIENT SPECIAL CONDITIONS REQUIRED PUBLICATIONS AND REPORTS PROVISIONS FDP TERMS AND CONDITIONS AND THE AGENCY-SPECIFIC REQUIREMENTS APPLY TO THIS GRANT NO CHANGE IS MADE TO EXISTING PROVISIONS AUTHORIZED REPRESENTATIVE DATE DATE CONTRACTING/GRANT OFFICER UNITED STATES OF AMERICA

18. APPLICABLE ENCLOSURE(S), IF CHECKED:

17. APPLICABLE STATEMENT(S), IF CHECKED:

16. THIS AWARD IS MADE UNDER THE AUTHORITY OF :

PAYMENTS ADMINISTRATOR NEGOTIATOR TECHNICAL OFFICER E-MAIL ADDRESS TELEPHONE MAIL STOP NAME

15. POINTS OF CONTACT STATUS AMOUNT JOB ORDER NO.

PURCHASE REQUEST NO.

14. ACCOUNTING AND APPROPRIATION DATA THIS ACTION PREVIOUS TOTAL RECIPIENT SHARE NON-CASH SHARE CASH SHARE THIS ACTION PREVIOUS FUNDING HISTORY 13B.

AWARD HISTORY 13A.

12. PERIOD OF PERFORMANCE (Approximately)

11. PURPOSE

10. RESEARCH, PROJECT OR PROGRAM TITLE

8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

7. TAXPAYER IDENTIFICATION NO. (TIN)

9. PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR

6. ISSUED BY Mailing Address:

NAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip)

5. ISSUED TO

4. COMPLETION DATE

3. EFFECTIVE DATE

2. SUPPLEMENT NUMBER

1. GRANT/COOPERATIVE AGREEMENT NUMBER TRAINING SDCR RESEARCH FACILITIES EDUCATION X

CHOOSE ONE:

TOTAL PROGRAM MGR. (Name & Phone) 31310018M0032 07/03/2018 BOARD OF REGENTS, NSHE, OBO UNIVERSITY OF NEVADA, RENO Attn:

1664 N. VIRGINIA ST 204 ROSS HALL, MS 325 RENO NV 89557 U.S. NRC - HQ Acquisition Management Division Mail Stop: TWFN-07B20M Washington DC 20555-0001 The University of Nevada, Reno Fellowship Program in Materials and Thermal Science for Nuclear Energy See Schedule A.1 07/03/2018 through 07/02/2022

$0.00

$399,999.00

$399,999.00

$0.00

$399,999.00

$399,999.00

$0.00

$0.00

$0.00 2018-X0200-IUPMRU-60-60D099-60B991-1148-72-S-164-4110-72-S-164-1148 NANCY V. HEBRON-ISREAL TWFN10B56 301-415-6996 Nancy.Hebron-Isreal@nrc.gov M'LITA R. CARR 301-415-6869 MLita.Carr@nrc.gov M'LITA R. CARR Pursuant to Section 31B and 141B of the Atomic Energy Act of 1954, as amended.

RES-18-0168 07/03/2018

Page 2 of 29 Grant and Cooperative Agreement UNIT PRICE (E)

AMOUNT (F)

ITEM NO.

(A)

ITEM OR SERVICE (Include Specifications and Special Instructions)

(B)

QUANTITY (C)

UNIT (D)

ESTIMATED COST CFDA Number: 77.008 Payment will be made through the Automated Standard Application for Payment (ASAP.gov) unless the recipient has failed to comply with the program objectives, award conditions, Federal reporting requirements or other conditions specified in 2 CFR 200.

Payment:

Period of Performance: 07/03/2018 to 07/02/2022

31310018M0032 Page 3 of 29 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 July 3, 2018 VIA Electronic Mail University of Nevada, Reno 1664 North Virginia Street Ross Hall 240/Mail Stop 0325 Reno, NV 89557-0325

SUBJECT:

GRANT NO: 31310018M0032 Dear Dr.

Pursuant to the authority contained in the Federal Grant and Cooperative Agreement Act of 1977, as amended, and the Atomic Energy Act of 1954, as amended, the Nuclear Regulatory Commission (NRC) hereby awards to University of Nevada, Reno (hereinafter referred to as the "Grantee or Recipient), the sum of $399,999.00 to provide support for "The University of Nevada, Reno Fellowship Program in Materials and Thermal Science for Nuclear" entitled "Program Description."

This award is effective July 3, 2018 and shall apply to expenditures made by the Recipient furtherance of program objectives during the period beginning with the effective date of July 3, 2018 and ending July 2, 2022.

This award is made to the Recipient on condition that the funds will be administered in accordance with the terms and conditions as set forth in Attachment A (the Schedule);

Attachment B (the Program Description); and Attachment C (the Standard Provisions); all of which have been agreed to by your organization.

Based on the pre-award compliance review conducted by NRCs Small Business and Civil Rights Office (SBCR), your institution is placed in a periodic status pending resolution of issues/concerns discussed with your Authorized Representative during the review. Within 60 days of the effective award date, SBCR will conduct a periodic review to ensure compliance with applicable Civil Rights statutes. SBCR will notify, within the 60 days, the institutions Authorized Representative as to the results of the review and requirements, if any, for compliance. The institutions cooperation with SBCR is essential. The continued eligibility for Federal financial assistance is conditioned upon compliance with anti-discrimination regulations.

Please ensure individuals selected as beneficiaries of support under this grant meet the legal requirements consistent with Supreme Court Decisions including Fisher, Gratz, and Grutter.

31310018M0032 Page 4 of 29 As a recipient of this award you are required to have an active account with FedConnect, please confirm your account status at www.FedConnect.com.

Sincerely yours, MLita Carr Assistance Agreement Officer Operations Branch B Acquisition Management Division Attachments:

Attachment A - Schedule Attachment B - Program Description Attachment C - Standard Terms and Condition

31310018M0032 Page 5 of 29 Attachment A - Schedule A.1 PURPOSE OF GRANT The purpose of this Grant is to provide support to the The University of Nevada, Reno Fellowship Program in Materials and Thermal Science for Nuclear as described in Attachment B entitled "Program Description."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is July 3, 2018. The estimated completion date of this Grant is July 2, 2022.

2. Funds obligated hereunder are available for program expenditures for the estimated period:

July 3, 2018 - July 2, 2022.

A.3 GENERAL

1. Total Estimated NRC Amount:

$399,999.00

2. Total Obligated Amount:

$399,999.00

3. Cost-Sharing Amount:

$000,000.00

4. Activity

Title:

The University of Nevada, Reno Fellowship Program in Materials and Thermal Science for Nuclear

5. NRC Project Officer:

Nancy Hebron-Isreal

6. DUNS No.:

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $399,999.00 for the four year period.

