• • J oUNITED STATES• • • NUCLEAR REGULATORY COMMISSION

• /•• • •o.,•WASHINGTON, D.C. 20555-0001

September 30, 2015

Dr. Tatjana Jevremovic VIA Electronic MailUniversity of Utah Tatiana.Jevremovic~utah.edu75 South 2000 EastSalt Lake City, UT 84112-8930

SUBJCT: GRANT NO: NRC-HQ-84-1 5-G-0041

Dear Dr. Jevremovic:

Pursuant to the authority contained in the Federal Grant and Cooperative Grantee Act of 1977 and the AtomicEnergy Act of 1954, as amended, the Nuclear Regulatory Commission (NRC) hereby awards to the University ofUtah (hereinafter referred to as the "Recipient"), the sum of $376,830.00 to provide support for "Fellowship AwardsFor The University Of Utah Nuclear Engineering Doctoral Graduates" entitled "Program Description."

This award is effective as of the date of this letter and shall apply to expenditures made by the Recipient furtheranceof program objectives during the period beginning with the effective date of September 30, 2015 and endingSeptember 29, 2019.

This award is made to the Recipient on condition that the funds will be administered in accordance with the termsand conditions as set forth in Attachment A (the Schedule); Attachment B (the Program Description); andAttachment C (the Standard Provisions); all of which have been agreed to by your organization. In addition yourgrant application proposes $48,000.00 in cost share. Please ensure your cost share conforms to the provisions in 2CFR 200, and is reported on the semi-annual Federal Financial Report.

Based on the pre-award compliance review conducted by NRC's Small Business and Civil Rights Office (SBCR),your institution is placed in a periodic status pending resolution of concerns raised during the review. Within 60days, SBCR will conduct a periodic review to ensure compliance with applicable Civil Rights statutes. Yourcooperation with SBCR is essential. The continued eligibility of Federal financial assistance is conditioned uponcompliance with anti-discrimination regulations.

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

Please sign the enclosed grant to acknowledge your receipt of the award, and return as a pdf file to Ms. M'Lita Carrby email at Mlita.Carr•.nrc.gov.

Sincerely yours,

M'Lita CarrGrants OfficerResearch & Grants TeamAcquisition Management Division

Attachments:Attachment A - ScheduleAttachment B - Program Description.Attachment C - Standard Terms and Conditions] U, . l•

TEPAT AgOSUNSi REVIEW COMPLE~TE SEP 1 8 2.015

1.~' 'APage l of 24

CHOOSE ONE:

Grant and Cooperative Agreement C]OOPERATIVE

I] GRANT

CHOOSE ONE: [] EDUCATION []FACILITIES []RESEARCH []SDCR []TRAINING

1. GRANT/COOPERATIVE AGREEMENT NUMBER 2. SUPPLEMENT NUMBER 3. EFFECTIVE DATE 4. COMPLETION DATE

NRC-HQ-84-15-G-0041 09/30/2015

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

UNIVERSITY OF UTAH, THE201 S PRESIDENT CIRCLE RN 408 Mail Stop: TWFN-5E03

SALT LAKE CITY UT 841129023 Washington DC 20555-0001

9. PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR7'. TAXPAYER IDENTIFICATION NO. (TIN) PROGRAM MGR. (Name & Phone)

Dr. Tatjana Jevremovic8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

E: Tatjana. Jevremovic@utah.edu; P: 801-587-9696

0. RESEARCH, PROJECT OR PROGRAM TITLE.ellowship Awards For The University Of Utah Nuclear Engineering Doctoral Graduates

11. PURPOSE

3ee Schedule

12. PERIOD OF PERFORMANCE (Approximately)

)9/30/2015 through 09/29/2019 _________________

13A. AWARD HISTORY 13B. FUNDING HISTORY

PREVIOUS $0.00 PREVIOUS $0.00

THIS ACTION $376,830.00 THIS ACTION $376,830.00CASH SHARE $0.00 TOTAL $376,830.00

NON-CASH SHARE $0.00RECIPIENT SHARE $48,000.00____________________

TOTAL $376,830.00____________ ____________________

14. ACCOUNTING AND APPROPRIATION DATA

2015-X0200-IUPMRU-84-84D002-51-K-164-T8458-41ll0

'URCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUS

0CH-CO-15-0 163

15. POINTS OF CONTACT

NAME MAIL STOP TELEPHONE E-MAILADDRESS

TECHNICALOFFICER INANCY V. HEBRON-ISREAL 3 01-287-0718 .qancy. Hebron-Isreal@nrc. govNEGOTIATOR

ADMINISTRATOR IM'LITA R. CARR I (301) 415-6869 •MLITA.CARR@nrc.gov

PAYMENTS

16. THIS AWARD IS MADE UNDER THEAUTHORITY OF:

PURSUANT TO SECTION 31B AND 141B OF THE ATOMIC ENGERGY ACT oF 1954, AS AMENDED.

17. APPLICABLE STATEMENT(S), IF CHECKED: 118. APPLICABLE ENCLOSURE(S), IF CHECKED:

EJ NO CHANGE IS MADE TO EXISTING PROVISIONS [] 'PROVISIONS E] 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 I"DATE

M'LITA R. CARR <72/ :¢ .,_•,,j•. 09/10/2015

Page 2 of 24

Grant and Cooperative Agreement

ESTIMATED COST

ITEM NO. ITEM OR SERVICE (Include Specifications and Special Instructions) QUANTITY UNIT UNIT PRICE AMOUNT(A) (B) (C) (0) 151 (F)

CFDA Number: 77.008DUNS Number: 009095365

Payment will be made through the Automated

Standard Application for Payment CASAP.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: 09/30/2015 to 09/29/2019

1

NRC-HQ-84-1 5-G-0041

Attachment A - Schedule

A.1 PURPOSE OF GRANT

The purpose of this Grant is to provide support to the "Fellowship Awards For TheUniversity Of Utah Nuclear Engineering Doctoral Graduates" as described in AttachmentB entitled "Program Description."

•A.2 PERIOD OF GRANT

1. The effective date of this Grant is 09/30/2015. The estimated completion date of this

Grant is 09/29/201 9.

