. ,

• • • • •UNITED STATES,• • :• •.NUCLEAR REGULATORY COMMISSION

• • •,•WASHINGTON, D.C. 20555-0001

September30, 2015

Professor Tunc Aldemir VIA Electronic MailThe Ohio State University aldemir. 1 C&osu.eduOffice of Sponsor Programs1960 Kenny RoadColumbus, oH 43210-1226

SUBJECT: GRANT NO: NRC-HQ-84-15-G-0024

Dear Professor Aldemir:

Pursuant to the authority contained in the Federal Grant and Cooperative Grantee Act of 1977, asamended and the Atomic Energy Act of 1954, the Nuclear Regulatory Commission (NRC) hereby awardsto the Ohio State University (hereinafter referred to as the "Recipient"), the sum of $450,000.00 to providesupport to the "Ohio State University Nuclear Engineering Faculty Development Program" as describedin attachment B entitled "!Program Description."

This award is effective as of the date of this letter and shall apply to expenditures made by the Recipientfurtherance of program objectives during the period beginning with the effective date of September 30,2015 and ending September 29, 2018.

This award is made to the Recipient on condition that the funds will be administered in accordance with theterms and conditions as set forth in Attachment A (the Schedule); Attachment B (the Program Description);and Attachment C (the Standard Terms & Conditions); all of which have been agreed to by yourorganization. In addition your grant application proposes $150,000.00 in cost share. Please ensure yourcost share conforms to the provisions in 2 CFR 200, and is reported on the semi-annual Federal FinancialReport.

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.Shashi Malhotra by email at Shashi.Malhotra•.n'c .qov.

Sincerely yours,

Erika EamGrants OfficerResources and Grants TeamAcquisition Management Division

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

~EMU~J~ADOO1SUNSI REVIEW COMPLETE SEP 152Z015

Page 1 ot 23

CHOOSE ONE:

Grantin Cooperative A rement E] COOPERATVE

]GRANT

CHOOSE ONE: El EDUCATION []FACILITIES El RESEARCH jj SOCR El TRAINING

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

NRC-HQ-84-l15-G-0024 09/30/20155. ISSUED TO 6. ISSUED BY U.S. NRC - IIQ

NAME/ADDRESS OF RECIPI ENT (No.. Street, City/County, State, Zip) Mailing Address: Acquisition Management DivisionOHIO STATE UNIVERSITY OFFICE OF SPONSORED PROGRAMS, THE

1960 KENNY RD Mail Stop: 3WBN-05-C6S4MP

CDLUMBUS OH 432101016 Washington DC 20555-0001l

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

Professor Tunc Aldemir8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO.

Ph: 614-292-4627 Email: aldemir. l@osu -edui

10. RESEARCH, PROJECT OR PROGRAM TITLE3hio Stat~e Urilvors iLy Nuclear Engineering F~acu.]ty Development Prtogram

11. PURPOSE

See Schedule

12. PERIOD OF PERFORMANCE (Approximteley)

39/30/201.5 t.hrough 09/29/2018 __________ _________________

13A. AWARD HISTORY {13B. IFUNDING HISTORY

PREVIOUS I$0.00 PREVIOUS $0.00

THIS ACTION $450.000.00 THIS ACTION S450.000.00CASH SHARE I$0.00 TOTAL $450.000.00

NON-CASH SHARE $0.00IRECIPIENT SHARE $1 50.000.00.

TOTAL $450.000.00____________ ____________________

14. ACCOUNTING AND APPROPRIATION DATA

?015-X0200-IUPC4RU-84-840002-51-K-i64-T8458-4 ii0

•URCHASE REQUEST NO. I JOB ORDER NO. 1 AMOUNT STATUS

)CI-CO- 15- 0202I

15. POINTS OF CONTACT

NAME MAIL STOP TELEPHONE E-MAILADDRESS

TECHNICAL OFFICER NANCY V. HEBRON-l SREAL 301-287-0/1!8 ancy. Hiebron-I sreal@nrc.gov

