'• "•UNITED STATES• NUCLEAR REGULATORY COMMISSION

"{•- " ,•WASHINGTON, D.C. 20555-0001

SePtember 30, 2015

Dr. Yaron Danon VIA Electronic MailRensselaer Polytechnic Institute danony(,rpi.edu110 Eighth StreetTroy, NY 12180-3522

SUI3JCT: GRANT NO: NRC-HQ-84-1 5-G-0047

Dear Dr. Danon:

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 awardsto the Rensselaer Polytechnic Institute (hereinafter referred to as the "Recipient"), the sum of$449,997.00 to provide support for "Junior Faculty Development: Loading Fresh Fuel into Our NuclearEngineering Academic Core" entitled "Program Description."

This award is effective as of the date of this letter and shall apply to expenditures made by theRecipient furtherance of program objectives during the period beginning with the effective date ofSeptember 30, 2015 and ending September 29, 2018. In addition your grant application proposes$245,814.00 in cost share. Please ensure your cost share conforms to the provisions in 2 CFR 200,and is reported on the semi-annual Federal Financial Report.

This award is made to the Recipient on condition that the funds will be administered in accordancewith the 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.

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 toMs. 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

TEM u~msuNSI REVIEW COMPLE'r .

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CHOOSE ONE:

Grant and Cooperative Agreement El COOPERATIVEAGREEMENT

rn GRANT

CHOOSE ONE: []EDUCATION , rFACILITIES El RESEARCH [] SDCR []TRAINING

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

NRC-HQ-84-15-G-0047 09/30/2015

5. ISSUEDTO, 6. ISSUED BY US NRC - HQNAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip) Mailing Address: ACQUISITION MANAGEMENT DIVISION

RENSSELAER POLYTECHNIC INSTITUTE110 EIGHTH ST MAIL STOP TWFN-5E03

TROY NY 121803522 WASHINGTON DC 20555-0001

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

Dr. Yaron Danon8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

Phone: 518-276-4008; Email: danony@rpi.edu

10. RESEARCH, PROJECT OR PROGRAM TITLE•unior Faculty:Development: Loading Fresh Fuel into Our Nuclear• Engineering Academic Care

11. PURPOSE

See Schedule

12. PERIOD OF PERFORMANCE (Approximately)

39/30/2015 through 09/29/2018 __________________

13A. AWARD HISTORY 13B. FUNDING HISTORY

PREVIOUS $0.00 PREVIOUS $0.00

THIS ACTION $449,997.00 THIS ACTION $449,997.00CASH SHARE $0.00 TOTAL $449,997.00

NON-CASH SHARE $0.00 ___________ __________________

RECIPIENT SHARE $245,814.00 __________________________________

TOTAL $449,997.00_________________________________14. ACCOUNTING AND APPROPRIATION DATA

_015-X0200-IUPNSE-84--84D00'2-51-K-164-T8459-4110

•URCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUS

3CHCO-15-0193

15. POINTS OF CONTACT

NAME MAIL STOP TELEPHONE E-MAILADDRESS

TECHNICAL OFFICER INANCY V._HEERON-ISREAL I 301-287-0718 I•ancy. Hebron-Isreal@nrc. gayNEGOTIATOR

ADMINISTRATOR IM'LITA R. CARR ( 1301) 415-6869 NMLITA.CARR@nrc.gov

PAYMENTS

16. THIS AWARD IS MADE UNDER THE AUTHORITY 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:

[]NO CHANGE IS MADE TO EXISTING PROVISIONS El PROVISIONS El SPECIAL CNIIN

El FDP TERMS AND CONDITIONS AND THE AGENCY-SPECIFIC fl 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 ;/2/••-•••' 09/.16/2015

PQN• 9 •£94

Grant and Cooperative Agreement

ESTIMATED COST

ITEM NO. ITEM OR SERVICE (Include Specifications and Special Instructions) QUANTITY UNIT UNIT PRICE AMOUNT

(A) (B) (C) (D) (5) (F)

CFDA Nutmber: 77.008

DUNS Nutmber: 002430742

Payment will be made through the Automated

Standard Application for Payment (ASAF.gov)

uniess the recipient has tailed 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 09/29/2018

NRC-HQ-84- 15-G-0 047

Attachment A - Schedule

A,1 PURPOSE OF GRANT

The purpose of this Grant is to provide support to the "Junior Faculty Development:Loading Fresh Fuel into Our Nuclear Engineering Academic Core" as described inAttachment B 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 09/29/2018.