2. Funds obligated hereunder are available for program expenditures for the estimatedperiod: 09/30/2015 - 09/29/2019.

A. GENERAL1. Total Estimated NRC Amount:2. Total Obligated Amount: :3. Cost-Sharing Amount:4. Activity Title:

5. NRC Project Officer:6. DUNS No.:

$376,830.00$376,830.00$48,000.00Fellowship Awards For TheUniversity Of Utah NuclearEngineering Doctoral GraduatesNancy Hebron-Isreal009095365

A.3 BUDGET

Revisions to the budget shall be made in accordance with Revision of Grant Budget inaccordance with 2 CFR 200.

PersonnelFringe BenefitsTravelOther (Fellowship)Total Direct CostIndirect Cost (excludes Fellowship Cost)

Total Cost

Year 1$3,750.00$1,388.00$0.00$82,203.00$87,341.00-$531.00$87,872.00

Year 2$3,806.00$1,408.00$3,001.00$83,703.00$91,918.00$657.00$92,575.00

Year 3$3,863.00$1,429.00$6,000.00$85,203.00$96,495.00_$903.00$97,398.00

Year 4$3,921.00$1,451.00$6,000.00$86,703.00$98,075.00$910.00$98,985.00

All travel must be in accordance with the University of Utah Travel Regulations or the USGovernment Travel Policy absent Grantee's travel regulation.

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $424,830.00 for the four year period;inclusive of $48,000.00 in cost share.

2. NRC hereby obligates the amount of $376,830.00 for program expenditures duringthe period set forth above and in support of the Budget above. The Grantee will be givenwritten notice by the Grants Officer when additional funds will be added. NRC is not

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NRC-HQ- 84- 15-G-004 1

obligated to reimburse the Grantee for the expenditure of amounts in excess of the totalobligated amount.

3. Payment shall be made to the Grantee in accordance with procedures set forth in the

Automated Standard Application For Payments (ASAP) Procedures set forth below.

Attachment B - Program Description

PROGRAM DESCRIPTION

The University of Utah Nuclear Engineering Program (UNEP) is applying for four-yeardoctoral fellowship program award. Support of this fellowship award at UNEP will enablethe recruitment and retention of high quality graduate students to be placed on a trajectoryof career success and leadership within the State and national nuclear sector. The goal isto recruit and retain in total, three outstanding doctoral students for this fellowshipprogram. These students will be working on research topics involving the advancement ofthe nuclear fuel cycle (such as for example a "green" extraction of uranium ores),advanced reactor designs and modeling (including material design of accident tolerantfuel and cladding), impact of the fuel Cycle on the environment and human health,radiochemistry, radiation transport and/or health physics. In addition, with the matchfunding from the Department of Civil and Environmental Engineering (where UNEPresides) and UNEP itself, we will support one MS student for a period of two years. Thisfunding.will be tailored toward a student who will transition from civil structural engineeringinto UNEP MS graduate program with the goal to continue into UNEP PhD program.

There is a growing interest in nuclear engineering, health physics, nuclear Security,and radiochemistry specializations among students at the University of Utah. Over thepast five years, we have continuously fostered outreach programs to promote UNEP andthus attract high quality students (averaging approximately 500 visitors per year). Inaddition, many faculty members in the College of Engineering, College of Science, Collegeof Mines and Earth Sciences and College of Health, School of Medicine, have expandedtheir research into nuclear: engineering related disciplines, thus supporting and expandingUNEP capabilities. This greatly diversifies UNEP student body yielding students withexperience in many different disciplines. In addition, with our well-developed recruitingstrategies, we have been able to highly diversify our student body. For example, in 2009we had only male students and all were from the university of Utah. In spring of 2014, wehad close to 85% domestic students (who were U.S. citizens); 24% were female graduatestudents; 15% were minority students (excluding the female students); and 20% werestudents who came from other universities within the U.S.

From 2009, the UNEP graduate program grew into an attractive program that as of2015 has 25 graduate students and three tenure track faculty (with the fourth tenure trackfaculty starting in fall 2015). UNEP graduate program was redeveloped in recent yearswith the goal to attract the students truly interested in nuclear engineering, health physicsand radiochemistry. In the last four years, a larger number of masters students thandoctoral students were enrolled in the Program (roughly 2/3rds were MS students); ourpreviously awarded NRC fellowship awards were mainly focused at funding the mastersstudents with the goal to recruit them into UNEP doctoral programs. Our recruitmentstrategies showed to be highly successful. Therefore, we are now applying to fund threetop doctoral students from our current pool of MS students (16) that have already beenidentified for this award, starting fall 2015. In addition, one master student will be awardeda two-year fellowship for the first two years of this award period. This will be a joint costshared support from the Department of Civil and Environmental Engineering and UNEP.

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In addition to the awarded fellowships, each supported student will qualify for full tuitionwaivers.

Every student will be mentored and monitored for excellent progress in research, andfor developing high-impact conference and peer-reviewed journal publications.Appropriate funding for travel to the conferences and/or visit to National Labs whenneeded will be provided for doctoral students and for a master student. We strongly believethat our graduate students should be attending national conferences where they can meetrepresentatives from the nuclear sector and start networking in securing their future jobs.

All these fellowships will be offered to our best graduate students with considerationgiven to financial needs and the goal of promoting the participation of minorities, women,and persons with disabilities. If any of three doctoral students complete his/her degreebefore the end of the award period, we will use the remaining funding for an incomingdoctoral student or an incoming masters student. At that time, we will provide a proof thatthat student will be funded beyond 2019 for his/her completion of the final graduatedegree.

