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September 30, 2015

UNITED STATESNUCLEAR REGULATORY COMMISSION

WASHINGTON, D.C. 20555-0001

Dr. Arthur MottaPennsylvania State UniversityOffice of Sponsored Programs110 Technology Center BuildingUniversity Park, PA 16802-7000

VIA Electronic Mailatm2(@psu.edu

SUBJCT: GRANT NO: NRC-HQ-84-15-G-0037

Dear Dr. Motta:

Pursuant to the authority contained in the Federal Grant and Cooperative Grantee Act of 1977 and theAtomic Energy Act of 1954, as amended, the Nuclear Regulatory Commission (NRC) hereby awards tothe Pennsylvania State University (hereinafter referred to as the "Recipient"), the sum of $400,000.00 toprovide support for "The Pennsylvania State University Nuclear Education Fellowship Program" entitled"Program Description."

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

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

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 thereview. Within 60 days, SBCR will conduct a periodic review to ensure compliance with applicable CivilRights statutes. Your cooperation with SBCR is essential. The continued eligibility of Federal financialassistance is conditioned upon compliance with anti-discrimination regulations.

Please ensure individuals selected as beneficiaries of support under this grant meet the legalrequirements consistent 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 Carr by email at Mlita.Carr•,nrc..qov.

Sincerely yours,

M'Lita CarrGrants OfficerResearch & Grants TeamAcquisition Management Division

Attachments:Attachment A - ScheduleAttachment B - Program DescriptionAttachment C - Standard Terms and Conditions

SUONSI REVIEW COMIPL 1titi~J~1E - ~~MOO1

<'• Page 1 of 24

,, CHOOSE ONE:

Grant and Cooperative Agreement El COOPERATIVE

]I GRANT

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

1. GRANT/COOPERATIVE AGREEMENT NUMBER 2. SUPPLEMENT NUMBER 3. EFFECTIVE DATE 4. COMPLETION DATENRC-HQ-84-15-G-0037 09/30/2015

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

PENNSYLVANIA STATE UNIVERSITY, THEAttn: John W. Hanold Mail Stop: TWFN-5E03

110 TECHNOLOGY CENTER Washington DC 20555-0001UNIVERSITY PARK PA 168027000

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

.4- 60 003 76 Dr. Arthur Motta

8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.814-865-0036; atm2@psu, edu

:0. RESEARCH, PROJECT OR PROGRAM TITLE•he Pennsylvania State University Nuclear Education Fellowship Program

11. PURPOSE•ee Schedule

12. PERIOD OF PERFORMANCE (Approximately)

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

13A. AWARD HISTORY 138. FUNDING HISTORY

PREVIOUS $0.00 PREVIOUS $0.00THIS ACTION $400,000.00 THIS ACTION $400,000.00

CASH SHARE $0.00 TOTAL $400,000.00

NON-CASH SHARE $0.00 _____________RECIPIENT SHARE $0.00_____________

TOTAL $400,000.00__________________________________14. ACCOUNTING AND APPROPRIATION DATA

.015-X0200-IUPMRU-84-84D002-51-K-164-T8458-4110

•URCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUS

)CHCO-15-0155

15. POINTS OF CONTACT_________ ___________________

NAEMAIL STOP TELEPHONE JE-MAILADDRESSTECHNICAL OFFICER NANCY V. HEBRON-ISREAL 301-287-0718 Nancy. Hebron-Isreal@nrc. gov

NEGOTIATOR ________

ADMINISTRATOR M'L TA R. CARR (301) 415-6869 MLITA.CARR@nrc.gov

'PAYMENTS ________

116. 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: 18. APPLICABLE ENCLOSURE(S), IF CHECKED:

El NO CHANGE IS MADE TO EXISTING PROVISIONS El PROVISIONS El SPECIAL CONDITIONS

ElJ FDP TERMS AND CONDITIONS AND THE AGENCY-SPECIFIC El REQUIRED PUBLICATIONS AND REPORTSREQUIREMENTS APPLY TO THIS GRANT______________________________