NEGOTIATORIADMINISTRATOR ISHASHI MALHOTRA 301-415-7803 Shashi .Malhotra@nrc. govPAYMENTS I16. THIS AWARD IS MADE UNDER THE AUTHORITY OF :

Pursuant tO Sect~ion 31b and 14!b 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 El SPECIAL CONDITIONS

El FDPTERMSAND CCNDITIONSAND THE AGENCY-SPECIFIC El REQUIRED PUBLICATIONSAND REPORTS

REQUIREMENTS APPLY TO THIS GRANT

UNITED STATES OF AM~ERICA COOPERATIVE AGREEM~ENT RECIPIENT

iCONTRACTI NGtGRANT OFF/CER .... (• AE,. AUTHORIZED REPRESENTATIVE DATE..............'_:M :: '. g".".<.'.'- /DAT;•

Page 2 of 23

@oope tive Agreement

eSTIMATED COST

ITEM(ANO. ITEM OR SERVICE (Inrdude Specifications(8 and Special Instructions) ,UANTITY D)NIT1 UNou rRF)

F2FD Number: 77.0087UNS Number: 832127323

Payment wil! be made through the Automated

3tanidard Applicat~ion for Payment (ASAP.gov)

inless the recipient has failed to comply with

the program objectives, award conditions, Federal

reporting requirements or other conditions

Specified fin 2 CFR 200 (OMB Circular Aii0).

Payment:

ASAP CGRANT FUNDS REIMBURSEMENT SYS

US TREASURY

Period of Performance: 09/30/2015 to 09/29/2018

NRC-HQ-84-1 5-G-0024Page 3 of 23

ATTACHMENT A - SCHEDULE

A.1 PURPOSE OF GRANT

The purpose of this grant is to provide support to the "Ohio State University Nuclear EngineeringFaculty Development Program" as described in Attachment B entitled "Program Description."

A.2 PERIOD OF GRANT

1. The effective date of this Grant is September 30, 2015. The estimated completion date of

this Grant is September 29, 2018.

2. Funds obligated hereunder are available for program expenditures for the estimated period:September 30, 2015 to September 29, 2018.

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

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

$450,000.00$450,000.00$1 50.000.00Ohio State University Nuclear EngineeringFaculty Development ProgramNancy Hebron-Israel832127323

A.3 BUDGET

Revisions to the budget shall be made in accordance with Revision of Budget and ProgramPlans in accordance with 2 CFR 200.308.

PersonnelFringe BenefitEquipment'TravelTotal Direct CostsIndirect Costs (54% MDTC)Yearly Total

Year 1$74,444.00$11,642.00$ 5,580.00$ 7,500.00$99,166.00$50,537.00$149,703.00

Year 2$76,678.00$1.1,991 .00$ 0.00$ 7,500.00$96,169.00$51,931.00$148,100.00

Year 3$78,978.00$12,351.00$ 0.00$ 7,500.00$98,829.00$53,368.00$152,197.00

All travel must be in accordance with the The Ohio State University Travel Regulations or theUS Government Travel Policy absent Recipient's travel regulation.

A.4 AMOUNT OF AWARD AND PAYMENT PROCEDURES

1. The total estimated amount of this Award is $600,000.00 for the three year period, inclusiveof $150,000.00 in cost share.

2. NRC hereby obligates the amount of $450,000.00 for program expenditures during theperiod set forth above and in support of the Budget above. NRC is not obligated to reimbursethe Recipient 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.