UNEP is uniquely positioned in recruiting the students from various science andengineering disciplines who successfully complete the Minor in Nuclear Engineeringoffered at UNEP. The Minor was established in 2010 with the goal for UNEP to emergeas a hub for nuclear engineering and science education and research in the state of Utah.The potential of this approach can be judged by the number of students joining theprogram, their high GPAs, and their impressive success in research. This is illustrated bytheir research paper awards at the conferences and their contribution to peer-reviewedjournal Publications. The Nuclear Engineering Minor continues to attract top students frommany different majors (chemical, civil, mechanical, environmental, electrical andbiomedical engineering, pre-med students, chemistry, physics, and astronomy. Trainingnuclear engineers and engineers with a Minor in nuclear engineering that can adapt to achanging world, is at the core of the UNEP's long term vision. Collectively, this variousengineering and science background in our students helps contributing to the domesticworkforce in supporting the design, construction, operation, and regulation of nuclearfacilities and the safe handling of nuclear materials.

UNEP houses world-class laboratories and facilities, including a TRIGA researchreactor (one out of 13 remaining in country), Radiochemistry, Microscopy, AdvancedRadiation Simulation, Radiation Measurement, and Neutron Activation AnalysisLaboratories. In addition, with continuous support from the College of Engineering, thelabs are well-maintained and new expansion of 2,000sq ft lab space was provided inJanuary 2014 for trace actinide analysis and spectroscopy. UNEP offers a senior/reactoroperator training curricula. The training starts in the fall followed by next level course inspring. The training of the students continues over the summer semester in assuring theirsuccess on the U.S. Nuclear Regulatory Commission administrated exam. From 2010 until2015, a total of 19 students have received their senior/reactor operator licenses. Thistraining program has proven to be an attractive avenue for recruiting and retainingundergraduate and graduate students. In addition, students holding this license becomemore attractive for highly paid jobs in nuclear and associated industries, nationallaboratories, and in academia.

As of April of 2012, UNEP uniquely manages its nuclear facilities, and trains thestudents using the Corrective Action approach based on an intelligent action trackingsolution for initiating, reviewing, and processing corrective actions. This approach wasdeveloped in collaboration with the software company, DevonWay, industry partner to

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UNEP; it provides students a unique experience of daily activities that mirror the rigor Ofnuclear power plant operations in the USA inclusive of regulations and policies, principlesof reactor design and operation,, practical reactor operation and reactor physics, andhandling of nuclear materials. The UNEP students thus become uniquely knowledgeableof the principles of safety culture and/or in operating a research reactor therefore becomefamiliar with the aspects of design, construction, operation, and regulation of nuclearfacilities and the safe handling of nuclear materials.

2. Recruitment Activities and Marketing Strategies

High quality graduate students are recruited into UNEP through the combined effortsof the UNEP faculty and reactor and laboratory staff. From a handful of graduate studentsin the fall of 2009, to on average 30 students yearly starting 2012, we continue to strivefor recruiting and admitting the top quality students. There are three major things thatmake the UNEP educational and training programs unique: the established Minor inNuclear Engineering in 2010 as the only undergraduate program in nuclear engineeringin~the State of Utah, the revitalized graduate program in 2011, and the 7,000 sq ft state-of-the-art nuclear engineering facilities housing a 100 kW research reactor. In addition,the ANS University of Utah Chapter is actively promoting the program through speciallydeveloped outreach activities; in recent years the Chapter made highly measurableimpacts in recruiting undergraduate students into UNEP. The ANS Chapter is organizingthe call outs and various tours of our TRIGA reactor, the Westinghouse facilities in Ogden,Utah, Idaho National Lab, Oak Ridge National Lab, and the global engineering company,FL Schmidt in Salt Lake City, UT.

UNEP seminar series that are offered every semester includes the speakers fromnuclear industry, Government Agencies, National Laboratories and other NuclearEngineering Programs in the country and abroad. These seminars are inspirational inproviding the students with a valuable prospective on how diverse nuclear engineeringfield is in thus supporting various types of jobs and careers. UNEP grew fast and becamenationally and internationally known that provides additional visibility and attraction to thestudents. The most attractive marketing points of the Program are: recruiting students intoon-going research projects, reactor training classes for SIRO license, and student positionat the facility as a Laboratory Planner and Analyst (that requires a student to pass thesafety training and complete the training at our 8 radiation counting stations).

The College of Engineering captures the interest of the students through a variety ofexciting programs. Current engineering students are involved in these programs as muchas possible so that they can share their enthusiasm with others. Several programs arespecifically designed to reach out to under-represented minorities and women. College ofEngineering Day is a half-day event open to high school students (9-12), undecidedmajors, and transfer students interested in engineering. Participants have the opportunityto tour the engineering facilities, TRIGA reactor, and the associated facilities to discoverthe different research projects in the College and at the UNEP. Students are alsoencouraged to attend exciting engineering presentations and demonstrations. Society ofHispanic Professional Engineers at the University of Utah chapter, revived in the fall of2006, organizes a number of different events aimed at recruitment of students from theHispanic community to graduate engineering programs. Every year, the College ofEngineering organizes the MESA Days, a program for underrepresented students inengineering. The University of Utah is a member of the statewide consortium comprisedof institutions of higher education, business and industries, public school districts,community organizations and government agencies; the mission is to increase the numberof women and underrepresented minorities who succeed in math, science, engineering,

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and technology-related careers. This is achieved through educational programs,competitions, and campus and industry tours. UNEP together with the ANS Utah Chapteris expanding outreach activities by taking active roles in these programs. We activelyparticipate in the College of Engineering graduate students recruitment initiative in flyingin prospective graduate students.

3. Selection Process, Management Structure and Mentoring Strategies

The fellowship program will be fully managed by the PI with administrative supportfrom the Department of Civil and Environmental Engineering within the existing Universityadministrative framework, following the rules governing funded programs and takingadvantage of the many established administrative tools and support organizations. The P1is well positioned to manage this fellowship program, and has the access to the tools andservices at the University, College, and in the Department. The selection process willensure that the most qualified applicants are chosen based on academic merit. Forexample, four female students were awarded with the fellowships from our previous NRCfellowship grants; this represents ~25% of the total number of awardees. The selectionprocess, the management of the fellowship program and the mentoring strategies are:

*UNEP Fellowship Committee will be formed to select the awardees. The Committeewill consist of a Chairperson who will be the PI of this project, UNEP faculty and ReactorSupervisor. The awardees will be selected following the established admission processat UNEP and at the University. These admission criteria into UNEP PhD program willin addition include all of the criteria as required by the NRC.

