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

1. GRANT/AGREEMENT NO. 2. MODIFICATION NO. 3. PERIOD OF PERFORMANCE 4. AUTHORITYNRC-HQ-13-G-38-0017 I FROM: 08/01/2013 TO: 07/31/2015 Pursuant to Section 31b and 141bofthe

___Atomic Energy Act of 1954. as amended5. TYPE OF AWARD 16. ORGANIZATION TYPE 7. RECIPIENT NAME, ADDRESS, and EMAIL ADDRESS

Public Statee-Controliled InsztiuzionFLOR.IDA INTERNATIONAL UNIVERSITYOf Hiqher Education 11200 SW 8 ST , MLARC 430

[5 GRANT DUNS: 071298814 MIAMI, FL 3319ICOOPERATIVE AREEMENT NAICS: 611310 Email: qu-ierr,•fzu.du

8. PROJECT TITLE:The Florida International University Nuclear Scholarship (FNS) Program

9. PROJECT WILL BE CONDUCTED 10. TECHNICAL REPORTS ARE REQUIRED 11. PRINCIPAL INVESTIGATOR(S) NAME. ADDRESS and EMAIL ADDRESSPER OVERMENS/REIPIET'SMr. Konstantinos Kavallieratos, 305-348-6034PER GOVERNMENT'S/RECIPIENTES 7 PROGRESS AND FINAL Florida International University

PRPSLSee P etDe--ip-o FINAL ONLY 11200 SW 8 Street CP326See Project Description Miami, FL 33199

AND APPENDIX A-PROJECT D OTHER (Conference Proceedings) Email: kaval lie@fiu .edu

GRANT PROVISIONS___ _________________ ______________________

12. NRC PROGRAM OFFICE (NAME and ADDRESS) 13. ACCOUNTING and APPROPRIATION DATA 14. METHOD OF PAYMENTNRC APPN. NO: 31X0200 ADVANCE BY TREASURY CHECKNancy Hebron-Isreal, 301-287-0718 B&R NO: 2013-84-51-K-164Office of Chief Human Capital Officer J : REIMBURSEMENT BY TREASURY CHECKMS: 3WFN/3AI2 JOB CODE: T8458

11545 Rockville Pike BOC NO: 4110 DLETTER OF CREDITRockville, MD OFFICE ID NO: HR-13-182 OTHER (SPECIFY) Electronic ASAP.govEmaER(PECFY ElectronicASAPeal~cgovEmail : nacny,, hebron - isreal~nre, oy FAIMIS: GR0312 (See Remarks in Item #20 "Payment Information")

15. NRC OBLIGATION FUNDS 16. TOTAL FUNDING AGREEMENTThis action provides funds for Fiscal Year 2013

THIS ACTION $200,000.00 NRC $200,000.00 in the amount of $200,000.00

PREVIOUS OBLIGATION RECIPIENT $24,000.00

TOTAL $200,000.00 TOTAL $224,000.00

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

U.S. Nuclear Regulatory CommissionDiv. of ContractsAttn: Gordana zuber, 301-287-0900Mail Stop: 05C64MWashington, DC 20555Email: Gordana. Zuber@nrc.qov

18. 19. NRC CONTRACTING OFFICER

Signature not required a,,r, (aw L,"2012?

(Signature) (Date)NAME (TYPED) Erika Eam

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 program objectives,

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

21. Attached is a copy of the "NRC General Provisions for Grants and Cooperative Agreements Awarded to Non-Government Recipients.

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

22. ORDER OF PRECEDENCEin 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 certifies that payment of any audit-related debt will not reduce the level of performance of any Federal Program.

TEMPLATE - ADMOGIr" SUNSI REVIEW COMPLETL AUG 2 9 2013

NRC-HQ-13-G-38-0017Page 2 of 23

ATTACHMENT A - SCHEDULE

A.1 PURPOSE OF GRANT

The purpose of this Grant is to provide support to the "The Florida International UniversityNuclear Scholarship (FNS) Program" as described in Attachment B entitled "ProgramDescription."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is August 1, 2013. The estimated completion date of thisGrant is July 31, 2015.

2. Funds obligated hereunder are available for program expenditures for the estimated period:August 1, 2013 - July 31, 2015.

