ML18197A318

Grant No. 31310018M0042

ML18197A318
Person / Time
Issue date:	07/13/2018
From:	M'Lita Carr Acquisition Management Division
To:
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31310018M0042
Download: ML18197A318 (27)

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Page 1 of 27 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) 31310018M0042 07/16/2018 UNIVERSITY OF IOWA, THE Attn:

DIVISION OF SPONSORED PROGRAMS 2 GILMORE HALL IOWA CITY IA 522421320 U.S. NRC - HQ Acquisition Management Division Mail Stop: TWFN-07B20M Washington DC 20555-0001 P:

, E:

Continued Advancement of the Radiochemistry Program at the University of Iowa See Schedule A.1 07/16/2018 through 07/15/2021

$0.00

$450,000.00

$450,000.00

$0.00

$450,000.00

$450,000.00

$0.00

$0.00 2018-X0200-IUPNSE-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-18-0161 07/13/2018

Page 2 of 27 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: 07/16/2018 to 07/15/2021

31310018M0042 Page 3 of 27 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 July 16, 2018 VIA Electronic Mail University of Iowa james-gloer@uiowa.edu 2 Gilmore Hall Iowa City, IA 52242-1320

SUBJECT:

GRANT NO: 31310018M0042 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 Iowa (hereinafter referred to as the "Grantee or Recipient), the sum of $450,000.00 to provide support for "Continued Advancement of the Radiochemistry Program at the University of Iowa" entitled "Program Description."

This award is effective July 16, 2018 and shall apply to expenditures made by the Recipient furtherance of program objectives during the period beginning with the effective date of July 16, 2018 and ending July 15, 2021.

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. In addition your grant application proposes in cost share for this program. Please ensure your cost share conforms to the provisions in 2 CFR 200, and is reported on the semi-annual Federal Financial Report.

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.

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

31310018M0042 Page 4 of 27 Attachment A - Schedule A.1 PURPOSE OF GRANT The purpose of this Grant is to provide support to the Continued Advancement of the Radiochemistry Program at the University of Iowa as described in Attachment B entitled "Program Description."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is July 16, 2018. The estimated completion date of this Grant is July 15, 2021.

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

July 16, 2018 - July 15, 2021.

A.3 GENERAL

1. Total Estimated NRC Amount:

$450,000.00

2. Total Obligated Amount:

$450,000.00

3. Cost-Sharing Amount:

4. Activity

Title:

Continued Advancement of the Radiochemistry Program at the University of Iowa

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 for the three year period; inclusive of in cost share.

2. NRC hereby obligates the amount of $450,000.00 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.

31310018M0042 Page 5 of 27 Attachment B - Project Description Current efforts in Radiochemistry Research and Education at the University of Iowa Advancing research and developing technical expertise in radiochemistry requires strong academic programs and training infrastructure. This is a matter of urgent and profound importance given the well-documented aging radiochemical workforce and current needs in the area of national security, nuclear waste management, environmental monitoring, and medicine.

The University of Iowa (UI) is one of the few institutions in the U.S. that is making a concerted effort to invest in radiochemistry research and education, resulting in the formation of one of the most rapidly growing undergraduate and graduate training programs in this area.

The UI radiochemistry program was initiated in 2012 with the aid of prior support from an NRC faculty development grant, which helped launch the academic careers of Professors and and provided preliminary resources needed to secure major federal funding in the field of radiochemistry. Professor won several prestigious awards for early-career faculty, including an NSF CAREER Award, DOE Early Career Award, and the UI Dean Scholar Award. Professor also received significant accolades, including a Department of Homeland Security Nuclear Forensics Young Faculty Development Award and a Fulbright Scholar Award. In addition, his work on novel radiotherapies (now supported by NIH) led to the formation of a successful start-up company (Viewpoint Molecular Targeting, LLC), rated among the Best University Startups 2016 by the National Council on Entrepreneurial Tech Transfer (NCET2). Funds from this award also catalyzed the development of a BA chemistry degree with radiochemistry focus, and led Professors to collaboratively develop new undergraduate and graduate curricula, including an introductory course (CHEM:4760) entitled Radiochemistry: Energy, Medicine, and the Environment. The support from the previous NRC faculty development award greatly enhanced their research and teaching efforts and aided their successful promotion to associate professor in 2015 and 2016 In addition, support provided by an NRC graduate fellowship program grant helped to increase departmental efforts in radiochemistry and nuclear materials research. This award has fostered the training of over 20 students to safely work with radioactive materials in a range of capacities and has engaged their faculty advisors in radiochemistry research. Two of these students

) were able to leverage their fellowship research to obtain DOE Graduate fellowships to continue their radiochemistry education at Argonne or Los

31310018M0042 Page 6 of 27 Alamos National Laboratory (LANL). This award has also led to the establishment of a shared Radiochemistry Facility, which houses instrumentation dedicated specifically to work with radioactive materials, and is available to researchers across the UI after proper safety training.

