ML19213A145

Grant No. 31310019M0012

ML19213A145
Person / Time
Issue date:	07/30/2019
From:	M'Lita Carr Acquisition Management Division
To:	Univ of Tennessee
References
31310019M0012
Download: ML19213A145 (27)

Text

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) 31310019M0012 07/30/2019 07/29/2022 UNIV TENNESSEE SYSTEM OFFICE Attn: Jean Mercer 1534 WHITE AVENUE Blount Hall KNOXVILLE TN 37996-1529 U.S. NRC Assistance Agreements Acquisition Management Division Mail Stop: TWFN-8E06M Washington DC 20555-0001 (N-one)

J. Wesley Hines, Ph.D.

E:j hines2@utk.edu P: 865-974-2525 Faculty Development Program in Nuclear System Modeling and Simulation at the University of Tennessee See Schedule A.1 07/30/2019 through 07/29/2022

$0.00

$450,000.00

$450,000.00

$0.00

$450,000.00

$450,000.00

$0.00

$0.00 2019-X0200-IUPNSE-60-60D099-1148-72-S-164-4110-72-S-164-1148 NANCY V. HEBRON-ISREAL T-10B56 301-415-6996 Nancy.Hebron-Isreal@nrc.gov M'LITA R. CARR 301-415-6869 MLita.Carr@nrc.gov M'LITA R. CARR RES-19-0168 07/30/2019

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: 07/30/2019 to 07/29/2022

31310019M0012 Page 3 of 27 July 30, 2019 J. Wesley Hines, Ph.D.

VIA Electronic Mail University of Tennessee jhines2@utk.edu 1534 White Avenue Knoxville, TN 37996-1529

SUBJECT:

GRANT NO: 31310019M0012

Dear Dr. Hines:

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 Tennessee (hereinafter referred to as the "Grantee or Recipient), the sum of $450,000.00 to provide support for "Faculty Development Program in Nuclear System Modeling and Simulation at the University of Tennessee" entitled "Program Description."

This award is effective July 30, 2019 and shall apply to expenditures made by the Recipient furtherance of program objectives during the period beginning with the effective date of July 30, 2019 and ending July 29, 2022.

This award is made to the Recipient on condition that the funds will be administered in accordance with the terms and conditions as set forth in Attachment A (the Schedule); Attachment B (the Program Description); and Attachment C (the Standard Provisions); all of which have been agreed to by your organization. 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.

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

31310019M0012 Page 4 of 27 Attachment A - Schedule A.1 PURPOSE OF GRANT The purpose of this Grant is to provide support to the Faculty Development Program in Nuclear System Modeling and Simulation at the University of Tennessee as described in Attachment B entitled "Program Description."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is July 30, 2019. The estimated completion date of this Grant is July 29, 2022.

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

July 30, 2019 - July 29, 2022.

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 System Modeling and Simulation at the University of Tennessee

5. NRC Project Officer:

Nancy Hebron-Isreal

6. DUNS No.:

003387891 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.

31310019M0012 Page 5 of 27 Attachment B - Program Description Capacity and Ability of the Institution to Effectively Conduct the Program The University of Tennessee Nuclear Engineering (UTNE) Department has a well-established and successful relationship with the US Nuclear Regulatory Commissions (US NRCs) Nuclear Education Grant Program that dates back to its inception. This synergistic relationship has supported several junior faculty members at UTK, of which 6 have already successfully acquired the rank of tenured Associate or Full Professor (Ivan Maldonado, Jason Hayward, Lawrence Heilbronn, Steve Skutnik, Eric Lukosi, and Maik Lang), with one having her tenure review this year (Jamie Coble), one undergoing tenure review next year (David Donovan) and one undergoing tenure review the following year (Richard Wood). All 3 are solidly on track to receive tenure. The impact of the US NRCs grant program upon our Nuclear Engineering Department is evident and will benefit the nation, as these 9 individuals represent educators and researchers who will play key roles in the development of our future nuclear workforce and thus supporting the design, construction, operation, and regulation of nuclear facilities and the safe handling of nuclear materials for years to come. The objective of this program is to develop our newest faculty member to achieve excellence in research, teaching, and service; with an emphasis on NRC topics of interest and need.