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

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

B. SPECIFICRFPA No.:FAIMIS:Job Code:BOC:B&R Number:Appropriation #:Amount Obligated:

$200,000.00$200,000.00$ 24,000.00The Florida International University NuclearScholarship (FNS) ProgramNancy Hebron-Isreal071298814

HR-13-182GR0312T845841102013-84-51-K-16431 X0200$200,000.00

A.3 BUDGET

Revisions to the budget shall be made in accordance with Revision of Grant Budget inaccordance with 2 CFR 215.25.

Personnel CostFringeTravelSuppliesOther (Scholarship)Total Direct CostIndirect CostTotal FederalTotal Non-Federal

Year 1$ 6,860.00$ 2,035.50$ 5,000.00$ 6,844.00$ 77,500.00$ 98,239.50$ 1,659.00*$ 99,898.50$12,000.00

Year 2$ 7,048.00$ 2,035.50$ 5,000.00$ 6,844.00$77,500.00$ 98,427.50$ 1,674.00$100,101.50$ 12,000.00

All travel must be in accordance with the Florida International University Travel Regulations orthe US Government Travel Policy absent Grantee's travel regulation.

NRC-HQ-13-G-38-0017Page 3 of 23

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $200,000.00 for the two year period, inclusive ofcost share.

2. NRC hereby obligates the amount of $200,000.00 for program expenditures during theperiod set forth above and in support of the Budget above. The Grantee will be given writtennotice by the Grants Officer when additional funds will be added. NRC is not obligated toreimburse the Grantee for the expenditure of amounts in excess of the total obligated amount.

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

Attachment B - Program Description

Project DescriptionType and degree of student support

The FNS Program will support 15 FlU students each year for 2 years with $5000 fortuition and will provide them with research opportunities in mostly chemistry with radiochemistryemphasis. As health physics courses are developed, students in physics might be givenscholarships to support their BS in physics with approval of NRC technical lead. The program isdesigned to support students, who have selected to pursue these nuclear-related careers and tomentor and train them to be part of the nuclear workforce. Also students will interact with theDepartment of Energy and NRC scientists. Most students supported will be in their third andfourth year of study. At this point the students have both a solid science background, and haveclarified their career/major preferences, to the extent required to pursue research. The PI, Co-P1 and the FNS Program Mentoring Committee will closely monitor the progress of students intheir curricular studies and research, and will offer support in terms of mentoring, advising, andsupport for publication and presentation of the student's work in local and national meetings.

The leveraged cost sharing on this program is FIU's commitment of $12,000/yr totaldirect cost to support the PI during the academic year ($7934) and $7270 in additional stipendsand supplies for this program. All scholarship students will be required to accept serviceagreement terms as part of their scholarship application process.Capability and ability of FlU to conduct the recruitment, marketinq and other program elements

FlU has a large recruitment program that reaches out to all high schools in Miami Dadeand Broward counties and to Miami Dade College. The university has grown over 50% in thepast 4 years to over 50,000 students.

FlU currently has numerous programs geared to direct minority undergraduate studentsinto careers in research, and thus are instrumental to our recruiting efforts for our FNS Program.Close contact with all the coordinators of those programs will enure wide publicity of the newFNS Scholarship program. Just a few of these programs include: 1) The Minority BiomedicalResearch Scholars (MBRS), MARC and RISE programs, 2) The Ronald E. McNair Program, 3)The Florida-Georgia Lewis Stokes Alliance for Minority Participation in Research Program, and4) The newly funded NSF-REU Site based in Chemistry" on Sensing, Monitoring, and Detectionfor which Dr. Kavallieratos, is also PI and the REU site director. The PI has been extensivelyinvolved in mentoring undergraduate and graduate students (when applicable) to all these

NRC-HQ-13-G-38-0017Page 4 of 23

programs. Many of the undergraduate students involved have publications in prestigiousjournals and publications in national and international scientific meetings and conferences. FlUworks with several local high schools encouraging careers into science and engineeringresearch. The TERRA program brings many students from local high schools to perform and bementored in research opportunities at FlU over the summer. Engineering similarly bringshundreds of students to FlU for a week of Engineering Gala of fun activities such as robotcompetitions. Additional recruiting strategies for our program will include publicized seminars byparticipating faculty and the PI and the production and distribution of a brochure, which will bewidely distributed in South Florida Community colleges, including all campuses of Miami-DadeCollege, which is the largest Community College in the nation, and within all student advisingcenters and different academic advisors and departments on campus.

