ML18198A233

Grant No. 31310018M0045

ML18198A233
Person / Time
Issue date:	07/13/2018
From:	M'Lita Carr Acquisition Management Division
To:
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31310018M0045
Download: ML18198A233 (26)

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Page 1 of 26 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) 31310018M0045 07/16/2018 Board Of Regents Of The University Of Attn:

151 Prem S Paul Research Center 2200 Vine S PO Box 830861 LINCOLN NE 685830861 U.S. NRC - HQ Acquisition Management Division Mail Stop: TWFN-07B20M Washington DC 20555-0001 Faculty Development Program in Nuclear Engineering at the Univerity of Nebraska-Lincoln See schedule, A1.

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 Hebron-Isreal TWFN10-56 301-415-6996 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 Act of 1954, as amended.

RES-18-0166 07/13/2018

Page 2 of 26 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:

ASAP GRANT FUNDS REIMBURSEMENT SYS US TREASURY Period of Performance: 07/16/2018 to 07/15/2021

31310018M0045 Page 3 of 26 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 July 16, 2018 Board of Regents, Univ of Nebraska, Univ of Nebraska-Lincoln 151 Prem S. Paul Research Center 2200 Vine Street Lincoln, NE 68583-0861

SUBJECT:

GRANT NO: 31310018M0045

==Dear

==

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 Board of Regents, Univ of Nebraska, Univ of Nebraska-Lincoln (hereinafter referred to as the "Grantee or Recipient), the sum of $450,000.00 to provide support for Faculty Development Program in Nuclear Engineering at the University of Nebraska-Lincoln" 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

31310018M0045 Page 4 of 26 Attachment A - Schedule A.1 PURPOSE OF GRANT The purpose of this Grant is to provide support to the Faculty Development Program in Nuclear Engineering at the University of Nebraska-Lincoln 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:

Faculty Development Program in Nuclear Engineering at the University of Nebraska-Lincoln

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.

31310018M0045 Page 5 of 26 Attachment B - Project Description Overview of the Proposed Faculty Development Program Challenges, Goals, and Objectives Although nuclear energy generated from two nuclear power stations supplies approximately thirty percent of Nebraskas electricity (Figure 1), there are no established nuclear engineering programs at any of the institutions of higher education within the state. As a result, numerous challenges remain related to the development of a workforce of academic and industrial professionals capable of the design, construction, operation, and regulation of these nuclear facilities. In addition, the lack of academic infrastructure and coursework focused on nuclear-related fields has resulted in a significant gap in nuclear engineering-oriented research projects and activities within Nebraska. To address these challenges, as well as attract and support new faculty in nuclear-related fields, the goal of this Nuclear Regulatory Commission Faculty Development Project is to develop the Faculty Development Program in Nuclear Engineering at the University of Nebraska-Lincoln (UNL), a new, strategic program supporting nuclear engineering research and education. Due to the lack of an existing institutional infrastructure within these fields, this program will seek to develop preliminary professional support for one inaugural junior faculty candidate who has been identified using the programs established selection process (see Section 2). In doing so, this will lay an initial foundation to sustain and recruit additional faculty members as well as support nuclear-related research activities at the institution.

To do so, UNLs Department of Mechanical &

Materials Engineering seeks completion of five objectives:

Objective 1: Provide career development support for a new faculty member at UNL, by establishing a research program on structural materials for Generation-IV reactors that will enhance his reputation regarding structural materials and contribute to his credentials for obtaining tenure.

Figure 1. Electricity generation in Nebraska (Jan 2104 to Aug 2016). Nuclear energy is generated from nuclear power stations at Cooper and Fort Calhoun.

Nuclear

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Objective 2: Develop a new undergraduate course in nuclear engineering that is currently unavailable within the curriculum and leverage UNLs current partnership with the Big 12 Nuclear Engineering Educational Consortium to extend its impact to other regional partners.

Objective 3: Promote professional society activities among junior faculty members with key academic stakeholders to broaden the programs capacity to recruit and develop faculty in the fields of nuclear-related research.

Objective 4: Establish a mentoring program for junior faculty members in nuclear-related fields to promote sustained professional development.

Objective 5: Procure equipment that will support the research endeavors of the inaugural junior faculty member, and enhance the propensity for future research in nuclear engineering by additional faculty candidates.