2. NRC hereby obligates the amount of $399,999.00 for program expenditures during the period set forth above and in support of the Budget above. NRC is not obligated to reimburse the Grantee for the expenditure of amounts in excess of the total obligated amount.

3. Payment shall be made to the Recipient in accordance with procedures set forth in the Automated Standard Application for Payments (ASAP) Procedures set forth below.

A.5 BUDGET Revisions to the grant award budget shall be made in accordance with Revision of Grant Budget in accordance with 2 CFR § 200.308.

31310018M0032 Page 6 of 29 ATTACHMENT B - PROJECT DESCRIPTION Project Description 1.

Capacity and ability of the institution to effectively conduct the program including quality and feasibility of the recruitment and marketing strategies. (25 points)

Background The Mechanical Engineering (ME) and the Chemical and Materials (formerly Metallurgical) Engineering (CME) Departments at the University of Nevada, Reno (UNR) have conducted externally-funded nuclear-related research since 1993. For example, the ME Department has developed experimentally-benchmarked computational simulations to predict the performance of used nuclear fuel transport casks under fire accident conditions, and the temperature of used nuclear fuel assemblies under vacuum drying conditions. The CME Department has conducted research to determine the performance and reliability of materials in advanced nuclear power applications. These projects have been supported by the Nuclear Regulatory Commission (NRC), the Department of Energy (DOE), Nuclear Energy University Program (NEUP), the Nevada Office of Nuclear Projects, and private corporations. The two departments work closely together and share courses and seminar series.

Education The interest in Nuclear Power amongst students at UNR has been surging. To help address this demand, the Materials Science and Engineering (MSE) program initiated an undergraduate Nuclear Materials Emphasis degree program in MSE, which is now pursued by majority of the undergraduate students (>50%) in MSE. Recently, we have revamped our graduate education by creating and regularly offering 4 new graduate courses such as MSE 665: Fundamentals of Nuclear Power, MSE 666: Nuclear Fuel Cycle, MSE 667: Radiation Detection and Measurement, and MSE 668: Nuclear Materials. Student enrollment in the nuclear courses has gone up significantly from ~5-10 students in 2011 to ~30-45 students/each course in 2016. More new courses are planned due to growing student interest.

The ME Department recently initiated a unique Graduate Certificate in Nuclear Packaging with support from the DOE Packaging Certification Program. That program has enrolled 32 students, and awarded its first Certificate in December 2016. Due to student interests, a student chapter of the American Nuclear Society (ANS) was started in November 2014. The membership now stands close to 100 students (Fig 1). UNR has partnered with University of Nevada, Las Vegas (UNLV) and the University of Utah (UU), which have, respectively, a program in radiochemistry and a new minor in Nuclear Fig 1: Members of the UNR ANS student chapter with (mentor).

31310018M0032 Page 7 of 29 Fig 2: Poster mailed around the country advertising the Fellowships Engineering, to share unique Nuclear-Related Engineering Courses. We have offered courses via the internet using this agreement. While UNR does not have a Nuclear Engineering Department, the faculty at UNR are performing research and developing educational opportunities in Materials and Thermal Science for Nuclear Power that help prepare students who can support the mission of the NRC. The recent graduates and Fellows from the previous NRC awards have all obtained prestigious positions at various National laboratories: Dr.

(Maria Goeppert Distinguished Fellow at Argonne National Laboratory), Ms.

(Lawrence Livermore National Laboratory),

(Russel L Heath Distinguished Fellow, Idaho National Laboratory) and (Los Alamos National Laboratory).

Objective This funding will continue a Fellowship Program in Materials and Thermal Science for Nuclear Energy that recruits and supports outstanding students to earn graduate degrees at UNR. The goal is to increase the number and quality of students receiving MS and Ph.D. degrees at UNR who are able to support the design, construction, operation, and regulation of nuclear facilities, and the safe handling of nuclear materials. There are at least nine faculty members across four departments conducting nuclear science research at UNR.

Recruitment and Marketing At UNR, each academic department and the graduate school (http://www.unr.edu/grad/) have dynamic programs for recruiting graduate students. The UNR Graduate School is a recruiting member of the California Forum for Diversity in Graduate Education (https://www.caldiversityforum.org). CFDGE is a consortium of public and private colleges and universities in California. CFDGE organizes two forums every year to meet the needs of advanced undergraduates and master's candidates belonging to groups that are currently underrepresented in doctoral-level programs such as low-income and first-generation college students, African Americans, American Indians, Hispanics, Pacific Islanders and Asian American women. Well over 1200 students attend and participate in these forums and more than 75% of the students have a GPA of over 3.0. UNR Graduate School has been highly successful in recruiting graduate students at these forums. At the departmental level, both the ME and CME departments are actively involved in marketing our programs to undergraduate seniors at UNR and various institutions.

In addition to our routine recruiting programs described above, we propose to conduct the following activities specifically for the purpose of administering a successful NRC grant:

1.

Design, print and mail informational flyers and brochures advertising the Fellowships. Publish them online on the UNR graduate school and departmental websites. Announcements of the fellowships will be made on online sites such as academickeys.com. The poster that was mailed to all Materials Engineering and Mechanical Engineering departments in the country is shown in Fig. 2.

2.

Provide these informational materials to the UNR recruiters and our departmental faculty who actively travel to other institutions for research, instruction and recruiting purposes.

3.

We have informal agreements with regional partner institutions, UNLV, UU, and U of I, to advertise these fellowships to their graduating students, so those students can pursue their graduate work at UNR.

4.

We will also hold a recruitment weekend for invited eligible applicants.

The agenda would consist of individual meetings with selected faculty in our departmental programs, interaction with existing departmental graduate students, tours of the campus and facilities.

31310018M0032 Page 8 of 29 In summary, we will work diligently to identify the best and the brightest of the students to receive these coveted fellowships.

2.

Type and degree of proposed student support (i.e., mentoring or advisor assistance).

Including quality of technical programs for scholars and fellows. (25 points)

Fellowships Benefits The following describes the benefits a graduate student will receive if he/she is awarded a Fellowship at UNR:

1.

