NUCLEARUNITED STATESNUCLEAR REGULATORY COMMISSION

WASHINGTON, D.C. 20555-0001

August 1,2014

Dr. Mikael Nilsson VIA Electronic MailUniversity of California - Irvine nilssonm@uci.edu5171 California AvenueIrvine, California 92697

SUBJCT: GRANT NO: NRC-HQ-84-14-G-0041

Dear Dr. Nilsson:

Pursuant to the authority contained in the Federal Grant and Cooperative Grantee Act of 1977 and theAtomic Energy Act of 1954, the Nuclear Regulatory Commission (NRC) hereby awards to the Universityof California - Irvine (hereinafter referred to as the "Grantee" or "Recipient"), the sum of $399,756.00 toprovide support for "Opportunities for Nuclear Research and Training in Chemical Engineering andMaterials Science Engineering: UC Irvine Nuclear Fellowship Program" entitled "Program Description."

This award is effective as of the date of this letter and shall apply to expenditures made by the Granteefurtherance of program objectives during the period beginning with the effective date of August 1, 2014and ending July 31, 2018.

This award is made to the Recipient on condition that the funds will be administered in accordance withthe terms and conditions as set forth in Attachment A (the Schedule); Attachment B (the ProgramDescription); and Attachment C (the Standard Provisions); all of which have been agreed to by yourorganization. In addition your grant application proposes $266,697.00 in cost share. Please ensure yourcost share conforms to the provisions in 2 CFR 215, and is reported on the semi-annual FederalFinancial Report.

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

Please sign the enclosed grant to acknowledge your receipt of the award, and return as a pdf file to Ms.

M'Lita Carr by email at Mlita.Carr@nrc.qov.

Sincerely yours,

Erika EamGrants OfficerResearch & Grants TeamAcquisition Management Division

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

AUG 0 1 2014WAPLiE - ADMfl ,SUNSj RE VIEW COMPLETE ~3

ACKNOWLEDGED:University of California - Irvine

By:

Title:

Date:

I'age I of 25

CHOOSE ONE:

Grant and Cooperative Agreement El COOPERATIVEAGREEMENT

E GRANT

CHOOSE ONE: E] EDUCATION ElFACILITIES [] RESEARCH SDCR El TRAINING

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

NRC-HQ-84-14-G-0041 08/01/2014

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

UNIVERSITY OF CALIFORNIA, IRVINE5171 CALIFORNIA AVE STE 150 Mail Stop: 3WFN-05-C64MPIRVINE CA 926173061 Washington DC 20555-0001

9. PRINCIPAL INVESTIGATORJORGANIZATION'S PROJECT OR7, TAXPAYER IDENTIFICATION NO. (TIN) PROGRAM MGR. (Name & Phone)

Dr. Mikael Nilsson8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

nilssonm@nuci .edu; 949-824-2800

10. RESEARCH. PROJECT OR PROGRAM TITLE)pportunities for Nuclear Research and Training in Chemical Engineering and MaterialsScience Engineering: UC Irvine Nuclear Fellowship Program

11. PURPOSESEE SCHEDULE

12. PERIOD OF PERFORMANCE (Approximately)

08/01/2014 throu h 07/31/2018

S3A. AWARD HISTORY 138. FUNDING HISTORY

PREVIOUS $0.00 PREVIOUS $0.00

THIS ACTION $399.756.00 THIS ACTION $399.756.00

CASH SHARE $0.00 TOTAL $399,756.00

NON-CASH SHARE $0.00

RECIPIENT SHARE $266,697.00

TOTAL $399.756.00

14. ACCOUNTING AND APPROPRIATION DATA

2014-X0200-!UPMRU-84-84D002-51-K-164-T8458-4110

DURCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUSDCHCO- 14-0248

15. POINTS OF CONTACT

NAME MAIL STOP TELEPHONE E-MAIL ADDRESS

TECHNICAL OFFICER NANCY V. HEBRON-ISREAL 301-287-0718 Nancy.Hebron-Isreal@nrc.gov

NEGOTIATOR

ADMINISTRATOR M'LITA R. CARR 30 -28 -0909 MLita.Carr@nrc.gov

PAYMENTS

16. THIS AWARD IS MADE UNDER THE AUTHORITY OF:

PURSUANT TO SECTION 3iB AND 141B OF THE ATOMIC ENERGY ACT OF 1954, AS AMENDED

17. APPLICABLE STATEMENT(S), IF CHECKED: 18. APPLICABLE ENCLOSURE(S), IF CHECKED:

El NO CHANGE IS MADE TO EXISTING PROVISIONS El PROVISIONS 0l SPECIAL CONDITIONS

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

UNITED STATES OF AMERICA COOPERATIVE AGREEMENT RECIPIENT

CONTRACTING/GRANT OFFICER DATE AUTHORIZED REPRESENTATIVE DATE

ERIKA EAMN Z". .&_ 1 07/29/2014

Pagc 2 of 25

Grant and Cooperative Agreement

ESTIMATED COST

ITEM NO. ITEM OR SERVICE (Include Specifications and Special Instructons) QUANTITY UNIT UNIT PRCE AMOUNT

(A) (B) (C) (DJ ,

CFDA Number: 77.008

Payment will be made through the Automated

Standard Application for Payment (ASAP.gov)

anless 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 AIIO).

Delivery: 08/01/2014

Delivery Location Code: NRCHQ

JS NUCLEAR REGULATORY COMMISSION-

VIAIL PROCESSING CENTER

4930 BOILING BROOK PARKWAY

ROCKVILLE MD 20852 USA

Payment:

ASAP GRANT FUNDS REIMBURSEMENT SYS

US TREASURY

Period of Performance: 08/01/2014 to 07/33/2018

qRC-HQ-84-14-FOA-0003

NRC-HQ-84.1 d-3-0Q4 1

ATTACHMENT A - SCHEDULE

A.1 PURPOSE OF GRANT

The purpose of this Grant is to provide support to the "Opportunities for NuclearResearch and Training in Chemical Engineering and Materials Science Engineering: UCIrvine Nuclear Fellowship Program" as described in Attachment B entitled "ProgramDescription."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is August 1, 2014. The estimated completion date ofthis Grant is July 31, 2018.