NRC-HQ-84-1 5-G-0024Page .4 of 23

Attachment B - Program Description

1. BackgroundThe Nuclear Engineering Program (NEP) at The Ohio State University (OSU) is an academicallyfree-standing Graduate Program in the Graduate School, and is administratively housed withinthe Department of Mechanical and Aerospace Engineering (MAE). The main focus of the NEPat OSU has historically been the education of students at the M.S. and Ph.D. levels. The NEPreorganized its course offerings 11 years ago to offer an Undergraduate Minor Degree in NuclearEngineering, which is currently about 50 strong. This minor program has not only been effectivein attracting students from other engineering disciplines to NEP, but also in providing a strongsource of domestic graduate students for NEP. In the past 10 years, NEP has added five full-time faculty members and presently has seven full-time tenured or tenure-track faculty members.The activities of the full-time tenured faculty are complementarily supported by activities of twoemeritus and one adjunct faculty member with expertise in nuclear engineering.' Among these 10faculty members, three are fellows' of the American Nuclear Society (ANS) and one is formermember of the U.S. Nuclear Regulatory Commission's (NRC's) Advisory Committee on ReactorSafeguards (ACRS). Search is ongoing for a clinical faculty (mainly responsible for teaching) anda new line has been approved by the College of Engineering for a tenure-track faculty member innuclear reactor design and analysis.

Despite the relatively small faculty size, NEP has been experiencing a healthy growth in research.Research expenditures in NEP have grown from $0.75 million in Calendar Year (CY) 2002 toabout $4.1 million in CY 2014. The makeup of the graduate program has also changed over thepast decade. In 1999, the NE Program had 19 graduate students. Of that group, 67% wereinternational students. In the Fall 2014 semester, there were 39 full-time graduate studentsenrolled in the OSU NEP, with additional eight graduate students supported by the NEP facultyoutside the program due to the need for their expertise in the ongoing research projects. Withinour current graduate program, only 12/39 = 31% are international students with six students fromunder-represented groups. The OSU, Wilberforce, and Central State University havecollaborative arrangement in undergraduate nuclear engineering education. Memoranda ofUnderstanding on Cooperation between OSU and these two institutions in advancing nuclearengineering education are attached in Appendix A. Twenty-one out of 39 graduate students .(orabout 54%) are working toward a doctoral degree. In academic year 2013-2014, five studentsgraduated with an M.S. degree and five graduated with a Ph.D. degree in nuclear engineering.Since students are not required to declare their minor status until near graduation, we estimatethat there are about 50 Undergraduate Minor students based on course enrollments.

The data presented above indicate that the OSU NEP is on rise in productivity. However, due tothe relative small faculty size, the faculty has a very high teaching and research load. This heavyload limits the ability of the NEP to meet the growing need in teaching and course offering inadvanced reactor concepts, as well as to explore new research areas. Two of our facultymembers are close to retirement age. In response to these needs, the faculty have developed astrategic plan to further grow the NEP. Central to that plan is the implementation of anUndergraduate Major in Nuclear Engineering, which requires, at a minimum, a larger size offaculty and a sufficient number of courses at the undergraduate level.

The College of Engineering (CoE) and MAE Department have also recognized the issue of theNEP faculty size and have recently hired Raymond Cao (January 2010), Jinsuo Zhang (August2012) and Marat Khafizov (August 2014). A critical element that enabled these hires was theFaculty Development Grants received from the NRC. However, even with these three additions,additional faculty hires are necessary to improve the future role of the OSU NEP in meeting the

NRC-HQ-84-1 5-G-0024Page 5 of 23

growing demand for nuclear engineers. This need for additional faculty members has also beenrecognized in the Report of the CoE Performance Plan Acceleration Task Force, whichrecommends that resources be made available to hire two additional nuclear engineering facultymembers. The OSU N EP and MAE Department are in the process of finalizing the job descriptionto recruit one tenure-track junior faculty member into NEP who specializes in reactor design andanalysis.

2. ObjectiveThe objective of this proposal is to seek financial support from the NRC Faculty DevelopmentGrant Program to enhance our future tenure-track junior faculty member's professional career asan educator and researcher. The amount requested from the U.S. NRC is $450,000 for a three-year period with additional $150,000 in matching funds from OSU. The detailed budget andbudget justifications are shown in Section E.

3. Proposed Faculty Development Program

The NEP strategic plan is targeting a total faculty size at OSU NE:P to 11 FTE (currently about8.0 FTE), including 9 full-time and the 5 part-time/adjunct faculty members, within three years.This faculty size then would be sufficient to sustain a program comparable to those of the strongernuclear engineering programs. This proposed NEP Faculty Development Program will providefinancial support, in addition the OSU start-up funds, to the tenure-track faculty member withexpertise in nuclear reactor design and analysis. This position is expected to be filled by Springor Summer 2016. The plans for faculty recruiting and retention are described in Sections 3.1 and3.2, respectively, below.