Background of the Programmatic Need About 30% of the electricity used by Nebraskans is supplied from nuclear energy. Nebraska is an Agreement State in Region IV. Nebraska has one operating nuclear power reactor, Cooper Nuclear Station, which has about 730 full-time employees. Nebraska is also home to the Crow Butte uranium recovery facility in Chadron, NE. Thus, the states nuclear industry has a high need to attract and train the highest quality talent available to work in these nuclear facilities.

However, the lack of nuclear engineering programs at any of the institutions of higher education within the state has created a significant workforce shortage in the industry. As the only institution with a College of Engineering in Nebraska, UNL has a responsibility to provide engineering education that will lead to economic benefits to its citizens, including the development of a highly-trained workforce, related to high-need areas. Therefore, it is critical for UNL to establish a sustainable program for faculty education and research programs in nuclear engineering. Providing funding for this project will support the development of the nuclear education and research program in the state, enabling UNL to engage and train the next generation of nuclear engineering professionals in Nebraska.

Faculty Development Plan Objective 1: Establish an Inaugural Junior Faculty Research Program Using the selection process identified below (Section 2),

was identified as an ideal candidate to establish the inaugural nuclear-related faculty research program, and will serve in this capacity for the first two years of this project.

is an Assistant Professor within UNLs Department of Mechanical & Materials Engineering who has demonstrated research expertise in developing structural materials for Generation-IV nuclear energy systems. He leads the Materials for Extreme Environments Laboratory, which aims to develop advanced materials that can survive in extreme environments for advanced nuclear energy applications. He is an expert on in-situ transmission electron microscopy (TEM) investigations of the microstructural evolution during irradiation, stress, and elevated temperature.

In his tenure-track position at UNL, he is currently performing funded research projects (see Current and Pending Support) for the National Science Foundation and the Nebraska Public Power District. He was recently elected as the vice chair of the Corrosion and Environmental Effects Committee of the Minerals, Metals, & Materials Society (TMS), and organized the TMS Environmentally Assisted Cracking: Theory and Practice symposium in 2017 and 2018. He has taught three courses at UNL, receiving average student evaluation scores of 4.25 out of 5.00. Based on his research and teaching achievements, has demonstrated outstanding expertise and high potential to become a tenured expert in nuclear engineering (see Curriculum Vitae). For the third year, the Junior Faculty will be

31310018M0045 Page 7 of 26 selected from the pool of eligible assistant professors, which include current faculty and any we hire within the next two years (we are expecting to hire six new faculty in this time period). The goal of this proposed research program is to create a new research track at UNL on structural materials for Generation-IV nuclear reactors. Specifically, research will develop nanostructured oxide-dispersion-strengthened high-entropy alloys (ODS-HEAs) for advanced reactor applications.

In Generation-IV reactors, structural materials need to endure much higher neutron doses

(>300 dpa), higher operation temperatures (>200 C over an 80 year lifetime), and extremely corrosive coolants (such as supercritical water, gas, sodium, or Pb). Unlike traditional alloys, high-entropy alloys (HEAs) contain more than three metal elements in equal or near-equal concentrations, but form single-phase face-centered cubic or body-centered cubic structures due to high configurational entropy. HEAs have superior mechanical properties, thermal stability, corrosion resistance, and radiation tolerance, positioning them as promising structural materials for advanced reactor systems such as sodium-cooled fast reactor (SFR) cladding and other in-core applications. Recent theoretical and experimental studies suggest that the significant lattice distortion and compositional complexity in HEAs can change the process of energy dissipation and facilitate the recovery from early-stage radiation damage, providing high irradiation resistance. However, a significant limitation for the nuclear applications of HEAs is the loss of tensile strength and the onset of thermal creep above 500 ºC. To address this challenge, will develop novel ODS-HEAs that exhibit a homogenous dispersion of nanosized ceramic oxide particles (<10 nm) in the metal matrix of HEAs (such as FeNiMnCr or WNbMoTa).

This project will seek to test two hypotheses. First, dispersion particles can interact and retard the motion of dislocations via mechanisms such as the Rosler-Arzt model, thus increasing the high-temperature strength and creep resistance of HEAs. Second, the nanoscale interface between the oxide dispersion particle and the HEA matrix can act as sinks for irradiation defects, thus inhibiting void formation and increasing the void swelling resistance in extreme irradiation environments. To fulfil the research goal, this project will follow the research plan outlined in Figure 2 (previous page), and pursue three research objectives:

1.

Develop novel nanostructured ODS-HEAs by powder metallurgy (mechanical alloying);

2.