2. Funds obligated hereunder are available for program expenditures for the estimatedperiod: August 1, 2014- July 31, 2018.

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

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

$399,756.00$399,756.00$266,697.00Opportunities for Nuclear Researchand Training in ChemicalEngineering and Materials ScienceEngineering: UC Irvine NuclearFellowship ProgramNancy Hebron-Isreal046705849

A.3 BUDGET

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

PersonnelFringe BenefitsOtherTotal Direct CostIndirect CostTotal

Year 1$61,455.00$ 604.00$ 32,976.00$ 95,035.00$ 4,965.00$100,000.00

Year 2$ 60,000.00$ 0.00$ 34,956.00$ 94,956.00$ 4,800.00$ 99.756.00

Year 3$ 60,000.00$ 0.00$ 35,200.00$ 95,200.00$ 4,800.00$ 100,000.00

Year 4$ 60,000.00$ 0.00$ 35,200.00$ 95,200.00$ 4,800.00$100,000.00

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $666,453.74 for the four year period,inclusive of cost sharing.

2. NRC hereby obligates the amount of $399,756.00 for program expenditures duringthe period set forth above and in support of the Budget above. The Grantee will be givenwritten notice by the Grants Officer when additional funds will be added. NRC is notobligated to reimburse the Grantee for the expenditure of amounts in excess of the totalobligated amount.

Page 3 of 25

NRC-HO-84-1 41-G-004 1

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

Attachment B - Program Description

PROGRAM DESCRIPTION

BackgroundRecent developments in the field of energy demand point to a clear need to provide safeand efficient nuclear energy for a range of applications. Increasing the capability of U.S.universities and colleges to educate and train a new workforce to conduct R&D in thisfield is a priority. The objective of the work outlined here is to provide a structure forgraduate fellowships in nuclear science and engineering education and research at theUniversity of California, Irvine (UC Irvine) that will encourage the best and brighteststudents from diverse backgrounds to work in nuclear-related research and developmentafter graduation. UC Irvine already has important pieces of infrastructure in place tosupport nuclear fellowship training including the UC Irvine TRIGA reactor facility, whichserves as the foundation for a nuclear program, nuclear-focused graduate coursework,and strong funded research in nuclear energy and medical isotopes.

UC Irvine decided to invest in nuclear energy research when hiring Mikael Nilsson fiveyears ago, sparking a surge of interest in nuclear energy and nuclear research amonggraduate students, and catalyzing a number of faculty members to focus their researchon topics relevant to nuclear energy. Students entering Chemical Engineering andMaterials Science and Engineering graduate programs now have the opportunity toselect courses directly related to nuclear power production and radioanalyticaltechniques, as described below. Over the last five years progress towards building anuclear program at UC Irvine includes the following.

1. Established and offered new graduate level classes supporting multi-disciplinaryeducation and research in the field of nuclear energy.

2. Hired professional staff for the UC Irvine TRIGA reactor and revived the reactoroperator training, now offering a certificate summer training program forundergraduate and graduate students.

3. Established several new research laboratories capable and licensed to handleradioactive material. This includes wet-labs and counting rooms.

4. Secured research funding from several sources for nuclear related research tosupport graduate students. This includes DOE NEUP, NNSA, and NRC FacultyDevelopment grants. Both the PI and the Co-PI currently have their own DOENEUP funding on nuclear separations and nuclear fuel.

5. There are active collaborations with national laboratories including Idaho NationalLaboratory, Pacific Northwest National Laboratory and Los Alamos NationalLaboratory, providing students with opportunities for internships and networking.

6. Additional collaborations with faculty at several minority-serving institutionsincluding Florida A&M, a Historically Black College and University (HBCU), CalState Long Beach, a Hispanic Serving Institution (HSI), and University of Texas-Pan American, also a HSI, provide opportunities for their students to spendsummers in nuclear research at UC Irvine, and serves as a pipeline for graduatestudent recruitment.

7. A student American Nuclear Society (ANS) section was formed and hope toreceive formal recognition this spring. Over 100 students and faculty are on the

Page 4 of 25

N RC -HQ-84-' 4-G1-0041

e-mail list for announcements, and the graduate and undergraduate studentleaders have developed a very active program of monthly speakers with over 30participants attending each time.

8. In progress, the PI is developing proposals for formal Concentrations in NuclearScience and Engineering for Chemical Engineering and Materials Science andEngineering (MSE) to promote additional opportunities in nuclear education.

UC Irvine enrolls approximately 28,000 students and recently was ranked #1 amonguniversities under 50 years of age in the U.S. As a top tier Research I university, UCIrvine is also a member of the Association of American Universities. Enrollment in Fall2013 included 903 graduate students in the Henry Samueli School of Engineering(HSSoE) of whom 69 were majoring in Chemical Engineering and 50 in MaterialsScience and Engineering, comprised of 65 Ph.D. students and 54 M.S. students.Graduate students that are anticipated to apply for the NRC fellowships will comeprimarily from the department of Chemical Engineering and Materials Science, as thosegraduate programs stress coursework relevant to nuclear engineering and theircurricular choices contains options for a number of nuclear electives. Extramural fundingawarded to the Chemical Engineering and Materials Science department over the lastfour years for nuclear related research was $4.6M with an additional $2.6M in nuclearfunding for Chemistry which administers the nuclear reactor, supporting researchprograms on nuclear security and detection, design of advanced nuclear fuel, nuclearseparations, and radioisotopes. The attached CVs demonstrate the range of activitiessupported by this funding.