The stipend amount was chosen to be midpoint between the current stipend at UNR and the DOE National Nuclear Security Administration (NNSA) Stewardship Science Graduate Fellowship. The MS stipend is roughly less. The Fellow will select a UNR faculty Research Advisor, and together they will choose an appropriate MS thesis or Ph.D. dissertation topic. The Research Advisor will provide an appropriate research environment, including all needed laboratory space, research materials, equipment, computational facilities, research supervision, and program/professional advice. Each Fellow will be encouraged to spend one summer working as an intern at a National Lab, the NRC or a nuclear industry facility performing research and analysis that will enhance his/her professional experience and development. Faculty members at UNR have collaborations with members of several facilities. The appendix of this proposal contains letters from the Argonne National Laboratory.. Further, UNR has a signed agreement with Areva Inc, stating their interest in hosting the Fellows during summer.

Fellowship Requirements The conditions the Fellows must fulfill to receive and maintain a fellowship at UNR are given below. It should be noted that the conditions are not beyond NRC requirements, but clarify some criteria required by NRC.

1.

US Citizenship or permanent residency 2.

Enroll full time (6 credits/semester) in the graduate program at UNR 3.

Sign the mandatory Service agreement with NRC 4.

Maintain a GPA of 3.3 or better (on a 4.0 scale) each semester and make good academic progress.

If the Fellow does not maintain the required GPA during a semester, then he/she will be placed on probation for one semester, during which time the Fellow will be required to improve the GPA to the required level. Making good academic progress is based on Fellows research output. If research output is unsatisfactory, the student will be placed on probation for one semester to improve research productivity. If research productivity is poor due to reasons beyond the Fellows control, then the student will be provided more supervision and help to make good research progress. If the above conditions are not met during probation, the student will be dismissed from the Fellowship Program, and replaced by another student.

31310018M0032 Page 9 of 29 Fellowship Program Committee This committee will administer the program. It will consist of the PI and the Co-PI named on the proposal, the graduate program chairs of the ME and CME Departments (or their representatives), and one external member. The bulk of the work will be performed by the PIs, but the other committee members will provide input and have voting rights.

This committee will market the program to senior undergraduates and graduate students at UNR and other universities, with efforts to reach out to women, minorities and disabled students.

Students pursuing Ph.D. and MS degrees will be recruited. Students will submit a Fellowship Application consisting of a UNR graduate admission application (which includes transcripts, GPA, standardized test scores, and letters of recommendations), proof of US citizenship or permanent residency, an essay describing their background and professional goals, and an indication that they are willing to fulfill the Fellowship Requirements (listed above) if they accept the fellowship.

The Fellowship Committee will review all applications based on merit and the availability of resources (expertise and infrastructure) for the student to pursue the research in their chosen field. The Committee will select, invite and reimburse travel expenses for outstanding off-campus applicants to visit UNR. Awards will be made so that two Fellows are funded at all times during the four year duration of the program. Awards will not be made until the student has signed the NRC service agreement, and a letter indicating he/she is aware of and will fulfill the Fellowship Requirements to the best of their abilities. UNR agrees to provide NRC with a list of students supported under Fellowship program and agrees to conduct and provide compliance monitoring of students academic performance.

If there is any reduction of costs to the program compared to the budgeted amounts, the Program Committee will have the responsibility of assigning those funds to either support an additional Fellow, or to support the research environment of an existing fellow. UNR agrees to notify student grant recipients who fail to satisfy the service agreement requirement of the program either obtain a waiver form NRC or reimburse the US Government for the amount of assistance provided Mentoring, Advising and Existing Programs of Study Mentoring and advisement will be primarily performed by the Faculty Research Advisor with support from the Fellowship Program Committee. The Committee will provide the Fellows with a clear statement of the program requirements, and will describe how the fellow will be evaluated for retention in the program. The Research Advisor will help the student choose courses, mentor his/her research activities, and provide professional guidance. The Advisor will also help the fellow make contacts with technical staff at National Laboratories, the NRC and/or nuclear related industry to further the Fellows professional objectives and to identify the most appropriate internship opportunity. The Advisor will have the responsibility of monitoring the Fellows progress (including grades and evaluation by the course instructors).

As mentioned earlier, UNR has a history of nuclear materials and thermal science research funding from the NRC, DOE, National Labs, the State of Nevada and private industry.

We also have nuclear related coursework and seminar speakers. These established programs will provide the Fellows with a wide variety of research and educational opportunities, and will prepare them for productive careers in the nuclear industry.

Moreover, the Fellows will be given opportunities to participate in the larger professional community. Fellow will be encouraged to take advantage of existing financial (Fellowships) opportunities from other agencies such as NSF, DOE, NEUP and NNSA, all of which are considered highly prestigious awards. Any savings to the Fellowship Program will be used to either support an additional Fellow, or support the research activities of an existing Fellow. The

31310018M0032 Page 10 of 29 Fellows will also have an option to conduct a summer internship in their field of research to gain work experience and develop professional contacts, which will help him/her find an appropriate nuclear related professional placement after graduation. The Research Advisor and the Fellowship committee will help the student identify summer research opportunities. The appendix of this proposal contains letters from the Argonne National Laboratory. Further, UNR has a signed agreement with Areva Inc, stating their interest in hosting the Fellows during summer.

3.

Feasibility and completeness of an evaluation plan to measure the effectiveness of the scholarship or fellowship program. (15 points)

The success of the UNR Fellowship Program will be based on the following achievements:

1.

The professional placement of the Fellows in positions of leadership in the nuclear industry or government, which will help the Fellows realize a satisfying and productive career.

2.

The contribution the Fellows make to the development and growth of UNR programs.

The contribution of the Program to student success cannot be fully measured until well after the Fellow has completed the program. However, the following attributes are widely believed to lead to success, and will be continuously monitored and emphasized by the Research Advisor during the Fellows graduate study:

1.

Course Grades, and supplemental evaluation by course instructors 2.

Development of new methods and knowledge leading to archival publications 3.

Fellows professional growth, including research independence and ability to be mentored.

4.

Participation and leadership within University and associated National Laboratory research groups (such as ANS chapter) 5.

Participation in proposal writing 6.

Conference and Professional Society student awards 7.

Timely progression toward degree completion The Fellow will make contributions to the life and growth of the program by his/her interaction with faculty members and peers. The Fellowship program is expected to increase the visibility of the Materials and Thermal Science research at UNR, and hence improve the number and quality of the graduate school applicants and graduates. To assess the effect of the Fellowship Program, the following quantitative measures during the program will be compared to historical statistics: (i) the number of student applicants, (ii) the number of US applicants, (iii) the average GPA of the applicants and (iv) the standardized test scores of the applicants. We will try to determine if the professional placement of Fellows differs from that of the other students.

4.