3.1 Faculty recruitingA strategic plan was formulated for the OSU NEP in January '2008 and then updated in 2011.Central to this strategic plan is a faculty development program. In developing this plan, it wasrecognized that the faculty hires should be directed to: (a) building upon the focused researchstrengths of the NEP, MAE Department, and OSU; (b) enabling future success in the funding ofresearch centers; (c) identifying promising directions for research growth; (d) enhancing genderand ethnic diversity; and (e) renewing strengths in core areas of the NEP. An area that seems tobe particularly promising to regain U.S. leadership in nuclear technology, as well ascomplementing the current strengths of the OSU NEP in nuclear power production (reactor safety,nuclear materials, instrumentation and control systems, human and software reliability) is designand analysis of small modular reactors (SMRs) and advanced reactors. Among the SMRconcepts, the molten salt liquid fuel (MSLF) concept particularly noteworthy due to its lowoperating pressure, and potential to convert Thorium-232 to Uranium-233, which yields betterneutron economy (and lower operating cost) compared to Uranium-235 currently used as fuel innuclear reactors. MSLF and fluoride-salt-cooled high-temperature reactors with solid fuel (FHRs)are reactor concepts that the OSU NEP faculty have been conducting research on during the pastfive years. In View of aging faculty in reactor design and safety areas, and the recent retirementof another at OSU NEP, the recruitment of the new faculty will provide continuity in sustaining andexpanding these NEP strengths and expertise in SMRs and advanced reactor concepts. Inaddition, the OSU NEP has not been offering strong reactor physics courses, such as thetransport theory, primarily due to the lack of expertise in the current faculty make-up. We expectthe new faculty member will help the NEP to develop and offer advanced reactor physics coursesand build up strong teaching and research programs in this area.

3.2 Faculty retentionA comprehensive faculty retention strategy and plan is available at OSU to assist the new facultyand enable their growth in a timely fashion. The major components of the plan are briefed below.

NRC-HQ-84-1 5-G-0024Page 6 of 23

Collaborative Environment: Each of the NEP faculty members is willing to help others, especiallythe junior faculty. Several courses are taught jointly with the intention of utilizing the individualexpertise. Also, over 3/4 of the current NE research projects are collaborative, with more than onePI.

Competitive Startup Support: A competitive and attractive startup package is provided normallyover $750,000 in cash support (without indirect cost charged). In addition, the new faculty willreceive a 1/3 reduction in their teaching load during their probationary period.

Teaching and Research Facilities, Office and Lab Spaces: In addition to the teaching facilitiesprovided by OSU, the OSU CoE has two distance teaching/learning rooms that are fully equippedwith the state-of-the-art equipment. The $71.1 million Scott Laboratory, the MAE's home building,features 257,000 gross square feet space. In addition, the MAE Department has space in otherbuildings on campus and has space to be assigned to the new faculty member.

A major asset for the OSU NEP is the research and teaching facilities within the OSU NRL. Thesefacilities include the OSU Research Reactor (OSURR) (a 500-kW pool type reactor) with beamports, a Co-60 high-dose rate irradiation facility, and a subcritical assembly, which will be of valueto the new faculty member for teaching and research.

Mentoring Program: The MAE Department and NEP at OSU have a formal mentoring process inplace for junior faculty members. In addition, there are various programs, such as Assistance onFaculty Teaching Improvements, Faculty Academic Excellence Programs, and Junior FacultyDevelopment in place to ensure a success junior faculty member professional career andenjoyable personal life at OSU.

3.3 Faculty supportThe resources provided by the NRC Faculty Development Program will be targeted to supportthe following expenses:Faculty Salary: One month of summer salary and a 20% release time per year have beenbudgeted for the new junior faculty member for preparation of proposals for external funding andcourse materials for teaching during the upcoming academic years.