The FNS Program Mentoring Committee will also serve as the selection committee. Itwill include the PI, co-PI, a physics professor, an engineering professor (both involved in nuclearprograms), and an NRC representative. The selection process will consist of 3 steps: (1)Screening to assure candidate has 3.0+ GPA and has completed application which includesresume, answers to essay questions, signed NRC service agreement, and letters ofrecommendation; (2) Personal interview with student and selection committee; and (3) Selectionby the committee based upon several key criteria. Selection will be based on the highestaverage student grade given by the committee. Grading will be based upon a specific set ofobjective and subjective weighted criteria regarding the applicant's written application andverbal responses to interview questions. Students with similar committee grades will also bereviewed for diversity considerations. Awards to women, minorities are expected to reflect thehigh diversity in the community. Those with disabilities and demonstrated financial need will alsobe given additional consideration, within this grading system. Committee members gradeapplicants on a 1-10 scale and the average score is rounded to the nearest half grade (e.g., 8,8.5, 9, 9.5, 10). The number of applications is expected to be high, because of vigorousadvertising and outreach activities.

FlU currently has one of the most reasonable tuition and fee structures nationally, whilealso being recognized for its high-quality education. It has been continuously ranked for severalyears as among the top-10 of best-value universities across the nation. Its in-stateundergraduate tuition rate is $201.66 per credit hour ($614.96 for out-of-state). The estimatedtotal annual cost per students (30 credit hours) is $6,427 for an in-state student and $18,826.28for an out-of-state student. Most of the students supported in the program are expected to be in-state students, and as a result of their FNS support their only tuition and fee costs they will haveto incur after they receive their award are $1,427 for a 30-credit hour load.

These scholarships will not be an element of State of Florida's or FIU's strategic planduring the 2 years of NRC funding. The program will be expanded in the next 2 years to be partof FIU's strategic plan and would involve distance learning (well established at FlU). FlU hasexisting programs with the local nuclear utility, Florida Power and Light, and has been indiscussions on how to set up a workforce development program with them.

Located in Miami, Florida International University is a state coeducational universitywhich with over 50,000 students and over 1,000 full-time faculty. It is ranked as one of the 25largest institutions in the nation. Since it opened its first classes in 1972, FlU has maintained thegoal of providing high quality education to the south Florida community and now has establisheditself as the Miami metropolitan area public research university. It has achieved the highestresearch classification status, Carnegie Research Intensive. FlU offers more than 200bachelor's, master's and doctoral programs and is ranked first in the nation among four-year

NRC-HQ-13-G-38-0017Page 5 of 23

colleges and universities for awarding bachelor's and master's degrees to Hispanic students(according to a 2008 survey conducted by Hispanic Outlook in Higher Education magazine). FlUis the youngest university to have been awarded a chapter of Phi Beta Kappa, the nation'soldest and most distinguished academic honor society. FIU's dynamic student body reflects thevibrant diversity of South Florida with 59% hispanic-latino, 13% black, and 56% female studentsfrom every state and over 115 countries. Since 2007, more valedictorians from South Floridaelect to attend FlU than any other university in the country. Admission standards have alsoincreased with acceptance rates dropping from 47% for Fall 2005 to 33% for Fall 2008, makingFlU one of the most selective universities in Florida. For Fall 2008, the average incomingfreshmen had an average SAT score of 1161, a 25 ACT score and a 3.8 high school GPA.Several interdisciplinary research centers underpin the research priorities, which through thefaculty teaching and mentoring efforts reach the students both in the research lab and in theclassroom. The library includes all the latest collection of widely accessible electronic journalsand databases (such as SciFinder Scholar and ISI-Citation Index), and computer facilities, towhich all students and visitors have free access.

Within FlU, Chemistry and Biochemistry has a record of success in terms of research. Inthe last three years the department has generated over 200 publications in peer reviewedjournals and over 450 papers presented at national and regional conferences. The numbers ofundergraduate and graduate student majors have more than doubled since 2002. The numberof externally funded graduate students has also more than doubled. In the 2005-2006academic year the department generated more American Chemical Society (ACS) certified BSmajors than any other university in Florida. The Department has identified multidisciplinaryresearch initiatives in the areas of biomedical, environmental, and forensic chemistries.Several state of the art facilities include mass spectrometry, NMR (including a 600 MHz), DNAfingerprinting, trace evidence analysis and trace metal analysis. Additionally, several centerswithin the university such as the Southeast Environmental Research Center (SERC), theAdvanced Research Cooperation in Environmental Health (ARCH) and the InternationalForensic Research Institute (IFRI) provide opportunities for interdisciplinary collaboration.