2. Funds obligated hereunder are available for program expenditures for the estimatedperiod: 09/30/2015 - 09/29/2018.

A. GENERAL1. Total Estimated NRC Amount: $449,997.002. Total Obligated Amount: $449,997.003. Cost-Sharing Amount: $245,814.004. Activity Title: Junior Faculty Development:

Loading Fresh Fuel into Our NuclearEngineering Academic Core

5. NRC Project Officer: Nancy Hebron-lsreal6. DUNS No.: 002430742

A.3 BUDGET

Revisions to the budget shall be made in accordance with Revision of Grant Budget in

accordance with 2 CFR 200.

Year 1 Year 2 Year 3Personnel $44,874.00 $46,309.00 $47,790.00Fringe Benefits $6,190.00 $6,314.00 $6,441.00Travel $12,000.00 $12,000.00 $12,000.00Equipment $6,000.00 $6,000.00 $6,000.00Suplies $7,103.00 $4,794.00 $2,408.00Other (Fellowship) $31,569.00 $32,833.00 $34,145.00Total Direct Cost $107,736.00 :$108,250.00 $108,784.00Indirect Cost $42,263.00 $41,749.00' $41,215.00Total Cost $149,999.00 $149,999.00 $149,999.00

All travel must be in accordance with the Rensselaer Polytechnic Institute Travel

Regulations 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 $695,811.00 for the three year period;inclusive of $245,814.00 in cost share.

2. NRC hereby obligates the amount of $449,997.00 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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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

Overview of the Proposed Faculty Development ProgramStrategic hiring and development of junior faculty is critically important to the vitality andfuture of the nation's academic nuclear engineering programs. The Department ofMechanical, Aerospace, and Nuclear Engineering (MANE) at Rensselaer PolytechnicInstitute (Rensselaer) has embarked on a period of dynamic growth and resurgence.The Nuclear Engineering (NE) Program in MANE is the key program that continuouslyreceives strong internal supports for its own growth and resurgence. Key features of thedepartmental vision and growth plan in the specific context of NE include:

* developing strategic research thrust areas that uniquely define Rensselaer inthe nuclear engineering community,

* revising curricula to match the multidisciplinary teaming and problem solvingparadigm necessary for high impact contributions to nuclear energy and safety,

* revitalizing and deploying major NE facilities in support of research andteaching,

* hiring additional junior faculty into the nuclear program.

The success of this vision ultimately lies in recruiting, hiring, and developing a new coreof faculty equipped and empowered for leadership through the 2 1 st century. We proposeto continue developing and strengthening our junior faculty development program withinthe Nuclear Engineering Program.

Nuclear Engineering Program at RensselaerAs an integral part of MANE, NE is undergoing a renaissance in research expenditureand student enrollment growth. There are currently 126 undergraduate students, 38graduate students, and 7 Tenure track faculty members affiliated with NE. We areactively search for a tenure-track assistant professor and possibly another position willbe available next year both hires will ensure we continue to grow the faculty.

The challenges for the NE Program are: (i) developing research strengths that areunique and vital to the nuclear industry of the nation and (ii) proactively planning forsignificant growth in the NE student enrollments. How these are done and how they aresustained throughout the 2 1 st century will ultimately depend on how well the new NEfaculty are identified, developed, equipped, and empowered.

Defining nuclear focused research thrustsIn order to maintain the strength and vitality of each program, it is necessary for there tobe thrust areas that are clearly identified with each. At the same time, those thrustsshould be consistent with the overall strategic foci articulated in the Rensselaer Plan.For NE, the thrust areas will be:

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Nuclear Thermal Hydraulics - A traditional strength of our NE Program has beenthermal hydraulics we currently have one senior faculty who is very well known andrespected in the community working in this area. This is a very important area related todesign and safety of Nuclear Power. The new hire will strengthen the area and will leadit in the future.

Nuclear Criticality Safety - This area is very important to safe operation of the nuclearenterprise and requires core skills in radiation transport. We have the strongest programin Nuclear Data Measurement that utilizes the Gaerttner LINAC center. The acceleratorfacility is undergoing a $10OM upgrade sponsored by DOE. Major part of the work at thecenter is related to and sponsored by the DOE Nuclear Criticality Safety program.

Medical imaging - Though not in the main stream of traditional NE, medical imaging isa highly visible and important field led by nuclear engineers. This work interfacesseamlessly with a broader campus-wide initiative on haptics and virtual surgery beingled by faculty in MANE.

One can readily see that these three thrusts combine existing strengths of NE withinMANE. More importantly, they represent the key areas in which we can contribute to thefuture of nuclear engineering in very meaningful and lasting ways. While specificresearch topics and funding will change with time, these broad areas can define NE atRensselaer for decades to come.