UNITED STATES OF AMERICA COOPERATIVE AGREEMENT RECIPIENT

CONTRACTING/GRANT OFFICER DATE AUTHORIZED REPRESENTATIVE DATE

M'LITA R. CARR "i/ / '6•.••..•-2 09/17/2015

W'I Page 2 of 24

Grant and Cooperative Agreement

I T ESTIMATED COST

CFDA Number: 77.008DUNS Number: 003403953

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-I15-G-0037

Attachment A - Schedule

A.1 PURPOSE OF GRANT

The purpose of this Grant is to provide support to the "The Pennsylvania State UniversityNuclear Education Fellowship Program" as described in Attachment B entitled "ProgramDescription."

A.2 PERIOD OF GRANT

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

Grant is 09/29/2019.

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

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

$400,000.00$400,000.00$000,000.00The Pennsylvania State UniversityNuclear Education FellowshipProgramNancy Hebron-lsreal003403953

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

A.3 BUDGET

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

PersonnelFringe BenefitsOther (Fellowship)Total Direct CostIndirect CostTotal Cost

Year 1$59,093.00$7,795.00$33,112.00$100,000.00$000,000.00$100,000.00

Year 2$59,034.00$7,866.00$33.,100.00$100,000.00$000,000.00$100,000.00

Year 3$60,508.00$8,063.00$31,.429. 00$100,000.00$o000,000.00$100,000.00

Year 4$62,021.00$8,265.00$29,714.00$100,000.00$000,000.00$100,000.00

All travel must be in accordance with the Pennsylvania State University TravelRegulations or the US Government Travel Policy absent Grantee's travel regulation.

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $400,000.00 for the four year period.

2. NRC hereby obligates the amount of $400,000.00 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 notobligated to reimburse the Grantee for the expenditure of amounts in excess of the totalobligated amount.

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NRC-HQ-84- 15-G-0037

3. Payment shall be made to the Grantee in accordance with procedures set forth in theAutomated Standard Application For Payments (ASAP) Procedures set forth below. ,

Attachment B - Program Description

PROGRAM DESCRIPTION

The Penn State Nuclear Engineering Program is requesting $400,000.00 in funds fromthe U.S. Nuclear Regulatory Commission (NRC) Nuclear Education Program FellowshipGrant Program for the Fiscal Year 2015 to fund two (2) graduate Nuclear EducationFellowships for students seeking advanced PhD degrees in nuclear engineering. Twofull fellowship will be for a four-year period. The full amount of a fellowship isapproximately equivalent to our graduate research assistant support and will provide thefellows with stipend and full tuition and fees coverage. Recipients will be selected basedon their previous academic performance, recommendations, and their research interestsin nuclear engineering. Consideration will also be given to candidates that will increasediversity of our nuclear engineering graduate programs. Our graduate program's size,coupled with our strong curriculum in nuclear power, means each year Penn Stateproduces a large number of new nuclear engineers that enter the nuclear powerworkforce. Our MSc, MEng and PhD graduates are highly recruited by all sectors •associated with nuclear power. We believe that these new fellowships will attractacademically strong students to continue in or to enter the field of nuclear engineering.We are confident that these students as graduates with a power engineering -

background will become the future leaders in the future expansion of nuclear power.

Background on Nuclear Engineering at Penn State

Penn State first became engaged in nuclear engineering education in 1955. Since thattime Penn State has produced graduates educated in nuclear engineering that havemade numerous contributions to the advancement of nuclear power and nuclear sciencein our nation and the world. Penn State established the Department of NuclearEngineering in 1959. Recognizing the importance of nuclear engineering and nuclearpower, Penn State chose to administratively merge the Department of Nuclear.Engineering and the Department of Mechanical Engineering in 1998 to keep the nuclearengineering program healthy through the period of low enrollment levels, especially atthe undergraduate level. The Department of Mechanical and Nuclear Engineeringawards baccalaureate, masters and doctoral degrees in both mechanical and nuclearengineering.

