U.S. NUCLEAR REGULATORY COMMISSIONNOTICE OF GRANT/ASSISTANCE AWARD

1. GRANT/AGREEMENT NO. 2. MODIFICATION NO. 3. PERIOD OF PERFORMANCE 4. AUTHORITY INRC-NQ-13-G-38-0041 FROM: 08/01/2013 TO: 01/31/2015 Pursuant to Sectior 31b and 141b of the

FROM_ 08/01/2013_TO:_07/31/2015_Atomic Energy Act qf 1954, as amended5. TYPE OF AWARD 6. ORGANIZATION TYPE 7. RECIPIENT NAME, ADDRESS, and EMAIL AR DRESS

Public State-Controlled Institution of Higher ED

GRANT NAICS: 611210 Wharton County Junior College911 E. Boling Highway

RDUNS 070145594 Wharton, Texas 77488mail: _us. c.edu

8. PROJECT TITLE:*Nuclear Education Scholarship Project

9. PROJECT WILL BE CONDUCTED 10. TECHNICAL REPORTS ARE REQUIRED 11. PRINCIPAL INVESTIGATOR(S) NAME, ADDRESS and EMAIL ADDRESS

PER GOVERNMENT'S/RECIPIENT'S [ PROGRESS AND FINAL Wharton County Junior CollegePROPOSAL(S) DATED Attn. Mr. Rudolph Henry

See Program Description FINALONLY 911 E. Boling HighwayS o D pWharton, Texas 77488

AND APPENDIX A-PROJECT OTHER (Conference Proceedings) Phone: 979-244-4666GRANT PROVISIONS Email: henryr.__wcjc._edu

12. NRC PROGRAM OFFICE (NAME and ADDRESS) 13. ACCOUNTING and APPROPRIATION DATA 14. METHOD OF PAYMENTU.S. Nuclear Regulatory Commission APPN. NO: 31X0200 0 ADVANCE BY TREASURY CHECKOffice of Chief Human Capital Officer B&RNO: 2013-84-51-K-164 RAttn: Nancy Hebron-Isreal [] REIMBURSEMENT BY TREASURY CHECKMS: 3WFN/03A12 (301) 287-0718 JOB CODE: T8458 E LETTER OF CREDIT

11545 Rockville Pike BOCNO: 4110 LT FRockville, MD 20852 OFFICE ID NO: HR-13-197 OTHER (SPECIFY) Electronic ASAP.govEmail: nancyhehrun- isreal_,'nrc.gov FAIMIS: GR0308 (See Remarks in Item #20 "Payment Infornation')

15. NRC OBLIGATION FUNDS 16. TOTAL FUNDING AGREEMENTThis action provides funds for Fiscial Year FY2013

THIS ACTION $150,000.00 NRC $150,000.00 in the amount of $150,000. 0

PREVIOUS OBLIGATION $0.00 RECIPIENT $0.00

TOTAL $150,000.00 TOTAL $150,000.00

17. NRC ISSUING OFFICE (NAME, ADDRESS and EMAIL ADDRESS)

U.S. Nuclear Regulatory CommissionDiv. of ContractsAttn: Gordana ZuberMail Stop: 3WFN/5C64MWashington, DC 20555Email: Uoc'dana.zuber'.nrc.gov

18. 19. NRC CONTRACTING OFFICER

6Z17nk C-CI7M 08/01/2013

(Signature) (Date)Signature not Required NAME (TYPED) Erika Earn

TITLE Grants Officer

TELEPHONE NO. 301-287-0954

20. PAYMENT INFORMATION

Payment will be made through the Automated Standard Application for Payment (ASAP.gov) unless the recipient has failed to comply with the pro ram objectives,

award conditions, Federal reporting requirements or other conditions specified in 2 CFR 215 (OMB Circular Al 10).

21. Attached is a copy ot the 'NRC General Provisions for Grants and Cooperative Agreements Awarded to Non-Govemnment Recipients.

Acceptance of these terms and conditions is acknowledged when Federal funds are used on this project.

22. ORDER OF PRECEDENCE,-In the event of a conflict between the recipient's proposal and this award, the terms of the Award shall prevail.

23. By this award, the Recipient certifi es that payment of any audit-related debt will not reduce the level of performance of any Federal Program. I

'I1UPLATE - ADMDQI SUNSI REVIEW COMPLETL AUG 2 2 2013doo

NRc-HQ-1 3-G-38-0041Page 2 of 23

ATTACHMENT A - SCHEDULE

A.1 PURPOSE OF GRANT

The pu'pose of this Grant is to provide support to the "Nuclear Education Scholarships Project" asdescrib d in Attachment B entitled "Program Description."

A.2 PE IOD OF GRANT

1. The effective date of this Grant is August 1, 2013. The estimated completion date of this Grantis July 91, 2015.

2. Fund obligated hereunder are available for program expenditures for the estimated period:August , 2013- July 31, 2015.

A. GENIERAL1. Total Estimated NRC Amount:2. Total Obligated Amount:3. Cost-Sharing Amount:4. Activity Title:5. NRC Project Officer:6. DUN• No.:

B. SPECIFICRFPA No.:FAIMISltJob Co le:BOC:B&R Nt.mber:Approp iation #:Amouný Obligated:

$150,000.00$150,000.00$0"Nuclear Education Scholarships Project'.Nancy Hebron-Isreal070145594

HR-13-197GR0308T845841102013-84-51-K-16431 X0200$150,000.00

A.3 BUDGET

Revision's to the budget shall be made in accordance with Revision of Grant Budget in accordancewith 2 FR 215.25.

Category Year One Year TwoOther ($cholarship) $75,000.00 $75,000.00Indirecti Rate $0.00 $0.00Yearly Total $75,000.00 $75,000.00

A.4 AM OUNT OF AWARD AND PAYMENT PROCEDURES

1. The Otal estimated amount of this Award is $150,000.00 for the two year period.

2. NR9 hereby obligates the amount of $150,000.00 for program expenditures during the periodset forth above and in support of the Budget above. The Grantee will be given written notice by theGrants Officer when additional funds will be added. NRC is not obligated to reimburse the Granteefor the expenditure of amounts in excess of the total obligated amount.

NRc-HO-13-G-38-0041Page 3 of 23

3. Payment shall be made to the Grantee in accordance with procedures set forth in the 4utomated

Standard Application for Payments (ASAP) Procedures set forth below.