*Awarding the fellowships: The Committee will organize a ceremony to notify therecipients; the information will be posted at our web site as well as announced throughsocial media, Facebook and Twitter. The awardees will work with the Governor's Officeof Energy Development to develop internship opportunities so that fellows have thechance to gain hands-on work experience with state utilities, energy regulators andprivate industry representatives. Fellows will be invited to pertinent meetings andevents that will allow them to present their "elevator pitch" on their awards and researchaccomplishments.

*Monitor & mentoring of the awardees: The Committee members will act in the bestinterests of the students in mentoring & monitoring their progressing in course work,thesis research and in keeping GPA as required by the NRC. The Committee will meetevery semester with students' advisors to follow up on students' progress. UNEP hasestablished mentoring guide for graduate students centered on faculty mentoringsupport to be considered as the most important factor in determining the success ofgraduate students' education. In brief: faculty meet weekly with their graduate studentsin discussing their research progress and course work; the meetings are team-basedand one-to-one; faculty serve as a resource to students in providing answers toquestions and needs; faculty provides regular advises in suggesting articles and booksthat can expand students' research base, discuss issues related to thesis progress indevising methods to sharpen students' problem-solving skills; engaging student' toobserve classroom pedagogy and instructional styles; advices students' on theircareers and on the jobs that may be the most advantageous.

4. Evaluation Plan

Measuring the effectiveness of the fellowship program will be an indication of howsuccessfully this fellowship structure and evaluation plan met the NRC criteria and ourProgram's objectives. The metrics to assess these measures will include:

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* Did students recruited through this fellowship perform academically high?* Was the reactor operator-training program a channel to recruitment and retention?* Did the recipients enter a career in the nuclear sector or academia?* How many journal publications did recipient author prior to leaving the program?* Did the recipients make presentations in a scientific forum and/or receive recognition

at conferences of interest to their research?* Did the recipients receive other academic, industry, community or career awards and

honors during their support period?* Did the recipients have exposure to a diverse environment or have a summer

internship? '* Did the recipients accept a position of/leadership during the support period (i.e. Alpha

Nu Sigma elected member; ANS Chapter Board member)?

Besides reporting this information to the NRC, we will share most of this informationthrough social media with the goal to continue recruiting and attracting the best students.General impact of this fellowship program will be assessed based on these criteria:

* Recruitment will be assessed by recording the total number of students applying toUNEP, number of admitted students, and number of students taking reactor operatortraining courses. An increase in the number of applicants meeting the eligibilityrequirements, and number of PhD and MS degrees, will indicate this fellowshipprogram is enhancing recruitment of high quality students to the disciplines of nuclearengineering and radiochemistry. The letter of support from current UNEP NRC fellowstestifies this to be the case.

* Retention of awardees as well as a total student enrollment in UNEP graduate programas a result of this fellowship program already proved to be the success at UNEP. Ameasure of the overall programmatic impact, total number of students within thefellowship program will be recorded. Total enrollment in UNEP will also be recordedon an annual basis.

* Demographics of awardees will be recorded to indicate diversity, promoting inspirationfor students' future success in the nuclear sector.

* Tracking the fellowship students after they fulfill their academic obligation and spendrequired service within the NRC or other nuclear sector will be of great interest andimportance not just to the NRC, but also to UNEP. In addition to the University andCollege resources, the on-line database of the UNEP will be used for tracking thefellowship students and their careers.

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Attachment C - Standard Terms and Conditions

The Nuclear Regulatory Commission'sStandard Terms and Conditions for US. Nongovernmental Recipients

Preface

This award is based on the application submitted to, and as approved by, the NuclearRegulatory Commission (NRC) under the authorization 42 U.S.C. § 2051 (b). pursuant tosection 31b and 141b of the Atomic Energy Act of 1954, as amended, and is subject tothe terms and conditions incorporated either directly or by reference in the following:

* Grant program legislation and program regulation cited in this Grant andCooperative Agreement.

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

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

Any inconsistency or conflict in terms and conditions specified in the award will beresolved according to the following order of precedence: public laws, regulations,applicable notices published in the Federal Register, Executive Orders (E.O.), Office ofManagement and Budget (0MB) Circulars, the NRC's Mandatory Standard Provisions,special award conditions, and standard award conditions.

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

I. Mandatory General RequirementsThe order of these requirements does not make one requirement more important thanany other requirement.

1. Applicability of 2 CFR Part 200All provisions of 2 CFR Part 200 and all Standard Provisions attached to thisgrant/cooperative agreement are applicable to the Recipient and to sub-recipients whichmeet the definition of "Recipient" in 2 Part §200.86, unless a section specificallyexcludes a sub-recipient from coverage. The Recipient and any sub-recipients must, inaddition to the assurances made as part of the application, comply and require each ofits sub-awardees employed in the completion of the project to comply with Subpart D of2 CFR Part 200 and include this term in lower-tier (sub-award) covered transactions.

Recipients must comply with monitoring procedures and audit requirements inaccordance with 2 CER Part 200, Subpart F-AUDIT REQUIREMENTS.

2. Award PackageThe Recipient is obligated to conduct project oversight as may be appropriate, tomanage the funds with prudence, and to comply with the provisions outlined in 2 CFRPart 200. Within this framework, the Principal Investigator (PI) named on the award facepage, is responsible for the scientific or technical direction of the project and forpreparation of the project performance reports. This award is funded on a cost-

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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 goodadministrative practice and sound business judgment, for the settlement of allcontractual and administrative issues arising out of procurements related to its grantaward. These issues include, but are not limited to, source evaluation, protests,disputes, and claims. These standards do not relieve the non-Federal entity of anyfinancial Or fiduciary responsibilities or obligations arising under its grant, including sub-contracts and sub-awards, or any other contractual or financial obligation. The Federalawarding agency will not substitute its judgment for that of the non-Federal entity unlessthe 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), GeneralProcurement Standards.