Institutional support, sustainability, and number of students served. (25 points)

UNR is highly committed to strengthening its nuclear and related research and has invested significant amount of resources into the same. In 2012, the UNR College of Engineering supported nuclear power engineering by establishing the Nuclear Materials Emphasis within the MSE department. This emphasis has formalized an association between a number of faculty members and students performing research in nuclear power engineering. The ME Department recently established a Gradate Certificate in Nuclear Packaging. The ME and CME departments sponsor a joint seminar series which hosts numerous nuclear power speakers. The University Provost and the Dean of the College of Engineering (CoEN) granted a new tenure track faculty line with focus on nuclear materials (with support from NRC faculty Development award) which was filled last year with a stellar candidate. Moreover, three other faculty members whose research aligns with nuclear materials have been hired in the last few years. The college

31310018M0032 Page 11 of 29 of engineering is committed to strengthening its nuclear materials education and research program (please see letter of support from Dean of Engineering). Thus, the institution strongly supports the nuclear research initiative.

The number of students served by this program will depend on the mix of MS and Ph.D.

students selected by the Program Committee, and the amount of time the Fellows require to complete their degree. Our initial plan is to support two PhD students starting in year 1. If two Ph.D. fellows are initially funded, and they require four years to complete their degrees, then two students will be served. However, if they require less time to complete their degrees, or are fnded by other projects/fellowships, and/or more MS students (who normally take 1.5 to 2 years to graduate) are funded, then three to five students will be served.

5.

Innovation-Partnerships/Consortia/Minority Institutional/Distance Learning (10 points)

UNR is a member of a consortium on Nuclear Power Educational with the UNLV and UU.

We have successfully shared courses. For example, a course on Radiation Detection was taught at UNR and offered via web-based methods to UU. We also have an informal agreement to advertise Fellowships offered by each institution to our students. The Fellows may intern at a National Lab or other off-campus facility. This will further develop our collaboration with technical staff at those locations. The Fellowship Program will make funding UNR research programs more attractive to researchers at those facilities because they will have experience working with our Fellows, the Fellows gain experience working in areas of interest to the off-campus researchers, and the Fellows will already be funded by NRC. As described earlier, we have an office dedicated to increasing diversity and participate in various programs targeted at underrepresented groups in graduate programs such as low-income and first-generation college students, African Americans, American Indians, Hispanics (~28% of state population), Pacific Islanders and Asian American women. Thus, the Fellowship Program will be administered effectively.

31310018M0032 Page 12 of 29 The Nuclear Regulatory Commissions Standard Terms and Conditions for U.S. Nongovernmental Recipients Preface This award is based on the application submitted to, and as approved by, the Nuclear Regulatory Commission (NRC) under the authorization 42 U.S.C. § 2051(b), pursuant to section 31b and 141b of the Atomic Energy Act of 1954, as amended, and is subject to the terms and conditions incorporated either directly or by reference in the grant or cooperative agreement. The following also apply:

Restrictions on the expenditure of Federal funds in appropriation acts, to the extent those restrictions are pertinent to the award.

Code of Federal Regulations/Regulatory Requirements - 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

Any inconsistency or conflict in terms and conditions specified in the award will be resolved according to the following order of precedence: public laws, regulations, applicable notices published in the Federal Register, Executive Orders (E.O.), Office of Management and Budget (OMB) Circulars, the NRCs Mandatory Standard Provisions, special award conditions, and standard award conditions.

Certifications and Representations: These terms incorporate the certifications and representations required by statute, executive order, or regulation that were submitted with the SF424B application through GRANTS.GOV.

I. Mandatory General Requirements The order of these requirements does not make one requirement more important than any other requirement.

1. Applicability of 2 CFR Part 200 All provisions of 2 CFR Part 200 and all Standard Provisions attached to this grant/cooperative agreement are applicable to the Recipient and to sub-recipients which meet the definition of Recipient in 2 Part §200.86, unless a section specifically excludes a sub-recipient from coverage. The Recipient and any sub-recipients must, in addition to the assurances made as part of the application, comply and require each of its sub-awardees employed in the completion of the project to comply with Subpart D of 2 CFR Part 200 and include this term in lower-tier (sub-award) covered transactions.

Recipients must comply with monitoring procedures and audit requirements in accordance with 2 CFR Part 200, Subpart FAUDIT REQUIREMENTS.

2. Award Package The Recipient is obligated to conduct project oversight as may be appropriate, to manage the funds with prudence, and to comply with the provisions outlined in 2 CFR Part 200. Within this

31310018M0032 Page 13 of 29 framework, the Principal Investigator (PI) named on the award face page, is responsible for the scientific or technical direction of the project and for preparation of the project performance reports. This award is funded on a cost-reimbursement basis, not to exceed the amount awarded as indicated on the face page, and is subject to a refund of unexpended grant funds to the NRC.

The non-Federal entity alone must be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements related to its grant award. These issues include, but are not limited to, source evaluation, protests, disputes, and claims. These standards do not relieve the non-Federal entity of any financial or fiduciary responsibilities or obligations arising under its grant, including sub-contracts and sub-awards, or any other contractual or financial obligation.

The Federal awarding agency will not substitute its judgment for that of the non-Federal entity unless the matter is primarily a Federal concern. Violations of law will be referred to the local, State, or Federal authority having proper jurisdiction. See 2 CFR § 200.318(k), General Procurement Standards.

Registration in FedConnect The Nuclear Regulatory Commission (NRC) uses Compusearch Software Systems secure and auditable two-way web portal, FedConnect, to communicate with vendors and contractors.

FedConnect provides bi-directional communication between the vendor/contractor and the NRC throughout pre-award, award, and post-award acquisition phases. Therefore, in order to do business with the NRC, vendors and contractors must register to use FedConnect at https://www.fedconnect.net/FedConnect. The individual registering in FedConnect must have authority to bind the vendor/contractor. There is no charge for using FedConnect.

Assistance with FedConnect is provided by Compusearch Software Systems, not the NRC.

FedConnect contact and assistance information is provided on the FedConnect web site at https://www.fedconnect.net/FedConnect.

Subawards Appendix II to Part 200 Contract Provisions for Non-Federal Entity Contracts Under Federal Awards Sub-recipients, sub-awardees, and contractors have no relationship with NRC under the terms of this grant/cooperative agreement. All required NRC approvals must be directed through the Recipient to NRC. See 2 CFR § 200.318.

Nondiscrimination This provision is applicable when work under the grant/cooperative agreement is performed in the U.S. or when employees are recruited in the U.S.

The Recipient agrees to comply with the non-discrimination requirements below:

Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.), which prohibits discrimination on the grounds of race, color, or national origin in any program or activity receiving federal financial assistance.

31310018M0032 Page 14 of 29

Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.), which prohibits discrimination on the basis of sex in any education program or activity receiving federal financial assistance.

Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability in any program or activity receiving federal financial assistance.

The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), which prohibits discrimination on the basis of age in any program receiving federal financial assistance.

The Americans with Disabilities Act of 1990 (42 U.S.C. §§ 12101 et seq.), which prohibits recipients from discriminating on the basis of disability in employment (Title I);

State and local government services (Title II); and places of public accommodation and commercial facilities (Title III).

Parts II and III of E.O. 11246, as amended by E.O.11375, 11478, 12086, 12107, 13279, 13665, and 13672, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year, from discriminating in employment decisions on the basis of race, color, religion, sex, or national origin and requires that government contractors take affirmative action to ensure that equal opportunity is provided in all aspects of their employment.

E.O.13166, Improving Access to Services for Persons with Limited English Proficiency, which clarifies that national origin discrimination under Title VI includes discrimination on the basis of limited English proficiency (LEP) and requires that the recipient take reasonable steps to ensure that LEP persons have meaningful access to programs and activities.

Any other applicable non-discrimination law(s).

Generally, Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq, provides that it shall be an unlawful employment practice for an employer to discharge any individual or otherwise to discriminate against an individual with respect to compensation, terms, conditions, or privileges of employment because of such individuals race, color, religion, sex, or national origin. However, Title VII, 42 U.S.C. § 2000e-1(a), expressly exempts from the prohibition against discrimination on the basis of religion, a religious corporation, association, educational institution, or society with respect to the employment of individuals of a particular religion to perform work connected with the carrying on by such corporation, association, educational institution, or society of its activities.

Applicants must ensure that individuals selected as beneficiaries of support under this grant meet the legal requirements consistent with Supreme Court Decisions including Fisher, Gratz, and Grutter.

Based on the pre-award compliance review conducted by NRCs Small Business and Civil Rights Office (SBCR), your institution is placed in a periodic status pending resolution of issues/concerns discussed with your Authorized Representative during the review. Within 60 days of the effective award date, SBCR will conduct a periodic review to ensure compliance with applicable Civil Rights statutes. SBCR will notify, within the 60 days, the institutions Authorized Representative as to the results of the review and requirements, if any, for compliance. The institutions cooperation with SBCR is essential. The continued eligibility for Federal financial assistance is conditioned upon compliance with anti-discrimination regulations.

31310018M0032 Page 15 of 29 Modifications/Prior Approval NRCs prior written approval may be required before a Recipient makes certain budget modifications or undertakes particular activities. If NRC approval is required for changes in the grant or cooperative agreement, it must be requested and obtained from the NRC Grants Officer in advance of the change or obligation of funds. All requests for NRC prior approval, including requests for extensions to the period of performance extension, must be made, in writing (which includes submission by e-mail), to the designated Grants Officer at least 30 business days before the proposed change. The request must be signed by the authorized organizational official. Failure to obtain prior approval, when required, from the NRC Grants Officer, may result in the disallowance of costs, or other enforcement action within NRC's authority.

No-Cost Extension Requests that are not received in a timely manner as described above may result in requests being disapproved by the NRC Program Managers and Grant Officer.

Lobbying Restrictions The Recipient will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and 7324-7328) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

The Recipient will comply with provisions of 31 U.S.C § 1352. This provision generally prohibits the use of Federal funds for lobbying in the Executive or Legislative Branches of the Federal Government in connection with the award, and requires disclosure of the use of non-Federal funds for lobbying.

The Recipient shall submit, at the time of application, a completed Certification Regarding Lobbying form, regardless of dollar value.

If applicable, the Recipient receiving in excess of $100,000.00 in Federal funding shall submit a completed Standard Form (SF-LLL), Disclosure of Lobbying Activities for any persons engaged in lobbying activities, as discussed at 31 U.S. Code § 1352 - Limitation on use of appropriated funds to influence certain Federal contracting and financial transactions. The form concerns the use of non-Federal funds for lobbying within 30 days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed. If the Recipient must submit the SF-LLL, including those received from sub-recipients, contractors, and subcontractors, to the Grants Officer.

Debarment And Suspension - (See 2 CFR Part 180; 2 CFR § 200.205; 2 CFR § 200.113; and 2 CFR Part 200, Appendix II.)

The Recipient agrees to notify the Grants Officer immediately upon learning that it or any of its principals:

(1) Are presently excluded or disqualified from covered transactions by any Federal department or agency;

31310018M0032 Page 16 of 29 (2) Have been convicted, within the preceding three-year period preceding this proposal, of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; commission of any other offense indicating a lack of business integrity or business honesty that seriously and directly affects the recipients present responsibility; (3) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b); or (4) Have had one or more public transactions (Federal, State, or local) terminated for cause or default within the preceding three years.

(5) The Recipient agrees that, unless authorized by the Grants Officer, it will not knowingly enter into any subaward or contracts under this grant/cooperative agreement with a person or entity that is not included on the System for Award Management (SAM) (https://www.sam.gov).

The Recipient further agrees to include the following provision in any subaward or contracts entered into under this award:

Debarment, Suspension, Ineligibility, and Voluntary Exclusion The Recipient certifies that neither it nor its principals is presently excluded or disqualified from participation in this transaction by any Federal department or agency. The policies and procedures applicable to debarment, suspension, and ineligibility under NRC-financed transactions are set forth 2 CFR Part 180 and 2 CFR Part 200.

Drug-Free Workplace The Recipient must be in compliance with The Federal Drug Free Workplace Act of 1988. The policies and procedures applicable to violations of these requirements are set forth in 41 U.S.C.

§§ 8101-8106.

Implementation of E.O.13224 - Executive Order on Terrorist Financing The Recipient is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the Recipient to ensure compliance with these Executive Orders and laws. This provision must be included in all contracts/sub-awards issued under this grant/cooperative agreement.

The Recipient must comply with E.O. 13224, Blocking Property and Prohibiting Transactions with Persons who Commit, Threaten to Commit, or Support Terrorism. Information about this Executive Order can be found at:

Implementation of Executive Order 13224 Blocking Property and Prohibiting Transactions With Persons Who Commit, Threaten To Commit, or Support Terrorism amended by E.O. 13268, 13284, and 13372.

31310018M0032 Page 17 of 29 Procurement Standards - 2 CFR §§ 200.318-200.326 Sections 200.318 - 200.326 set forth standards for use by Recipients in establishing procedures for the procurement of supplies and other expendable property, equipment, real property and other services with Federal funds. These standards are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable Federal statutes and executive orders. No additional procurement standards or requirements will be imposed by the Federal awarding agencies upon Recipients, unless specifically required by Federal statute, executive order, or approved by OMB.