Attachment B - Program Description

1. Capacity and ability of the institution to conduct the program (25 points).Introduction. Wharton County Junior College (WCJC) is a public, two-year comnmunity

college that is fully accredited by the Commission on Colleges of the Southern Associatibn ofColleges and Schools (SACS) and designated as a Hispanic-Serving Institution. The col ege isauthorized by the Texas Higher Education Coordinating Board to offer Associate of Arts andAssociate of Applied Science degrees and curricula in preparation for baccalaureate programs.The WCJC service area includes Wharton County, Colorado County, Fort Bend County, parts ofAustin and Jackson Counties, and Matagorda County, which is the location of the SouthlTexasProject Nuclear Operating Company (STPNOC) near Bay City, Texas. I

WCJC's Nuclear Power Technology curriculum is a two-year program that leads o anAssociate of Applied Science (AAS) degree in each of the following specialties: Nuclear P'owerTechnology Non-Licensed Operator, Nuclear Power Technology Electrical Technician, ýndNuclear Power Technology Instrumentation & Control Technician. Demand for each of thesemajors is increasing as is the demand for our graduates. The primary industry partner fo-WCJC's Nuclear Power Technology Program is the South Texas Nuclear Operating Co pany(STPNOC). STP offers program support through employee incentive programs for stude its inour programs, internships, instructional course materials, tours of the nuclear plant, adju nctinstructors (as needed), and letters of support for funding opportunities. WCJC's nuclear studiesprograms are housed in the Center for Energy Development in Bay City, Texas, which i• nearthe South Texas Nuclear Power Plant as well as the site for the planned construction of newcoal-fired power generation plant. The WCJC program is part of a nationwide effort to inq reaseenrollments and maintain a high graduation rate because of a projected shortage of skillodworkers for the nuclear power generation industry.

As noted in the following table, WCJC has been very successful in recruiting young menand women into the program who are able to complete the Nuclear Power Technologyrequirements or the Process Technology (Nuclear Option) requirements.

2007-08 2008-09 2009-10 2010-11 2011-12Total Enrolled (unduplicated count) 13 60 100 72 ,71Completers of AAS Degree in Nuclear -0- 2 33 21 119Power TechnologyCompleters of AAS Degree in Process -0- -0- 3 4 3Technology with Nuclear SkillsCertificateEmployed in Nuclear Power Industry -0- 2 25 10 7Employed in Other Power Industry -0- -0- 11 15 15

IAEA Recognition. In 2012 the WCJC Nuclear Power Technology Program gainedinternational recognition. The International Atomic Energy Agency (IAEA) awarded the CJCprogram the distinction of being a "Best Practices" program among 2-year nuclear techn logytraining programs. As a result of the IAEA/Nuclear Power Institute (Texas A&M Universit~')collaborative agreement and WCJC's partnership with the Nuclear Power Institute, Rudo phHenry (Director of the WCJC Nuclear Power Technology Program) attended meetings at theIAEA headquarters in Vienna, Austria and discussed the WCJC program and the potenti I foraccepting international students for training at the WCJC program. I

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Computation of Number and Size of Scholarships. WCJC proposes to provide at least15 scl olarships averaging $5,000 per academic year during April 1, 2013 through March 31,2015 tp academically talented students as well as to academically qualified students withdemonstrated unmet financial needs. The unmet financial needs of students in the nucleartechno logy programs at WCJC have averaged approximately $6,000 per year for the past threeyears. Each semester, approximately 35% of the nuclear technology majors receive financialaid, wilh an average award of approximately $3,000 per semester (Source: WCJC InstitutionalResea"ch Office). Based on these average financial aid amounts, WCJC projects a similarpattern of financial aid for students in the nuclear technology programs during academic period2013-2015.

; With a grant of $150,000 for the NES Proiect, WCJC would award scholarships ofappro~imately $5,000 per year to at least 15 students. All applicants for financial aid arerequirod to submit a Free Application For Student Aid (FAFSA) to determine need. In order toencoufage students in nuclear studies who demonstrate high academic achievement, WCJCwould award some scholarships to academically talented students without a showing of financialneed on a FAFSA. Students will receive awards that will vary in size, but most awards will bebased on unmet financial needs. Maximum award: $5,000 per year for college and livingexpenses x 2 years = $10,000.

i Schedule of Tuition, Fees and Other Costs. According to Richard Hyde (Director ofFinanqial Aid), the average yearly cost of attendance at WCJC for a full-time student canexceed $10,000 for tuition, fees, books, transportation, and living expenses, as noted below:

Charges Per Sem.Hrs. 12 Sem.Hrs. 15 Sem.Hrs.Tuition (In-District or Out-of-District) $32 $384 $480Tuition (Out-of-State) $64 $768 $960Buildibng use fee (In-District) $6 $72 $90Buildihg use (Out-of-District) $12 $144 $180Out-cf-District Student Fee $40 $480 $600Gene~ral Service Fee $46 $552 $690Tech6Iology Fee $2 $24 $30Total for in-District Students $74 $888 $1110Total for Out-District Students $120 $1440 $1800Total for Out-of-State Students $152 $1824 $2280

Other fees: $15 for a Change of Schedule Fee; $85 for CLEP Test; $1600/semester forroom/board; and $500/semester (or more) for text books. Other expenses vary and can exceed$3,006 per year (i.e., child support, car payments, travel expenses, and house payments).

2. Type and degree of proposed student support (i.e., mentoring/advisor assistance, etc.)(25 pqints). WCJC will provide supplemental learning activities and mechanisms as part of animport ant student support and guidance infrastructure, including the following:

* The Program Director, with assistance from the faculty and others, will providesupport including mentoring and academic/transfer advising.

o Each scholarship recipient will be assigned a faculty mentor whose area of expertisematches the recipient's goals. Advisement of students will be an integral part of thescholarship program.

* Weekly supplemental instruction, tutoring, and peer mentors will be available to thestudents.* The recipients will meet with their faculty mentors prior to the start of each

semester to plan course selections and then they will meet regularly with themduring the semester.

* At-risk students will meet weekly with faculty mentors and volunteer tutors from STPNOC.

NRc-HO-13-G-38-0041Page 5 of 23

" Students will participate in the technology club to network with other students, aft ndmeetings with guest speakers, and participate in educational field trips and tours tonuclear facilities.

* Additional tutoring is available through WCJC's Learning Assistance Centers ant onlinetutoring.o Internships at the South Texas Project nuclear power plant will be available for some

students enrolled in nuclear technology and process technology (nuclear option).1

3. Feasibility/completeness of an evaluation plan to measure effectiveness (15 poi n1ts).The WCJC NES Project will assess progress in meeting each of the objectives, outcomemeasures, and targets, as noted in the following evaluation plan table. These objectives focuson the critical operational processes of recruitment, award of scholarships, completion olstudies, transfer to baccalaureate programs, and job placement in a nuclear science field, asnoted below:

Project Objectives Data/Criteria Analysis/Plan of ACtion1. Recruit at least # of applicants per semester meeting Determine recruitmený15 students scholarship guidelines; % of students effectiveness in meeti igannually and qualifying vs. # who applied; % of goalaward academic and students selected from of 15 scholarships; researchneed-based underrepresented populations best practices; deterrine2. Increase by at least # of NES scholars making satisfactory Determine effectivene~ss10% # of students progress during academic year; % of of student supportcompleting AAS NES scholars maintaining GPA each activities in maintaininrg /degree in nuclear semester; # of NES scholars improving Itechnology disciplines completing certificates or associate academic performance;during 2013- degrees each academic year identify alternative3. Increase by at least % of NES applicants declaring Measure effectivenesi of5% # of students intention to seek a BS or BA degree acad.guidance/couns~ling;transferring to BA/BS vs. those enrolled at upper-division seek articulationprograms in nuclear institution agreements with upp~r-4. Achieve job % of NES scholars seeking Determine the prograr i'splacement rate of at employment upon completion of ability to support studE ýntsleast 70% for a certificate or associate degree, desiring employment i i aprogram graduates and one-year placement rates nuclear technology fie d.