SubawardsAppendix II to Part 200 Contract Provisions for Non-Federal Entity Contracts UnderFederal Awards

Sub-recipients, sub-awardees, and contractors have no relationship with NRC under theterms of this grant/cooperative agreement. All required NRC approvals must be directedthrough the Recipient to NRC. See 2 CFR § 200.318.

NondiscriminationThis provision is applicable when work under the grant/cooperative agreement isperformed 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.), whichprohibits discrimination on the grounds of race, color, or national origin in anyprogram or activity receiving federal financial assistance.

*Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.), whichprohibits discrimination on the basis of sex in any education program or activityreceiving 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 activityreceiving 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 receivingfederal financial assistance.

*The Americans with Disabilities Act of 1990 (42 U.S.C. §§ 12101 et seq.), whichprohibits recipients from discriminating on the basis of disability in employment(Title I); State and local government services (Title II); and places of publicaccommodation and commercial facilities (Title Ill).

* Parts II and Ill of E.O. 11246, as amended by E.O.11375, 11478, 12086, 12107,13279, 13665, and 13672, which prohibits federal contractors and federallyassisted construction contractors and subcontractors, who do over $10,000 inGovernment business in one year, from discriminating in employment decisionson the basis of race, color, religion, sex, or national origin and requires thatgovernment contractors take affirmative action to ensure that equal opportunity isprovided in all aspects of their employment.

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* E.O.13166, "Improving Access to Services for Persons with Limited EnglishProficiency," which clarifies that national origin discrimination under Title VIincludes discrimination on the basis of limited English proficiency (LEP) andrequires that the recipient take reasonable steps to ensure that LEP personshave meaningful access to programs and activities.

* Any other applicable non-discrimination law(s).

Generally, Title Vll of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq, providesthat it shall be an unlawful employment practice for an employer to discharge anyindividual or otherwise to discriminate against an individual with respect tocompensation, terms, conditions, or privileges of employment because of suchindividual's race, color, religion, sex, Or national origin. However, Title VII, 42 U.S.C. §2000e-l (a), expressly exempts from the prohibition against discrimination on the basis ofreligion, a religious corporation, association, educational institution, or society withrespect to the employment of individuals of a particular religion to perform workconnected with the carrying on by such corporation, association, educational institution,or society of its activities.

ModificationslPrior ApprovalNRC's prior written approval may be required before a Recipient makes certain budgetmodifications or undertakes particular activities. If NRC approval is required for changesin the grant or cooperative agreement, it must be requested and obtained from the NRCGrants Officer in advance of the change or obligation of funds. All requests for NRCprior approval, including requests for extensions to the period of performance, must bemade, in writing (which includes submission by e-mail), to the designated Grants Officerat least 30 days before the proposed change. The request must be signed by theauthorized organizational official. Failure to obtain prior approval, when required, fromthe NRC Grants Officer, may result in the disallowance of costs, or other enforcementaction within NRC's authority.

Lobbyingq RestrictionsThe Recipient will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. 991501-1508 and 7324-7328) which limits the political activities of employees whoseprincipal 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 generallyprohibits the use of Federal funds for lobbying in the Executive or Legislative Branchesof the Federal Government in connection with the award, and requires disclosure of theuse of non-Federal funds for lobbying.

The Recipient receiving in excess of $100,000.00 in Federal funding shall submit acompleted Standard Form (SF-LLL), "iDisclosure of Lobbying Activities." The formconcerns the use of non-Federal funds for lobbying within 30 days following the. end ofthe calendar quarter in which there occurs any event that requires disclosure or thatmaterially affects the accuracy of the information contained in any disclosure formpreviously filed. The Recipient must submit the SF-LLL, including those received fromsub-recipients, contractors, and subcontractors, to the Grants Officer.

Debarment And SuspDension - (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 anyof its principals:

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

(2) Have been convicted within the preceding three-year period preceding this proposalbeen convicted of or had a civil judgment rendered against them for commission of fraudor a criminal offense in connection with obtaining, attempting to obtain, or performing apublic (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, taxevasion, receiving stolen property, making false claims, or obstruction of justice;commission of any other offense indicating a lack of business integrity or businesshonesty that seriously and directly affects your present responsibility;

(3) Are presently indicted for or otherwise criminally or civilly charged by a governmentalentity (Federal, State, or local) with commission of any of the offenses enumerated inparagraph (1)(b); or

(4) Have had one or more public transactions (Federal, State, or local) terminated forcause or default within the preceding three years.

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

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 ordisqualified from participation in this transaction by any Federal department or agency.The policies and procedures applicable to debarment, suspension, and ineligibility underNRC-financed transactions are set forth 2 CFR Part 180 and 2 CFR Part 200.

Drugq-Free WorkplaceThe Recipient must be in compliance with The Federal Drug Free Workplace Act of1988. The policies and procedures applicable to violations of these requirements are setforth in 41 U.S.C. §§ 81 01-8106.

Implementation of E.O.13224 - Executive Order on Terrorist FinancingqThe Recipient is reminded that U.S. Executive Orders and U.S. law prohibitstransactions with, and the provision of resources and support to, individuals andorganizations associated with terrorism. It is the legal responsibility of the Recipient toensure compliance with these Executive Orders and laws. This provision must beincluded in all contracts/sub-awards issued under this grant/cooperative agreement.

The Recipient must comply with E.O. 13224, Blocking Property and ProhibitingTransactions with Persons who Commit, Threaten to Commit, or Support Terrorism.Information about this Executive Order can be found at:Implementation of Executive Order 13224 Blockingq Property and ProhibitingqTransactions With Persons Who Commit, Threaten To Commit, or Support Terrorism.amended by E.O. 13268. 13284. and 13372.

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Procurement Standards - 2 CFIR §§ 200.318-200.326Sections 200.318 - 200.326 set forth standards for use by Recipients in establishingprocedures for the procurement of supplies and other expendable property, equipment,real property and other services with Federal funds. These standards are furnished toensure that such materials and services are obtained in an effective manner and incompliance with the provisions of applicable Federal statutes and executive orders. Noadditional procurement standards or requirements will be imposed by the Federalawarding agencies upon Recipients, unless specifically required by Federal statute,executive order, or approved by 0MB.