Major nuclear engineering facilitiesThere are two unique NE facilities at Rensselaer, the LINAC and the RCF. Both facilitiespresent strategic opportunities. The LINAC has potential for both research and teaching,while the RCF can become a national focal point in nuclear engineering education.LINAC - The Gaerttner Linear Accelerator Center has a world-class reputation inneutron interactions research. It is used as an intense pulsed neutron source capable ofemitting 3x1 013 n/s. In 2014 a major refurbishment and upgrade plan supported by about$12M from DOE was initiated. At the end of this effort it will be the best place to donuclear data measurements in the US.

RCF- This is a small reactor facility located in Schenectady, NY, approximately thirtyminutes from the Rensselaer campus. The fact that the maximum power output of thereactor, ~15W, makes this a unique and powerful teaching tool. Students canreconfigure the fuel rods in a standard laboratory period to study the effects of rodplacement and density on power production. The facility is fully instrument to delivercourse over the internet.

Junior Faculty Recruitment and Development PlanRPI is commitment to continue and support the growth of the NE program andauthorized the current faculty search.

Funding request and allocation planSupport is requested from the NRC to provide additional resources and assistance tojunior tenure-track assistant professors in the NE Program at Rensselaer. Our specificrequest is for $150,000 per year for a period of three years. The total request is then for$450,000 over three years. This includes a base funding at a rate of $100,000 per yearfor three years and an additional $50.000 per year fully matched by cost share fromRensselaer. The cost share will pro vide junior faculty with tuition and stipendsupport of research graduate assistants.

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Rensselaer offers highly competitive compensation and start-up packages to thoseindividuals identified as the best people who best fit our programs and goals. It is notpossible, however, to provide them with everything that would place them far ahead oftheir peers in a very short time. For this reason, the proactive initiative of the NRCthrough this Faculty Development Grant program will be a tremendous help to NEPrograms across the nation. To this end, the funds provided to the tenure-track assistantprofessors will be used primarily for: travel for junior faculty and their students to attendconferences, to perform experiments at national laboratories, and to develop importantand lasting research collaborations, lab equipment and supplies for experimental work,summer support both for the graduate students and for the individual junior faculty, andsupport of PhD students to assist junior faculty in the development or enhancement oftheir careers as professors and researchers. The funds will primarily support a new hirestarting at the fall semester 2015.

Comparison of the items identified in this list above with the support provided in §3.4shows that the NRC support will couple very well with that provided by Rensselaer. Inthis regard then, the NRC joins Rensselaer (and other universities) in providing animportant nurturing environment for the development of next generation leaders innuclear engineering.

Recruitment and marketing strategiesThe Faculty Development Program will become a highlight of the faculty recruitmenteffort in the Nuclear Engineering Program. The recruitment and marketing activitiesassociated with this program will include:

- A web page devoted to information on the Faculty Development Program as partof the faulty hire strategies to attract excellent candidates. This page would bringattentions to potential candidates regarding the external support resource fromNRC in addition to the departmental start-up package for their early careerdevelopment.

- A color brochure, suitable for printing, containing faculty hire/applicationinformation. This brochure will be distributed electronically or in hard copy to(identified) prospective applicants in other institutions.

- Advertisement of faculty hiring opportunities through national conferences ofthe American Nuclear Society, Health Physics Society, and other relevantprofessional meetings.

- Faculty recruiting visits to other universities. NE faculty members areencouraged to include information on new faculty hire when traveling to otheruniversities.

- Promotion of women and minority hires in nuclear engineering. A specialeffort will be made to identify potential candidates, who graduated fromHistorically Black Colleges and Universities (HBCUs) and Hispanic ServingInstitutions (HSIs). The Department has a current initiative to institutionalize itsfaculty recruiting efforts with HBCUs and HSIs. We will also work with RPI NEalumni working in other universities to help identify women faculty candidateswhen they are in the final stage of their PhD students and would like to pursue afaculty career.

Selection/HiringFaculty hiring and subsequent tenure and promotions are arguably the most importantfunctions in the life of a university department. The decisions made during theseprocesses permanently affect the lives not only of the individual faculty members, but ofthe university and all of the students with whom those faculty interact. In general, faculty

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hiring within MANE is done subject to the following principles: excellence, commitment,investment, and value/respect.

