ML18180A201

Grant No. 31310018M0003

ML18180A201
Person / Time
Issue date:	06/29/2018
From:	M'Lita Carr Acquisition Management Division
To:
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31310018M0003
Download: ML18180A201 (28)

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Page 1 of 28 CHOOSE ONE:

Grant and Cooperative Agreement COOPERATIVE AGREEMENT X GRANT CHOOSE ONE: X EDUCATION FACILITIES RESEARCH SDCR TRAINING

1. GRANT/COOPERATIVE AGREEMENT NUMBER 2. SUPPLEMENT NUMBER 3. EFFECTIVE DATE 4. COMPLETION DATE 31310018M0003 07/01/2018

5. ISSUED TO 6. ISSUED BY U.S. NRC - HQ NAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip) Mailing Address:

RENSSELAER POLYTECHNIC INSTITUTE Acquisition Management Division Attn: Mail Stop: TWFN-07B20M 110 EIGHTH STREET Washington DC 20555-0001 TROY NY 121803522

9. PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR

7. TAXPAYER IDENTIFICATION NO. (TIN)

PROGRAM MGR. (Name & Phone)

8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

10. RESEARCH, PROJECT OR PROGRAM TITLE Rensselaer Nuclear Science and Engineering Research Fellowship Program

11. PURPOSE See Schedule A.1

12. PERIOD OF PERFORMANCE (Approximately) 07/01/2018 through 06/30/2022 13A. AWARD HISTORY 13B. FUNDING HISTORY PREVIOUS $0.00 PREVIOUS $0.00 THIS ACTION $400,000.00 THIS ACTION $400,000.00 CASH SHARE $0.00 TOTAL $400,000.00 NON-CASH SHARE $0.00 RECIPIENT SHARE $306,848.00 TOTAL $400,000.00

14. ACCOUNTING AND APPROPRIATION DATA 2018-X0200-IUPMRU-60-60D099-60B991-1148-72-S-164-4110-72-S-164-1148 PURCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUS RES-18-0203

15. POINTS OF CONTACT NAME MAIL STOP TELEPHONE E-MAIL ADDRESS TECHNICAL OFFICER NANCY V. HEBRON-ISREAL TWFN/10B56 301-415-6996 Nancy.Hebron-Isreal@nrc.gov NEGOTIATOR ADMINISTRATOR M'LITA R. CARR 301-415-6869 MLita.Carr@nrc.gov PAYMENTS

16. THIS AWARD IS MADE UNDER THE AUTHORITY OF :

Pursuant to Section 31b and 141b of the Atomic Energy Act of 1954, as amended.

17. APPLICABLE STATEMENT(S), IF CHECKED: 18. APPLICABLE ENCLOSURE(S), IF CHECKED:

NO CHANGE IS MADE TO EXISTING PROVISIONS PROVISIONS SPECIAL CONDITIONS FDP TERMS AND CONDITIONS AND THE AGENCY-SPECIFIC REQUIRED PUBLICATIONS AND REPORTS REQUIREMENTS APPLY TO THIS GRANT UNITED STATES OF AMERICA COOPERATIVE AGREEMENT RECIPIENT CONTRACTING/GRANT OFFICER DATE AUTHORIZED REPRESENTATIVE DATE M'LITA R. CARR 06/29/2018

Page 2 of 28 Grant and Cooperative Agreement ESTIMATED COST ITEM NO. ITEM OR SERVICE (Include Specifications and Special Instructions) QUANTITY UNIT UNIT PRICE AMOUNT (C) (D) (E) (F)

(A) (B)

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: 07/01/2018 to 06/30/2022

31310018M0003 Page 3 of 28 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 July 1, 2018 VIA Electronic Mail Rensselaer Polytechnic Institute 110 Eighth Street Troy, NY 12180-3522

SUBJECT:

GRANT NO: 31310018M0003 Dear Dr.

Pursuant to the authority contained in the Federal Grant and Cooperative Agreement Act of 1977, as amended, and the Atomic Energy Act of 1954, as amended, the Nuclear Regulatory Commission (NRC) hereby awards to Rensselaer Polytechnic Institute (hereinafter referred to as the "Grantee or Recipient), the sum of $400,000.00 to provide support for "Rensselaer Nuclear Science and Engineering Research Fellowship Program" entitled "Program Description."