Supplies and Eguipment for Laboratories: The junior faculty member is expected to have strongresearch programs that require expenditures for supplies and equipment that cannot be exactlyanticipated at this point in time. A high-performance computer cluster has been budgeted.

Graduate Student Support. Funds for two graduate students will be provided for three years.

Travel Support: It is crucial that junior faculty members travel to conferences and present papersso that the community becomes aware of them. Also, conferences provide opportunities forprofessional service, such as serving on a program committee of related ANS technical divisionor chairing a technical session, for example.

4. Selection ProcessIt is expected that the new hire would begin at the 2016 Spring or Summer Semester. The CoE,MAE Department and NEP have stringent criteria for selection of a tenure-track faculty memberthat primarily relate to the quality of the applicant's research and publication record. Because ofthe importance of this junior faculty position to the continuity and advancement of the OSU NEP,additional specific criteria must be satisfied:

1. The proposed recipient must demons trate distinguished record of scholarship commensuratewith experience, exceptional potential for world-class research, and a commitment to bothundergraduate and graduate education. It will be essential to examine the candidate's pastacademic, research, teaching and advising record and current standing in the technicalcommunity. Peer evaluation and the quality of recommendation letters are extremely importantmeasures to the potential success of the candidate.

NRC-HQ-84-1 5-G-0024Page 7 of 23

2. The proposed faculty member must be qualified and committed to a long-term collaborativeresearch and education career in the OSU NEP. The competition for outstanding new juniorfaculty is very intense because many nuclear engineering programs in the nation are expandingand the pool of excellent candidates is limited. Hence, it is very important to the OSU NEP thatwe hire not only the best people available, but also those who are committed to a long-termresearch and education career to the OSU NEP.3. The proposed faculty member must be able to integrate into the current program, andcomplement the existing research/education areas, and explore new areas with high potential.As indicated earlier, the NEP currently has a very impressive research portfolio in instrumentationand control, probabilistic risk assessment, and reactor safety, including reactor thermalhydraulics, as well as advanced materials and fuels, with the support from and collaboration oforganizations, such as the NRC, DOE, NASA, and Idaho National Laboratory (INL), etc. It isimportant that the new faculty member can relatively easily be integrated into the existing NEPresearch in a complementary manner.4. The proposed recipient needs to demonstrate the potential of being successful in teaching andresearch at OSU NE Program. OSU's promotion and tenure criteria will be used as one majorreference. The selected recipient must have the capability to succeed in the promotion and tenureprocess.Although it is not a selection criterion, priority will be given to identifying candidates from under-represented demographics. The award recipient selection process is overseen by the PI of thisproposal, Dr. T. Aldemir, on behalf of the OSU NEP. The search committee will include membersfrom the OSU NEP Graduate Studies Committee (NEPGSC).

5. Management Structure and the Capability for Administering the ProgramThe PI, Dr. T. Aldemir will oversee the program, present the potential candidate to the NEGSC,review monthly the program progress and status, report semi-annually to the NRC projectmanager electronically, and prepare a final report. The co-PI, Dr. X. Sun, will assist the PI inpreparing the above tasks.As a full professor and Program Chair, Dr. Aldemir has extensive experience in managingresearch projects as well as more administrative-oriented projects like this one. A copy of thecurriculum vita for Dr. Aldemir is attached in Section D. The OSU NEP has received four FacultyDevelopment awards from the NRC and Dr. Aldemir has been the PI for all these awards. Dr.Sun is the recipient of the first award and has been promoted to associate professor with tenure.He has over 14-year experience in research and managing research.

6. Evaluation PlanThe Evaluation Committee that will to ensure the effectiveness of this program will includemembers from the NEPGSC as well as members from the MAE Department with relevantexpertise. The junior faculty recipient will collect, twice a year, data on the accomplishments ofthe project and impact on his/her professional career development. The PI and co-PI will presentthe data to the Evaluation Committee. The following criteria will be used for evaluation.1. Effective advising of graduate students and their career development. One of the important

measures is the publication produced from the support of this grant. The other is the academicperformance of the students, such as the grade point average value and their job placementafter graduation.