Specifics of the Fellowship Pro qramFunding is requested from the NRC for 2 graduate fellowships per year over the courseof 4 years. Each of the awardees will receive an annual stipend of $30,000 and fulltuition and fees paid (a value on the order of $50K). Students will apply after completingresearch rotations the first year of graduate school (first year support provided by theDepartment), having chosen their graduate advisor and research topic. The priority is torecruit Ph.D. students who have an interest in and a dedication to working in the nuclearfield. All students will be provided with full safety training for chemical safety, labhazards, as well as radiation and radioactive material safety training prior to starting anyresearch. Students will meet regularly with faculty advisors and be included in weeklyNuclear Research Group meetings shared by all nuclear researchers on campus, as wellas attend seminars on the nuclear industry and nuclear research.

Students receiving an NRC fellowship will have an opportunity to participate in thesummer training course, Basics of Nuclear Reactor Operation at UC Irvine. This courseprepares students with the theoretical and practical training needed to obtain an NRCReactor Operator's license. Lectures are supplemented by hands-on training on nuclearreactor operation, radiation detection/measurement, nuclear waste separation, neutronactivation analysis, and additional radiation safety training. This certificate program is aunique strength of the UC Irvine program.

Graduate students will be encouraged to participate in summer programs andworkshops outside UC Irvine. For example, there are nuclear security summer programsoffered at Pacific Northwest National Laboratory and research internships at Los AlamosNational Laboratory, where graduate students from both the PI and co-PI's group haveconducted very beneficial internships. Students would also be encouraged to apply forsummer programs outside of the US as this will broaden their understanding of the

Page 5 ot 25

NRC-HQ-84- 14-G-CC4 1

nuclear field by learning about the nuclear industry in countries outside of the U.S.Students will also be expected to attend relevant conferences.

Students in Chemical Engineering, Materials Science and Engineering, and from theChemical and Materials Physics program in Chemistry are eligible. Over 80% of theincoming Ph.D. program students are U.S. citizens or Permanent Residents. Both ChEand MSE programs have a rigorous core of 4 disciplinary specific required classes (ChE:Advanced Engineering Thermodynamics, Applied Engineering Mathematics, ReactionEngineering, Transport Phenomena, MSE: Crystallography and Defects, AdvancedMechanical Behavior, Phase Transformations, Materials Physics) after which studentsselect 6 additional elective courses depending on their research interests. Additionalrelevant courses could include such topics as Hydrologic Computational Modeling(including subsurface transport of radionuclides), Sustainable Energy Systems (includesnext generation nuclear), Fluid Mechanics, Heat Transfer, High TemperatureDeformation, Grain Boundaries and Interfaces, Design with Ceramic Materials, Coatingand Thin Films, Theory of Diffusion, Advanced SEM, TEM, Fracture, as well as thefollowing nuclear classes.

Chemistry.170. Radioisotope Techniques. 4 Units. Basic theory and practice ofproduction, separation, safe handling, counting, applications of radioactive isotopes withemphasis on applications in chemistry, biology, and medicine.

Chemical Engineering and Materials Science 233. Nuclear and Radiochemistry. 4 Units.Advanced treatment of nuclear structure, nuclear reactions, and radioactive-decayprocesses. Introduction to nuclear activation analysis, isotope effects, radiation chemistry,hot-atom chemistry, nuclear age-dating methods, nuclear reactors, and nuclear power.

Chemical Engineering and Materials Science 243. Chemistry and Technology for theNuclear Fuel Cycle. 4 Units. Introduces basic concepts of nuclear chemistry and focuseson chemical engineering aspects of the nuclear power industry. A broad survey of thenuclear fuel cycle (uranium processing, reactor concepts, spent fuel treatment andrepositories) will be given.

More details on requirements for graduate degrees in Chemical Engineering orMaterials Science Engineering from UC Irvine can be found in the link below.http://cataloue. uci. edu/thehenrysamuel ischoolofenqineerinq/departmentofchemicalengineerinqandmaterialsscience/#qraduatetext

Section 2: Description of recruitment activitiesThe PI and co-PI will advertise the NRC fellowship opportunities on the ChemicalEngineering and Materials Science departmental website. Faculty at relevant institutionswill be notified and encouraged to send students to apply for the graduate program. ThePI and co-PI will send announcements of the fellowship program to promising applicantsfor the ChE and MSE Ph.D. programs. This fellowship program will be highlighted atannual recruitment days (in 2014, 30 potential Ph.D. students visited, 40% women).Since this fellowship is targeted to students who have successfully completed the firstyear of research rotations as required by the Department, first year students will bereminded of this opportunity prior to selecting their research rotations and courseschedule as only students who select a nuclear-related research topic are eligible.

The PI will also recruit students from partner Minority Serving Institutions (MSI) for

admission to UC Irvine so they would also be eligible fellowships after enrollment. The

Page 6 of 25

NRC-HQ-84-'4-G-OO'!

Graduate Division offers a competition for Diversity Fellowships that can be used incombination with departmental matching resources to recruit top diversity candidatesand support such students at the start of their graduate program. The PI currently hasactive collaborators at three MSI (see Section 6) who send undergraduate students inthe summer to work on projects at UC Irvine. The goal is to recruit additionalunderrepresented students from these programs to the ChE and MSE graduateprograms, as they have demonstrated their interest in nuclear related research. TheNuclear Science and Security Consortium (SUCCESS PIPELINE) that UC Irvine is partof can also be used to develop further contacts at additional MSI campuses. The PI andco-PI have strong track records for supporting diversity by developing and participatingin mentoring programs designed to recruit diverse undergraduates to graduate school.The co-PI developed the first NSF AGEP grant for the campus, was PI for two DoEdGAANN grants, and participates in evaluation committees for the UC President'sPostdoctoral Fellowship Program, NSF CAMP, and UC LEADS, all programs forexpanding the participation of underrepresented students in science and engineering atthe graduate level and beyond. UC LEADS and NSF CAMP programs forundergraduate research offer additional opportunities to recruit diverse students.

Section 3: Description of selection process and management structureThe Selection Committee includes the Pi and co-PI, the Graduate ChE Advisor andGraduate MSE Advisor to provide additional input. The PI and co-PI will be assisted inthe administration of the program by the graduate staff who provide administrativesupport for awarding scholarships. The PI, in consultation with the co-PI, will evaluatethe student's progress each quarter and authorize payment of fellowship funds based onevidence of satisfactory progress and continued eligibility (3.3 GPA, continued nuclear-focused research, full time enrollment).