This project will be administered by Dr. J. Wesley Hines, UTNE Professor and Department Head, who is very experienced at managing US NRC contracts and the associated relationships. Dr. Hines has a strong record of faculty mentorship and retention. In fact, the UTNE department has had a perfect record of tenure track faculty attaining tenure and has not had a single NE faculty, who came to the department, leave the department in the last 25 years other than end of career retirement. Dr. Hines has supported a longstanding culture of teamwork, research collaboration, and collegiality.

Qualifications and Experience of the New Faculty The University of Tennessees Nuclear Engineering Faculty Development Program (NEFDP) will support the development and retention of Dr. Nick Brown, a newly hired faculty member.

Dr. Brown has a significant national laboratory background and has completed 2 years as an Assistant Professor at Pennsylvania State University. Dr. Brown will join our faculty at the University of Tennessee in January as a tenure track Associate Professor.

31310019M0012 Page 6 of 27 As evidenced in the attached CV, Dr. Browns research expertise is in area of modeling and simulation of nuclear fuels including the performance of accident tolerant fuel and the modeling and simulation of metal and TRISO fuel. Since November 2011, Dr. Brown has been leading analysis efforts in the LWR Computational Analysis area and experimental and analytical efforts in the Transient Testing Coordination area of the U.S. Department of Energy Office of Nuclear Energy Advanced Fuels Campaign. He is a recognized leader in the potential performance of Accident Tolerant Fuels during normal operation, anticipated operational occurrences, and design basis accidents. Dr. Brown led core design of a fluoride salt cooled engineering demonstration reactor, which included interactions between reactor physics, thermal hydraulic, and fuel performance teams as part of the reactor core design effort. He was a technical contributor and co-author of the INL/ANL/ORNL-authored Advanced Demonstration and Test Reactor Options Study (gas-, liquid metal-, and salt-cooled). Dr. Brown led gap analysis for nuclear design section (4.3) of the U.S. NRC Standard Review Plan (NUREG800) for liquid metal-cooled (sodium) fast reactors and was technical lead (along with W. D. Pointer) of requirements and recommendations for qualification of ANL SAS4A/SASSYS-1 simulation software for safety assessment of sodium-cooled fast reactors. He also performs research in the area of fuel and material certification. For example, while at ORNL he led the gap analysis for nuclear design section of the U.S. NRC Standard Review Plan for liquid metal-cooled (sodium) fast reactors. His research is solidly in topics of NRC interest.

The Nuclear Engineering Faculty Development Program at the University of Tennessee Through this solicitation and in alliance with the US NRC, the NEFPD will provide significant developmental resources toward the professional development of Dr. Brown. This proposal focuses on several elements: (1) faculty development for teaching and research in the thrust areas of nuclear fuels and systems modeling and simulation; (2) the faculty evaluation process; (3) NEFDP effectiveness evaluation; (4) program management and administration; and (5) leveraging of non-federal funds. These key elements of the NEFDP are described below in further detail.

(1) Faculty Development In this proposal, the primary areas of support for the new faculty member will be: (a) research and proposal development, (b) new course development, and (c) preparation of research papers for publication. We expect that these three areas will occupy a significant fraction of his time. In addition to those activities, the NEFDP will also provide graduate researcher stipends, support for participation in professional society meetings, summer schools, and additional travel needed to become more established in his areas of expertise.

(a) Development of Proposals At the University of Tennessee, our faculty members ability to obtain external research funding is a critical component in their retention through the tenure process. Also, their research is a vital component of their abilities to teach and train both undergraduate and graduate students. Research is a tool that the department uses to keep our training modern and relevant to the nations current needs. Each of our junior faculty members is expected to participate in any proposal applicable to his or her area of research. The department will contribute to faculty members success through internal review of research grant proposals, as appropriate. The University, through the Office of Research, will also contribute through internal review of all proposals and assistance in submitting them to the appropriate agencies. When new research grants and contracts are in place, university resources provide space, safety oversight, compliance oversite, and accounting services as needed.

(b) Course development

31310019M0012 Page 7 of 27 Dr. Brown will be teaching and/or enhancing existing courses in the department including our Heat transfer and Fluid Flow course and our Reactor Systems and Safety course. Dr.