2. Success in securing major external research funding from government agencies, namely, theNRC, DOE, NSF, NASA, Department of Homeland Security and from the nationallaboratories, as well as the nuclear industry.

3. Contributions to the nuclear science and engineering literature through archival book andjournal publications, and timely conference presentations, workshops, and invited seminars.The proposed minimum quantitative measures are: a) a minimum of three refereedconference papers for Year 1, b) a minimum of three refereed conference papers and two

NRC-HQ-84-1 5-G-0024Page 8 of 23

journal publications for year 2, and, c) a minimum of three refereed conference papers andthree journal publications for Year 3. In addition, invited seminars provide an importantmeasure Of whether the junior faculty recipient is recognized nation-wide as a leader in his/herexpertise area.

4. Effective teaching in nuclear science and engineering to the NEP at OSU. The studentevaluation index will be used as one measure of the effectiveness of teaching. In addition,the recipient is encouraged to develop new courses (typically at the graduate-level) in his/herexpertise areas.

5. Contribution to nuclear science and engineering community through ANS and ASMEactivities, including organizing and chairing meeting sessions, participating in technicaldivision development as an executive and/or pro gram committee member and division officer,and reviewing manuscripts for technical journals and proposals for funding agencies.

6. Additional senrvices to the NEP and the MAE Department at OSU through participating ingraduate students' thesis/dissertation advisory committee and final defense/examinationcommittee, Ph.D. qualifying exams, etc.

Another important measure of the effectiveness of the project is whether the proposed recipientreceives promotion and tenure as scheduled. A junior faculty recipient, if hired in the Spring orSummer of 2016, will usually have the reappointment review (a.k.a third-year review) in Spring2019 and sixth year review (mandatory promotion and tenure review) in 2021. Therefore, by thecompletion of the project, it will be clear how the individual performs as evaluated against thepromotion and tenure criteria. As indicated earlier, the recipient of the first NRC FacultyDevelopment award at OSU, Dr. Sun, has been Promoted to Associate Professor with tenure.The recipient of the second award, Dr. Cao, has passed his third-year review and is currently inthe sixth year review process with excellent review feedbacks from both the MAE department andCoE. We firmly believe that the Provost and Board of Trustees will approve the case.

7. Institutional/State Commitment to Nuclear Energy and OSU NEPIn the State of Ohio, there are two nuclear power plants, namely, Perry and Davis Besse NuclearPower Plants,, and the Portsmouth Site, located in Piketon, Ohio. The OSU administrationrecognizes that nuclear power is currently the largest clean electricity-generation source and hasbeen very supportive of the NEP's growth. As particularly relates to MSLF and SMRs, the Ohiolegislature is considering House Concurrent Resolution No. 9 that states the State of Ohio shall•

".encourage the research and development of liquid-core-molten-salt-reactors and small-modular-reactors technologies as a long-term solution to Ohio's energy needs..." The MAEDepartment and CoE are providing to the proposed faculty development program cost sharematch in the amount of $150,000. Letters of commitment from CoE Dean and MAE DepartmentChair are attached in Appendix B.

NRC-HQ-84-1 5-G-0024Page 9 of 23

Attachment C - Standard Terms and Conditions

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

Preface

This award is based on the application submitted to, and as approved by, the NuclearRegulatory Commission (NRC) under the authorization 42 USC 2051(b)-pursuant to section 31b and 141b of the Atomic Energy Act of 1954, as amended, and issubject tO the terms and conditions incorporated either directly or by reference in the following:

* Grant program legislation and program regulation cited in this Grant and CooperativeAgreement.

• Restrictions on the expenditure of Federal funds in appropriation acts, to the extentthose restrictions are pertinent to the award.

* Code of Federal Regulations/Regulatory Requirements -2 CFR Part 200, UniformAdministrative Requirements, Cost Principles, and Audit Requirements for FederalAwards.