4. Institutional support, sustainability, and number/quality of students (25 points).WCJC will provide administrative support, faculty, clerical, and material support tc

implement and administer the NES Project. This support will come from WCJC general ,revenues and will not be charged to the NRC grant (value of "in kind" support not determined).

Rudolph Henry, M.S., is Director/Instructor of Nuclear Power Technology at WCJt andwill be Project Director (PI) for the project. Mr.Henry has more than 30 years of experienc e inindustry, engineering, process technology, teaching, and program administration, and hetwilllead the NES Team. Other NES Team members will assist with implementation, managemnent,and assessment of the project, including Richard Hyde (Director/Financial Aid); Gus Wessels(Chief Financial Officer); Wayne Taylor (Coordinator/Dual Credit and University Articulation);and Zina Carter (Director/Communications and Marketing). Stephanie Dees (DeanNocationalInstruction) will serve as liaison to the President of WCJC for the NES Team.

NRc-HQ-13-G-38-0041Page 6 of 23

Management Plan for the Scholarship ProjectActivities Persons/Offices Responsible Timeline

Advertising NES scholarships at Admissions Office, Project Director Each semester andWCJC campuses and at local and Team members from Financial summer session,high sohools career days events Aid Office, Student Services, and starting in springnewspaper & radio Marketing & Communications 2013Recruit pool of applicants Admissions/Records Office, Project Each springsufficient to award at least 15 Director, Team members from semester andscholarships Financial Aid Office, Student summer session

Services,Seleclion of award recipients NES Team Each semesterMaintonance of academic Records Office, Project Director QuarterlyReporting responsibilities Project Director QuarterlyStude it support Project Director, Student Services Quarterlyservices oversightScholarship disbursement Financial Aid Office Each semesterMentdr/intern assignments NES Team Each semesterAcademic support, mentoring, Project Director, Academic and Quarterlyand sypplemental instruction FacultyIndus ry experiences, Project Director, Faculty Advisors, Each semesterprofelsional andCareer counseling & Student Services, Quarterlyjob placement services Counseling/Advising, STPNOC

Evaluition of project outcomes WCJC Institutional Research Office Quarterly/annuallyCoordination of STP support Project Director Each semester

I

Sustainability. WCJC will recruit students into the nuclear technology programs throughits Fin ncial Aid, Student Services, and Marketing and Communication offices, which willprom te the programs as part of their normal responsibilities. WCJC received a commitmentfrom •outh Texas Project Nuclear Operating Company (see Letters of Support/Commitment) tosuppo WCJC's nuclear studies by providing scholarships, internships, advertising, and part-time i rstructors for the benefit of the nuclear studies programs. Annually, WCJC receivessuppokirt from several local foundations for financial aid for WCJC students. WCJC plans tosubmit an S-STEM proposal to the National Science Foundation (in collaboration with Universityof Hoiston) for scholarships for students in the STEM disciplines, which include nuclear studies.Number and Quality of Students Selected for the Scholarships. During the 2013-2015academic periods covered by this project, at least 15 students per semester will be served bythe N IS Project. To apply for a scholarship, a student will be required to submit a FreeApplication For Student Aid (FAFSA) to the WCJC Financial Aid Office. Applicants for NESaward; will be required to provide the following evidence of status:

o United States citizen, national, or permanent resident alien (or others approved by NRC)., Eligible for an NES award based solely on demonstrated academic achievement

and/or eligible for financial aid based on need as defined by PELL grant criteria.* Enrolled full time (at least 12 credit hours) each semester the scholarship is received

and with at least 75% of credit hours counting towards requirements for attaining anassociate degree in nuclear power technology or in process technology with emphasison nuclear power generation. In special cases where a student needs to completefewer than 12 credit hours in order to finish his/her nuclear studies program, he/she canstill receive NES scholarship support.

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° Majoring in or declaring a major in nuclear power technology or process technology(nuclear certificate option) or planning to transfer to a baccalaureate program innuclear studies, or planning to seek employment in a nuclear-related industry orbusiness.

o Demonstrate academic potential or ability as determined by a college GPA of at least3.0 or an average of 80 from high school or college-level assessment scores. [Note:These minimum standards will be raised, as needed, to comply with NRC requirer nents.]

* Acceptance of service agreement terms as defined by NRC athttp://www.nrc.gov/about- nrc/grants/trade-svc-agreement.pdf. (See Attachment F.Agreement/NRC Obligations)

Recruitment and Marketing. WCJC will use its Student Services outreach programs andacademic counselors to provide information about the NES Project to high school students aswell as to currently enrolled students. WCJC's Marketing and Communications Office will usenewspaper advertising and radio/TV announcements to publicize the availability of the N ESProject awards. An examination of enrollments in the nuclear power technology and processtechnology (nuclear certificate option) courses indicated that there is an under-representation of women and African-American students, but Hispanic students are wellrepresented (at approximately 30% of enrollments) in nuclear power technology andprocess technology (nuclear option) courses. WCJC recognizes the need also to encouragewomen, minority students, veterans, and other students to apply for admission to its nuclearprograms.

5. Innovation demonstrated through establishment of consortia / partnerships (5 points).WCJC collaborates with non-Federal partners who support the concept and

implementation of WCJC's nuclear studies programs, including (1) Texas NuclearPower Technician Training Program Partnership (including WCJC, Brazosport College,Victoria College, and Texas State Technical College-Waco; (2) U.S. Department ofLabor/Community- Based Job Training Program (2008-2011) to support and expandnuclear technology training programs in southeast Texas; (3) partnerships with industryand community partners (including the South Texas Project Nuclear OperatingCompany, Bay City Community Development Board, Wharton Economic DevelopmentCorporation, and local school districts); (4) articulation agreements with University ofHouston; (5) WCJC participates in distance education programs locally and regionally;(6) WCJC collaborates with Texas Engineering Experiment Station (TEES) at TexasA&M University.

Scholarship Proiect as Part of a Regional Strategic Plan. The WCJC NES Projecthas become an important part of a broadly based effort to provide and expand nuclear.:power technology education in the Texas Gulf Coast Region to meet the needs of the lokalnuclear industry for skilled technicians, operators, and service specialists. WCJC haspartnership arrangements and agreements with STPNOC, Texas A&M, Brazosport College,Victoria College, Texas State Technical College-Waco, local economic development Iboards, local chambers of commerce, and local school districts to expand nuclear trainingin the region.