Undergraduate enrollments have risen dramatically in the last 10 years while thenumber of students in our on-campus graduate programs has remained strong. In 2014,we conferred 88 BS, 8 MS, 26 MEng and 6 PhD degrees in nuclear engineering. OurMaster of Engineering in nuclear engineering through distance learning program innuclear engineering is in high demand with an enrollment in 2015 of over 90 students.Using web streaming, we offer one or two graduate courses per semester to off-campusstudents, most of whom are working full-time.

Students attracted to Penn State's nuclear engineering graduate programs are oftenseeking careers in nuclear power. Over the last five years a large percentage of ourPh.D. graduates .have been employed with nuclear organizations, including vendors,utilities, and national laboratories, Bettis Atomic Power Laboratory, Knolls Atomic PowerLaboratory and the Nuclear Regulatory Commission. Research funding comes from a

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NRC-HQ-84- 15-G-0037variety of sources including utilities, vendors and suppliers, national laboratories andfederal agencies. All of our nuclear engineering faculty members are active in researchand advise graduate students. The yearly research funding for our nuclear faculty isapproximately $500,000!/year per faculty member.

In addition to having strong departmental support, the nuclear engineering field hasstrong endorsement university-wide. The Penn State Institutes of Energy and theEnvironment (PSIlEE) was formed with the intent of pursuing the newest researchfrontiers in energy and the environment. PSIEE promotes cooperation across disciplinesand the participation of the local, state, federal, and international stakeholders. One ofthe thrust areas endorsed by PSIEE's engineering task force was also identified asnuclear power generation.

1. The Proposed Fellowship Program

Penn State is proposing two (2) new graduate Nuclear Education Fellowships forstudents entering the nuclear engineering graduate program. The program will begin inthe Fall 2015 semester. Two recipients will be awarded a 12-month fellowship for fouryears. The full fellowship award will be $50,000 per student per year. This amount isapproximately equivalent to our graduate research assistant support. The amount abovethe $50,000 per student per year will be matched by the department. A recipient must.maintain a minimum cumulative grade point average (GPA) of 3.3/4.0 to retain theirfellowship.

The fellowships will be awarded to entering graduate students who are at the start oftheir PhD in nuclear engineering. The fellows will be advised in both academic andresearch by a graduate faculty member in nuclear engineering. The fellow will select hisor her advisor based on the fellow's and faculty member's mutual research interests andthesis topic. Penn State will provide the tools necessary for conducting the fellow'sthesis research, such as office space, a computer, laboratory equipment, and laboratoryspace.

The Nuclear Education Fellowships will encourage strong academic students to enterour nuclear engineering program and ultimately pursue a career in the nuclearworkforce.

2. Recruitment Activities and Marketing of Strategies

We plan to announce the availability of the Nuclear Education Fellowships through ourEngineering Newsletter, sent to all students and faculty members in the College ofEngineering, through our University Financial Aid Office, our Multicultural EngineeringProgram (MEP), and our Women in Engineering Program (WEP). These avenues haveproven very effective in disseminating information to our current and prospectivestudents. Penn State's Office of Student Aid and the Graduate School disseminateinformation on graduate fellowships opportunities. We will publicize the NuclearEducation Fellowship opportunities through Penn State's existing financial aidorganizations and to our applicants during our recruiting events and to other institutionsin targeted recruiting pool.

Nuclear Engineering holds several graduate recruiting activities each year. The BlueChip recruiting weekend, held in February, brings about 35 students interested innuclear and mechanical engineering to campus for two days. Prospective students tourlaboratories, visit the Breazeale Nuclear Reactor, interview with faculty, tour the

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NRC -HQ-84- 15-G-0037campus, talk with current graduate students, and enjoy several informal sessions withDepartment and College of Engineering representatives. Throughout the spring,prospective students are invited to visit Penn State to meet with faculty and to tourlaboratories. In the fall, a senior luncheon is held with all nuclear engineering seniors toexplain both the basics of graduate degrees and to encourage students to considerseeking an advanced degree in nuclear engineering. Throughout the year, students fromcolleges without nuclear engineering programs travel to our Radiation Science andEngineering Center to conduct nuclear experiments using our laboratories and theBreazeale Nuclear Reactor. These students also learn about nuclear engineeringgraduate opportunities.