Applicants will be holistically evaluated by the Selection Committee on the basis ofdemonstrated interest in nuclear careers, academic promise and grit, relevantcoursework taken, past research/industrial/lab experience, opportunities to match with afaculty member conducting research on nuclear related topics and financial need.Applicants must be US citizens, or permanent residents or permanent residents of theTrust Territory of the Pacific Islands.

APPLICATION PROCESS:1. Students will provide a short statement documenting interest in nuclear research

and future employment, history of past involvement and relevant courses takenor planned to take, proposed research topic, and citizenship/PR status.

2. Students will be required to provide graduate transcripts to prove a GPA of 3.3 orhigher.

3. A letter of recommendation must be received from a faculty member active innuclear related research describing the student's potential and confirming theresearch topic.

4. Students will be required to acknowledge with a signature that they understandthat for each year of fellowship received, they have an obligation to work for 6months in nuclear-related employment. Employment may with NRC, otherFederal agencies, State agencies, Department of Energy laboratories, nuclear-related industry, or academia in the recipients sponsored fields of study. Thestudents will sign that they understand that exceptions and waivers of thisrequirement must be approved by the NRC if impractical to do so and that failureto complete the service agreement without a waiver means the student must payback the fellowship funds to the NRC.

Page 7 of 25

NflC-?-4O-84-1 4-G-0041

5. Students must also agree to provide NRC and UC Irvine with a current e-mailaddress and home address that can be used for follow up, and agree to respondfor 2 years after graduation to short questions regarding their future employmentand research via email. The students also agree to update their e-mail address ifany changes occur.

Section 4: Description of project evaluation planEach student will be tracked during the program and for at least two years aftergraduation with an annual e-mail questionnaire. The success of the program will bemeasured by the following metrics and an annual report will be prepared with thisinformation and provided to the NRC.

(a) How many graduate students have been supported by NRC funding?(b) How many students, supported by NRC funding, have received the M.S.degree?(c) How many students, supported by NRC funding, have received the Ph.D.degree?(d) How many students, supported by NRC funding, have accepted a job and areemployed in the nuclear industry or in nuclear research?(e) How many items have the students produced (for example, journal articles,patents, conference proceedings, etc.)?

Section 5: Schedule of tuition and feesThe estimated schedule for tuition and fees at UC Irvine for graduate students who areresidents of California (all U.S. students are expected to establish CA residency after thefirst year of graduate school) is $16,488/student for 2014/2015; $17,478/student for2015/2016; $18,523/student for 2016/2017; $19,635/student for 2017/2018. This isbased on a 6% increase using historical data. This fellowship program will cover thecosts of all tuition and fees, including graduate student health insurance for fellowshiprecipients and provide an annual stipend of $30,000/year per student. The fellowshipstipend will be disbursed in monthly allotments. Tuition and fees will be paid by the granteach quarter.

Section 6: Description whether these fellowships are considered as a part ofarrangements with other institutions, including MSIsParticipating Minority Serving Institutions include Florida A&M, a Historically BlackCollege and University (HBCU), Cal State Long Beach, a Hispanic Serving Institution(HSI), and University of Texas-Pan American, also a HSI. The faculty from theseuniversities have sent their undergraduates to UC Irvine for summer nuclear research (4students have participated so far), and one faculty member also came to work oncollaborative research. With fellowship support through this program, it is more attractivefor students from these campuses to apply to UCI and consider future careers in nuclearenergy. Priority recruitment for the graduate program will involve these MSI. Letter ofsupport proposal from faculty at each institution are included in the attachments to theproposal.

Section 7: Description of arrangements with non-federal funding leveraging thisgrantNon-federal funding by the State of California will provide a 50% match to cost shareone additional fellowship each year. 5% per academic month of the PI and co-PI salaryfor administering and managing the program and any excess costs for tuition increasesin Year 3 and 4 not covered by the grant are also cost shared. The total cost sharing is

Page 8 of 25

NRC-HO-84- 14-G-0041

up to $272,352 in support of this grant. Attached letters document the UC Irvine costsharing.

Section 8: How the institution requires individual fellowship students to acceptthe 6 month service agreement terms in the nuclear fieldThe application for the nuclear fellowships requires students to acknowledge in writingthat they understand that for each year or partial year of fellowship received, aftergraduation they are expected to work for 6 months in nuclear-related employment inindustry, national laboratories, federal agencies or academia and that exceptions to thismust be approved by the NRC or the NRC will require that the fellowship to be repaid bythe student to the NRC.

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 tosection 31b and 141b of the Atomic Energy Act of 1954, as amended, and is subject tothe terms and conditions incorporated either directly or by reference in the following:

* Grant program legislation and program regulation cited in this Notice of GrantAward.

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

* Code of Federal Regulations/Regulatory Requirements - 2 CFR 215 UniformAdministrative Requirements For Grants And Agreements With Institutions OfHigher Education, Hospitals, And Other Non-Profit Organizations (OMBCirculars), as applicable.

To assist with finding additional guidance for selected items of cost as required in 2 CRF220, 2 CFR 225, and 2 CFR 230 this URL to the Office of Management and Budget CostCirculars is included 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.qov/omb/circulars index-ffm

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

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

Page 9 of 25

NJRC-HO-84- 14-G-00-41

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

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 whichmeet the definition of "Grantee" in Part 215, unless a section specifically excludes a sub-recipient from coverage. The Grantee and any sub-recipients must, in addition to theassurances made as part of the application, comply and require each of its sub-awardees employed in the completion of the project to comply with Subpart C of 2 CFR215 and include this term in lower-tier (subaward) covered transactions.

b. Grantees must comply with monitoring procedures and audit requirements inaccordance with OMB Circular A-133.<http://www.whitehouse.gov/omb/circulars/al33/al 33.htmlhttp://www.whitehouse.gov/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, tomanage the funds with prudence, and to comply with the provisions outlined in 2 CFR215.41. Within this framework, the Principal Investigator (PI) named on the award facepage, Block 11, is responsible for the scientific or technical direction of the project andfor preparation of the project performance reports. This award is funded on a costreimbursement basis not to exceed the amount awarded as indicated on the face page,Block 16 and is subject to a refund of unexpended 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,without recourse to the NRC, regarding the settlement and satisfaction of all contractualand administrative issues arising out of procurements entered into in support of anaward or other agreement. This includes disputes, claims, protests of award, sourceevaluation or other matters of a contractual nature. Matters concerning violation ofstatute are to be referred to such Federal, State or local authority as may have properjurisdiction.