Within this context, there are a number of criteria for selection of our junior faculty.Expressed specifically in terms of the NE Program within MANE, we continually seekfaculty candidates who have:

- foundational expertise in an area of importance to nuclear engineering with theflexibility and desire to contribute to and ultimately lead existing and future thrustareas,

- excellent credentials including education, research, publications, references,etc,

- strong communication skills for both teaching as well as engaging in criticalresearch, development and technology communities,

- multidisciplinary teaming and problem solving skills consistent with theDepartment and NE Program vision articulated in §2, and

- a positive and engaging personality in order to enhance a mutually satisfyingand supportive MANE community.

Currently, an active search for a tenure-track professor is being taken. One candidatehas been identified and an offer is in progress. The candidate is a reactor safety expert.The hiring offer negotiation is underway. The requested grant will be used to support thenew hire, which is expected to join Rensselaer in August 2015. The targeted recipientexactly meets all of the criteria identified above..

Start-up supportConsistent with the principles of commitment and investment, all faculty hires have beenor will be provided with highly competitive start-up packages including: competitivesalary and benefits package, two months summer salary for two years (for a total offour months), two years of graduate research student support for two students (for atotal of four years) including funding for summer support, and a generous researchaccount that provides funding for equipment, travel, and other research expenses whichthe individual may use over the first three years of her/his appointment.

MentoringInvestment in faculty development and growth is a critical focus in MANE. As part ofMANE's commitment to seeing every one of its tenure-track assistant professorssuccessfully progress through tenure and promotion and beyond, we have instituted aformal mentoring process for each faculty member. Three full professors are assigned tothe mentorship team of each junior faculty, as well as one associate professor.Mentoring teams are charged with meeting with the individual being mentored at leastonce a semester. The intent is proactive mentorship in which each mentor takesresponsibility for a definitive action to help his or her charge. The mentoring team is thentasked with preparing a written report to the Department Head outlining not only theprogress of the junior faculty member, but also specific actions taken on behalf of theindividual. Note that mentorship teams operate in tandem with the Department Head,who is also acting as an additional mentor for every faculty member in the Department.

Assessment and EvaluationAs noted in §3, the success of this program must be defined in terms of the success ofthe individual Targeted Recipients as well as the NE Program in general. After all, thetwo are integrally linked. This section is used to identify and explain some of the key

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metrics and assessment tools that will be used at both the programmatic as well as theindividual levels.

Performance metricsThe following performance metrics apply to individual faculty in a program or departmentas well as the program/department as a whole. The last metric, rankings, obviously doesnot apply to individual faculty. In total, they represent a broad but focused picture of thequality and depth of a department's or a university's programs.

-Scholarly output: Including both numbers as well as quality and relevance ofpublications; good but imperfect metrics of quality include journal impact factorsand numbers of citations.

-Placement of graduates: In important leadership tracks across industry,government and academe is a direct recognition of the quality of our educationand research programs.

-Research expenditures: This metric is important as a measure of the nationalrecognition of expertise and excellence of individuals and teams within the NEProgram.

-Faculty recognition and prominence: Requests to serve on national advisorypanels, election as society fellows, membership in the National Academies andother such recognitions are important milestones of faculty and programprogress.

-Rankings: NE at Rensselaer is now consistently ranked the Top 14 by USNWR.We are constantly working on improving our recognition and visibility.

Faculty evaluationsAnnual faculty evaluations by the MANE Department Head are part of the annual salaryadjustment process. The process entails each faculty member submitting a reportquantifying research and teaching activities as well as identifying key contributions madein the area of citizenship. These are defined as activities that contribute to the life,growth, and vision of the Program/Department. Faculty are required to simultaneouslysubmit a five-year plan. This is reviewed by the Department Head and discussed withthe faculty member. The primary foci of the discussions are to be on how well the facultymember met goals set in the previous year and developing understandings of the goalsof the faculty member for the next year. For the tenure-track assistant professor, thismeeting is a mechanism through which the mentoring process is formalized andtransmitted to all levels of the administration. These meetings and discussions track thejunior faculty member's progress in the run-up to tenure and promotion.

Tenure and promotionRequirements for tenure and promotion to associate professor are based on: i) solid toexcellent research as quantified by external evaluation by senior colleagues in thefield, external research funding, archival journal publications and conference papers,and supervision of at least one student to completion of the Ph.D., ii) solid tooutstanding teaching with evidence provided through teaching evaluations by•students, student reference letters, and observations from faculty mentors (it is policythat substandard teaching is grounds for denying tenure); and iii) demonstratedpotential for leadership and collaboration through participation in multi-investigatorresearch proposals and grants, and contribution to the life of the Department.