Travel and TransportationTravel must be in accordance with the IRecipient's Travel Regulations or the U.S.Government Travel Policy and Regulations at: www.cisa.,qov/federaltravelreaqulation andthe per diem rates set forth at: www.cisa..qov/perdiem, absent IRecipient's travelregulations. Travel and transportation costs for the grant must be consistent withprovisions as established in 2 C3FR § 200.473-474.

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

Domestic Travel:Domestic travel is an appropriate charge to this award and prior authorization forspecific trips are not required, if the trip is identified in the Recipient's approvedprogram description and approved budget. Domestic trips not stated in theapproved budget require the written prior approval of the Grants Officer, andmust not increase the total estimated award amount for the grant.

All common carrier travel reimbursable hereunder shall be via the leastexpensive class rates consistent with achieving the objective of the travel and inaccordance with the IRecipient's policies and practices. Travel by first-class travelis not authorized unless prior approval is obtained, in writing, from the GrantsOfficer.

International Travel:International travel requires PRIOR written approval by the Project Officer andthe Grants Officer, even if the international travel is stated in the approvedprogram description and the approved budget.

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.

Property StandardsProperty standards of this award shall follow provisions as established 2 CFIR .•.200.310-200.316.

Intangible PropertyIntangible and intellectual property of this award shall generally follow provisionsestablished in 2 CFR § 200.315.

Inventions Report,- The Bayh-Dole Act (P.L. 96-517) affords Recipients theright to elect and retain title to inventions they develop with funding under anNRC grant award ("subject inventions"). In accepting an award, the Recipient

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agrees to comply with applicable NRC policies, the Bayh-Dole Act, and itsGovernment-wide implementing regulations found at Title 37, Code of FederalRegulations (CFR) Part 401. A significant part of the regulations require that theRecipient report all subject inventions to the awarding agency (NRC) as well asinclude an acknowledgement of federal support in any patents.

Patent Notification Procedures - If the NRC or its Recipients, without making apatent search, knows (or has demonstrable reasonable grounds to know) thattechnology covered by a valid United States patent has been or will be usedwithout a license from the owner, E.O.12889 requires NRC to notify the owner. Ifthe Recipient uses or has used patented technology under this award withoutlicense or permission from the owner, the Recipient must notify the GrantsOfficer. This notice does not imply that the Government authorizes and consentsto any copyright or patent infringement occurring under the financial assistance.

Data, Databases, and Software - The rights to any work produced or purchasedunder a NRC federal financial assistance award, such as data, databases orsoftware are determined by Subpart 0 of 2 CFR Part 200. The Recipient ownsany work produced or purchased under a NRC federal financial assistance awardsubject to NRC's right to obtain, reproduce, publish or otherwise use the work orauthorize others to receive, reproduce, publish or otherwise use the data forGovernment purposes.

CoDyright - The Recipient may copyright any work produced under a NRCfederal financial assistance award subject to NRC's royalty-free nonexclusiveand irrevocable right to reproduce, publish or otherwise use the work or authorizeothers to do so for Government purposes. Works jointly authored by NRC andRecipient employees may be copyrighted, but only the part authored by theRecipient is protected because, under 17 U.S.C. § 105, works produced byGovernment employees are not copyrightable in the United States. On occasion,NRC may ask the Recipient to transfer to NRC its copyright in a particular workwhen NRC is undertaking the primary dissemination of the work. Ownership ofcopyright by the Government through assignment is permitted under 17 U.S.C. §105.

Record Retention and AccessRecipient shall follow established provisions in 2 CER .•. 200.333-337.

Conflict Of InterestConflict of Interest standards for this award will follow the Organizational Conflict ofInterest (OCOI) requirements set forth in Section 1 70A of the Atomic Energy Act of1954, as amended, and provisions set forth at 2 CFR § 200.112. Conflict of Interest.

Dispute Review Proceduresa. Any request for review of a notice of termination or other adverse decision shouldbe addressed to the Grants Officer. It must be postmarked or transmitted electronicallyno later than 30 days after the postmarked date of such termination or adverse decisionfrom the Grants Officer.b. The request for review must contain a full statement of the Recipient's positionand the pertinent facts and reasons in support of such position.

c. The Grants Officer will promptly acknowledge receipt of the request for reviewand shall forward it to the Director, Office of Acquisition Management Division, unless

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otherwise delegated, who shall appoint an intra-agency Appeal Board to review arecipient appeal of an agency action, if required, which will consist of the program officedirector, the Deputy Director of Office of Administration, and the Office of GeneralCounsel.

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

e. The review committee will request the Grants Officer who issued the notice oftermination or adverse action to provide copies of all relevant background materials anddocuments. The committee may, at its discretion, invite representatives of the Recipientand the NRC program office to discuss pertinent issues and to submit such additionalinformation as it deems appropriate. The chairman of the review committee will insurethat all review activities or proceedings are adequately documented.

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

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 Reportingi - 2 CER §§ 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 matchsince at the end of the grant, if the identified match has not beenprovided, then a portion of the federal share may be required to bereturned to the Government.

*Program Income - 2 CFR § 200.307o 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 orprogram objectives or be deducted from the total project cost for thegrant, as directed by the Grants Officer or indicated in the terms andconditions of the 'award.

*Revision of Budget and Program Plans - 2 CFR § 200.308o The Recipient is required to report deviations from the approved budget

and program descriptions in accordance with - 2 CFR § 200.308(b) andrequest prior written approval from the Project Officer and the GrantsOfficer.

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

o The Recipient is authorized to transfer funds among direct cost categoriesup to a cumulative 10 percent of the total approved budget. TheRecipient is not allowed to transfer funds if the transfer would cause any

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Federal appropriation to be used for purposes other than those consistentwith the original intent of the appropriation.o Allowable Costs - 2 CFR §§ 200.401-403

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

Federal Financial Reports - In accordance with 2 CFR § 200.327, the Recipientwill submit a "Federal Financial Report" (SF-425) on a semi-annual basis for theperiods ending March 31, and September 30, or any portion thereof, unlessotherwise authorized by the Grants Officer. Reports are due no later than 30days following the end of each reporting period. A final SF-425 is due within 90•days after expiration of the award. The report should be submitted electronicallyto: Grants FFR.Resource(.NRC.GOV. (NOTE: There is an underscorebetween Grants and FFR).