Description of the Faculty Development Program at UI The UI Department of Chemistry has further supported the growth of the UI radiochemistry program by hiring three new faculty with interests in radiochemistry research and education

). The proposed NRC faculty development award will provide additional collaborative avenues for these faculty members to expand their current research strengths into new areas of radiochemistry and further develop curriculum associated with our undergraduate and graduate programs. Brief summaries of their research interests are provided below.

Daly received his Ph.D. in Chemistry from the University of Illinois in 2010. His thesis research with focused on synthesis and characterization of volatile actinide and lanthanide borohydride complexes, Prior to his graduate studies, he worked as a radioanalytical chemist for Eichrom Technologies, where he studied chromatographic extraction of Th, U, Np, and Pu from soil and water under the direction of Phil Horwitz, the 2016 recipient of the ACS Seaborg Award for Nuclear Chemistry. After his graduate studies, he received a Seaborg Postdoctoral Fellowship to work at LANL under the direction of and 2017 ACS Seaborg awardee

. At LANL, he investigated the electronic structure and selectivity of chemical extractants for minor actinide/lanthanide separations.

Professor started his faculty career at George Washington University in 2012, and moved to the UI in 2014.

Professor is building a research program aimed at the design and synthesis of new soft-donor extractants to separate minor actinides (Am and Cm) from lanthanides. This separation is a critical step proposed in many advanced nuclear fuel cycles, yet it is difficult because trivalent actinides and lanthanides have very similar chemical properties. Despite these similarities, it has been shown that some "soft-donor" extractants (especially those that form metal-nitrogen and metal-sulfur bonds) are capable of discriminating between 4f and 5f elements. The group is using spectroscopic and radioanalytical methods to understand how variations in metal-extractant bonding contribute to observed differences in actinide/lanthanide selectivity.

Knowledge gained from these fundamental studies is then applied towards the design of new minor actinide extractants. The group is also exploring the synthetic chemistry of unconventional soft-donor ligands such as borohydrides with U-238, Np-237, Pu-238, and Am-241. He currently has 6 graduate students and 4 undergraduate students conducting research in his group. This includes a senior graduate student performing collaborative transuranic research at LANL with the support of a prestigious DOE Office of Science Graduate Student Research (SCGSR) Fellowship.

Professor received his Ph.D. in Chemistry from the University of Illinois in 2008, where he investigated interfaces using visible/infrared sum frequency generation. He was awarded an NSF American Competitiveness in Chemistry Postdoctoral Fellowship in 2010 to work with Professor at the University of Arizona. He began his independent career in 2012 when he joined the faculty at the UI. The Shaw group is investigating the role of urban films in environmental chemistry, including their role in the fate and transport of radionuclides (Cs-137, I-131, and Sr-90). Volatile elements (Cs and I), and semi-volatile elements (Ru and Sr) present important analytes for sorption studies via gas-phase, aerosol, and condensed water depositions onto urban films. Professor is an expert in surface analysis and well equipped to study these systems in tropospherically relevant conditions. He is also an instructor for our undergraduate instrumental analysis course, and implementing quantitative

31310018M0042 Page 7 of 27 measurements of radionuclides via these techniques would be an excellent avenue to further incorporate radiochemistry into undergraduate education.

. Professor r received her Ph.D. in Chemistry from Purdue University in 2012. Her doctoral work focused on examining the way in which pedagogical approaches such as Process-Oriented Guided Inquiry Learning (POGIL) methods support student learning. In her postdoctoral work at Michigan State University under the direction of

, she developed curricular resources for and examined the impact of a research-based general chemistry curriculum that emphasizes causal mechanistic reasoning (Chemistry, Life, the Universe, and Everything). She joined the faculty at the UI in 2014. As a discipline-based educational researcher, her program focuses on developing curricular resources that provide opportunities for more authentic engagement in science practices in undergraduate chemistry classrooms. For instance, a current NSF-funded project in her group aims at engaging students in mathematical modeling through the use of simulation-focused collaborative learning activities.

She is interested in developing radiochemistry-focused curricular resources, such as lab and case study activities, for introductory-level chemistry courses, and in collaborating with faculty such as Scott Shaw to implement radiochemistry curricular units in upper-division courses.

In addition to these recent hires, the Chemistry faculty have voted unanimously to support a new tenure-track hire in the area of radioanalytical chemistry.

is a radioanalytical chemist in the Department of Radiology and holds an adjunct position in Chemistry. His research centers on radioisotopes for therapies and medical imaging. We plan to hire a new radioanalytical chemist to complement the strengths of by focusing efforts in the area of nuclear energy and/or environmental monitoring. A new faculty member with research in this area will also complement other existing faculty research programs described here, strengthen the core group of UI Radiochemistry faculty, and provide additional depth to research and coursework opportunities for students, and will be in line to compete in a growing number of relevant national funding opportunities. The College of Liberal Arts and Sciences has agreed to support a faculty hire in this area, with a search commencing in Fall 2018 and a start date in August 2019.