Travel and Transportation Travel must be in accordance with the Recipients Travel Regulations or the U.S. Government Travel Policy and Regulations at: http://www.gsa.gov/portal/category/21222 and the per diem rates set forth at: http://www.gsa.gov/portal/content/104877, absent Recipients travel regulations. Travel and transportation costs for the grant must be consistent with provisions as established in 2 CFR § 200.473-474.

All other travel, domestic or international, must not increase the total estimated award amount for the grant.

The Recipient will comply with the provisions of the Fly America Act (49 U.S.C 40118), as implemented at 41 CFR §§ 301-10.131 through 301-10.143.

Federal funds may not be used to travel to countries identified under the US Department of States, Directorate of Defense Trade Controls, Country Policies and Embargoes, http://www.pmddtc.state.gov/embargoed_countries/index.html.

Property Standards Property standards of this award shall follow provisions as established 2 CFR §§ 200.310-200.316.

Intangible Property Intangible and intellectual property of this award shall generally follow provisions established in 2 CFR § 200.315.

Inventions Report - The Bayh-Dole Act (P.L.96-517) affords Recipients the right to elect and retain title to inventions they develop with funding under an NRC grant award (subject inventions). In accepting an award, the Recipient agrees to comply with applicable NRC policies, the Bayh-Dole Act, and its Government-wide implementing regulations found at Title 37, Code of Federal Regulations (CFR) Part 401. A significant part of the regulations require that the Recipient report all subject inventions to the awarding agency (NRC) as well as include an acknowledgement of federal support in any patents.

Patent Notification Procedures - If the NRC or its Recipients, without making a patent search, knows (or has demonstrable reasonable grounds to know) that technology

31310018M0032 Page 18 of 29 covered by a valid United States patent has been or will be used without a license from the owner, E.O.12889 requires NRC to notify the owner. If the Recipient uses or has used patented technology under this award without license or permission from the owner, the Recipient must notify the Grants Officer. This notice does not imply that the Government authorizes and consents to any copyright or patent infringement occurring under the financial assistance.

Data, Databases, and Software - The rights to any work produced or purchased under a NRC federal financial assistance award, such as data, databases or software are determined by Subpart D of 2 CFR Part 200. The Recipient owns any work produced or purchased under a NRC federal financial assistance award subject to NRCs right to obtain, reproduce, publish or otherwise use the work or authorize others to receive, reproduce, publish or otherwise use the data for Government purposes.

Copyright - The Recipient may copyright any work produced under a NRC federal financial assistance award subject to NRCs royalty-free nonexclusive and irrevocable right to reproduce, publish or otherwise use the work or authorize others to do so for Government purposes. Works jointly authored by NRC and Recipient employees may be copyrighted, but only the part authored by the Recipient is protected because, under 17 U.S.C. § 105, works produced by Government employees are not copyrightable in the United States. On occasion, NRC may ask the Recipient to transfer to NRC its copyright in a particular work when NRC is undertaking the primary dissemination of the work. Ownership of copyright by the Government through assignment is permitted under 17 U.S.C. § 105.

Record Retention and Access Recipient shall follow established provisions in 2 CFR §§ 200.333-337.

Conflict Of Interest Conflict of Interest standards for this award will follow the Organizational Conflict of Interest (OCOI) requirements set forth in Section 170A of the Atomic Energy Act of 1954, as amended, and provisions set forth at 2 CFR § 200.112, Conflict of Interest.

Dispute Review Procedures a.

Any request for review of a notice of termination or other adverse decision should be addressed to the Grants Officer. It must be postmarked or transmitted electronically no later than 30 days after the postmarked date of such termination or adverse decision from the Grants Officer.

b.

The request for review must contain a full statement of the Recipients position and the pertinent facts and reasons in support of such position.

c.

The Grants Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director, Acquisition Management Division, unless otherwise delegated, who shall appoint an intra-agency Appeal Board to review a recipient appeal of an agency action, if required, which will consist of the program office director, the Deputy Director of Office of Administration, and the Office of General Counsel, or their designees.

31310018M0032 Page 19 of 29 d.

Pending resolution of the request for review, the NRC may withhold or defer payments under the award during the review proceedings.

e.

The review committee will request the Grants Officer who issued the notice of termination or adverse action to provide copies of all relevant background materials and documents. The committee may, at its discretion, invite representatives of the Recipient and the NRC program office to discuss pertinent issues and to submit such additional information as it deems appropriate. The chairman of the review committee will insure that all review activities or proceedings are adequately documented.

f.

Based on its review, the committee will prepare its recommendation to the Director, Office of Administration, who will advise the parties concerned of his/her decision.

Remedies for Noncompliance Termination of this award will follow provisions as established and described above in Dispute Review Process in 2 CFR §§ 200.338-342.

Performance and Financial Monitoring and Reporting - 2 CFR §§ 200.327-329 Recipient Financial Management systems must comply with the provisions in 2 CFR § 200.302.

Payment - 2 CFR § 200.305

Cost Share or Matching - 2 CFR § 200.306 o

Recipients are to be careful with providing excessive cost share or match since at the end of the grant, if the identified match has not been provided, then a portion of the federal share may be required to be returned to the Government.

Program Income - 2 CFR § 200.307 o

Earned program income, if any, will be added to funds committed to the project by the NRC and Recipient and used to further eligible project or program objectives or be deducted from the total project cost for the grant, as directed by the Grants Officer or indicated in the terms and conditions of the award.

Revision of Budget and Program Plans - 2 CFR § 200.308 o

The Recipient is required to report deviations from the approved budget and program descriptions in accordance with - 2 CFR § 200.308(b) and request prior written approval from the Project Officer and the Grants Officer.

o The Recipient is not authorized to re-budget between direct costs and indirect costs without written prior approval of the Grants Officer.

o The Recipient is authorized to transfer funds among direct cost categories up to a cumulative 10 percent of the total approved budget. The Recipient is not allowed to transfer funds if the transfer would cause any Federal appropriation to be used for purposes other than those consistent with the original intent of the appropriation.

o Allowable Costs - 2 CFR §§ 200.403

31310018M0032 Page 20 of 29

See section 2 CFR §§ 200.330-332 for Subrecipient Monitoring and Management.

FEDERAL FINANCIAL REPORTS Federal Financial Reports (SF-425) are semi-annually, for the periods ending March 31 and September 30, or any portion thereof, regardless of the award date. Reports are due within 30 calendar days following the end of the reporting period and must be submitted through FedConnect. The SF-425 form and instructions are available at Grant.gov.

PERFORMANCE PROGRESS REPORTS The performance (technical) progress report indicated below is subject to 2 CFR §200.328.