Perform in-situ TEM investigation of the mechanisms of irradiation damage and deformation in ODS-HEAs during irradiation and elevated temperatures; and 3.

Conduct ex-situ investigation of the irradiation damage and mechanical properties in ODS-HEAs at elevated temperatures.

will strengthen his research program by collaborating with the Nuclear Science User Facilities (NSUF). The in-situ irradiation experiments will be performed in the Intermediate Voltage Electron Microscopy (IVEM)-Tandem Facility at Argonne National Laboratory (see letter from and the In-Situ Ion Irradiation Transmission Electron Microscope (I3TEM)

Facility at the Sandia Ion Beam Laboratory (see letter from

). Ex-situ irradiation experiments will be performed at the Michigan Ion Beam Laboratory (MIBL) (see letter from Prof.

will collaborate with these partners to submit Rapid Turnaround Experiment (RTE) proposals to request access to NSUFs user facilities.

Objective 2: Develop a New Undergraduate Course in Nuclear Engineering UNL currently does not provide coursework in nuclear engineering, despite high demand expressed from undergraduate and graduate students as well as industry stakeholders. To address this, will develop a senior undergraduate/graduate level course entitled

31310018M0045 Page 8 of 26 Introduction to Materials for Nuclear Energy Systems (see Letter of Support from

. This new course will seek to attract a total of 50 students (30 undergraduate and 20 graduate) each year. Throughout the semester, students will learn fundamental knowledge regarding nuclear reactor types, radiation damage on materials (including damage cascade, point defect formation, defect clusters, voids and bubbles, radiation-induced segregation, irradiation hardening, irradiation creep, irradiation-assisted stress corrosion cracking, etc.), as well as radioactive waste treatment. Course textbooks will include Introduction to Nuclear Engineering and Fundamentals of Radiation Materials Science. In addition to lectures, will conduct several hands-on laboratory-based activities to teach students to observe irradiation defects in materials using TEM. UNLs Department of Mechanical and Materials Engineering has already identified a need for additional courses beyond this one, including Nuclear System Engineering and Design and Plasma Engineering. It is the intent of this program to develop the first course, and then implement these additional courses in collaboration with future junior faculty candidates.

UNL participates in the Big 12 Nuclear Engineering Educational Consortium, which was established as a means to increase access to engineering courses in high-demand areas. In response to industry needs for engineers familiar with nuclear concepts, this multi-state alliance currently offers online courses in nuclear engineering. Through this consortium, students from other institutions including Kansas State University, Iowa State University, Oklahoma State University, Texas A&M University, the University of Missouri, etc., can enroll in online courses at UNL, and vice versa. This partnership will extend the impact of UNLs nuclear engineering program and coursework to a broader regional audience.

Objective 3: Promote Professional Activities This program will support the junior faculty member to participate in the annual meetings of the American Nuclear Society (ANS) and the Minerals, Metals, and Materials Society (TMS), both of which host a large number of technical presentations related to nuclear materials. The junior faculty member and his students supported by this program will deliver technical presentations to increase the scientific impact of this program and receive feedback from people in the field.

The junior faculty will also participate in the ANS Materials Science and Technology Division and TMS Nuclear Materials Committee to develop professional connections with society professionals.

Objective 4: Establish a Mentoring Program for the Junior Faculty Member and His Students Two senior faculty members

) will mentor the inaugural junior faculty member during the development of his research program and educational course. During the scope of the faculty development program, mentors will have monthly meetings with the junior faculty member to discuss progress, provide guidance, and solicit feedback to improve its capabilities for supporting teaching and research. All meeting minutes will be electronically recorded so that the junior faculty member can review them at any time. In addition, the mentoring program will be open to all potential faculty candidates, improving its capability to assist with recruitment of additional faculty within the area of nuclear engineering.

A key component of the mentoring program will be to help the junior faculty member establish a successful research program, which necessarily includes graduate student researchers, as it is expected that junior faculty will become outstanding mentors to students in Masters and Ph.D.

programs. This project will provide support for graduate students who directly assist the junior faculty member toward the enhancement and development of his own research careers, and will provide opportunities for students to attend and present research results at conferences. The graduate students will be mentored on the topic of structural materials for advanced reactors.