6. The amount and type of leveraged funding (5 points).The total amount of external leveraged funds for WCJC's nuclear programs sinc, 2008

exceeds $800,000. For the last three years, WCJC was a subrecipient of a grant from theTexas Workforce Commission in the amount of $90,000 per year for three years (fiscal agent:Texas Engineering Experiment Station at Texas A&M University). For 2010-11, WCJC/received a supplemental grant of $100,000 from Texas A&M University (ARRA funding) ý,sadditional support for the WCJC nuclear studies programs. In addition to these grants, VYCJCrequested and received $220,000 as a Congressional set-aside in 2010-11 for instructional

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equipment for its nuclear studies programs. WCJC also applied for and received a $350,000grant from the State of Texas Jobs and Education for Texans Program (JET Program) for astate-of-the-art Polaris Hands-On-Trainer (HOT) Skid and accessories, plus an Emerson DeltaV Control System, both of which are being used to train students in Nuclear PowerTeclnology and Process Technology. The South Texas Project NOC supports WCJC'snuclear studies programs by providing recruitment assistance, field trips for students, careerpres ntations, stipends, and internships, but the value of this support varies from year to year(valute not assigned). (See Attachment E. Letters of Support.) WCJC provides "in kind"administrative, technical, and material support for the NES Project (value not assigned).

7. Oher: Agreement to require Nuclear Education Scholarship recipients toaccept service agreement terms as defined by NRC.

Wharton County Junior College hereby agrees to require all students receivingschqlarships under the WCJC Nuclear Education Scholarship Project to accept the serviceagre ement terms as defined by NRC at http://www.nrc..ov/about-nrc/grants/trade-svc-aqrebment.odf and any other requirements as may be issued by the NRC (See AttachmentF)

Attachment C - Standard Terms and Conditions

The Nuclear Regulatory Commission'sStandard Terms and Conditions for U.S. Nongovernmental Grantees

Preface

This award is based on the application submitted to, and as approved by, the NuclearRegulatory Commission (NRC) under the authorization 42 USC 2051 (b) pursuant to section 31 band 1,41 b of the Atomic Energy Act of 1954, as amended, and is subject to the terms andcondi ions incorporated either directly or by reference in the following:

i Grant program legislation and program regulation cited in this Notice of Grant Award.* Restrictions on the expenditure of Federal funds in appropriation acts, to the extent

those restrictions are pertinent to the award.

Code of Federal Regulations/Regulatory Requirements - 2 CFR 215 UniformAdministrative Requirements For Grants And Agreements With Institutions Of HigherEducation, Hospitals, And Other Non-Profit Organizations (OMB Circulars), as

I applicable.

To aspist with finding additional guidance for selected items of cost as required in 2 CRF 220, 2CFR 225, and 2 CFR 230 this URL to the Office of Management and Budget Cost Circulars isincluded for reference to:A-21 (now 2 CFR 220)A-87 (now 2 CFR 225)A-12? (now 2 CFR 230A-102:

http://Wyww.whitehouse.qov/omb/circulars index-ffm

Any i consistency or conflict in terms and conditions specified in the award will be resolvedaccording to the following order of precedence: public laws, regulations, applicable noticespublisfhed in the Federal Register, Executive Orders (EOs), Office of Management and Budget

NRC-HO-13-G-38-0040Page: 9 of 23

(OMB) Circulars, the Nuclear Regulatory Commission's (NRC) 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 submitted with theSF424B application through Grants.gov.

I. Mandatory General RequirementsThe order of these requirements does not make one requirement more important than a*ry otherrequirement.

1. Applicability of 2 CFR Part 215a. All provisions of 2 CFR Part 215 and all Standard Provisions attached to thisgrant/cooperative agreement are applicable to the Grantee and to sub-recipients which neet thedefinition of "Grantee" in Part 215, unless a section specifically excludes a sub-recipient fkomcoverage. The Grantee and any sub-recipients must, in addition to the assurances mad aspart of the application, comply and require each of its sub-awardees employed in the cormpletionof the project to comply with Subpart C of 2 CFR 215 and include this term in lower-tier(subaward) covered transactions.

b, Grantees must comply with monitoring procedures and audit requirements in accordancewith OMB Circular A-133. <http://www.whitehouse.qov/omb/circulars/a133/al33.htmlhttp://www.whitehouse.qov/omb/circulars/a133 compliance/08/08toc.aspx >

2. Award Package, 215.41 Grantee responsibilities.The Grantee is obligated to conduct such project oversight as may be appropriate, to man.agethe funds with prudence, and to comply with the provisions outlined in 2 CFR 215.41. Within thisframework, the Principal Investigator (PI) named on the award face page, Block 11, isresponsible for the scientific or technical direction of the project and for preparation of thelproject performance reports. This award is funded on a cost reimbursement basis not to 6xceedthe amount awarded as indicated on the face page, Block 16 and is subject to a refund o1unexpended funds to NRC.

The standards contained in this section do not relieve the Grantee of the contractualresponsibilities arising under its contract(s). The Grantee is the responsible authority, withoutrecourse to the NRC, regarding the settlement and satisfaction of all contractual and I

administrative issues arising out of procurements entered into in support of an award or otheragreement. This includes disputes, claims, protests of award, source evaluation or other inattersof a contractual nature. Matters concerning violation of statute are to be referred to suchFederal, State or local authority as may have proper jurisdiction.

SubgrantsAppendix A to Part 215-Contract Provisions

Sub-recipients, sub-awardees, and contractors have no relationship with NRC under the tlermsof this grant/cooperative agreement. All required NRC approvals must be directed througlI theGrantee to NRC. See 2 CFR 215 and 215.41.

NRC-HQ-1 3-G-38-0040Page 10 of 23

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

No U.S. citizen or legal resident shall be excluded from participation in, be denied the benefitsof, or 6e otherwise subjected to discrimination under any program or activity funded by thisaward on the basis of race, color, national origin, age, religion, handicap, or sex. The Granteeagrees to comply with the non-discrimination requirements below:

Title V,I of the Civil Rights Act of 1964 (42 USC §§ 2000d et seq)Title IX of the Education Amendments of 1972 (20 USC §§ 1681 et seq)Sectic~n 504 of the Rehabilitation Act of 1973,as amended (29 USC § 794)The Age Discrimination Act of 1975, as amended (42 USC §§ 6101 et seq)The Amrnericans with Disabilities Act of 1990 (42 USC §§ 12101 et seq)Parts 11 and III of EO 11246 as amended by EO 11375 and 12086.EO 13166, "Improving Access to Services for Persons with Limited English Proficiency."Any other applicable non-discrimination law(s).

Geneirally, Title VI of the Civil Rights Act of 1964, 42 USC § 2000e et seq, provides that it shallbe an runlawful employment practice for an employer to discharge any individual or otherwise todiscriminate against an individual with respect to compensation, terms, conditions, or privilegesof employment because of such individual's race, color, religion, sex, or national origin.HoweVer, Title VI, 42 USC § 2000e-1 (a), expressly exempts from the prohibition againstdiscrimination on the basis of religion, a religious corporation, association, educationalinstitution, or society with respect to the employment of individuals of a particular religion toperform work connected with the carrying on by such corporation, association, educationalinstitution, or society of its activities.