Brown is also expected to develop a new class in the areas of Multiphysics Modeling. New course development is encouraged by all faculty in the Nuclear Engineering Department, and support in these areas will help develop and optimize the teaching capabilities of our new faculty. In addition, course revision and new course creation will allow faculty to incorporate new, cutting edge research in their curricula by giving them the tools to utilize the strengths they bring to our department (see Section 2). This, in turn, will help to attract and retain top students in the NE program.

(c) Preparation of research papers The publication of research papers is another key component in our faculty members ability to attain tenure. Our department strongly encourages and helps our faculty to publish in major journals and at high visibility international conferences, thereby increasing the visibility of the faculty and department in the nuclear science and engineering communities, as well as increasing our ability to attract and retain high-quality students as well as future faculty. The department will conduct an internal review of research papers, as appropriate, and the UT College of Engineering offers technical writing assistance in the preparation of those papers.

(d) Other developmental support Other support is needed to allow our new faculty to become established in the scientific community in their areas of expertise, conduct research, and pass tenure review while alleviating the added pressure of having to produce full, externally funded support for themselves in the process. To this end, the NEFDP funds will be used for materials, texts, books and software for new faculty, as well as equipment needed by the faculty engaged in computational and/or experimental research. The NEFDP will also provide the support for new faculty members to attend professional conferences, summer schools, workshops in order to assist in their professional development as well as make important connections in government, industry, and academia, as deemed appropriate and productive toward their success.

(2) Faculty Evaluation Process Because the new faculty member in the NEFDP will be on a tenure track during this funding period, the goal of the program is to aid in their retention by the Department of Nuclear Engineering. Our success in retaining our junior faculty depends greatly on how they perform in the evaluation process at the University of Tennessee. Junior faculty will be formally evaluated on an annual basis by the program administrator, Dr. Wes Hines. The evaluation includes a rubric designed to both rate and track the performance of the junior faculty member through the probationary period before tenure review. The goal of this evaluation is to provide feedback to junior faculty on their progress in meeting the high expectations for tenure in the College of Engineering. These expectations include consistent and demonstrated success in: teaching, measured by student evaluations and peer review; research and scholarship, measured by publications in highly respected peer reviewed journals, the ability of the faculty member to bring in external funded research projects; research administration, measured by the success in funding, mentoring, and graduating Masters and Ph.D. students; and service to the department, the university, the scientific community, and professional societies.

Furthermore, awards in teaching, research, and service are also considered.

The goal of the NEFDP is to ensure that high-quality, nuclear engineering faculty members are developed in such a way that they will be retained in the tenure process. As such,

31310019M0012 Page 8 of 27 the evaluation criteria used in the NEFDP are the same as they are for the universitys promotion and tenure process. The entire text of the University of Tennessees Guidelines for the Tenure and Promotion Review Process is too long to include in this proposal, but for promotion of tenure-track faculty, the following areas are listed as Essential requirements:

Teaching - Student evaluations, Peer Teaching Evaluation, Graduate student advising, consistent production of MS and PhD degrees.

Research - Financial support of graduate students from external funds, Evidence of growing and vibrant externally funded research program.

Scholarship - Archival journal publications, Oral or Poster Presentations at Conferences, and Citations.

Service - Peer review of papers or proposals, professional societies, conference committees.

In addition, there are several areas listed as Desirable or Beneficial for promotion. Some of those areas are:

- Evidence of Teaching Innovation (course content /design/ breadth)

- Undergraduate student advising, student organizations advising

- Management of multiple contracts/grants

- Refereed conference proceedings/ publications, Invited presentations, Other scholarly work (textbooks, monographs, patents, software, etc.)

- University Citizenship (internal service to department, college, university), Teaching Awards, and Service Awards.