We will continue to promote awareness of the Nuclear Education Fellowships, in ourwebsite and graduate newsletter, explaining the goals, eligibility and obligations of thefellowships. Prospective candidates will apply for admission to Penn State NuclearEngineering using the existing on-line graduate application process.

Students applying for graduate admission must submit the information necessary toassess their eligibility for the Nuclear Education Fellowships. The nuclear engineeringadmissions committee reviews all applications. The committee will recommend thatindividuals who meet the minimum criteria be considered for a Fellowship.

3. Fellowship Selection Process

The selection process will be similar to those currently in place for other assistantshipsand fellowships. Students will either be self-nominated or nominated by facultymembers at Penn State or their undergraduate institutions. :

The current nuclear engineering graduate admissions committee, the Professor-In-..Charge of Mechanical and Nuclear Graduate Programs and the Program Chair ofNuclear Engineering will serve as the selection committee. Applications received by theannounced deadline will be reviewed for completeness and to confirm the applicantsmeet the minimum criteria for the award:

* US citizen or permanent resident,* Have a minimum overall and major CPA at or above 3.3/4.0,* Be entering nuclear engineering as a full-time graduate student, and* Indicate an intention to seek nuclear-related employment following completion of theirdegree.

Those applications deemed to be complete will be evaluated independently by theselection committee members using a weighting system developed by the committeeprior to the review. Ranking consideration will take into account:

* Overall grade point average,* Major grade point average,* Graduate record examination scores,* Reference letters,* Courses and total credit hours completed,* Need and/or diversity considerations,* Candidates statement of purpose, and* Any additional academic and leadership accomplishments that distinguish theapplicant.

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7.

NRC-HQ-84- 15-G-0037

After selection, the top two applicants will be submitted to the NRC for review and

approval.

4. Ability of the Institution to Conduct an Effective Fellowship Program

Penn State's Mechanical and Nuclear Engineering Department is a vibrant departmentwith highly productive faculty that educates our students with the support of our staff.With over 1000 students in the department, all of the necessary faculty andadministrative support facilities and personnel are in place to manage the two NuclearEducation Fellowships at the Departmental and College of Engineering and GraduateSchool levels.

Dr. Arthur Motta is the Chair of the Nuclear Engineering Program, and Dr. Karen Tholeis the, Head of the Department of Mechanical and Nuclear Engineering. In addition, thedepartment has a Graduate Programs Office under the direction of Dr. Daniel Haworth,with two full-time staff assistants, a business office with two financial AdministrativeAssistants and one staff assistant, a Diversity Officer and numerous other staffassistants. The Department also has an Undergraduate Programs Office under thedirection of Dr. Martin Trethewey. This office has two full-time staff members and a part-time staff member.

The Mechanical and Nuclear Engineering Department comprises 50 tenured or tenure-track faculty members who hold their primary appointment in the Department. Forty-twoare mechanical engineering faculty and eight are nuclear engineering faculty. Twofaculty searches in nuclear engineering are in progress. Collectively, we have broadexpertise in mechanical and nuclear engineering, as well as many other areas ofengineering, science, and mathematics. Seven of our faculty members hold the title ofUniversity Distinguished Professors (including one nuclear engineering professor) andfour of our faculty have endowed professorships or chairs (including one in nuclearengineering). Since 2001, six of our faculty members have been recognized withuniversity teaching awards and 25 of our faculty members have been awarded Penn-State Engineering Alumni Society (PSEAS) awards for their teaching, research, oradvising.

Our current nuclear engineering faculty members conduct sponsored research in manynuclear energy related areas. All nuclear engineering faculty members advise graduatestudents in research. Example research areas include modeling of current and future.reactor cores, systems and components; large-scale core experimental heat-transfermeasurements and safety studies; analysis of current and proposed reactor designs andproposed components used in severe accident management; and studying thefundamental mechanisms of corrosion of zirconium alloys and nuclear materialsdamage. Our Department has annual research expenditures that are approximately$30M, which equates to, on average, $500,000 per faculty member per year. In addition,there are numerous other staff members who assist the faculty with their research andteaching needs.