Modif ications/Prior ApprovalNRC's prior written approval may be required before a Grantee makes certain budgetmodifications or undertakes particular activities. If NRC approval is required for changes in thegrant br cooperative agreement, it must be requested of, and obtained from, the NRC GrantsOfficer in advance of the change or obligation of funds. All requests for NRC prior approvalshould be made, in writing (which includes submission by e-mail), to the designated GrantsSpecialist and Program Office no later than 30 days before the proposed change. The requestmust be signed by both the PI and the authorized organizational official. Failure to obtain priorapproiai, when required, from the NRC Grants Officer may result in the disallowance of costs,or other enforcement action within NRC's authority.

Lobftving RestrictionsThe Grantee will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-1508and 7*24-7328) which limit the political activities of employees whose principal employmentactivities are funded in whole or in part with Federal funds.

The Grantee shall comply with provisions of 31 USC § 1352. This provision generally prohibitsthe use of Federal funds for lobbying in the Executive or Legislative Branches of the FederalGovernment in connection with the award, and requires disclosure of the use of non-Federalfunds!,for lobbying.

NRC-HO-1 3-G-38-0040Page 111 of 23

The Grantee receiving in excess of $100,000 in Federal funding shall submit a completedStandard Form (SF) LLL, "Disclosure of Lobbying Activities," regarding the use of non-Federalfunds for lobbying within 30 days following the end of the calendar quarter in which there !occursany event that requires disclosure or that materially affects the accuracy of the informationcontained in any disclosure form previously filed. The Grantee must submit the SF-LLL, Iincluding those received from sub-recipients, contractors, and subcontractors, to the GrarlitsOfficer.

Debarment And Suspension 2 CFR 215.13The Grantee agrees to notify the Grants Officer immediately upon learning that it or any ýf itsprincipals:

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

(2) Have been convicted within the preceding three-year period preceding this proposal b enconvicted of or had a civil judgment rendered against them for commission of fraud or a criminaloffense in connection with obtaining, attempting to obtain, or performing a public (Federalý,State, or local) transaction or contract under a public transaction; violation of Federal or $tateantitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or Idestruction of records, making false statements, tax evasion, receiving stolen property, makingfalse claims, or obstruction of justice; commission of any other offense indicating a lack ofbusiness integrity or business honesty that seriously and directly affects your presentresponsibility;

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

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

b. The Grantee agrees that, unless authorized by the Grants Officer, it will not knowingly enterinto any subgrant or contracts under this grant/cooperative agreement with a person or erntitythat is included on the Excluded Parties List System (http://epls.arnet.gov).

The Grantee further agrees to include the following provision in any subgrant or contracts

entered into under this award:

'Debarment, Suspension, Ineligibility, and Voluntary Exclusion

The Grantee certifies that neither it nor its principals is presently excluded or disqualified romparticipation in this transaction by any Federal department or agency. The policies andprocedures applicable to debarment, suspension, and ineligibility under NRC-financedtransactions are set forth in 2 CFR Part 180.'

Drug-Free WorkplaceThe Grantee must be in compliance with The Federal Drug Free Workplace Act of 1988. Thepolicies and procedures applicable to violations of these requirements are set forth in 41 ULSC702.

NRC-HO-13-G-38-0040Page 12 of 23

Imple nentation of E.O. 13224 -- Executive Order On Terrorist FinancinqThe Grantee is reminded that U.S. Executive Orders and U.S. law prohibits transactions with,and t 'e provision of resources and support to, individuals and organizations associated withterrorin m. It is the legal responsibility of the Grantee to ensure compliance with these ExecutiveOrders and laws. This provision must be included in all contracts/sub-awards issued under thisgrant/tooperative agreement.

Award Grantees must comply with Executive Order 13224, Blocking Property and ProhibitingTransactions with Persons who Commit, Threaten to Commit, or Support Terrorism. Informationabout this Executive Order can be found at: www.fas.org/irp/offdocs/eo/eo-1 3224.htm.

Proctfrement Standards. § 2 CFR 215.40-48Sections 215.40 through 215.48 set forth procurement standards for use by Grantees inestabllishing procedures for the procurement of supplies and other expendable property,equipoent, real property and other services with Federal funds. These standards are furnishedto en ure that such materials and services are obtained in an effective manner and incompl iance with the provisions of applicable Federal statutes and executive orders. Noadditional procurement standards or requirements shall be imposed by the Federal awardingagen dies upon Grantees, unless specifically required by Federal statute or executive order orapproved by OMB.

TravelTravelmust be in accordance with the Grantee's Travel Regulations or the US GovernmentTravel Policy and Regulations at: www.gsa..gov/federaltravelrequlation and the per diem ratesset foth at: www.-gsa.gov/perdiem, absent Grantee's travel regulation. Travel costs for thegrant ust be consistent with provisions as established in Appendix A to 2 CFR 220 (J.53). Allother travel, domestic or international, must not increase the total estimated award amount.

Domestic Travel:Domestic travel is an appropriate charge to this award and prior authorization for specific tripsare nct required, if the trip is identified in the Grantee's approved program description andappro~ied budget. Domestic trips not stated in the approved budget require the written priorapproval of the Grants Officer, and must not increase the total estimated award amount.

All common carrier travel reimbursable hereunder shall be via the least expensive class ratesconsistent with achieving the objective of the travel and in accordance with the Grantee'spolicies and practices. Travel by first-class travel is not authorized unless prior approval isobtained from the Grants Officer.

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

The Grantee shall comply with the provisions of the Fly American Act (49 USC 40118) asimplemented through 41 CFR 301-10.131 through 301-10.143.

NRC-HQ-13-G-38-0040Page 113 of 23

Property and Equipment Management StandardsProperty and equipment standards of this award shall follow provisions as established in 2 CFR215.30-37.

Intangible and Intellectual PropertyIntangible and intellectual property of this award shall generally follow provisions establislhed in2 CFR 215.36.

Inventions ReportThe Bayh-Dole Act (P.L. 96-517) affords Grantees the right to elect and retain title to inventionsthey develop with funding under an NRC grant award ("subject inventions"). In accepting'anaward, the Grantee agrees to comply with applicable NRC policies, the Bayh-Dole Act, ard itsGovernment-wide implementing regulations found at Title 37, Code of Federal Regulatiorls(CFR) Part 401. A significant part of the regulations require that the Grantee report all sulbjectinventions to the awarding agency (NRC) as well as include an acknowledgement of fede ralsupport in any patents. NRC participates in the trans-government Interagency Edison system(http://www.iedison.-ov) and expects NRC funding Grantees to use this system to compil withBayh-Dole and related intellectual property reporting requirements. The system allows fo'Grantees to submit reports electronically via the Internet. In addition, the invention must I~ereported in continuation applications (competing or non-competing).