(3) Evaluation of NEFDP Effectiveness Faculty retention at the University of Tennessee Nuclear Engineering Department is excellent because faculty members are only selected if it is deemed that the probability that they will succeed is very high. The selection process that resulted in Nick Brown being hired is as follows; the primary candidates were selected through a nationwide search and evaluation process conducted by a committee of three NE faculty members and the Director of the Reactor and Nuclear Systems Division at ORNL. The search was conducted nationally, with advertisements in several national publications. The evaluation process considered the requirements for tenure at the University of Tennessee. All primary pool candidates invited for campus interviews had strong records of accomplishment and were deemed highly likely to be successful in the three areas of teaching, research, and service. Confirmation of the expected success of our search process is evidenced by the success achieved by our first 6 NEFDP supported faculty who have since been granted tenure and have all achieved national recognition (Maldonado, Heilbronn, Hayward, Lang, Skutnik and Lukosi).

Faculty retention in our program is remarkably high because faculty members choose to stay for the same reasons that attracted them to the department: academic reputation, synergistic opportunities in research at the nearby Oak Ridge National Laboratory, the many lures of the Knoxville-Oak Ridge area, a very positive working environment, and competitive faculty salaries. By retaining highly qualified, well developed professors, we achieve the goal of the NEFDP over the long-term: that UT will be prepared to meet the nations need to train and equip a new generation of nuclear engineers.

(4) Program Management and Administration The NEFDP at the University of Tennessee will be managed by Dr. Wes Hines, NE department head since January of 2012. As department head, he will be the direct supervisor of all Nuclear Engineering faculty, and so it is natural that he will manage the NEFDP as well.

As supervisor, Dr. Hines will guide the supported faculty members through the development program. Dr. Hines will also be responsible for all reports required by the NRC. Each junior faculty member is assigned a faculty mentor in the NE department, who assists Dr. Hines in

31310019M0012 Page 9 of 27 guiding the development of each junior faculty member. Overall, this departmental administrative structure creates an environment where junior faculty members are supported and directed where direction is needed.

The College of Engineering will provide support to the NEFDP through providing needed support to Dr. Hines and the faculty members of the NE department. One relevant, important function of college administrators is internal review of all proposals. In this review process, they assist and help train junior faculty in writing proposals that will be successful.

(5) Leveraging of non-Federal Funds (Cost Sharing)

The total amount of cost sharing provided by the University of Tennessee and the Department of Nuclear Engineering is

. The cost sharing is provided by matching startup funds (and F&A on those funds) from the University, College of Engineering, and the Department of Nuclear Engineering. The direct startup cost each year is estimated at and the F&A on that cost is (each year). The startup funds will be provided to the new faculty member for three years for a total of Institutional Support, and Plans for Sustainability The Nuclear Engineering Department at the University of Tennessee is healthy, vibrant, and growing in its 61th year, having produced over 1400 graduates with B.S., M.S., and Ph.D.

degrees since its inception. When many nuclear departments dwindled, or closed completely; in the last few decades, the UT department continued to prosper due to its commitment to excellence in teaching and in research innovation. Continued excellence in research has led to consistent support from DOE and ORNL, as well as support from the NRC. The NE department is a responsive team player for the NRC and has continuously submitted proposals in response to recent and past calls by the NRC. The department also engages in NRC proposal reviews.

The UTNE program has grown to 363 nuclear engineering students, making it the second largest NE program in the country as measured by student enrollment and reported to ASEE. It also has the largest PhD program three years running and the third largest BS program. Last year the UTNE had the largest PhD program and most PhD graduates in the history of the US.

UT also has 30% of its students Pell Eligible and 25% first generation.

In parallel, the strong institutional support from the State of Tennessee, Oak Ridge National Laboratory (ORNL), and the University of Tennessees administration toward nuclear engineering has been unquestionable; as the total number of faculty lines in NE has more than doubled from 7 in 2007, to 16 in 2018 with an additional 20 full time research faculty, research scientists, and post-doctoral research scholars. Moreover, out of the recent 11 hires, UT NE has hired two professors from underrepresented groups as well as three high-profile Tennessee Governors Chaired professorships, with 5 of these new positions being joint faculty appointments with ORNL. Over that same basic time period, our research expenditures have grown from $2.2 million in 2008 to $12.3 million in 2018. This is a quintupling of our research expenditures and scholastic engagement. During this time, our graduate program has risen to as high as the rank of #5 in the nation in the annual U.S. News and World Reports ranking of university programs. The University of Tennessee both welcomes and is fully capable to handle the current and expected Nuclear Engineering program growth. Through this growth, the College of Engineering has always provided additional space and other required support so that the quality of teaching and research is not hindered. Just this semester, we have had a ground breaking on a new engineering complex that will house UTNE, providing double of the current space and 23 new NE laboratories. This new $129M building is evidence of full support from the University and the State of Tennessee, showing their commitment to the nuclear engineering field and industry. The figure below

31310019M0012 Page 10 of 27 All of these investments into UTNE are evidence of institutional support and future sustainability.