Performance Proaqress Reports - In accordance with 2 CFR § 200.328, theRecipient will submit Performance Progress Reports (SF-PPR, SF-PPR-B, andthe SF-PPR-E) on an annual basis for the periods ending September 30, or anyportion thereof, unless otherwise authorized by the Grants Officer. Reports aredue no later than 30 days following the end of the reporting period. Performancereports are sent to the Program Officer at the email address indicated in theNotice of Award, and to Grants Officer at: Grants PPR.Resource•,NRC.GOV.(NOTE: There is an underscore between Grants and PPR).

Final Reports - The Recipient is required to submit final reports, both Financial(SF-425) and Performance (SF-PPR, SF-PPR-B, SF-PPR-E) within 90 days ofthe grant expiration. In addition to these reports, a final SF-428, Tangibleproperty report, is also required, if applicable.

Period of Performance - 2 CFR § 200.309The recipient may charge to the Federal award only allowable costs incurred during theperiod of performance and any costs incurred before the NRC or pass-through entitymade 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, anyextension 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 toobligate funds for programmatic activities beyond the expiration date.

The NRC Grant Officer may authorize a no cost extension of the period of performance.However, the NRC has no obligation to provide any additional prospective orincremental funding. Any modification of the award to increase funding and to extendthe period of performance is at the sole discretion of the NRC.

Automated Standard Application For Payments (ASAP) ProceduresUnless otherwise stated, Recipient payments are made using the Department ofTreasury's Automated Standard Application for Payment (ASAP) system, ASAP.,qov,through preauthorized electronic funds transfers. To receive payments, Recipients arerequired to enroll with the Department of Treasury, Financial Management Service, andRegional Financial Centers, which allows them to use the on-line method of withdrawingfunds from their ASAP established accounts. The following information is required tomake ASAP withdrawals: (1) ASAP account number - the award number found on the

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cover sheet of the award; (2) Agency Location Code (ALC) - 31000001; and RegionCode. Recipients enrolled in the ASAP system do not need to submit a "Request forAdvance or Reimbursement" (SF-270).

II. Audit Requirements

AuditsOrganization-wide or program-specific audits are performed in accordance with theSingle Audit Act of 1996, as amended, and as implemented by 2 CER Part 200. SubpartF--AUDIT REQUIREMENTS. Recipients are subject to the provisions of this subpart ifthey 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 onor after January 1, 2008 are submitted online, as follows:

1. Create your online report ID at:http://harvester.census.,qov/fac/collect/ddeindex. html;

2. Complete the Form SF-SAC;3. Upload the Single Audit;4. Certify the Submission; and5. Click "Submit."

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

Ill. Programmatic Requirements

Grant Performance MetricsThe Office of Management and Budget requires all Federal Agencies providing fundingfor educational scholarships and fellowships as well as other educational related fundingto report on specific metrics. These metrics are part of the Academic CompetitivenessCouncil's (ACC) 2007 report and specifically relates to Science, Technology,Engineering, and Mathematics (STEM) curricula.

The performance (technical) reports will contain brief information as prescribed in theapplicable uniform administrative requirements 2 CFR §200.328. In addition to thecustomary performance progress report requested on the SF-PPR, SF-PPR-B, and SF-PPR-E forms, OCHCO requires the following metrics to be reported on by the awardeesas follows:

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 cumulativeto the grant.

2. How many students, supported by NRC funding, have received M.S. orequivalent degrees?a. Response is the number of students, for this reporting period and cumulativeto the grant.

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3. How many students, supported by NRC funding, have received Ph.D. orequivalent degrees?a. Response is the number of students, for this reporting period and cumulativeto the grant.

4. How many students, supported by NRC funding, have accepted a job and areemployed in the nuclear industry?a. Response is the number of students, for this reporting period and cumulativeto the grant.

5. How many items have students produced, for example, Professional Journalarticles, publications, patents, or conference reports?a. Response is the type and number of items, for this reporting period andcumulative to the grant.

Unsatisfactory PerformanceFailure to perform the work in accordance with the terms of the award and maintain atleast a satisfactory performance rating may result in designation of the Recipient as highrisk and the assignment of special award conditions. Further action may be required asspecified in the standard term and condition entitled "Remedies for Noncompliance."

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

Other Federal Awards With Similar Programmatic ActivitiesThe Recipient will immediately notify the Project Officer and the Grants Officer in writingif after award, other financial assistance is received to support or fund any portion of theprogram description stated in the NRC award. NRC will not pay for costs that arefunded by other sources.

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

Site VisitsThe NRC, through authorized representatives, has the right to make site visits to reviewproject accomplishments and management control systems and to provide technicalassistance as required. If any site visit is made by the NRC on the premises of theRecipient or contractor under an award, the Recipient shall provide and shall requirehis/her contractors to provide reasonable access to all facilities and provide necessaryassistance for the safety and convenience of the Government representative in theperformance of his/her official duties.

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IV. Miscellaneous Requirements

Criminal and Prohibited ActivitiesThe Program Fraud Civil Remedies Act (31 U.S.C. §§ 3801-3812), provides for theimposition of civil penalties against persons who make false, fictitious, or fraudulentclaims to the Federal government for money (including money representinggrant/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 Statesshall be subject to imprisonment of not more than five years and shall be subject to afine 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 bebrought by the government, or a person on behalf of the government, for false claimsunder federal assistance programs.

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

American-Made Equipment And ProductsRecipients are encouraged to purchase American-made equipment and products withfunding provided under this award.

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

Federal Leadership of Reducinq Text Messaging While DrivingE.O. 13513 requires Recipients to encourage employees, sub-awardees, andcontractors to adopt and enforce policies that ban text messaging while drivingcompany-owned, rented vehicles or privately owned vehicles when on officialGovernment business or when performing any work for or on behalf of the FederalGovernment.