Enhanced Academic Environment Advancements in the UI Radiochemistry program will enhance both the radiochemistry workforce and the promotion dossiers of four pre-tenure faculty members, increasing subject matter expertise and building strength in this area. Establishment of the introductory radiochemistry course (CHEM:4760) was invaluable to the successful promotion of Professors as it provided the opportunity for them to showcase their skills in teaching and curricular development. This course has been popular among both graduate and undergraduate students. Nine undergraduates enrolled in the course the first time it was taught (2013) and 16 enrolled in 2015. Many of them utilized the course to complete their B.S., B.A., or minor in chemistry. Four of these students are now enrolled in Ph.D. or M.S. programs associated with radiochemistry research. In addition, one participated in the DOE Science Undergraduate Lab Internship program where she was able to spend the Spring 2017 semester working in a radiochemistry facility at LANL under the direction of

. The course has also been important to graduate student training, with 9 graduate students enrolling in 2013 and 10 in 2015, many of whom have engaged in radiochemistry research and have been supported by the NRC graduate fellowship program. In the next offering (Spring 2018), students will engage in hands-on lab techniques through a new collaborative project with

, manager of the Radiochemistry facility at the Iowa State Hygienic Lab.

The current proposal will fortify both aspects of our training program by integrating more radiochemistry concepts into the curriculum at earlier stages of undergraduate coursework and

31310018M0042 Page 8 of 27 provide additional opportunities for faculty to engage in relevant curriculum development and implementation. A set of laboratory-based curricula will be designed for use in the second-semester freshman chemistry course (CHEM:1120 Principles of Chemistry II), and upper level majors courses (CHEM:3530 Inorganic Chemistry Laboratory and CHEM:3430 Analytical Measurements). These individual labs will enable students to explore aspects of radiochemistry and encourage them to consider the introductory radiochemistry course as an option for their degree requirements. Each lab will be designed with sealed sources or tracer-level radionuclides to minimize dose risks, but will require students to complete the safety requirements for working with radioactive materials. The upper level lab can be taught in the shared radiochemistry facility and the faculty and teaching staff will work with the UI Environmental Health and Safety team to develop a best-practices approach to implementing all labs in a safe manner.

Professors will be tasked with developing and implementing the curriculum within established courses. The new hire in radioanalytical chemistry will initially teach the introductory radiochemistry course and also participate in integrated curriculum development.

Professor Becker is invaluable to these efforts, as her expertise is in curriculum design. She will contribute best practices and assess these efforts through established educational metrics. The goal of these proposed efforts is to continue to increase the overall enrollment in our radiochemistry course, drive new curricular design that can be widely disseminated to other chemistry programs, and enhance the promotion and tenure dossiers of our assistant professors.

2. Description of the Selection Process The tenure-track faculty associated with this application have been selected based upon their expertise and interest in enhancing the UI Radiochemistry program.

has significant experience in the area of radiochemistry and is establishing a nationally renowned research program in the field.

have expertise outside the direct field, but have a significant interest in gaining additional knowledge of radiochemistry techniques and concepts that will advance the educational and research goals of our program.

The proposed new faculty hire in radiochemistry will be selected through our standard hiring process, which is very effective in bringing talented new faculty to our Department. The process in this instance will include evaluation of the candidates expertise in radiochemistry, ability to teach and mentor effectively and ability to conduct impactful research in the field. We are specifically interested in bringing in an assistant professor with expertise in separations, detection, and/or radiochemical analysis related to nuclear materials or environmental monitoring. The position will be publicized in September 2018. Application materials (CV, transcripts, teaching statements, research proposals, and letters of recommendation) will be evaluated by a faculty committee and the top candidates will undergo an extensive interview process. The final selection will be based upon the promise of an applicants research proposals, teaching experience, and the potential to be successful in the tenure process.

3. Description of Management Structure and Program Administration The proposed faculty development plan will be co-administered by the Chair of the Department and the Director of the UI Radiochemistry program will support the probationary faculty members through the tenure process and provide assistance with any problems that may arise. The Department demonstrates full commitment to the success of our tenure-track faculty members by providing reasonable service loads, opportunities for teaching release, and a supportive collegial environment. Professor Forbes will aid in curriculum development, provide resources for research in the Shared Radiochemistry Facility, and serve as a faculty mentor for the new assistant professor. She will also be responsible for compiling annual reports and continued leadership in the development of the UI Radiochemistry program.