The Department offers B.S., B.A., M.S. and Ph.D. degrees, including one of the first Ph.D.degrees with a forensic track in the nation. With 32 faculty members (28 research active), over500 undergraduate majors, and over 100 graduate students (most in the Ph.D. program) theDepartment of Chemistry and Biochemistry, together with related disciplines (Physics, BiologicalSciences, and the School of Medicine) occupies space in a complex of four interconnectedbuildings: the Chemistry and Physics building, and the new Health and Life Sciences buildings.The Department is well equipped to support the undergraduate and graduate researchprograms. It maintains centralized instrumentation centers for mass spectrometry and NMR. Italso maintains excellent support facilities (computing, stockroom, etc.). Over the past threeyears of the 224 students who graduated with degrees in Chemistry from FlU, 57% werewomen, 58% were Hispanic, and 13% were African American, reflecting to a large extent thediversity of the FlU community, and the Miami area.

The FlU and Chemistry Department faculty have strong commitments to excellence ineducation and research. The majority of our faculty has obtained major external support. Therehas been growth in terms of hiring in the last few years at both the senior and junior levels, andsome of these new hires have aspired to new research directions. The faculty is itself diverse interms of gender, race and national origin, with 6 women and 3 Hispanic-Latino. Of the 12 facultyhires in the last six years, 4 are women. The Chemistry B.S. curriculum has strong componentsin math, physics, and advanced chemistry courses with all degrees certified by the ACS. As adepartment we have placed emphasis in developing our curriculum further and offering to ourmajors a choice of tracks within our program, leading to our substantial growth in the number ofmajors. Thus along with our B.S. and B.A. tracks we offer certificates in Forensic Science, and

NRC-HQ-13-G-38-0017Page 6 of 23

the E.E. and B.A. with Honors, which include a written thesis with a defense. We stronglyencourage undergraduate students to participate in research. All our B.S. majors are required tocomplete a report of their research in the format of an ACS publication. Many of these studentsare involved in research for as long as two years with combined support from faculty grants andprograms, such as MBRS, BRI, and McNair, and many end up with several publications. Someof our undergraduates have received prestigious nationally competitive awards such asSummer Research Scholarships at Dow-Corning and Procter and Gamble, and FordFoundation Doctoral Fellowships. Undergraduates have appeared as authors on numerousresearch articles and presented their own work at conferences. We also have a good record ofour students participating in REU programs. FlU has two active Student Affiliate Chapters whichfor the last 15 years have continuously received awards for service by the American ChemicalSociety for promoting Chemistry on and off campus. Both of our chapters have been recognizedwith outstanding awards. The PI has been serving for a long time as chapter co-advisor, andcontinuously promoted research opportunities for undergraduates early in their careers.

Evaluation Plan to measure the effectiveness of the progjramThe PIs will work closely with NRC and the FlU Office of Institutional Research to define

metrics and assess our program through application data, surveys and participant productivity,as outlined below. Our evaluation plan will address a number of groups: applicant andparticipant pools, students awarded the fellowships and the faculty involved. Evaluation data willbe collected from several sources:

(i) The Application Form. The application for the program will include questions regardinghow the applicant first heard about our program. The aim of these questions is to determine theeffectiveness of our advertising and recruiting efforts. Additional questions on initial career goalswill determine if the applicants' career goals were altered or reinforced after their participation.

(ii) Exit Surveys. All participants will have an interview with the program co-directors. Inaddition, exit surveys with the online survey instrument Undergraduate Research Student Self-Assessment (URRSSA) will be used to evaluate the participant experience and learning gains(www.salqsite.org).