SubgrantsAppendix A to Part 215-Contract Provisions

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

NondiscriminationThis provision is applicable when work under the grant/cooperative agreement isperformed in the U.S. or when employees are recruited in the U.S.

The Grantee agrees to comply with the non-discrimination requirements below:

* Title VI of the Civil Rights Act of 1964 (42 USC §§ 2000d et seq)

Page 10 of 25

NRC-HQ-84- 14-G-004 1

* 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 thatit shall be an unlawful employment practice for an employer to discharge any individualor otherwise to discriminate against an individual with respect to compensation, terms,conditions, or privileges of employment because of such individual's race, color, religion,sex, or national origin. However, Title VI, 42 USC § 2000e-1 (a), expressly exempts fromthe prohibition against discrimination on the basis of religion, a religious corporation,association, educational institution, or society with respect to the employment ofindividuals of a particular religion to perform work connected with the carrying on bysuch corporation, association, educational institution, 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 changesin the grant or cooperative agreement, it must be requested of, and obtained from, theNRC Grants Officer in advance of the change or obligation of funds. All requests forNRC prior approval should be made, in writing (which includes submission by e-mail), tothe designated Grants Specialist and Program Office no later than 30 days before theproposed change. The request must be signed by both the PI and the authorizedorganizational official. Failure to obtain prior approval, when required, from the NRCGrants Officer may result in the disallowance of costs, or other enforcement action withinNRC's authority.

Lobbying RestrictionsThe Grantee will comply, as applicable, with provisions of the Hatch Act (5 U.S.C.§§1501-1508 and 7324-7328) which limit the political activities of employees whoseprincipal employment activities are funded in whole or in part with Federal funds.

The Grantee shall comply with provisions of 31 USC § 1352. This provision generallyprohibits the use of Federal funds for lobbying in the Executive or Legislative Branchesof the Federal Government in connection with the award, and requires disclosure of theuse of non-Federal funds for lobbying.

The Grantee receiving in excess of $100,000 in Federal funding shall submit acompleted Standard Form (SF) LLL, "Disclosure of Lobbying Activities," regarding theuse of non-Federal funds for lobbying within 30 days following the end of the calendarquarter in which there occurs any event that requires disclosure or that materially affectsthe accuracy of the information contained in any disclosure form previously filed. TheGrantee must submit the SF-LLL, including those received from sub-recipients,contractors, and subcontractors, to the Grants Officer.

§ 215.13 Debarment And Suspension.

Page 11 of 25

NRC-HQ-84-14-G-0041

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

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

(2) Have been convicted within the preceding three-year period preceding this proposalbeen convicted of or had a civil judgment rendered against them for commission of fraudor a criminal offense in connection with obtaining, attempting to obtain, or performing apublic (Federal, State, or local) transaction or contract under a public transaction;violation of Federal or State antitrust statutes or commission of embezzlement, theft,forgery, bribery, falsification or destruction of records, making false statements, taxevasion, receiving stolen property, making false claims, or obstruction of justice;commission of any other offense indicating a lack of business integrity or businesshonesty that seriously and directly affects your present responsibility;

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

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

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

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

'Debarment, Suspension, Ineligibility, and Voluntary Exclusion

The Grantee certifies that neither it nor its principals is presently excluded or disqualifiedfrom participation in this transaction by any Federal department or agency. The policiesand procedures applicable to debarment, suspension, and ineligibility under NRC-financed transactions 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.The policies and procedures applicable to violations of these requirements are set forthin 41 USC 702.

Implementation of E.O. 13224 -- Executive Order On Terrorist FinancinqThe Grantee is reminded that U.S. Executive Orders and U.S. law prohibits transactionswith, and the provision of resources and support to, individuals and organizationsassociated with terrorism. It is the legal responsibility of the Grantee to ensurecompliance with these Executive Orders and laws. This provision must be included in allcontracts/sub-awards issued under this grant/cooperative agreement.

Award Grantees must comply with Executive Order 13224, Blocking Property and

Prohibiting Transactions with Persons who Commit, Threaten to Commit, or Support

Page 12 of 25

NRC-HO-84-1 4-G-03447

Terrorism. Information about this Executive Order can be found at:www.fas.orq/irp/off docs/eo/eo-13224.htm.

Procurement Standards. § 215.40-48Sections 215.41 through 215.48 set forth standards for use by Grantees in establishingprocedures for the procurement of supplies and other expendable property, equipment,real property and other services with Federal funds. These standards are furnished toensure that such materials and services are obtained in an effective manner and incompliance with the provisions of applicable Federal statutes and executive orders. Noadditional procurement standards or requirements shall be imposed by the Federalawarding agencies upon Grantees, unless specifically required by Federal statute orexecutive order or approved by OMB.

TravelTravel must be in accordance with the Grantee's Travel Regulations or the USGovernment Travel Policy and Regulations at: www..qsa..aov/federaltravelregulation andthe per diem rates set forth at: www.qsa.Qov/perdiem, absent Grantee's travelregulation. Travel costs for the grant must be consistent with provisions as establishedin Appendix A to 2 CFR 220 (J.53). All other travel, domestic or international, must notincrease the total estimated award amount.

Domestic Travel:Domestic travel is an appropriate charge to this award and prior authorization for specifictrips are not required, if the trip is identified in the Grantee's approved programdescription and approved budget. Domestic trips not stated in the approved budgetrequire the written prior approval of the Grants Officer, and must not increase the totalestimated award amount.