Patent Notification ProceduresPursuant to EO 12889, NRC is required to notify the owner of any valid patent coveringtechnology whenever the NRC or its financial assistance Grantees, without making a patq ntsearch, knows (or has demonstrable reasonable grounds to know) that technology covered by avalid United States patent has been or will be used without a license from the owner. To ensureproper notification, if the Grantee uses or has used patented technology under this awardýwithout license or permission from the owner, the Grantee must notify the Grants Officer. Thisnotice does not necessarily mean that the Government authorizes and consents to anycopyright or patent infringement occurring under the financial assistance.

Data. Databases, and SoftwareThe rights to any work produced or purchased under a NRC federal financial assistance awardare determined by 2 CFR 215.36. Such works may include data, databases or software. ITheGrantee owns any work produced or purchased under a NRC federal financial assistance awardsubject to NRC's right to obtain, reproduce, publish or otherwise use the work or authorizeothers to receive, reproduce, publish or otherwise use the data for Government purposesl

Copyright IThe Grantee may copyright any work produced under a NRC federal financial assistance Iawardsubject to NRC's royalty-free nonexclusive and irrevocable right to reproduce, publish orotherwise use the work or authorize others to do so for Government purposes. Works joil itlyauthored by NRC and Grantee employees may be copyrighted but only the part authored by theGrantee is protected because, under 17 USC § 105, works produced by Governmentemployees are not copyrightable in the United States. On occasion, NRC may ask the G 'anteeto transfer to NRC its copyright in a particular work when NRC is undertaking the primarydissemination of the work. Ownership of copyright by the Government through assignment ispermitted under 17 USC § 105.

NRC-HQ-1 3-G-38-0040Page 14 of 23

Records Retention and Access RequirementsFor records of the Grantee shall follow established provisions in 2 CFR 215.53.

Orgaiizational Prior Approval SystemIn order to carry out its responsibilities for monitoring project performance and for adhering toawarc terms and conditions, each Grantee organization shall have a system to ensure thatappropriate authorized officials provide necessary organizational reviews and approvals inadvance of any action that would result in either the performance or modification of an NRCsuppQrted activity where prior approvals are required, including the obligation or expenditure offunds where the governing cost principles either prescribe conditions or require approvals.

I

The .rantee shall designate an appropriate official or officials to review and approve the actionsrequir ng NRC prior approval. Preferably, the authorized official(s) should be the sameofficial(s) who sign(s) or countersign(s) those types of requests that require prior approval byNRC. I The authorized organization official(s) shall not be the principal investigator or any officialhaving direct responsibility for the actual conduct of the project, or a subordinate of suchindiviclual.

I

Conflict Of Interest StandardsFor thlis award shall follow OCOI requirements set forth in Section 170A of the Atomic EnergyAct of 1954, as amended, and provisions set forth at 2 CFR 215.42 Codes of Conduct..

Termination and EnforcementTermihnation of this award by default or by mutual consent shall follow provisions as establishedin 2 CFR 215.60-62,

Dispute Review Proceduresa. ý Any request for review of a notice of termination or other adverse decision should beaddressed to the Grants Officer. It must be postmarked or transmitted electronically no laterthan 30 days after the postmarked date of such termination or adverse decision from the GrantsOff icer.

b. i The request for review must contain a full statement of the Grantee's position and thepertinent facts and reasons in support of such position.

c. 1 The Grants Officer will promptly acknowledge receipt of the request for review and shallforward it to the Director, Office of Administration, who shall appoint an intra-agency AppealBoard to review a grantee appeal of an agency action, if required, which will consist of theprogram office director, the Deputy Director of Office of Administration, and the Office ofGeneral Counsel.

d. 1 Pending resolution of the request for review, the NRC may withhold or defer paymentsunder the award during the review proceedings.

e. I The review committee will request the Grants Officer who issued the notice oftermination or adverse action to provide copies of all relevant background materials anddocurhents. The committee may, at its discretion, invite representatives of the Grantee and theNRC program office to discuss pertinent issues and to submit such additional information as it

NRC-HO-13-G-38-0040Page 15 of 23

deems appropriate. The chairman of the review committee will insure that all review acti~tities orproceedings are adequately documented.

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

Monitoring and Reporting § 215.50-53a. Grantee Financial Management systems must comply with the established provisions 'in 2CFR 215.21

" Payment- 2 CFR 215.22* Cost Share- 2 CFR 215.23* Program Income-2 CFR 215.24

o Earned program income, if any, shall be added to funds committed to the projectby the NRC and Grantee and used to further eligible project or programobjectives or deducted from the total project cost allowable cost as directe~l bythe Grants Officer or the terms and conditions of award.

" Budget Revision -2 CFR 215.25o The Grantee is required to report deviations from the approved budget and

program descriptions in accordance with 2 CFR 215.25 and request prior writtenapproval from the Program Officer and the Grants Officer. ,

o The Grantee is not authorized to rebudget between direct costs and indirectcosts without written approval of the Grants Officer.

o The Grantee is authorized to transfer funds among direct cost categories ip to acumulative 10 percent of the total approved budget. The Grantee is not allowedto transfer funds if the transfer would cause any Federal appropriation to b, usedfor purposes other than those consistent with the original intent of theappropriation.

o Allowable Costs -2 CFR 215.27

b. Federal Financial Reports

The Grantee shall submit a "Federal Financial Report' (SF-425) on a semi-annual basis forthe periods ending March 31 and September 30, or any portion thereof, unless otherwisespecified in a special award condition. Reports are due no later than 30 days following theend of each reporting period. A final SF-425 is due within 90 days after expiration of tlieaward. The report should be submitted electronically to: Grants FFR@NRC.GOV. (NOTE:There is an underscore between Grants and FFR.)

Period of Availability of Funds 2 CFR § 215.28a. Where a funding period is specified, a Grantee may charge to the grant only allowable bostsresulting from obligations incurred during the funding period and any pre-award costs autlhorizedby the NRC.

b. Unless otherwise authorized in 2 CFR 215.25(e)(2) or a special award condition, anyextension of the award period can only be authorized by the Grants Officer in writing. Ve bal orwritten assurances of funding from other than the Grants Officer shall not constitute auth rity toobligate funds for programmatic activities beyond the expiration date. I

NRC-HO-13-G-38-0040Page 16 of 23

c. The NRC has no obligation to provide any additional prospective or incremental funding. Anymodification of the award to increase funding and to extend the period of performance is at thesole cýiscretion of the NRC.

Id. Requests for extensions to the period of performance should be sent to the Grants Officerat leaot 30 days prior to the grant/cooperative agreement expiration date. Any request forextension after the expiration date may not be honored.