We work closely with industrial clients with between 25% and 35% of our researchexpenditures coming from industry. The major industry partners specific to our nuclearengineering program include: Westinghouse, ARE VA, General Electric Exelon, FirstEnergy, Holtec, and EPRI. We also maintain a strong research partnership with theBettis Atomic Power Laboratory, Knolls Atomic Power Laboratory and with the NuclearRegulatory Commission.

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I

NRC-HQ-84- 15-G-003 75. Details of the Nuclear Engineering Graduate Programs

The Penn State Nuclear Engineering course offering has a strong emphasis in areastraditionally associated with nuclear power production. These include courses in thermalhydraulics, thermal design, power plant simulation, reactor instrumentation and control,fuel management, nuclear materials, and neutron transport theory. Additionally, studentstake courses in radiation detection, radiation safety and mathematics. Availableexperimental courses include reactor physics laboratory, reactor operations laboratory,thermal hydraulic laboratory and instrumentation and control laboratory. Each graduatedegree program is individually tailored to fit the background and the needs of thestudent. Two graduate colloquiums are offered each semester with one focused onmechanical engineering and the other on nuclear engineering. These colloquiums areweekly with most speakers coming from outside Penn State to give our students abroader picture of the fields in which they are doing research. All the nuclear .engineering graduate students are required to attend the nuclear engineeringcolloquium. :;

Academic and research advising of nuclear engineering graduate students is done bythe student's faculty advisor and in the case of a PhD student, his or her dissertationcommittee. The MNE Graduate Programs office and the Graduate School monitor eachstudent's academic performance with regard to University and fellowship and.assistantship requirements. " •

Penn State offers four graduate degrees in nuclear engineering: a Master of Sciencewith thesis, a Master of Science with paper, a Master of Engineering and a Doctor ofPhilosophy. We do not provide funding for students seeking the MS with paPeror the...Master of Engineering degree. While we anticipate that the fellowship recipients will beseeking a PhD degree, a description of the Master of Science is given below forcompleteness. Full details of the degree requirements are-available on our departmentalwebsite (www.mne.psu.edu).

Our nuclear engineering graduate program is ranked 5 th in the nation by U.S. News &

World Report.

6. Determining the Effectiveness of the Fellowship Program :

The Penn State Nuclear Engineering Program has a demonstrated record of attractingstrong nuclear engineering graduate students and retaining them in the program throughcompletion of their nuclear engineering degree. However, we wish to attract the beststudents in the nation and believe that fellowships, such as the Nuclear EducationFellowships, will aid in accomplishing this goal..,

To quantify the success of the fellowship program, we have established a trackingprogram for the students who apply to the program, including both those who receive afellowship and those who do not. Interviews with fellowship recipients are used todetermine motivation to select Penn State's nuclear engineering graduate program, toreinforce career path decisions, and to retain the student in a nuclear engineering orscience career after graduation.

Since we are only proposing two fellows who will not graduate until May of 201.8, we willhave no problem monitoring their progress during graduate programs or aftergraduation.

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NRC-HQ-84- 15-G-0037

Attachment C - Standard Terms and Conditions

The Nuclear Regulatory Commission'sStandard Terms and Conditions for U.S. 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 31 b and 141 b 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 and:Cooperative 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 CFR 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. App~licability 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 (P1) 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-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.

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NRC-HQ-84-1 5-G-0037The 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 If); 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.

• 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) and

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NRC-HIQ-84-I 5-G-0037requires that the recipient take reasonable steps to ensure that LEP personshave meaningful access to programs and activities.

aAny other applicable non-discrimination law(s).

Generally, Title VII 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.

Lobbying RestrictionsThe 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 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), "Disclosure 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 Suspension - (See 2 CFR Part 180; 2 CFR § 200.205; 2 CFR §200113 and 2 CFR Part 200, Appendix II.)