UTNE is the highest performing department in the college of engineering with UTNE has strong student enrollment, exceptionally performing faculty, fabulous state of the art facilities under construction, extremely supportive collaborations, and over 100 nuclear related companies within 50 miles of campus including ORNL, Y-12, and TVA headquarters, to name a few. The combination of top students, faculty, facilities, resources, and partners; make UTNE an extremely strong and sustainable academic program.

31310019M0012 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

31310019M0012 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 Unison Globals secure and auditable twoway 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 Unison Global, 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.

31310019M0012 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.

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.

31310019M0012 Page 14 of 27 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.

31310019M0012 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 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.

31310019M0012 Page 16 of 27 All other travel, domestic or international, must not increase the total estimated travel amount of 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

31310019M0012 Page 17 of 27 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.

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.

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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).

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)

31310019M0012 Page 19 of 27 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 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.

31310019M0012 Page 20 of 27 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.

Students have up to 6 months after graduation to secure nuclear related employment. If a student does not obtain nuclear related employment in the 6 month timeframe, a waiver can be requested or the NRC will seek repayment of funds.

Failure to complete service for any reason is a breach of the NRC Service Agreement. The NRC will work with students to assist them, to the extent possible, to avoid a breach and fulfill the service obligation. A recipient should immediately contact the NRC if a situation arises in which a student is potentially unable to fulfill his/her service obligation.

Individuals who breach their NRC Service Agreement contract are subject to monetary damages as follows:

(1) Failure to complete degree program - Institutions that support students who are dismissed from school for academic or disciplinary reasons or who voluntarily terminate the degree program before graduation from for which the support was awarded will be in breach of the service agreement and will be liable to the NRC for repayment of all NRC funds received by the students.

(2) Students who for any reason fail to comply with the terms and conditions of deferring or postponing the service obligation for nuclear related employment or who for any reason fail to begin or complete their service obligation after completion of degree program, will be in breach of their service obligation contract and will be liable to the NRC for repayment for all NRC funds paid to them on their behalf.

At this time, the amount owed to the NRC is a valid debt of the Federal government subject to all laws and provisions governing the administration of the debt. In accordance with Federal regulations, if payment is not received by the NRC within 30 days from notification of indebtedness, the debt becomes past due and will be subject to

31310019M0012 Page 21 of 27 interest, penalties, and administrative charges incurred by the Federal government to service the debt. After 120 days of being past due, the debt will be referred to the Department of the Treasury for collection.

An installment agreement may be requested by the debtor if a single lump sum payment is not possible. An installment agreement can be up to 3 years in length and will include all applicable interest, penalties, and administrative charges incurred by the Federal government to service the debt. Failure by the debtor to meet the terms and conditions of the installment agreement will result in the debt being referred to the Department of the Treasury for collection and subject to the various collection actions administered by the Department of the Treasury.

The debtor may submit a request for an installment agreement to the NRC Office of the Chief Financial Officer at (301) 415-7554 or by email at Fees.Resource@nrc.gov. The request should include a justification to establish an installment agreement to repay the debt.

If a waiver is submitted by a student, NRC may waive, in whole or in part, the service obligation, upon determining that compliance by the student is impractical. Waiver requests must be submitted in writing including the reason the waiver is being sought and documentation evidencing that he/she attempted to secure nuclear related employment, but was unable to do so. If the requested waiver is denied, a written request for payment may be issued to the student by the NRC under the provisions found in 10 CFR 15.21.

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.

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.

31310019M0012 Page 22 of 27 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

31310019M0012 Page 23 of 27 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

31310019M0012 Page 24 of 27 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.

31310019M0012 Page 25 of 27

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

31310019M0012 Page 26 of 27 (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.

31310019M0012 Page 27 of 27

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.