This award is effective July 1, 2018 and shall apply to expenditures made by the Recipient furtherance of program objectives during the period beginning with the effective date of July 1, 2018 and ending June 30, 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.

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

31310018M0003 Page 4 of 28 Attachment A - Schedule A.1 PURPOSE OF GRANT The purpose of this Grant is to provide support to the Rensselaer Nuclear Science and Engineering Research Fellowship Program as described in Attachment B entitled "Program Description."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is July 1, 2018. The estimated completion date of this Grant is June 30, 2022.

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

July 1, 2018 - June 30, 2022.

A.3 GENERAL

1. Total Estimated NRC Amount: $400,000.00

2. Total Obligated Amount: $400,000.00

3. Cost-Sharing Amount:

4. Activity

Title:

Rensselaer Nuclear Science and Engineering Research Fellowship Program

5. NRC Project Officer: Nancy Hebron-Isreal

6. DUNS No.: 002430742 A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $ for the four year period; inclusive of in cost share.

2. NRC hereby obligates the amount of $400,000.00 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.

31310018M0003 Page 5 of 28 ATTACHMENT B - PROJECT DESCRIPTION RENSSELAER NUCLEAR SCIENCE AND ENGINEERING RESEARCH FELLOWSHIP PROGRAM

1. DESCRIPTION OF THE PROPOSED PROGRAM:

The central theme of the proposed Rensselaer Nuclear Science and Engineering Research Fellowship Program (called Nuclear Fellowship Program for short in the remainder of the proposal) is to bring talented students into the nuclear science and engineering fields to become future powerhouse of multidisciplinary nuclear careers. The Program will promote two important goals that support the development of next generation nuclear workforce: (1) By supporting new graduate students, the fellowship will encourage advanced training and experience for those entering the nuclear field. (2) The fellowship opportunities will increase the interest in graduate study, leading to a greater number and diversity of those being trained in nuclear energy & technology.

With the assistance of the US Nuclear Regulatory Commission, Rensselaer Polytechnic Institute (RPI) proposes to develop and offer a Nuclear Fellowship Program for graduate students interested in pursuing careers in nuclear science and engineering fields. Students who are awarded the Fellowship will receive a full tuition waiver and a full year competitive graduate student stipend support. Fellowships will be awarded for one year, and may be renewed for additional years, provided the student makes sufficient academic process. The Nuclear Fellowship Pro- gram will award up to two fellowships per year, over a period of four years.

2. RECRUITMENT ACTIVITIES AND SPECIFIC MARKETING STRATEGIES:

The Nuclear Fellowship Program will become a highlight of the graduate student recruitment effort in the Nuclear Engineering (NE) Program. To attract the talented students to participate the program, the following recruitment activities and specific marketing strategies will be taken.

1. A web page devoted to information on the Nuclear Fellowship Program. This page will include requirements and details on program application and award, as well as links to the graduate student admission procedures and information about research and facilities in the NE Program at RPI. Eligible students will be considered for the fellowship, but the website will encourage applicants to include information in their application reflecting their interest in contributing to the nuclear sector.

31310018M0003 Page 6 of 28

2. A color brochure, suitable for printing, containing fellowship and graduate application in- formation. This brochure will be distributed electronically or in hard copy to prospective applicants on campus and/or other institutions. They will also be distributed during recruitment events.

3. Partnerships with neighboring regional four-year universities to draw students into the nuclear engineering graduate program. RPI is situated centrally to several universities with science and engineering programs that could produce logical feeders into nuclear engineering, such as Union College, the State University of New York at Albany, the State University of New York at Buffalo, Clarkson University, and Worchester Polytechnic Institute.

Meanwhile, the materials associated with this program will be integrated into the graduate student recruitment strategies in the Department of Mechanical, Aerospace, and Nuclear Engineering, including:

4. Advertisement of graduate student opportunities through national and student conferences of the American Nuclear Society, Health Physics Society, and other relevant professional meetings.

5. Recruiting visits to other universities, or through graduate school fairs or consolidated recruiting events. The Department faculty members are encouraged to include information on graduate study at RPI when traveling to other universities. We will provide one-page slide of Nuclear Fellowship Program information to those faculty members as part of their presentations.