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

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

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NRC-HQ-84- 15-G-0037

(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 orcontracts 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.

Drug-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.. .§ 8101-8106.

Implementation of E.O.13224 - Executive Order on Terrorist FinancingqThe Recipient is reminded that U.S. Executive Orders and U.S. law prohibits 'transactions 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 Blockin~q Property and ProhibitinqTransactions 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

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NRC-HQ-84-1 5-G-0037Sections 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 Recipient's Travel Regulations or the U.S.Government Travel Policy and Regulations at: www..qsa.aov/federaltravelreciulation andthe per diem rates set forth at: www..qsa.,qov/perdiem, absent Recipient's travelregulations. Travel and transportation costs for the grant must be consistent withprovisions as established in 2 CFR § 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, an~dmust not increase the total estimated award amount for the grant.

All common carrier travel reimbursable hereunder shall be via the least:expensive class rates consistent with achieving the objective of the travel and inaccordance with the Recipient'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 CFR .•.200.310-200.316. .:.

Intangible PropertyIntangible and intellectual property of this award shall generally follow provisionsestablished in 2 CFR § 200.31 5.

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 Recipientagrees to comply with applicable NRC policies, the Bayh-Dole Act, and its.Government-wide implementing regulations found at Title 37, Code of Federal

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NRC -HQ -84-1 5-G-0037Regulations (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 D of 2 CER 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.

Copyright - 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, unlessotherwise 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 office

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_, NRC-HQ-84-1 5-G-0037

director, the Deputy Director of Office of Administration, and the Office of General

Counsel.

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 NoncomplianceTermination 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 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 anyFederal appropriation to be used for purposes other than those consistentwith the original intent of the appropriation.

o Allowable Costs - 2 CFR §§ 200.40 1-403

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NRC-HQ-84-1 5-G-0037

*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 90days 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 Progqress 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 thecover 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).

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NRC-HQ-84- 15-G-0037II. 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 CFR Part 200, Subp~artF--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 CER §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 :llharvester. census.qov/Ifac/collectl 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.

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.

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NRC-HQ-84- 15-G-0037

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 Proqrammatic 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.

IV. Miscellaneous Reguirements

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 States

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NRC-HQ-84- 15-G-0037shall 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 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 Reducing 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 MSIs in order to advance the development of human potential,strengthen the Nation's capacity to provide high-quality education, and increaseopportunities for MSIs 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: http:llwww.ed ..qovla bout/officesllist/ocr/edlite-minorityinst.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 the

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NRC-HQ-84-1I5-G-0037

primary 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 theQIG of such allegation. Generally, the Recipient organization shall investigate theallegation and submit its findings to the Grants Officer. The NRC may accept theRecipient'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 [re--portli-eo] was prepared by [Recipientnae] under award [num ]rfrom [noame'i of peraing '•u~nitj Nuclear Regulatory Commission. The statements,findings, conclusions, and recommendations are those of the author(s) and do notnecessarily reflect the view of the [nameofoeratin.g •unijt 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, orcooperative 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.

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NRC-HQ-84-I15-G-0037a. Reporting of first-tier suba wards.

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 1512(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.1. of this award term

to http ://www.fsrs. qov.

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.,qov 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 procurementcontracts (and subcontracts) and Federal financial assistance subject to theTransparency Act, as defined at 2 CFR § 170.320 (and subawards); and

(13) $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 compensationinformation, see the U.S. Security and Exchange Commission total compensation filingsat http://www. sec.qcov/answe rs/execomD. 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.qiov.

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NRC-HQ-84- 15-G-0037ii. 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. qjov/answe rs/ex ecompJ. htm. )

2. Where and when to report. You must report subrecipient executive total compensationdescribed 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 (iLe., 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,

and

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

subrecipient.

e. Definitions. For purposes of this award term:

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NRC-HQ-84- 15-G-00371. 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 inmanagement positions.

3. Suba ward:

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 inaccordance 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.

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NRC-HQ-84-1 5-G-0037iv. 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.

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