Fellowship Performance Progress reports must be submitted annually, for the period ending September 30, or any portion thereof, regardless of the award date. Reports are due within 30 days following the end of each reporting period and must be submitted through FedConnect. Click the link to find the required format and information when submitting the NRC Performance Progress Report (PPR).

Final Reports - The Recipient is required to submit final reports, both Financial (SF-425) and Performance within 90 days of the grant expiration. In addition to these reports, a final SF-428, Tangible property report, is also required, if applicable. The final PPR (for Scholarship, Fellowship, and Trade School and Community College Scholarship awards) must include the names of all students with up to date contact information (mailing address, telephone/cell phone, email address). The reports must be submitted through FedConnect.

Period of Performance - 2 CFR § 200.309 The recipient may charge to the Federal award only allowable costs incurred during the period of performance and any costs incurred before the NRC or pass-through entity made the Federal award that was authorized by the NRC or pass through entity.

Unless otherwise authorized in 2 CFR Part 200 or by special award condition, any extension of the award period can only be authorized by the Grants Officer in writing. Assurances of funding from other than the Grants Officer shall not constitute authority to obligate funds for programmatic activities beyond the expiration date.

The NRC Grant Officer may authorize a no cost extension of the period of performance. The recipient must submit a no cost extension request no less than 30 days prior to the award end date. Any request for a no cost extension after the grant has expired will not be approved. Any modification of the award to increase funding and/or to extend the period of performance is at the sole discretion of the NRC.

Incremental Funding (if applicable refer to Attachment A - AVAILABILITY OF FUNDS)

Additional funding for this award is contingent upon the availability of appropriated funds, satisfactory performance, and the recipients capacity to manage the award and comply with

31310018M0032 Page 21 of 29 award requirements. The Recipient agrees to perform work up to the amount obligated as specified in Attachment A of the grant award. NRC is not obligated to reimburse the Recipient for expenditures in excess of the total funds obligated by NRC. The Recipient is not authorized to continue performance beyond the amount obligated to this award. Any work performed by the grantee beyond the funding amount obligated in Section A will be at the grantees risk.

Automated Standard Application For Payments (ASAP) Procedures Unless otherwise stated, Recipient payments are made using the Department of Treasurys Automated Standard Application for Payment (ASAP) system, ASAP.gov, through preauthorized electronic funds transfers. To receive payments, Recipients are required to enroll with the Department of Treasury, Financial Management Service, and Regional Financial Centers, which allows them to use the on-line method of withdrawing funds from their ASAP established accounts. The following information is required to make ASAP withdrawals: (1)

ASAP account number - the award number found on the cover sheet of the award; (2) Agency Location Code (ALC) - 31000001; and Region Code. Recipients enrolled in the ASAP system do not need to submit a Request for Advance or Reimbursement (SF-270).

II. Audit Requirements Audits Organization-wide or program-specific audits are performed in accordance with the Single Audit Act of 1996, as amended, and as implemented by 2 CFR Part 200, Subpart FAUDIT REQUIREMENTS. Recipients are subject to the provisions of this subpart if they expend

$750,000 or more in a year in Federal awards. See 2 CFR 2 CFR § 200.501.

The Form SF-SAC and the Single Audit Reporting packages for fiscal periods ending on or after January 1, 2008 are submitted online, as follows:

1. Create the recipients online report ID at:

http://harvester.census.gov/fac/collect/ddeindex.html;

2. Complete the Form SF-SAC;

3. Upload the Single Audit;

4. Certify the Submission; and

5. Click Submit.

Organizations expending less than $750,000 a year are not required to have an annual audit for that year but must make their grant-related records available to NRC or other designated officials for review or audit.

III. Programmatic Requirements The recipient is responsible for providing documentation to the NRC that tracks each students progress in achievement of the academic program for which federal funds were provided. This includes: (1) ensuring the service agreement is signed by the student prior to providing support; (2) providing the NRC with student contact information upon student entry into the program, upon completion or withdrawal from the program, and upon request by the NRC; and (3) monitoring the students fulfillment of the service agreement for the duration of the award. The

31310018M0032 Page 22 of 29 NRC shall be notified immediately if a student is not fulfilling the academic program or the service agreement.

Grant Performance Metrics The Office of Management and Budget requires all Federal Agencies providing funding for educational scholarships and fellowships as well as other educational related funding to report on specific metrics. These metrics are part of the Academic Competitiveness Councils (ACC) 2007 report and specifically relates to Science, Technology, Engineering, and Mathematics (STEM) curricula.

As part of the OMB requirements indicated above (for metric reporting), the recipient shall address the following questions and submit responses with the required progress reports:

Fellowship Metrics:

1.

How many graduate students have been sponsored by NRC funding?

a.

Response is the number of students, for this reporting period and cumulative to the grant.

2.

How many students, supported by NRC funding, have received M.S. or equivalent degrees?

a.

Response is the number of students, for this reporting period and cumulative to the grant.

3.

How many students, supported by NRC funding, have received Ph.D. or equivalent degrees?

a.

Response is the number of students, for this reporting period and cumulative to the grant.

4.

How many students, supported by NRC funding, have accepted a job and are employed in the nuclear industry?

a.

Response is the number of students, for this reporting period and cumulative to the grant.

5.

How many items have students produced, for example, Professional Journal articles, publications, patents, or conference reports?

As part of the PPR, include the following information for each student supported under this award. The information must be provided in the format below:

31310018M0032 Page 23 of 29 Unsatisfactory Performance Failure to perform the work in accordance with the terms of the award and maintain at least a satisfactory performance rating may result in designation of the Recipient as high risk and the assignment of special award conditions. Further action may be required as specified in the standard term and condition entitled Remedies for Noncompliance.

Failure to comply with the award provisions may result in a negative impact on future NRC funding. In addition, the Grants Officer may withhold payments; change the method of payment from advance to reimbursement; impose special award conditions; suspend or terminate the grant.

Other Federal Awards With Similar Programmatic Activities The Recipient will immediately notify the Project Officer and the Grants Officer in writing if after award, other financial assistance is received to support or fund any portion of the program description stated in the NRC award. NRC will not pay for costs that are funded by other sources.

Prohibition Against Assignment By The Recipient The Recipient will not transfer, pledge, mortgage, or otherwise assign the award, or any interest to the award, or any claim arising under the award, to any party, banks, trust companies, or other financing or financial institutions without the written approval of the Grants Officer.