- Promotion of nuclear engineering to Historically Black Colleges and Universities (HBCUs) and Hispanic Serving Institutions (HSIs). The Department has a current initiative to institutionalize its recruiting efforts with HBCUs and HSIs, which these fellowship program recruitment efforts will complement.

3. SELECTION PROCESS:

The selection of Rensselaer Nuclear Fellows will follow a three-step process, largely integrated with the graduate admission decision process of the Department of Mechanical, Aerospace, and Nuclear Engineering. The PIs of this project will serve as administrative coordinators of the fellowship program.

3.1 THREE-STEP SELECTION PROCEDURE

- Administrative staff compiling applicant information will identify students that meet the basic eligibility requirements of US Citizenship and a minimum 3.3 GPA (on a 4.0 scale). These students are flagged to indicate to faculty that they should consider their recommendations for fellowship awards during their admission reviews.

- Graduate applicant files are circulated to nuclear engineering faculty for admission and support recommendations. For students eligible for fellowship awards, the faculty will be asked to review each applicants interest statement, reference letters, and background fits to Nuclear Engineering. Then the faculty will provide comments related to potential for academic and professional excellence, future contribution to a workforce capable of sup- porting the design, construction, operation, and regulation of nuclear facilities and the safe handling of nuclear materials, and contributions to gender and ethnic diversity in nuclear engineering and sciences. These comments will be fully aligned with the primary objective of the Fellowship program defined by the NRC.

31310018M0003 Page 7 of 28

- Copies of graduate admission files for all eligible applicants will be forwarded to the coordinators of the Nuclear Fellowship Program by the completion of the review cycle. The coordinators will collect the materials of the students receiving positive responses from the faculty, and will convene a selection panel for the fellowship. The panel will consist of the Associate Department Head for Graduate Studies of the Department of Mechanical, Aerospace, and Nuclear Engineering ( -

Tasciuc), Nuclear Engineering Program Head ( , also serving as the coordinator), and the coordinators of the Nuclear Fellowship Program (

). The panel will select a Fellow from the eligible applicants and will also select an alternate to be awarded should the selected Fellow decline to attend Rensselaer or decline the conditions of the fellowship award.

3.2 MANAGEMENT STRUCTURE AND ADMINISTRATIVE CAPABILITY The Department of Mechanical, Aerospace, and Nuclear Engineering are supported by a di-verse and capable team from administrative staff and faculty. The department serves approximately 1100 undergraduate students, with about 120 enrolled in the NE Program, and 150 graduate students, with 39 in the NE programs. In the past fiscal year 2017, research expenditures total around $14.5M from 36 tenure/tenure-track faculty. The expenditures for the 8 tenure- or tenure-track Nuclear Engineering faculty members were $4.94M.

To support such a large and diverse department, a number of administrative and technical staff members are employed, covering a variety of positions. The staff consists of (approximately) 7administrative assistants, 2 devoted to business and financial management, 3 student services specialists, and 10 technical staff supporting labs, facilities, and computing resources.

The Department Head is aided by a management team consisting of faculty from across the three major disciplines in the department. Each program has a designated Program Head, who leads the vision and strategic planning for the program, and a Program Curriculum Coordinator, responsible for the oversight of curriculum assessments and revision activities at both graduate and undergraduate levels. The leadership team also includes a Graduate Program Chair and an undergraduate Degree Clearance Officer, with responsibilities across the department programs. The leadership is supplemented on as-needed basis by faculty assuming responsibility for particular projects or thrusts such as ABET accreditation, external review, or other special projects. The proposed Nuclear Fellowship Program will be fully supported by staffs at both Department and Program levels for execution with high efficiency and quality during recruitment, selection, evaluation, and performance reporting processes.

4. EVALUATION PLAN:

The evaluation of the Nuclear Fellowship Program will focus on two main areas related to the purpose of the program: 1) preparing high-quality students for careers in the nuclear field, and 2) increasing the quantity, quality, and diversity of the pool of students entering nuclear engineering disciplines.