Federal Employee ExpensesFederal agencies are barred from accepting funds from a Recipient to paytransportation, travel, or other expenses for any Federal employee unless specificallyapproved in the terms of the award. Use of award funds (Federal or non-Federal) or theRecipient's provision of in-kind goods or services, for the purposes of transportation,travel, or any other expenses for any Federal employee may raise appropriationaugmentation issues. In addition, NRC policy prohibits the acceptance of gifts, includingtravel payments for Federal employees, from Recipients or applicants regardless of thesource.

Minority Serving Institutions (MSls) InitiativePursuant 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 theparticipation of MSIs in its financial assistance program. NRC's goals include achievingfull participation of MSls in order to advance the development of human potential,strengthen the Nation's capacity to provide high-quality education, and increase

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opportunities for MSls to participate in and benefit from Federal financial assistancePrograms. NRC encourages all applicants and Recipients to include meaningfulparticipations of MSIs. Institutions eligible to be considered MSIs are listed on theDepartment of Education website: httpxllwww.ed .qovlaboutloffices/list/ocrledlite-minoritvinst. html

Research MisconductScientific or research misconduct refers to the fabrication, falsification, or plagiarism inproposing, performing, or reviewing research, or in reporting research results. It doesnot include honest errors or differences of opinions. The Recipient organization has theprimary responsibility to investigate allegations and provide reports to the FederalGovernment. Funds expended on an activity that is determined to be invalid orunreliable because of scientific misconduct may result in a disallowance of costs forwhich the institution may be liable for repayment to the awarding agency. The Office ofScience and Technology Policy at the White House published in the Federal Register onDecember 6, 2000, a final policy that addressed research misconduct. The policy wasdeveloped by the National Science and Technology Council (65 FR 76260). The NRCrequires that any allegation be submitted to the Grants Officer, who will also notify theOIG of such allegation. Generally, the Recipient organization shall investigate theallegation and submit its findings to the Grants Officer. The NRC may accept the.Recipient's findings or Proceed with its own investigation. The Grants Officer shallinform the Recipient of the NRC's final determination.

Publications, Videos, and Acknowledgment of SponsorshipPublication of the results or findings of a research project in appropriate professionaljournals and production of video or other media is encouraged as an important methodof recording and reporting scientific information. It is also a constructive means toexpand access to federally funded research. The Recipient is required to submit a copyto the NRC and when releasing information related to a funded project include astatement that the project or effort undertaken was or is sponsored by the NRC. TheRecipient is also responsible for assuring that every publication of material (includingInternet sites and videos) based on or developed under an award, except scientificarticles or papers appearing in scientific, technical or professional journals, contains thefollowing disclaimer:

"This [report/video] was prepared by [RecipJient name] under award [number]from [nam~e 6f operatinig ~un'it], Nuclear R~egulatory commission. The stcat'ements,findings, conclusions, and recommendations are those of the author(s) and do notnecessarily reflect the view of the [n~ame ofop~era.atipg uni.t or the US NuclearRegulatory Commission."

Trafficking In Victims Protection Act Of 2000 (as amended by the TraffickingVictims Protection Reauthorization Act of 2003)Section 106(g) of the Trafficking In Victims Protection Act Of 2000 (as amended asamended, directs on a government-wide basis that:

".any grant, contract, or cooperative agreement provided or entered into by aFederal department or agency under which funds are to be provided to a privateentity, in whole or in part, shall include a condition that authorizes the departmentor agency to terminate the grant, contract, or cooperative agreement, withoutpenalty, if the recipient or any subrecipient, or the contractor or any subcontractor(i) engages in severe forms of trafficking in persons or has procured acommercial sex act during the period of time that the grant, contract, or

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cooperative agreement is in effect, or (ii) uses forced labor in the performance ofthe grant, contract, or cooperative agreement." (See 22 U.S.C. §7104(g).)

EXECUTIVE COMPENSATION REPORTING2 CFR § 170.220 directs agencies to include the following text to each grant award to anon-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 thatdoes not include RecoverY funds (as defined in section 151 2(a)(2) of the AmericanRecoverY 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.l. of this award termto http://www. fsrs.qcov.

ii. For subaward information, report no later than the end of the month following themonth in which the obligation was made. (For example, if the obligation was made onNovember 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 thesubmission instructions posted at http://www.fsrs.q~ov specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of yourfive 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 procurementcontracts (and subcontracts) and Federal financial assistance subject to theTransparency 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, asdefined at 2 CFR § 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of theexecutives through periodic reports filed under section 13(a) or 15(d) of the SecuritiesExchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the InternalRevenue Code of 1986. (To determine if the public has access to the compensation

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information, see the U.S. Security and Exchange Commission total compensation filingsat httn://vww., sec..qovlanswe rsiexecomn. htm. )

2. Where and when to report. You must report executive total compensation described inparagraph b.l. of this award term:

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

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 thenames and total compensation of each of the subrecipient's five most highlycompensated 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, asdefined 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 theexecutives through periodic reports filed under section 13(a) or 15(d) of the SecuritiesExchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the InternalRevenue Code of 1986. (To determine if the public has access to the compensationinformation, see the U.S. Security and Exchange Commission total compensation filingsat http ://www. sec. qov/answe rs/e xecomp. 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 agiven year (i.e., between October 1 and 31), you must report any required compensationinformation 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,

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and

ii. The total compensation of the five most highly compensated executives of anysubrecipient.

e. Definitions. For purposes of this award term:

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

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

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

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

management positions.

3. Subaward:

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

ii. The term does not include your procurement of property and services needed to carryout the project or program (for further explanation, see Sec. __ .210 of the attachment to0MB Circular A-I133, "Audits of States, Local Governments, and Non-Profitorganizations)

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 theexecutive during the recipient's or subrecipient's preceding fiscal year and includes thefollowing (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 amountrecognized for financial statement reporting purposes with respect to the fiscal year in

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accordance with the Statement of Financial Accounting Standards No. 123 (Revised2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include grouplife, health, hospitalization or medical reimbursement plans that do not discriminate infavor 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 andactuarial 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.

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