(iii) Post-Program Surveys. A follow-up survey will be conducted with i) the participants andii) the faculty involved in training the students, six months after completion of the program. Wewould like to know the students' plans after graduation and how their participation in ourprogram influenced those plans. We would also like to know how the students' employers aftergraduation view the program, and if they have seen the beneficial effects of the program to thestudents' motivation, drive, and research involvement as a result of their program participation.A database of student's employers after graduation (or mentors, if they choose to pursuegraduate school) will be kept, and there will be regular contact with these employers so that theimpact of our program will be further enhanced by successful networking between the programdirectors, school alumni, and the employers/mentors. Regular reporting to the NRC will includea detailed survey of student academic progress, research productivity and post-graduationemployment.

iv) Other: In addition to the primary tools above, additional evaluation data will be collectedfrom surveys of activities throughout the program. These include the entrance interview of thestudents with the PIs, matrix-type survey evaluation of the curricular component, seminars,workshops, and activities, and evaluation of the meetings of the participants with the programdirectors and their mentors.

We specifically aim to achieve the following tangible goals in our program:

* High levels of participation by women. During the award period, >65% of the participants willbe women. It should be noted that 57% of our majors in chemistry at FlU are currently women.

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" High levels of participation by underrepresented minority students. During the award period,we aim to have at least 65% participation by underrepresented minorities in our program. FlUalready has an over 70% underrepresented minority component in our undergraduate majors(predominantly Hispanic-Latino). We will specifically aim to maintain high minorityrepresentation, and increase participation of African American and Native American students.

• Research performed by the participants is expected to appear in high-quality peer-reviewedjournals and will be presented at regional, national, and international conferences. Our goal isfor at least 50% of the participants to have a peer-reviewed publication within two years, andat least 70% a presentation at a national meeting within 1 year.

" A high level of enhancing students' positive view of research careers, as will be evidenced bythe number of students who will pursue graduate degrees. We aim for at least 70% ofparticipants over the grant period to eventually embark on graduate study in the sciences,after graduation.

" Faculty satisfaction with the dedication of participants and their experience with the program.An end-of-summer advisor survey will document this. We expect that advisors will include thecontributions of their research participants in scientific publications and presentations and willencourage students to continue their research experience in the future.

Institutional support, plans for sustainability, and number and quality of students servedFIU's Division of Research (DOR) established a new nuclear initiative in May 2011

bringing together nuclear researchers in multiple academic and research units to work togetherto greatly expand our programs and research funding levels through multi-disciplinary efforts.From this evolved the FlU Nuclear Research Interdisciplinary Program (NRIP) with over 42members from 9 separate FlU units. NRIP meets monthly, puts out a quality nuclear e-newsletter and jointly work toward enhancing nuclear facilities and research, funding. In 2011FlU sponsored a Nuclear Teach-In with representatives from nuclear utilities, nuclearresearchers and Dr. Nils Diaz, former chairman of the US Nuclear Regulatory Commission asthe keynote speaker. In 2012 FlU has developed a charter for an external Nuclear Board ofAdvisors to be chaired by Dr. Diaz. Its first meeting is expected to occur in Nov-Dec. 2012timeframe. FlU DOR Vice President, Henry Artigues has multiple meetings with nuclearresearchers each week to improve facilities and support new funding efforts. FlU DOR alsosupports the development of the nuclear e-newsletter each quarter that is sent out to FlU alumniand other key stakeholders. Importantly, FlU is providing a 12% cost match to show support ofnuclear programs.

FlU has met with Florida Power and Light and discussions are ongoing aboutestablishing a funded program in 2014 to support new nuclear reactors to be built in Florida. FlUhas no solid commitment at this time from FPL. In addition, the new FlU Nuclear AdvisoryBoard is expected to play a key role in doubling FIU's level of nuclear research within 2-3 years.

There are several million students in the diverse Miami area. The recruiting andmarketing plan described above will bring in a large selection of quality students. The distancelearning will be developed to reach over 100 additional students in 2014. While this programsponsors 14 students per year, FlU envisions that this number would more than double in 5years with the increased programs and funding anticipated from the newly developed NuclearAdvisory Board. No firm commitments are in place for long-term sustainability of the scholarshipprogram but we believe our track record of growth overall and in nuclear programs are strongindicators of our sustainability. Since 2007 FlU has received funding from the Dept. of Energy tosupport 30 students each year in the cleanup of the nuclear weapons complex. Most studentshave hands on nuclear related research from cleaning buildings and removing radionuclides incontaminated soils. We expect this program would grow in a similar manner.