All common carrier travel reimbursable hereunder shall be via the least expensive classrates consistent with achieving the objective of the travel and in accordance with theGrantee's policies and practices. Travel by first-class travel is not authorized unless priorapproval is obtained from the Grants Officer.

International Travel:International travel requires PRIOR written approval by the Project Officer and theGrants Officer, even if the international travel is stated in the approved programdescription and the approved budget.

The Grantee shall comply with the provisions of the Fly American Act (49 USC 40118)as implemented 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 in2 CFR 215.30-37.

Procurement StandardsProcurement standards of this award shall follow provisions as established in 2 CFR215.40-48

Page 13 ot 25

NRC-HQ--84- I4-G-0041

Intangible and Intellectual PropertyIntangible and intellectual property of this award shall generally follow provisionsestablished in 2 CFR 215.36.

Inventions ReportThe Bayh-Dole Act (P.L. 96-517) affords Grantees the right to elect and retain title toinventions they develop with funding under an NRC grant award ("subject inventions").In accepting an award, the Grantee agrees to comply with applicable NRC policies, the

Bayh-Dole Act, and its Government-wide implementing regulations found at Title 37,Code of Federal Regulations (CFR) Part 401. A significant part of the regulations requirethat the Grantee report all subject inventions to the awarding agency (NRC) as well asinclude an acknowledgement of federal support in any patents. NRC participates in thetrans-government Interagency Edison system (http://www.iedison.qov) and expects NRCfunding Grantees to use this system to comply with Bayh-Dole and related intellectualproperty reporting requirements. The system allows for Grantees to submit reportselectronically via the Internet. In addition, the invention must be reported in continuationapplications (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 apatent search, knows (or has demonstrable reasonable grounds to know) thattechnology covered by a valid United States patent has been or will be used without alicense from the owner. To ensure proper notification, if the Grantee uses or has usedpatented technology under this award without license or permission from the owner, theGrantee must notify the Grants Officer. This notice does not necessarily mean that theGovernment authorizes and consents to any copyright or patent infringement occurringunder the financial assistance.

Data, Databases, and SoftwareThe rights to any work produced or purchased under a NRC federal financial assistanceaward are determined by 2 CFR 215.36. Such works may include data, databases orsoftware. The Grantee owns any work produced or purchased under a NRC federalfinancial assistance award subject to NRC's right to obtain, reproduce, publish orotherwise use the work or authorize others to receive, reproduce, publish or otherwiseuse the data for Government purposes.

CopyrightThe Grantee may copyright any work produced under a NRC federal financial assistanceaward subject to NRC's royalty-free nonexclusive and irrevocable right to reproduce,publish or otherwise use the work or authorize others to do so for Government purposes.Works jointly authored by NRC and Grantee employees may be copyrighted but only thepart authored by the Grantee is protected because, under 17 USC § 105, worksproduced by Government employees are not copyrightable in the United States. Onoccasion, NRC may ask the Grantee to transfer to NRC its copyright in a particular workwhen NRC is undertaking the primary dissemination of the work. Ownership ofcopyright by the Government through assignment is permitted under 17 USC § 105.

Page 14 of 25

NRC--,O'-84-14-G-0041

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 foradhering to award terms and conditions, each Grantee organization shall have a systemto ensure that appropriate authorized officials provide necessary organizational reviewsand approvals in advance of any action that would result in either the performance ormodification of an NRC supported activity where prior approvals are required, includingthe obligation or expenditure of funds where the governing cost principles eitherprescribe conditions or require approvals.

The Grantee shall designate an appropriate official or officials to review and approve theactions requiring NRC prior approval. Preferably, the authorized official(s) should be thesameofficial(s) who sign(s) or countersign(s) those types of requests that require priorapproval by NRC. The authorized organization official(s) shall not be the principalinvestigator or any official having direct responsibility for the actual conduct of theproject, or a subordinate of such individual.

Conflict Of Interest StandardsFor this award shall follow OCOI requirements set forth in Section 170A of the AtomicEnergy Act of 1954, as amended, and provisions set forth at 2 CFR 215.42 Codes ofConduct.

Dispute Review Proceduresa. Any request for review of a notice of termination or other adverse decision shouldbe addressed to the Grants Officer. It must be postmarked or transmitted electronicallyno later than 30 days after the postmarked date of such termination or adverse decisionfrom the Grants Officer.

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

c. The Grants Officer will promptly acknowledge receipt of the request for reviewand shall forward it to the Director, Office of Administration, who shall appoint an intra-agency Appeal Board to review a grantee appeal of an agency action, if required, whichwill consist of the program office director, the Deputy Director of Office of Administration,and the Office of General Counsel.

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

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

Page 15 of 25

NRC-HO-84- '4-G-0041

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

Termination and EnforcementTermination of this award by default or by mutual consent shall follow provisions asestablished in 2 CFR 215.60-62,

Monitoring and Reporting § 215.50-53a. Grantee Financial Management systems must comply with the established provisionsin 2 CFR 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 theproject by the NRC and Grantee and used to further eligible project orprogram objectives or deducted from the total project cost allowable costas directed by the 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 requestprior written approval from the Program Officer and the Grants Officer.

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

o The Grantee is authorized to transfer funds among direct cost categoriesup to a cumulative 10 percent of the total approved budget. The Granteeis not allowed to transfer funds if the transfer would cause any Federalappropriation to be used for purposes other than those consistent with theoriginal intent of the appropriation.

o Allowable Costs - 2 CFR 215.27

b. Federal Financial Reports

The Grantee shall submit a "Federal Financial Report" (SF-425) on a semi-annualbasis for the periods ending March 31 and September 30, or any portion thereof,unless otherwise specified in a special award condition. Reports are due no laterthan 30 days following the end of each reporting period. A final SF-425 is due within90 days after expiration of the award. The report should be submitted electronicallyto: Grants FFR @ NRC.GOV. (NOTE: There is an underscore between Grants andFFR.)