31310018M0042 Page 9 of 27 All of the proposed NRC faculty development funds and UI matching funds will be administered through the management structure within the Chemistry Department. The Chair is responsible for overall operation of the Department and is supported by a full-time Administrator.

Twenty-three staff members support the teaching and research missions of the department.

Facilities and staff dedicated to teaching and research support include undergraduate teaching and preparation labs, undergraduate education management, NMR, MS, and X-ray diffraction facilities, glass-blowing, machine, and electronics shops, stockroom, IT hardware and software, graduate admissions, clerical, secretarial, and grant accounting support.

4. Description of Evaluation Plan Faculty development will be evaluated annually through an existing process that reviews accomplishments in research, teaching, and service. Feedback will be provided to each faculty member supported by the proposed award through an annual meeting with the Chair and other meetings with tenured faculty mentors on the review committee. Feedback will include an analysis of course content, classroom teaching observations, student assessments of teaching, progress in mentoring undergraduate, graduate, and post-graduate research students, quality and quantity of papers published or accepted, participation in national and regional meetings, invitations to speak at universities and conferences, submission and funding of internal and external grant applications, and participation in reviewing manuscripts for journals and grant applications for federal agencies. The Department expects to see an upward trajectory as the faculty member progresses from establishment of a new program to generating external funding and significant publications in later years of the probationary period. This annual evaluation is intended to provide constructive feedback and facilitate a successful tenure process.

The success of the plan will be judged by the success, and ultimately, promotion of the faculty supported by these funds. By the end of the proposed grant period, each of the three existing tenure-track faculty will submit her/his portfolio for consideration by the faculty for promotion to the rank of associate professor with tenure. Portfolios will include a CV, copies of all publications, student evaluations of teaching, and descriptions of teaching innovations, research accomplishments, and future plans. The CV includes a record of awards and recognition, publications, presentations, funding, student mentoring, classroom teaching, and service to the department, college, profession, and community. A copy of the CV along with six representative reprints will be sent to a group of external examiners for their appraisal. A detailed evaluation of all portfolio material is then performed by the department, college, and UI Provost before a recommendation is submitted to the Board of Regents for final approval.

5. Description of Resources from non-Federal Supporters & Sustainability Plan The UI is committed to the growth and success of our radiochemistry program, as illustrated by considerable enthusiasm from a wide range of sources. Faculty in the Department of Chemistry voted unanimously to support a hire in radioanalytical chemistry. The Dean of the College of Liberal Arts and Sciences, Dean of the Graduate College, and the Vice President for Research have all expressed their support for this program, and significant matching funds have been committed by all three of these offices. This funding totals over the grant period, and the majority of the funds are dedicated to support for a new assistant professor in radioanalytical chemistry. Notably, the faculty line itself constitutes a significant additional UI contribution.

Details of the matching funds are provided in the budget justification narrative.

Strong and enthusiastic support from the UI and earlier NRC funding has enabled us to maintain consistent momentum and external recognition (see additional letters in appendix) for our developing program. We plan to continue recruiting graduate students who are interested in radiochemistry research and help them develop skills that will be useful in sectors related to nuclear energy, medicine, forensics, and environmental monitoring. This will foster continued

31310018M0042 Page 10 of 27 construction and strengthening of collaborations with national labs and industrial partners. In addition, we plan to develop avenues to bring together current UI radiochemistry faculty with other existing areas of institutional strength (e.g., medicine and engineering) to discuss additional hires and collaborative research projects as a means to build a sustainable and nationally renowned program in radiochemistry and radiation sciences at the University of Iowa.

31310018M0042 Page 11 of 27 Attachment C - Standard Terms and Condition 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 framework, the Principal Investigator (PI) named on the award face page, is responsible for the

31310018M0042 Page 12 of 27 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.

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.

31310018M0042 Page 13 of 27

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.

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.

31310018M0042 Page 14 of 27 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; (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.

31310018M0042 Page 15 of 27 (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.

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

31310018M0042 Page 16 of 27 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 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

31310018M0042 Page 17 of 27 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.

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.

31310018M0042 Page 18 of 27 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

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.

Faculty Development Performance reports must be submitted 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 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).

31310018M0042 Page 19 of 27 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 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

31310018M0042 Page 20 of 27 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 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:

Faculty Development Metrics:

1.

How many Faculty have been sponsored by NRC funding?

a.

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

2.

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

a.

Response is the type and number of items (not a bibliography), for this reporting period and cumulative to the grant.

31310018M0042 Page 21 of 27 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:

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 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.

31310018M0042 Page 22 of 27 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 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

31310018M0042 Page 23 of 27 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:

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.

31310018M0042 Page 24 of 27

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 (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.

31310018M0042 Page 25 of 27 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:

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:

31310018M0042 Page 26 of 27

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.

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.

31310018M0042 Page 27 of 27 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.