Objective 5: Procure Equipment Supporting Initial and Future Research Projects To support the research program of the junior faculty candidate, the department will purchase creep test equipment from Applied Test Systems (ATS), consisting of an ATS Series 2320 lever

31310018M0045 Page 9 of 26 arm tester, a Series 3210 furnace (up to 1100 C), and a high temperature extensometer. In total, this equipment will cost about $80,000 (see Budget and Budget Narrative for more details). It will be used by Dr. Cui to study the thermomechanical properties (i.e., thermal creep and irradiation creep) of ODS-HEAs and other materials developed for the advanced reactor systems. This equipment will improve the nuclear engineering research infrastructure at UNL and be incorporated into the Department of Mechanical and Materials Engineerings mechanical testing laboratory, which currently includes standard room-temperature capabilities, micro-scale testing equipment, and dynamic mechanical analysis equipment. This equipment will enhance future research in nuclear engineering materials and support recruitment of other faculty candidates.

2. Selection Process Applicants have been from a pool of more than thirty tenure-track assistant professors who have been hired by UNL in the last four years. To ensure selection of the most qualified candidate(s), a selection committee composed of three senior faculty was formed to choose the programs inaugural candidate, and to select the faculty for Year 3. The committee chair is (see a full professor at UNL and expert on ion irradiation modification of materials. Selections were made after an initial screening of candidates resumes and discussion by the committee. The specific criteria that were used for selection include 1) the candidates research expertise in nuclear engineering, health physics, and/or radiochemistry; and 2) the potential to achieve tenure, including publication record and other scholarly activities, research funding, teaching evaluations, and service in professional societies.

3. Management Structure and Capability for Program Administration The principal investigator (PI) of the faculty development program will be

, Chair of UNLs Department of Mechanical & Materials Engineering. He will leverage more than 20 years of academic experience to help the junior faculty to develop a new undergraduate course and research program in nuclear engineering (see Vitae). The programs co-PI is

, who is the director of the Nebraska Center for Energy Sciences Research (see Curriculum Vitae). He will leverage more than 30 years of experience on on ion irradiation modification of materials to assist the to develop a world-class research program in structural materials for nuclear engineering. If there are problems with any element of this program, it will be addressed by the PI. The PI will also conduct the recruitment efforts of new faculty members for the program.

4. Evaluation Plan The faculty development program will be evaluated based on its success to attract, prepare, and retain outstanding junior faculty working in nuclear engineering at UNL. The evaluation of the success of this program for the junior faculty member will be aligned with our universitys promotion and tenure expectations. Specifically, after the completion of this program, the junior faculty candidate will be expected to: 1) develop a successful research proposal application to secure at least one award from the Nuclear Energy University Programs (NEUP); 2) prepare papers for publication in high-impact journals in the nuclear engineering field such as the Journal of Nuclear Materials; and 3) develop a nuclear engineering course for 50 students each year. In addition, to evaluate the success of the program, surveys will be distributed to the participating junior faculty member and students before, during, and after the program, to measure changes in the program over time. These surveys will be designed to collect formative (qualitative) data to improve the program, and also to collect summative (quantitative) data to assess whether junior faculty and students are being adequately engaged and supported by nuclear engineering-related activities at UNL. These surveys will be conducted through UNLs Bureau of Scientific Research, which has extensive experience developing assessment tools for programs within UNL.

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5. Arrangements with Non-Federal Entities for Additional Support The matching funds from UNLs College of Engineering and Department of Mechanical &

Materials Engineering indicate the strong support and commitments to this program. UNL will provide matching funds of r cost share for this application (see Budget Narrative for more details) with a written agreement (see letter from

), through the following resources: (1) a 0.5 graduate teaching assistantship to support a master student to assist the junior faculty to develop the new courses in nuclear engineering; (2) salary of the junior faculty for one (1.00) academic month to support his efforts in establishing the research program and developing a new course; and (3) funding to support conference travels and supplies.

31310018M0045 Page 11 of 26 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 scientific or technical direction of the project and for preparation of the project performance

31310018M0045 Page 12 of 26 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.

31310018M0045 Page 13 of 26

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.

31310018M0045 Page 14 of 26 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.

31310018M0045 Page 15 of 26 (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 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.

31310018M0045 Page 16 of 26 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 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

31310018M0045 Page 17 of 26 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.

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

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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).

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

31310018M0045 Page 19 of 26 (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 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:

31310018M0045 Page 20 of 26

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.

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

31310018M0045 Page 21 of 26 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.

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

31310018M0045 Page 22 of 26 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 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

31310018M0045 Page 23 of 26 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.

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.

31310018M0045 Page 24 of 26

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.

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

31310018M0045 Page 25 of 26 (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:

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.

31310018M0045 Page 26 of 26

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.

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.