4.1 EVALUATION METRICS Since many of the metrics applicable to evaluating the fellowship program extend beyond the time of the fellowship award, all Fellows will be identified and tracked throughout their graduate studies. All graduate students at Rensselaer undergo an annual review of academic progress, from which much of the student information can be gleaned. The PIs will generate an annual evaluation report prior to the selection of next years Fellow for the selection panel consideration.

31310018M0003 Page 8 of 28 The first part of the evaluation report will consist of measures related to student quality.

The report will quantify:

- Time to completion of major doctoral program milestones (Department Qualifying Exam, Research Candidacy Exam, and Thesis Defense)

- Success rate at doctoral program milestones

- Number of journal publications submitted or accepted

- Number of peer-reviewed conference papers or presentations

- Professional awards received at different levels of recognitions These measures will be compared to the values across the program at large. The evaluation report may also include qualitative analysis by faculty advisors regarding research quality and/or applicability to the design, construction, operation, and regulation of nuclear facilities and the safe handling of nuclear materials.

The second part of the evaluation report will reflect measures of the student recruitment and enrollment. Measures will include:

- Total number of applicants to the nuclear engineering graduate program

- Fraction of applicants that meet the minimum GPA requirement for fellowship eligibility

- Fraction of applicants that are US Citizens or permanent residents

- Fraction of applicants that are women and minorities The evaluation report will be shared internally and externally periodically. Regular performance reports will be submitted to NRC on the required period basis.

4.2 MENTORING AND ADVISING Mentoring and advising is critical to the success of graduate student. There are such sources of assessment that are used across the whole Department and by NE in particular. The individual students thesis committees and a Fellowship Advisory Panel will play a role in monitoring and supporting the fellowship recipients.

Thesis Committee: This is an internal and external panel convened for graduate students in general. It consists of at least four members primarily representing Rensselaer NE faculty, but also including at least one representative from across the campus of from other universities or national labs. The function of the group is to provide observations and advice on the overall progress and development of the student. The thesis advisor, in particular, will be engaged in ongoing comprehensive research progress and evaluation exercises for each of the students.

RPI NE Fellowship Advisory Panel: An advisory panel established for this Fellowship program will be convened while the proposed Nuclear Fellowship Program is funded. It will provide independent assessment of the potential of the fellowship recipients, and offer advice and guidance as necessary. The panel includes the two PIs (one of them is also the program head), and several senior graduate students. The panel will provide candid comments and suggestions in confidential feedback to the thesis advisors.

5. SCHEDULE OF TUITION FEES AND OTHER PERTINENT COSTS:

31310018M0003 Page 9 of 28 The total support for one graduate student each year is $50K, which covers: (a) tuition for one academic year (9 months) (after RPI institute tuition cost sharing); and (b) a competitive graduate student stipend for one calendar year ). Two graduate students will be supported each year ( ) and the total fund requested from the Fellowship Program will be $400K for a period of four years.

6. STRATEGIC PLAN AND INNOVATION - PARTNERSHIPS/INSTITUTIONS/DISTANCE LEARNING:

In past years, the Rensselaer Nuclear Engineering Program have proactively implemented partnerships and developed innovations in education to society needs. The proposed fellowship program will be contemplated as an integrated element of following partnership activities:

- Rensselaer maintains a strong relationship with the US NAVY and the Naval Reactors Pro- gram. The undergraduate NE program includes a component that serves the US Navys re- actor training facility in Kesselring, NY. Noncommissioned officers who are trainers at Kesselring have the opportunity to enroll at Rensselaer to pursue a B.S.

degree in nuclear engineering.

- Recently, a new modular course for distance learning has been developed with funding from the NRC at RPI in partnership with the United States Military Academy. This course can share hands-on nuclear engineering experience with remote classrooms in other universities from the RPI reactor facility and Linear accelerator. Such an innovation in remote education provides a practical means to promote the nuclear education to other institutions, including Post-Secondary Minority Serving Institutions, to learn hands-on experience through distance learning, shared courses and facility sharing.

All these capabilities greatly improve our selection pool for graduate students who will be offered fellowships.