Period of Availability of Funds 2 CFR § 215.28a. Where a funding period is specified, a Grantee may charge to the grant only allowablecosts resulting from obligations incurred during the funding period and any pre-awardcosts authorized by 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 or written assurances of funding from other than the Grants Officer shall not

Page 16 of 25

NRC-HQ-84- 14-G-004 1

constitute authority to obligate funds for programmatic activities beyond the expirationdate.

c. The NRC has no obligation to provide any additional prospective or incrementalfunding. Any modification of the award to increase funding and to extend the period ofperformance is at the sole discretion of the NRC.

d. Requests for extensions to the period of performance should be sent to the GrantsOfficer at least 30 days prior to the grant/cooperative agreement expiration date.Any request for extension 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 bemade using the Department of Treasury's Automated Standard Application for Payment(ASAP) system < http://www.fms.treas.qov/asap/>. Under the ASAP system, paymentsare made through preauthorized electronic funds transfers, in accordance with therequirements of the Debt Collection Improvement Act of 1996. In order to receivepayments under ASAP, Grantees are required to enroll with the Department of Treasury,Financial Management Service, and Regional Financial Centers, which allows them touse the on-line method of withdrawing funds from their ASAP established accounts. Thefollowing information will be required to make withdrawals under ASAP: (1) ASAPaccount number - the award number found on the cover sheet of the award; (2) AgencyLocation Code (ALC) - 31000001; and Region Code. Grantees enrolled in the ASAPsystem do not need to submit a "Request for Advance or Reimbursement" (SF-270), forpayments relating to their award.

Audit RequirementsOrganization-wide or program-specific audits shall be performed in accordance with theSingle Audit Act Amendments of 1996, as implemented by OMB Circular A-1 33, "Auditsof States, Local Governments, and Non-Profit Organizations."http://www.whitehouse.qov/omb/circulars/al33/al33.html Grantees are subject to theprovisions of OMB Circular A-1 33 if they expend $500,000 or more in a year in Federalawards.

The Form SF-SAC and the Single Audit Reporting packages for fiscal periods ending onor after January 1, 2008 must be submitted online.

1. Create your online report ID athttp://harvester.census.qov/fac/collect/ddeindex. html

2. 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 annualaudit for that year but must make their grant-related records available to NRC or otherdesignated officials for review or audit.

III. Programmatic Requirements

Performance (Technical) Reportsa. The Grantee shall submit performance (technical) reports electronically to the NRCProject Officer and Grants Officer on a semi-annual basis unless otherwise authorized

Page 17 of 25

NRC-HQ-84-14-G-004 1

by the Grants Officer. Performance reports should be sent to the Program Officer at theemail address indicated in Block 12 of the Notice of Award, and to Grants Officer at:Grants PPR.Resource@NRC.GOV. (NOTE: There is an underscore between Grantsand PPR).

b. Unless otherwise specified in the award provisions, performance (technical) reportsshall contain brief information as prescribed in the applicable uniform administrativerequirements 2 CFR§215.51 which are incorporated in the award.

c. The Office of Chief Human Capital Officer (OCHCO) requires the submission of thesemi-annual progress report on the SF-PPR, SF-PPR-B, and the SF-PPR-E forms. Thesubmission for the six month period ending March 3 1st is due by April 30h or any portionthereof. The submission for the six month period ending September 30'h is due byOctober 31 st or any portion thereof.

d. Grant Performance Metrics:

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

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

Fellowship Awards

1. How many graduate 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 M.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 received Ph.D. or

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

cumulative to the grant.4. 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.5. How many items have students produced, for example, Professional Journal

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

cumulative to the grant.

Page 18 of 25

NRC-HQ-84- I ýi -G`3-0,24 1

Unsatisfactory PerformanceFailure to perform the work in accordance with the terms of the award and maintain atleast a satisfactory performance rating or equivalent evaluation may result in designationof the Grantee as high risk and assignment of special award conditions or other furtheraction as specified in the standard term and condition entitled 'Termination."

Failure to comply with any or all of the provisions of the award may have a negativeimpact on future funding by NRC and may be considered grounds for any or all of thefollowing actions: establishment of an accounts receivable, withholding of paymentsunder any NRC award, changing the method of payment from advance toreimbursement only, or the imposition of other special award conditions, suspension ofany NRC active awards, and termination of any NRC award.

Other Federal Awards With Similar Proarammatic ActivitiesThe Grantee shall immediately provide written notification to the NRC Project Officer andthe Grants Officer in the event that, subsequent to receipt of the NRC award, otherfinancial assistance is received to support or fund any portion of the program descriptionincorporated into the NRC award. NRC will not pay for costs that are funded by othersources.

Prohibition Against Assignment By The GranteeThe Grantee shall not transfer, pledge, mortgage, or otherwise assign the award, or anyinterest therein, or any claim arising there under, to any party or parties, banks, trustcompanies, or other financing or financial institutions without the express writtenapproval of the Grants Officer.

Site VisitsThe NRC, through authorized representatives, has the right, at all reasonable times, tomake site visits to review project accomplishments and management control systemsand to provide such technical assistance as may be required. If any site visit is made bythe NRC on the premises of the Grantee or contractor under an award, the Grantee shallprovide and shall require his/her contractors to provide all reasonable facilities andassistance for the safety and convenience of the Government representative in theperformance of their duties. All site visits and evaluations shall be performed in such amanner 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 fraudulentclaims to the Federal government for money (including money representinggrant/cooperative agreements, loans, or other benefits.)

b. False statements (18 USC § 287), provides that whoever makes or presents anyfalse, fictitious, or fraudulent statements, representations, or claims against theUnited States shall be subject to imprisonment of not more than five years and shallbe subject to a fine in the amount provided by 18 USC § 287.

c. False Claims Act (31 USC 3729 et seq), provides that suits under this Act can bebrought by the government, or a person on behalf of the government, for false claimsunder federal assistance programs.

Page 19 of 25

NRC-HO-84-1 4-G-OC41

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

American-Made Equipment And ProductsGrantees are hereby notified that they are encouraged, to the greatest extentpracticable, to purchase American-made equipment and products with funding providedunder this award.