Institutional SupportThroughout this document, specific references have been made to tangible andintangible mechanisms for supporting NE at Rensselaer and the junior faculty being

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hired into that Program. Here, at the end of this request, we summarize these forms ofinstitutional support:

-presidential commitment and support: i) The President and Board of Trusteeshave provided the School of Engineering with fully funded faculty slots along withfully budgeted start-up funds to attract the best candidates available to our NEprogram. ii) It should not be under appreciated that as the former Chair of theNRC, our President is fully committed to an excellent and thriving NE Program.

-school of engineering commitment and support: As with the President, theDean of Engineering has committed fully funded faculty slots (with highlycompetitive start-up funds) for growth of the NE Program.

-departmental commitment and support: The singular focus over the past twoyears has been the revitalization of NE. In so doing, there has been significantcommitment of MANE resources to grow and revitalize NE. ii) In general, theProgram Head and Department Head have instituted support and meentoringmechanisms for junior faculty.

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 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.

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1. Appilicability of 2 CFR Part 200All provisions of 2 CER 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 0 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 CFR 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 CERPart 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-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.

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*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.

*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 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.

Modifications/Prior 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.

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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 §200.113; and 2 CFR Part 200, Appendix I1.)

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;

(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)(http~s:/Iwww.sam .pov).

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.

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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. §§ 8101-81 06.

Implementation of E.O.13224 - Executive Order on Terrorist FinancingThe 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 Blocking 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 .§. 200.318-200.326Sections 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 Recipient's Travel Regulations or the U.S.Government Travel Policy and Regulations at: www.gsa.gov/federaltravelregulation andthe per diem rates set forth at: www.gsa.,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, 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 Recipient's policies and practices. Travel by first-class travelis not authorized unless prior approval is obtained, in writing, from the GrantsOfficer.

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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 § 200.315.

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 Recipientagrees 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 D 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.

Copvriciht - 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.

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

Conflict Of InterestConflict of Interest standards for this award will follow the Organizational Conflict ofInterest (0001) requirements set forth in Section 170A 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 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 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 Reportingi - 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 CER § 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 been

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provided, 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 CER § 200.308(b) andrequest prior written approval from the Project Officer and the GrantsOfficer.

a 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 CER §§ 200.401-403

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

Federal Financial Reports - In accordance with 2 CER § 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 Proqress Reports - In accordance with 2 CFR § 200.328, theRecipient will submit Performance Progress Reports (SF-PPR, SF-PPR-B, andthe SF-PPR-E) on a semi-annual basis for the periods ending March 31, andSeptember 30, or any portion thereof, unless otherwise authorized by the GrantsOfficer. Reports are due no later than 30 days following the end of the reportingperiod. Performance reports are sent to the Program Officer at the emailaddress indicated in the Notice of Award, and to Grants Officer at:Grants PPR.Resource(,NRC.GOV. (NOTE: There is an underscore betweenGrants 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.

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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).

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 CFR 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.

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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:

Faculty Development Metrics:

1. How many faculty have been sponsored by NRC funding?a. Response is the number of faculty sponsored, for this reporting period

and cumulative to the grant.2. How many items have the sponsored faculty produced, for example, Professional

Journal articles, publications, patents, or conference reports?a. Response is the type and number of items, for this reporting period and

cumulative 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 the

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Recipient 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 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 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.

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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 MSls 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 increaseopportunities for MSls to participate in and benefit from Federal financial assistanceprograms. NRC encourages all applicants and Recipients to include meaningfulparticipations of MSls. Institutions eligible to be considered MSls are listed on theDepartment of Education website: http://www.ed.Qov/about/offices/list/ocr/edlite-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 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 [reportlvideo] was prepared by [Recipient name] under award [number]from [na me of opeyating unit], Nuclear Regulatory Commission. The statements,findings, conclusions, and recommendations are those of the author(s) and do notnecessarily reflect the view of the [na#.me o]f oPeratin!g U nit 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:

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".. 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 CER § 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 term

to http://www. fsrs. cyov.

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.ciov 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

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(B3) $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. covlanswe rs/execomj. htm.)

2. Where and when to report. You must report executive total compensation described in

paragraph b. 1. of this award term:

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

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

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.qcov/answers/execomp. htm. )

2. Where and when to report. You must report subrecipient executive total compensation

described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward.For example, if a subaward is obligated on any date during the month of October of a

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given year (i.e., between October 1 and 31), you must report any required compensationinformation of thesubrecipient 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 anysubrecipient.

e. Definitions. For purposes of this award term:

1. Entity means all Of the following, as defined in 2 CER 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 agreementthat 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

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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.

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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