Automated Standard Application For Payments (ASAP) ProceduresUnlesý otherwise provided for in the award document, payments under this award will be madeusinglthe Department of Treasury's Automated Standard Application for Payment (ASAP)svstein< http://www.fms.treas.qov/asap/>. Under the ASAP system, payments are madethrough preauthorized electronic funds transfers, in accordance with the requirements of theDebt qollection Improvement Act of 1996. In order to receive payments under ASAP, Granteesare rýquired to enroll with the Department of Treasury, Financial Management Service, andRegicnal Financial Centers, which allows them to use the on-line method of withdrawing fundsfrom rheir ASAP established accounts. The following information will be required to makewithdi'awals under ASAP: (1) ASAP account number - the award number found on the coversheet of the award; (2) Agency Location Code (ALC) - 31000001; and Region Code. Granteesenroll d in the ASAP system do not need to submit a "Request for Advance or Reimbursement"(SF-2 0), for payments relating to their award.

Audi1i RequirementsOrga ization-wide or program-specific audits shall be performed in accordance with the SingleAudit Act Amendments of 1996, as implemented by OMB Circular A-133, "Audits of States,Local Governments, and Non-Profit Organizations."http://4www.whitehouse.qov/omb/circulars/a133/al33.html Grantees are subject to theprovisions of OMB Circular A-1 33 if they expend $500,000 or more in a year in Federal awards.

The Form SF-SAC and the Single Audit Reporting packages for fiscal periods ending on or afterJanuary 1, 2008 must be submitted online.

1. Create your online report ID at http://harvester.census.qov/fac/collect/ddeindex.html2.1 Complete the Form SF-SAC3., Upload the Single Audit4.; Certify the Submission5., Click "Submit."

Organizations expending less than $500,000 a year are not required to have an annual audit forthat ypar but must make their grant-related records available to NRC or other designatedofficials for review or audit.

Il. Pr~xirammatic Requirements

Perfdrmance (Technical) Reportsa. The Grantee shall submit performance (technical) reports electronically to the NRC ProjectOff icqr and Grants Officer on a semi-annual basis unless otherwise authorized by the GrantsOfficir. Performance reports should be sent to the Program Officer at the email addressindicated in Block 12 of the Notice of Award, and to Grants Officer at:GranW_ PPR.Resource@ NRC.GOV. (NOTE: There is an underscore between Grants andPPR).

NRC-HO-13-G-38-0040Page 17 of 23

b. Unless otherwise specified in the award provisions, performance (technical) reports shiallcontain brief information as prescribed in the applicable uniform administrative requiremdnts2 CFR§215.51 which are incorporated in the award.

c. The Office of the Chief Human Capital Officer (OCHCO) requires the submission of the semi-annual progress report on the SF-PPR, SF-PPR-B, and the SF-PPR-E forms. The submissionfor the six month period ending March 31St is due by April 30 or any portion thereof. Theýsubmission for the six month period ending September 3 0 th is due by October 31st or any portionthereof.

d. Grant Performance Metrics:

The Office of Management and Budget requires all Federal Agencies providing funding freducational scholarships and fellowships as well as other educational related funding to r~eporton specific metrics. These metrics are part of the Academic Competitiveness Council's (ACC)2007 report and specifically relates to Science, Technology, Engineering, and Mathematibs(STEM) curricula. As a part of the OCHCO grant awards, in addition to the above customaryperformance progress report requested on the SF-PPR, SF-PPR-B, and SF-PPR-E formi,OCHCO requires the following metrics to be reported on by the awardee as follows:

Trade Schools and Community College Metrics

1. How many students have been sponsored by NRC funding? Ia. Response is the number of students, for this reporting period and cumulatie to

the grant. 1

2. How many students, supported by NRC funding, have received certification or arelicensed in their field of study?

a. Response is the number of students, for this reporting period and cumulatiie tothe grant.

3. How many students, supported by NRC funding, have procured employment in th6nuclear industry?

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

Unsatisfactory Performance aFailure to perform the work in accordance with the terms of the award and maintain at least asatisfactory performance rating or equivalent evaluation may result in designation of the 1Grantee as high risk and assignment of special award conditions or other further action asspecified in the standard term and condition entitled "Termination." I

Failure to comply with any or all of the provisions of the award may have a negative impa t onfuture funding by NRC and may be considered grounds for any or all of the following acticýns:establishment of an accounts receivable, withholding of payments under any NRC award,jchanging the method of payment from advance to reimbursement only, or the imposition 6fother special award conditions, suspension of any NRC~active awards, and termination ofl anyNRC award.

NRC-HO-13-G-38-0040Page 18 of 23

Other Federal Awards With Similar Programmatic ActivitiesThe rantee shall immediately provide written notification to the NRC Project Officer and theGrant; Officer in the event that, subsequent to receipt of the NRC award, other financialassist nce is received to support or fund any portion of the program description incorporatedinto tle NRC award. NRC will not pay for costs that are funded by other sources.

Prohibition Against Assignment By The GranteeThe Grantee shall not transfer, pledge, mortgage, or otherwise assign the award, or any interestthereip, or any claim arising there under, to any party or parties, banks, trust companies, orother financing or financial institutions without the express written approval of the Grants Officer.

Site VisitsThe IRC, through authorized representatives, has the right, at all reasonable times, to makesite vi•its to review project accomplishments and management control systems and to providesuch technical assistance as may be required. If any site visit is made by the NRC on thepremises of the Grantee or contractor under an award, the Grantee shall provide and shallrequiro his/her contractors to provide all reasonable facilities and assistance for the safety andconvenience of the Government representative in the performance of their duties. All site visitsand eyaluations shall be performed in such a manner as will not unduly delay the work.

IV. Miscellaneous Requirements

Crimihal and Prohibited Activitiesa. The Program Fraud Civil Remedies Act (31 USC §§ 3801-3812), provides for the imposition

of civil penalties against persons who make false, fictitious, or fraudulent claims to theFederal government for money (including money representing grant/cooperativeagreements, loans, or other benefits.)

b. False statements (18 USC § 287), provides that whoever makes or presents any false,ficitious, or fraudulent statements, representations, or claims against the United States shallbo subject to imprisonment of not more than five years and shall be subject to a fine in theamount provided by 18 USC § 287.

c. False Claims Act (31 USC 3729 et seq), provides that suits under this Act can be brought bythh government, or a person on behalf of the government, for false claims under federalassistance programs.

d. Copeland "Anti-Kickback" Act (18 USC § 874), prohibits a person or organization engaged ina federally supported project from enticing an employee working on the project from givingup a part of his compensation under an employment contract.

American-Made Eguipment And ProductsGrantbes are hereby notified that they are encouraged, to the greatest extent practicable, topurchase American-made equipment and products with funding provided under this award.

NRC-HQ-13-G-ý8-0040Page 19 of 23

Increasing Seat Belt Use in the United States IPursuant to EO 13043, Grantees should encourage employees and contractors to enforce on-the-job seat belt policies and programs when operating company-owned, rented or persdnally-owned vehicle.