Increasing Seat Belt Use in the United StatesPursuant to EO 13043, Grantees should encourage employees and contractors toenforce 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, andcontractors to adopt and enforce policies that ban text messaging while drivingcompany-owned, rented vehicles or privately owned vehicles when on officialGovernment business or when performing any work for or on behalf of the FederalGovernment.

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

Minority Serving Institutions (MSls) InitiativePursuant to EOs 13256, 13230, and 13270, NRC is strongly committed to broadeningthe participation of MSIs in its financial assistance program. NRC's goals includeachieving full participation of MSIs in order to advance the development of humanpotential, strengthen the Nation's capacity to provide high-quality education, andincrease opportunities for MSIs to participate in and benefit from Federal financialassistance programs. NRC encourages all applicants and Grantees to includemeaningful participations of MSIs. Institutions eligible to be considered MSIs are listedon the Department of Education website: http://www.ed.qov/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 doesnot include honest errors or differences of opinions. The Grantee organization has theprimary responsibility to investigate allegations and provide reports to the FederalGovernment. Funds expended on an activity that is determined to be invalid orunreliable because of scientific misconduct may result in a disallowance of costs forwhich the institution may be liable for repayment to the awarding agency. The Office ofScience and Technology Policy at the White House published in the Federal Register on

Page 20 of 25

NRC+Oý-84-' 4-G-0041 1

December 6, 2000, a final policy that addressed research misconduct. The policy wasdeveloped by the National Science and Technology Council (65 FR 76260). The NRCrequires that any allegation be submitted to the Grants Officer, who will also notify theOIG of such allegation. Generally, the Grantee organization shall investigate theallegation and submit its findings to the Grants Officer. The NRC may accept theGrantee's findings or proceed with its own investigation. The Grants Officer shall informthe Grantee of the NRC's final determination.

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

"This [report/video] was prepared by [Grantee name] under award [number]from [name of operating unit], Nuclear Regulatory Commission. Thestatements, findings, conclusions, and recommendations are those of theauthor(s) and do not necessarily reflect the view of the [name of operatingunit] or the US Nuclear Regulatory Commission."

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

Section 106(g) of the Trafficking In Victims Protection Act Of 2000 (as amended, directson a government-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 wholeor in part, shall include a condition that authorizes the department or agency to terminatethe grant, contract, or cooperative agreement, without penalty, if the grantee or anysubgrantee, or the contractor or any subcontractor (i) engages in severe forms oftrafficking in persons or has procured a commercial sex act during the period of time thatthe grant, contract, or cooperative agreement is in effect, or (ii) uses forced labor in theperformance of the grant, contract, or cooperative agreement." (22 U.S.C. § 7104(g)).

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

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term,you must report each action that obligates $25,000 or more in Federal funds that doesnot include Recovery funds (as defined in section 1512(a)(2) of the American Recovery

Page 21 of 25

NRC-HQ-84- 14-G-004 1

and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (seedefinitions in paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award termto http://www. fsrs. qov.

ii. For subaward information, report no later than the end of the month following themonth in which the obligation was made. (For example, if the obligation was made onNovember 7, 2010, the obligation must be reported by no later than December 31,2010.)

3. What to report. You must report the information about each obligating action that thesubmission instructions posted at http://www. fsrs..qov specify.

b. Reporting Total Compensation of Recipient Executives.

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

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

ii. in the preceding fiscal year, you received-

(A) 80 percent or more of your annual gross revenues from Federal procurementcontracts (and subcontracts) and Federal financial assistance subject to theTransparency Act, as defined at 2 CFR 170.320 (and subawards); and

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

iii. The public does not have access to information about the compensation of theexecutives through periodic reports filed under section 13(a) or 15(d) of the SecuritiesExchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the InternalRevenue Code of 1986. (To determine if the public has access to the compensationinformation, see the U.S. Security and Exchange Commission total compensation filingsat http://www.sec.gov/answers/execomp.htm.)

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 http://www.SAM.qov.

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

c. Reporting of Total Compensation of Subrecipient Executives.

Page 22 of 25

NRC-HQ-84-i 4-G-0041

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. ofthis award term, for each first-tier subrecipient under this award, you shall report thenames and total compensation of each of the subrecipient's five most highlycompensated executives for the subrecipient's preceding completed fiscal year, if-

i. in the subrecipienrs preceding fiscal year, the subrecipient received-

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

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

ii. The public does not have access to information about the compensation of theexecutives through periodic reports filed under section 13(a) or 15(d) of the SecuritiesExchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the InternalRevenue Code of 1986. (To determine if the public has access to the compensationinformation, see the U.S. Security and Exchange Commission total compensation filingsat http://www.sec.qov/answers/execomp.htm.)

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

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

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward.For example, if a subaward is obligated on any date during the month of October of agiven year(i.e., between October 1 and 31), you must report any required compensationinformation of the subrecipient by November 30 of that year.

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, youare exempt from the requirements to report:

i. Subawards,

and

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

e. Definitions. For purposes of this award term:

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

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

Page 23 of 25

N RC4HQ-84-1 4-G-0041

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

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

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

3. Subaward:

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

ii. The term does not include your procurement of property and services needed to carryout the project or program (for further explanation, see Sec. _ .210 of the attachment toOMB Circular A-133, "Audits of States, Local Governments, and Non-ProfitOrganizations").

iii. A subaward may be provided through any legal agreement, including an agreementthat you or a subrecipient considers a contract.

4. Subrecipient means an entity that:

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

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

5. Total compensation means the cash and noncash dollar value earned by theexecutive during the recipient's or subrecipient's preceding fiscal year and includes thefollowing (for more information see 17 CFR 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amountrecognized for financial statement reporting purposes with respect to the fiscal year inaccordance with the Statement of Financial Accounting Standards No. 123 (Revised2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include grouplife, health, hospitalization or medical reimbursement plans that do not discriminate infavor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit andactuarial pension plans.

Page 24 of 25

NRC-HO-84-1 4-G-0041

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

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

Page 25 of 25