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Innovation in accessing quality, diverse students via recruitment and distance learninqThe recruitment of students to FlU is second to none in the USA. The university has

grown over 50% in the past 4 years to over 50,000 students while maintaining quality anddiverse student body more diverse than any other large, research institution (Carnegie.Research Intensive) in the USA except in Puerto Rico. FlU and Miami Dade College bothreflect diversity of the community. FIU's students are 59% hispanic-latino, 13% black, and 56%female students. The PI and co-PI will be instrumental in establishing this new scholarshipprogram and in helping create distance learning capability for several of the nuclear coursesunder development at FlU with NRC Curricula Development funding (awarded Aug. 31, 2012).

Leveraged funding due to this solicitationFlU is supporting this FlU Nuclear Scholarship Program through a 12% cost match on

this grant with a $24K commitment for support including time for PI, stipends and extra supplies.

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 141b of the Atomic Energy Act of 1954, as amended, and is subject to the terms andconditions incorporated either directly or by reference in the following:

* 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 Uniform

Administrative Requirements For Grants And Agreements With Institutions Of HigherEducation, Hospitals, And Other Non-Profit Organizations (OMB Circulars), asapplicable.

To assist 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-122 (now 2 CFR 230A-102:

http://www.whitehouse.gov/omb/circulars index-ffm

Any inconsistency or conflict in terms and conditions specified in the award will be resolvedaccording to the following order of precedence: public laws, regulations, applicable noticespublished in the Federal Register, Executive Orders (EOs), Office of Management and Budget(OMB) Circulars, the Nuclear Regulatory Commission's (NRC) Mandatory Standard Provisions,special award conditions, and standard award conditions.

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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 any 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 meet thedefinition of "Grantee" in Part 215, unless a section specifically excludes a sub-recipient fromcoverage. The Grantee and any sub-recipients must, in addition to the assurances made aspart of the application, comply and require each of its sub-awardees employed in the completionof 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-1 33. <http://www.whitehouse.gov/omb/circulars/a1 33/al 33.htmlhttp://www.whitehouse.qov/omb/circulars/a 133 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 managethe 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 theproject performance reports. This award is funded on a cost reimbursement basis not to exceedthe amount awarded as indicated on the face page, Block 16 and is subject to a refund ofunexpended 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 andadministrative 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 mattersof a contractual nature. Matters concerning violation of statute are to be referred to suchFederal, State or local authority as may have proper jurisdiction.

SubqrantsAppendix A to Part 215-Contract Provisions

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

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

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No U.S. citizen or legal resident shall be excluded from participation in, be denied the benefitsof, or be 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 VI 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)Section 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 Americans with Disabilities Act of 1990 (42 USC §§ 12101 et seq)Parts II 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).

Generally, Title VI of the Civil Rights Act of 1964, 42 USC § 2000e et seq, provides that it shallbe an unlawful 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.

Modifications/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 or 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 priorapproval, when required, from the NRC Grants Officer may result in the disallowance of costs,or other enforcement action within NRC's authority.

Lobbying RestrictionsThe Grantee will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-1508and 7324-7328) 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.

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,

NRC-HQ- 13-G-38-0017Page 11 of 23

including those received from sub-recipients, contractors, and subcontractors, to the GrantsOfficer.

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

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

(2) Have been convicted within the preceding three-year period preceding this proposal beenconvicted 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 (Federal,State, or local) transaction or contract under a public transaction; violation of Federal or Stateantitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification ordestruction 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

(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 entitythat is included on the Excluded Parties List System (http://epls.arnet.qov).

The Grantee further agrees to include the following provision in any subgrant or contractsentered into under this award:

'Debarment, Suspension, Ineligibility, and Voluntary Exclusion

The Grantee certifies that neither it nor its principals is presently excluded or disqualified fromparticipation 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 USC702.

Implementation of E.O. 13224 -- Executive Order On Terrorist FinancingThe Grantee is reminded that U.S. Executive Orders and U.S. law prohibits transactions with,and the provision of resources and support to, individuals and organizations associated withterrorism. It is the legal responsibility of the Grantee to ensure compliance with these Executive

NRC-HQ-13-G-38-0017Page 12 of 23

Orders and laws. This provision must be included in all contracts/sub-awards issued under thisgrant/cooperative 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.orcq/irp/offdocs/eo/eo-13224.htm.