Federal Leadership of Reducing Text Messaging While DrivingPursuant to EO 13513, Grantees should encourage employees, sub-awardees, and cont,'actorsto adopt and enforce policies that ban text messaging while driving company-owned, renfedvehicles or privately owned vehicles when on official Government business or when perfkrmingany work for or on behalf of the Federal Government.

Federal Employee ExpensesFederal agencies are generally barred from accepting funds from a Grantee to paytransportation, travel, or other expenses for any Federal employee unless specifically aporovedin the terms of the award. Use of award funds (Federal or non-Federal) or the Grantee'sprovision of in-kind goods or services, for the purposes of transportation, travel, or any otherexpenses for any Federal employee may raise appropriation augmentation issues. In addition,NRC policy prohibits the acceptance of gifts, including travel payments for Federal emplo yees,from Grantees or applicants regardless of the source.

Minority Serving Institutions (MSWs) InitiativePursuant to EOs 13256, 13230, and 13270, NRC is strongly committed to broadening th•participation of MSIs in its financial assistance program. NRC's goals include achieving fullparticipation of MSIs in order to advance the development of human potential, strengther theNation's capacity to provide high-quality education, and increase opportunities for MSIs toparticipate in and benefit from Federal financial assistance programs. NRC encourages l11applicants and Grantees to include meaningful participations of MSIs. Institutions eligibl to beconsidered MSIs are listed on the Department of Education website:http ://www.ed .gov/about/offices/list/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 does notinclude honest errors or differences of opinions. The Grantee organization has the primagyresponsibility to investigate allegations and provide reports to the Federal Government. *Fundsexpended on an activity that is determined to be invalid or unreliable because of scientifikmisconduct may result in a disallowance of costs for which the institution may be liable fo"repayment to the awarding agency. The Office of Science and Technology Policy at the WhiteHouse published in the Federal Register on December 6, 2000, a final policy that addressedresearch misconduct. The policy was developed by the National Science and TechnologyCouncil (65 FR 76260). The NRC requires that any allegation be submitted to the GrantsOfficer, who will also notify the OIG of such allegation. Generally, the Grantee organizationshall investigate the allegation and submit its findings to the Grants Officer. The NRC mayaccept the Grantee's findings or proceed with its own investigation. The Grants Officer shtallinform the Grantee of the NRC's final determination.

Publications. Videos, and Acknowledgment of SponsorshipPublication of the results or findings of a research project in appropriate professional jour alsand production of video or other media is encouraged as an important method of recordinrg andreporting scientific information. It is also a constructive means to expand access to federally

NRC-HQ-13-G-38-0040Page 20 of 23

funde~1 research. The Grantee is required to submit a copy to the NRC and when releasinginforrration related to a funded project include a statement that the project or effort undertakenwas or is sponsored by the NRC. The Grantee is also responsible for assuring that everypublication of material (including Internet sites and videos) based on or developed under anawardl, except scientific articles or papers appearing in scientific, technical or professionaljournals, contains the following disclaimer:

"This [report/video] was prepared by [Grantee name] under award [number] from[name of operating unit], Nuclear Regulatory Commission. The statements, findings,conclusions, and recommendations are those of the author(s) and do not necessarilyreflect the view of the [name of operating unit] or the US Nuclear RegulatoryCommission."

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

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

"any grant, contract, or cooperative agreement provided or entered into by a Federaldepartment or agency under which funds are to be provided to a private entity, in whole or inpart, shall include a condition that authorizes the department or agency to terminate the grant,contract, or cooperative agreement, without penalty, if the grantee or any subgrantee, or thecontractor or any subcontractor (i) engages in severe forms of trafficking in persons or hasprocured a commercial sex act during the period of time that the grant, contract, or cooperativeagreement is in effect, or (ii) uses forced labor in the performance of the grant, contract, orcooperative agreement." (22 U.S.C. § 7104(g)).

Award Term2 CFR 170.220 directs agencies to include the following text to each grant award to a non-federal entity if the total funding is $25,000 or more in Federal funding.

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier suba wards.

1. Apijlicability. Unless you are exempt as provided in paragraph d. of this award term, you mustreport each action that obligates $25,000 or more in Federal funds that does not includeRecoyery funds (as defined in section 1512(a)(2) of the American Recovery and ReinvestmentAct of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of thisaward term).

2. Where and when to report.

i. Youý must report each obligating action described in paragraph a. 1. of this award term to

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

NRC-HO-1 3-G-138-0040Page 21 of 23

3. What to report. You must report the information about each obligating action that the

submission instructions posted at Iht:M/:A.ww. rfy. .got, specify.

b. Reporting Total Compensation of Recipient Executives.

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

i. the total Federal funding authorized to date under this award is $25,000 or more;

ii. in the preceding fiscal year, you received-

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (andsubcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts landsubcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the executivesthrough periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Ac of1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (Todetermine if the public has access to the compensation information, see the U.S. Securi_ andExchange Commission total compensation filings at htp:/At'ww.. .. )l/aI~s'er./e.ecoF.hI .)

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

paragraph b.1. of this award term:

i. As part of your registration profile at httU:/Avww..sam. got,

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 thisaward term, for each first-tier subrecipient under this award, you shall report the names andtotal compensation of each of the subrecipient's five most highly compensated executives forthe 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 l(andsubcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (andsubcontracts), and Federal financial assistance subject to the Transparency Act (andsubawards); and

ii. The public does not have access to information about the compensation of the executi esthrough periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Actlof

NRC-HQ-13-G-38-0040Page 22 of 23

1934 (L5 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (Todeter mine if the public has access to the compensation information, see the U.S. Security andExchalge Commission total compensation filings at ht/p:/-A vw. sec. gov/anst 'ers/e.ecomlp. htfil.)

2. Where and when to report. You must report subrecipient executive total compensationdescrib ed 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. Forexample, if a subaward is obligated on any date during the month of October of a given year(i.e., between October 1 and 31), you must report any required compensation information of thesubreqipient by November 30 of that year.

d. Exe~nptions

If, in tlhe previous tax year, you had gross income, from all sources, under $300,000, you areexeml~t from the requirements to report:

i. Subawards,

and

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

e. Definitions. For purposes of this award term:

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

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

ii. A foreign public entity;

iii. A dbmestic 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-Federalentity.

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

3. Su4award:

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

ii. The term does not include your procurement of property and services needed to carry out theproject or program (for further explanation, see Sec. __ .210 of the attachment to OMB CircularA-1 33, "Audits of States, Local Governments, and Non-Profit Organizations").

iii. A sibaward may be provided through any legal agreement, including an agreement that youor a sibrecipient considers a contract.

NRC-HG-13-G-38-0040Page 23 of 23

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive duringthe recipient's or subrecipient's preceding fiscal year and includes the following (for moreinformation 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 (Revised 2004)(FAS 123R), Shared Based Payments.

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

iv. Change in pension value. This is the change in present value of defined benefit and actuarial

pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance,termination payments, value of life insurance paid on behalf of the employee, perquisites orproperty) for the executive exceeds $10,000.