Site Visits The NRC, through authorized representatives, has the right to make site visits to review project accomplishments and management control systems and to provide technical assistance as required. If any site visit is made by the NRC on the premises of the Recipient or contractor under an award, the Recipient shall provide and shall require his/her contractors to provide reasonable access to all facilities and provide necessary assistance for the safety and convenience of the Government representative in the performance of his/her official duties.

IV. Additional Requirements

31310018M0032 Page 24 of 29 Criminal and Prohibited Activities The Program Fraud Civil Remedies Act (31 U.S.C. §§ 3801-3812), provides for the imposition of civil penalties against persons who make false, fictitious, or fraudulent claims to the Federal government for money (including money representing grant/cooperative agreements, loans, or other benefits).

False statements (18 U.S.C. § 287), provides that whoever makes or presents any false, fictitious, or fraudulent statements, representations, or claims against the United States shall be subject to imprisonment of not more than five years and shall be subject to a fine in the amount provided by 18 USC §287.

False Claims Act (31 U.S.C. § 3729 et seq.), provides that suits under this Act can be brought by the government, or a person on behalf of the government, for false claims under federal assistance programs.

Copeland Anti-Kickback Act (18 U.S.C. § 874), prohibits a person or organization engaged in a federally supported project from enticing an employee working on the project from giving up a part of his compensation under an employment contract.

American-Made Equipment and Products Recipients are encouraged to purchase American-made equipment and products with funding provided under this award.

Increasing Seat Belt Use in the United States E.O. 13043, amended by E.O. 13652, requires Recipients to encourage employees and contractors to enforce on-the-job seat belt policies and programs when operating company-owned, rented or personally-owned vehicle.

Federal Leadership of Reducing Text Messaging While Driving E.O. 13513 requires Recipients to encourage employees, sub-awardees, and contractors to adopt and enforce policies that ban text messaging while driving company-owned, rented vehicles or privately owned vehicles when on official Government business or when performing any work for or on behalf of the Federal Government.

Federal Employee Expenses Federal agencies are barred from accepting funds from a Recipient to pay transportation, travel, or other expenses for any Federal employee unless specifically approved in the terms of the award. Use of award funds (Federal or non-Federal) or the Recipients provision of in-kind goods or services, for the purposes of transportation, travel, or any other expenses for any Federal employee may raise appropriation augmentation issues. In addition, NRC policy prohibits the acceptance of gifts, including travel payments for Federal employees, from Recipients or applicants regardless of the source.

Minority Serving Institutions (MSIs) Initiative

31310018M0032 Page 25 of 29 Pursuant to E.O.s 13230 and 13270, amended by E.O. 13316 and 13385, 13532, 13592, 13555, 13515, and 13621, NRC is strongly committed to broadening the participation of MSIs in its financial assistance program. NRCs goals include achieving full participation of MSIs in order to advance the development of human potential, strengthen the Nations capacity to provide high-quality education, and increase opportunities for MSIs to participate in and benefit from Federal financial assistance programs. NRC encourages all applicants and recipients to include meaningful participations of MSIs. Institutions eligible to be considered MSIs are listed on the Department of Education website: http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html Research Misconduct Scientific or research misconduct refers to the fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. It does not include honest errors or differences of opinions. The Recipient organization has the primary responsibility to investigate allegations and provide reports to the Federal Government. Funds expended on an activity that is determined to be invalid or unreliable because of scientific misconduct may result in a disallowance of costs for which the institution may be liable for repayment to the awarding agency. The Office of Science and Technology Policy at the White House published in the Federal Register on December 6, 2000, a final policy that addressed research misconduct. The policy was developed by the National Science and Technology Council (65 FR 76260). The NRC requires that any allegation be submitted to the Grants Officer, who will also notify the OIG of such allegation. Generally, the Recipient organization shall investigate the allegation and submit its findings to the Grants Officer. The NRC may accept the Recipients findings or proceed with its own investigation. The Grants Officer shall inform the Recipient of the NRCs final determination.

Publications, Videos, and Acknowledgment of Sponsorship Publication of the results or findings of a research project in appropriate professional journals and production of video or other media is encouraged as an important method of recording and reporting scientific information. It is also a constructive means to expand access to federally funded research. The Recipient is required to submit a copy to the NRC and when releasing information related to a funded project include a statement that the project or effort undertaken was or is sponsored by the NRC. The Recipient is also responsible for assuring that every publication of material (including Internet sites and videos) based on or developed under an award, except scientific articles or papers appearing in scientific, technical or professional journals, contains the following disclaimer:

This [report/video] was prepared by [Recipient name] under award [number] from

[name of operating unit], Nuclear Regulatory Commission. The statements, findings, conclusions, and recommendations are those of the author(s) and do not necessarily reflect the view of the [name of operating unit] or the US Nuclear Regulatory Commission.

Trafficking In Victims Protection Act Of 2000 (as amended by the Trafficking Victims Protection Reauthorization Act of 2003)

Section 106(g) of the Trafficking In Victims Protection Act Of 2000 (as amended as amended, directs on a government-wide basis that:

31310018M0032 Page 26 of 29 any grant, contract, or cooperative agreement provided or entered into by a Federal department or agency under which funds are to be provided to a private entity, in whole or in part, shall include a condition that authorizes the department or agency to terminate the grant, contract, or cooperative agreement, without penalty, if the recipient or any subrecipient, or the contractor or any subcontractor (i) engages in severe forms of trafficking in persons or has procured a commercial sex act during the period of time that the grant, contract, or cooperative agreement is in effect, or (ii) uses forced labor in the performance of the grant, contract, or cooperative agreement. (See 22 U.S.C.

§7104(g).)

EXECUTIVE COMPENSATION REPORTING 2 CFR § 170.220 directs agencies to include the following text to each grant award to a non-federal entity if the total funding is $25,000 or more in Federal funding.

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000.00 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if

i. the total Federal funding authorized to date under this award is $25,000.00 or more; ii. in the preceding fiscal year, you received

31310018M0032 Page 27 of 29 (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term:

i. As part of your registration profile at http://www.sam.gov.

ii. By the end of the month following the month in which this award is made, and annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if

i. in the subrecipient's preceding fiscal year, the subrecipient received (A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term:

31310018M0032 Page 28 of 29

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000.00, you are exempt from the requirements to report:

i. Subawards, and ii. The total compensation of the five most highly compensated executives of any subrecipient.

e. Definitions. For purposes of this award term:

1. Entity means all of the following, as defined in 2 CFR Part 25:

i. A Governmental organization, which is a State, local government, or Indian tribe; ii. A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for-profit organization;

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

2. Executive means officers, managing partners, or any other employees in management positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. __.210 of the attachment to OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations) iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

31310018M0032 Page 29 of 29

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR § 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)

(FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g., severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.00.