Procurement Standards. § 2 CFR 215.40-48Sections 215.40 through 215.48 set forth procurement standards for use by Grantees inestablishing procedures for the procurement of supplies and other expendable property,equipment, real property and other services with Federal funds. These standards are furnishedto ensure 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 shall be imposed by the Federal awardingagencies upon Grantees, unless specifically required by Federal statute or executive order orapproved by OMB.

TravelTravel must be in accordance with the Grantee's Travel Regulations or the US GovernmentTravel Policy and Regulations at: www.qsa.Qov/federaltravelregulation and the per diem ratesset forth at: www.gsa.gov/perdiem, absent Grantee's travel regulation. Travel costs for thegrant must 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 not required, if the trip is identified in the Grantee's approved program description andapproved 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:International travel requires PRIOR written approval by the Project Officer and the GrantsOfficer, 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.

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 established in2 CFR 215.36.

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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, and itsGovernment-wide implementing regulations found at Title 37, Code of Federal Regulations(CFR) Part 401. A significant part of the regulations require that the Grantee report all subjectinventions to the awarding agency (NRC) as well as include an acknowledgement of federalsupport in any patents. NRC participates in the trans-government Interagency Edison system(http://www.iedison.qov) and expects NRC funding Grantees to use this system to comply withBayh-Dole and related intellectual property reporting requirements. The system allows forGrantees to submit reports electronically via the Internet. In addition, the invention must bereported 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 patentsearch, 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 awardwithout 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. TheGrantee 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 purposes.

CopyrigqhtThe Grantee may copyright any work produced under a NRC federal financial assistance awardsubject 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 jointlyauthored 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 Granteeto 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.

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

Organizational Prior Approval SystemIn order to carry out its responsibilities for monitoring project performance and for adhering toaward 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 NRCsupported activity where prior approvals are required, including the obligation or expenditure offunds where the governing cost principles either prescribe conditions or require approvals.

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The Grantee shall designate an appropriate official or officials to review and approve the actionsrequiring 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. 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 suchindividual.

Conflict Of Interest StandardsFor this 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 EnforcementTermination of this award by default or by mutual consent shall follow provisions as establishedin 2 CFR 215.60-62,

Dispute Review Proceduresa. 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 GrantsOfficer.

b. 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. 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. Pending resolution of the request for review, the NRC may withhold or defer paymentsunder 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 Grantee and theNRC program office to discuss pertinent issues and to submit such additional information as itdeems appropriate. The chairman of the review committee will insure that all review activities 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

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Program Income - 2 CFR 215.24o Earned program income, if any, shall be added to funds committed to the project

by the NRC and Grantee and used to further eligible project or programobjectives or deducted from the total project cost allowable cost as directed 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 up 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 be 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 theaward. 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 costsresulting from obligations incurred during the funding period and any pre-award costs authorizedby 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. Verbal orwritten assurances of funding from other than the Grants Officer shall not constitute authority toobligate funds for programmatic activities beyond the expiration date.

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 discretion of the NRC.

d. Requests for extensions to the period of performance should be sent to the Grants Officerat least 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) ProceduresUnless otherwise provided for in the award document, payments under this award will be madeusing the Department of Treasury's Automated Standard Application for Payment (ASAP)system < http://www.fms.treas.gov/asap/>. Under the ASAP system, payments are madethrough preauthorized electronic funds transfers, in accordance with the requirements of the

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Debt Collection Improvement Act of 1996. In order to receive payments under ASAP, Granteesare required to enroll with the Department of Treasury, Financial Management Service, andRegional Financial Centers, which allows them to use the on-line method of withdrawing fundsfrom their ASAP established accounts. The following information will be required to makewithdrawals 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. Granteesenrolled in the ASAP system do not need to submit a "Request for Advance or Reimbursement"(SF-270), for payments relating to their award.

Audit RequirementsOrganization-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://www.whitehouse.oov/omb/circulars/a133/a133.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.gov/fac/collect/ddeindex.html2. 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 year but must make their grant-related records available to NRC or other designatedofficials for review or audit.