7. SUPPORTING ACTIVITIES TO THE FELLOWSHIP PROGRAM:

7.1 INSTITUTIONAL SUPPORT AND SUSTAINABILITY Throughout this document, specific references have been made to tangible and intangible mechanisms for supporting the NE Program at Rensselaer and the fellowship students. Here, we briefly summarize these forms of institutional support:

- Recognizing the critical importance of NE, the department has hired one new NE faculty member to grow and revitalize the NE Program in Probabilistic Risk Assessment (PRA). Currently, one tenure-track faculty position is open and under ongoing search. The new hires will bring new research directions to the current research portfolio and graduate applicants will have more choices when they apply.

- The Institute has recently committed (~2.5 million dollars) to invest for revitalization and refocusing of major facilities, such as the Gaerttner LINAC Center and Nuclear Engineering Laboratory, provided for students to use as part of their educational and research training. The experience with these facilities provides a critical foundation in nuclear technology to the next generation of nuclear professionals.

- The NE faculty have fully committed to supporting the graduate students education in class and research training in laboratory. Such commitments play vital role in per- forming the proposed Fellowship Program and guarantee the quality and sustainability of the program. The Nuclear Engineering Program currently consists of 8 tenure/tenure-track faculty, and 6 full- or part-time non-tenured faculty participating

31310018M0003 Page 10 of 28 in teaching and/or research activities. The faculty support diverse research programs in nuclear reactor physics, thermal hydraulics, probability risk assessment, nuclear data measurement, radiation technology, nuclear reactor materials, radiation effects on materials, and health/medical physics. We believe our NE faculty will ensure the Fellowship students perform high quality research in thrust areas.

- The attached Support Letter from the Vice Provost and the Vice President for Re-search clearly shows a strong endorsement for the Nuclear Science and Engineering Fellowship Program.

This is not an exhaustive list of the actions and resources in place to directly or indirectly sup-port the Fellowship program at Rensselaer. They do not address the recipients individually, but they portray the broad institutional commitment at all levels from the program to the president to supporting the Nuclear Engineering Program at Rensselaer. We feel very strongly, therefore, that our vision and strategy directly aligns with the goals of the NRC Fellowship Program. We respectfully request, therefore, full funding of this grant proposal.

7.2 LEVERAGE/MATCHING FUNDS The university cost share will be distributed over the four years of the project in the form of tuition subsidy. At RPI, the expense for one graduate student (the combination of stipend and tuition) will exceed the $50K limit for each supported person. The Office of Graduate Education and the Office of the Vice President for Research will subsidize the tuition for each graduate student and each year. The cost share part of the tuition from RPI is on average for each student per year. That would be a total cost share of about for the proposed program.

8. SERVICE AGREEMENT:

All the Fellowship students will be required to accept and sign the service agreement terms as defined in NRC Funding Opportunity Announcement before receiving the Fellowship funding.

RPI is committed to provide the NRC with a list of supported students and their academic status.

9.

SUMMARY

Rensselaer Polytechnic Institute is well positioned to enhance and expand its population of graduate students in Nuclear Engineering. The RENSSELAER Nuclear Science and Engineering Research Fellowship Program will provide a strong means to compete for the best students in the field, and to prepare them to be leaders in the next generation nuclear workforce.

31310018M0003 Page 11 of 28 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

31310018M0003 Page 12 of 28 scientific or technical direction of the project and for preparation of the project performance reports. This award is funded on a cost-reimbursement basis, not to exceed the amount awarded as indicated on the face page, and is subject to a refund of unexpended grant funds to the NRC.

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

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

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

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

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

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

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

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

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

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

31310018M0003 Page 13 of 28 Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.), which prohibits discrimination on the basis of sex in any education program or activity receiving federal financial assistance.

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

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

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

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

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

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

Any other applicable non-discrimination law(s).

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

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

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

31310018M0003 Page 14 of 28 business days before the proposed change. The request must be signed by the authorized organizational official. Failure to obtain prior approval, when required, from the NRC Grants Officer, may result in the disallowance of costs, or other enforcement action within NRC's authority.

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

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

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

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

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

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

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

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

31310018M0003 Page 15 of 28 (3) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b); or (4) Have had one or more public transactions (Federal, State, or local) terminated for cause or default within the preceding three years.

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

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

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

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

§§ 8101-8106.