Ill. Programmatic Requirements

Performance (Technical) Reportsa. The Grantee shall submit performance (technical) reports electronically to the NRC ProjectOfficer and Grants Officer on a semi-annual basis unless otherwise authorized by the GrantsOfficer. 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:Grants PPR.Resource@NRC.GOV. (NOTE: There is an underscore between Grants andPPR).

b. Unless otherwise specified in the award provisions, performance (technical) reports shallcontain brief information as prescribed in the applicable uniform administrative requirements2 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 3 1 st is due by April 3 0 th or any portion thereof. Thesubmission for the six month period ending September 3 0 th is due by October 3 1st or any portionthereof.

d. Grant Performance Metrics:

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The Office of Management and Budget requires all Federal Agencies providing funding foreducational scholarships and fellowships as well as other educational related funding to reporton specific metrics. These metrics are part of the Academic Competitiveness Council's (ACC)2007 report and specifically relates to Science, Technology, Engineering, and Mathematics(STEM) curricula.

As part of the OCHCO grant awards, in addition to the above customary performance progressreport requested on the SF-PPR, SF-PPR-B, and SF-PPR-E forms, OCHCO requires thefollowing metrics to be reported on by the awardee as follows:

Scholarship Performance Metrics

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

the grant.2. How many students, supported by NRC funding, have received B.S. or equivalent

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

the grant.3. How many students, supported by NRC funding, have accepted a job and are employed

in the nuclear industry?a. Response is the number of students, for this reporting period and cumulative to

the grant.4. How many students, supported by NRC funding, are continuing on to Graduate School

in a field related to the nuclear industry?a. Response is the number of students, 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 at least asatisfactory performance rating or equivalent evaluation may result in designation of theGrantee as high risk and assignment of special award conditions or other further action asspecified in the standard term and condition entitled 'Termination."

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

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

Prohibition Aclainst Assignment Bv The Grantee

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The Grantee shall not transfer, pledge, mortgage, or otherwise assign the award, or any interesttherein, 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 NRC, through authorized representatives, has the right, at all reasonable times, to makesite visits 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 shallrequire 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 evaluations shall be performed in such a manner as will not unduly delay the work.

IV. Miscellaneous Requirements

Criminal 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,fictitious, or fraudulent statements, representations, or claims against the United States shallbe 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 bythe 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 Equipment And ProductsGrantees are hereby notified that they are encouraged, to the greatest extent practicable, topurchase American-made equipment and products with funding provided under this award.

Increasing Seat Belt Use in the United StatesPursuant 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 personally-owned vehicle.

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

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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 approvedin 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 employees,from Grantees or applicants regardless of the source.

Minority Serving Institutions (MSIS) InitiativePursuant to EOs 13256, 13230, and 13270, NRC is strongly committed to broadening theparticipation of MSIs in its financial assistance program. NRC's goals include achieving fullparticipation of MSIs in order to advance the development of human potential, strengthen theNation's capacity to provide high-quality education, and increase opportunities for MSis toparticipate in and benefit from Federal financial assistance programs. NRC encourages allapplicants and Grantees to include meaningful participations of MSIs. Institutions eligible 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 primaryresponsibility to investigate allegations and provide reports to the Federal Government. Fundsexpended on an activity that is determined to be invalid or unreliable because of scientificmisconduct may result in a disallowance of costs for which the institution may be liable forrepayment 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 shallinform 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 journalsand production of video or other media is encouraged as an important method of recording andreporting scientific information. It is also a constructive means to expand access to federallyfunded research. The Grantee is required to submit a copy to the NRC and when releasinginformation 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 anaward, 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."

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

Section 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 subawards.

1. Applicability. 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 includeRecovery 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. You must report each obligating action described in paragraph a.1. of this award term to

ii. For subaward 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 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 httU://wiv'w.fyrs.gov' specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your fivemost 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-

NRC-HQ-13-G-38-0017Page 21 of 23

(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 ] 70.320 (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, as defined at 2CFR 1.70.320 (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 Act 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. Security andExchange Commission total compensation filings at http://wwnv. sec. y.)v/lca. 'wvers/le.\ecoml).htlm.)

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

i. As part of your registration profile at lztp://wvvv'.swam. oly.

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 (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 executivesthrough periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act 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. Security andExchange Commission total compensation filings at http.//i' . •ec.'.,'/an~ er.c.xecomp.hzm.)

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

i. To the recipient.

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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 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, you areexempt from the requirements to report:

i. Subawards,

and

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

e. Definitions. For purposes of this award term:

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

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-Federalentity.

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

3. Subaward:

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-133, "Audits of States, Local Governments, and Non-Profit Organizations").

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

4. Subrecipient means an entity that:

NRC-HQ-13-G-38-0017Page 23 of 23

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.