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

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

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

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

31310018M0003 Page 16 of 28 standards or requirements will be imposed by the Federal awarding agencies upon Recipients, unless specifically required by Federal statute, executive order, or approved by OMB.

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

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

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

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

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

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

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

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

31310018M0003 Page 17 of 28 determined by Subpart D of 2 CFR Part 200. The Recipient owns any work produced or purchased under a NRC federal financial assistance award subject to NRCs right to obtain, reproduce, publish or otherwise use the work or authorize others to receive, reproduce, publish or otherwise use the data for Government purposes.

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

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

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

Dispute Review Procedures

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

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

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

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.

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

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

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

Payment - 2 CFR § 200.305 Cost Share or Matching - 2 CFR § 200.306 o Recipients are to be careful with providing excessive cost share or match since at the end of the grant, if the identified match has not been provided, then a portion of the federal share may be required to be returned to the Government.

Program Income - 2 CFR § 200.307 o Earned program income, if any, will be added to funds committed to the project by the NRC and Recipient and used to further eligible project or program objectives or be deducted from the total project cost for the grant, as directed by the Grants Officer or indicated in the terms and conditions of the award.

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

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

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

o Allowable Costs - 2 CFR §§ 200.403 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.

31310018M0003 Page 19 of 28 PERFORMANCE PROGRESS REPORTS The performance (technical) progress report indicated below is subject to 2 CFR §200.328.

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

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

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

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

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

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

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

31310018M0003 Page 20 of 28 preauthorized electronic funds transfers. To receive payments, Recipients are required to enroll with the Department of Treasury, Financial Management Service, and Regional Financial Centers, which allows them to use the on-line method of withdrawing funds from their ASAP established accounts. The following information is required to make ASAP withdrawals: (1)

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

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

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

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

1. Create the recipients online report ID at:

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

2. Complete the Form SF-SAC;

3. Upload the Single Audit;

4. Certify the Submission; and

5. Click Submit.

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

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

31310018M0003 Page 21 of 28 As part of the OMB requirements indicated above (for metric reporting), the recipient shall address the following questions and submit responses with the required progress reports:

Fellowship Metrics:

1. How many graduate students have been sponsored by NRC funding?

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

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

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

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

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

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

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

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

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

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

31310018M0003 Page 22 of 28 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.

31310018M0003 Page 23 of 28 American-Made Equipment and Products Recipients are encouraged to purchase American-made equipment and products with funding provided under this award.

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

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

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

Minority Serving Institutions (MSIs) Initiative Pursuant to E.O.s 13230 and 13270, amended by E.O. 13316 and 13385, 13532, 13592, 13555, 13515, and 13621, NRC is strongly committed to broadening the participation of MSIs in its financial assistance program. NRCs goals include achieving full participation of MSIs in order to advance the development of human potential, strengthen the Nations capacity to provide high-quality education, and increase opportunities for MSIs to participate in and benefit from Federal financial assistance programs. NRC encourages all applicants and recipients to include meaningful participations of MSIs. Institutions eligible to be considered MSIs are listed on the Department of Education website: http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html Research Misconduct Scientific or research misconduct refers to the fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. It does not 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

31310018M0003 Page 24 of 28 research misconduct. The policy was developed by the National Science and Technology Council (65 FR 76260). The NRC requires that any allegation be submitted to the Grants Officer, who will also notify the OIG of such allegation. Generally, the Recipient organization shall investigate the allegation and submit its findings to the Grants Officer. The NRC may accept the Recipients findings or proceed with its own investigation. The Grants Officer shall inform the Recipient of the NRCs final determination.

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

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

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

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

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

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

§7104(g).)

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

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier subawards.

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

2. Where and when to report.

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

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

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

b. Reporting Total Compensation of Recipient Executives.

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

i. the total Federal funding authorized to date under this award is $25,000.00 or more; ii. in the preceding fiscal year, you received (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR § 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

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

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

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

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c. Reporting of Total Compensation of Subrecipient Executives.

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

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

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

i. To the recipient.

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

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

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

e. Definitions. For purposes of this award term:

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

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

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

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

3. Subaward:

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

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

4. Subrecipient means an entity that:

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

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

i. Salary and bonus.

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

(FAS 123R), Shared Based Payments.

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

31310018M0003 Page 28 of 28 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.