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 (E.O.), Office of Management and Budget(0MB) Circulars, the NRC's Mandatory Standard Provisions, special award conditions, andstandard award conditions.

Certifications and Representations: These terms incorporate the certifications andrepresentations required by statute, executive order, or regulation that were submitted with theSF424B application through GRANTS.GOV.

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

1. Applicability of 2 CFR 200 All provisions of 2 CFR Part 200 and all Standard Provisionsattached to this grant/cooperative agreement are applicable to the Recipient and to sub-recipients which meet the definition of "Recipient" in 2 Part §200.86, unless a sectionspecifically excludes a sub-recipient from coverage. The Recipient and any sub-recipientsmust, in addition to the assurances made as part of the application, comply and require each ofits sub-awardees employed in the completion of the project to comply with Subpart D of 2 CFR200 and include this term in lower-tier (sub-award) covered transactions.

Recipients must comply with monitoring procedures and audit requirements in accordance with2 CFR Part 200, Subpart F--AUDIT REQUIREMENTS.

2. Award PackageThe Recipient is obligated to Conduct project oversight as may be appropriate, to manage thefunds with prudence, and to comply with the provisions outlined in 2 CFR Part 200. Within thisframework, the Principal Investigator (PI) named on the award face page, is responsible for thescientific or technical direction of the project and for preparation of the project performancereports. This award is funded on a cost-reimbursement basis, not to exceed the amount

NRC-HQ-84-1 5-G-0024Page 10 of 23

awarded as indicated on the face page, and is subject to a refund of unexpended grant funds tothe NRC.

The non-Federal entity alone must be responsible, in accordance with good administrativepractice and sound business judgment, for the settlement of all contractual and administrativeissues arising out of procurements related to its grant award. These issues include, but are notlimited to, source evaluation, protests, disputes, and claims. These standards do not relieve thenon-Federal entity of any financial or fiduciary responsibilities or obligations arising under itsgrant, including sub-contracts and sub-awards, or any other contractual or financial obligation.The Federal awarding agency will not substitute its judgment for that of the non-Federal entityunless the matter is primarily a Federal concern. Violations of law will be referred to the local,State, or Federal authority having proper jurisdiction. See 2 CFR § 200.318(k), GeneralProcurement Standards.

SubawardsAppendix II to Part 200 Contract Provisions for Non-Federal Entity Contracts •Under FederalAwards

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 theRecipient to NRC. See 2 CFR §200.318.

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

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

* Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.), which prohibitsdiscrimination on the grounds of race, color, or national origin in any program or activity

* receiving federal financial assistance.* Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.), which

prohibits discrimination on the basis of sex in any education program or activity receivingfederal financial assistance.

* Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), whichprohibits discrimination on the basis of disability in any program or activity receivingfederal financial assistance.

* The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), whichprohibits discrimination on the basis of age in any program receiving federal financialassistance.

* The Americans with Disabilities Act of 1990 (42 U.S.C. §§ 12101 et seq.), whichprohibits recipients from discriminating on the basis of disability in employment (Title I);State and local government services (Title II); and places of public accommodation andcommercial facilities (Title Ill).

* Parts II and Ill of E.O. 11246, as amended bYE.O.11375, 11478, 12086, 12107, 13279,13665, and 13672, which prohibits federal contractors and federally assistedconstruction contractors and subcontractors, who do over $10,000 in Governmentbusiness in one year, from discriminating in employment decisions on the basis of race,color, religion, sex, or national origin and requires that government contractors takeaffirmative action to ensure that equal opportunity is provided in all aspects of theiremployment.

* E.O.13166, "Improving Access to Services for Persons with Limited English Proficiency,"which clarifies that national origin discrimination under Title VI includes discrimination on

N RC-HQ-84-1 5-G-0024Page 11 of 23

the basis of limited English proficiency (LEP) and requires that the recipient takereasonable steps to ensure that LEP persons have meaningful access to programs andactivities.

aAny other applicable non-discrimination law(s).

Generally, Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq, provides that itshall be an unlawful employment practice for an employer to discharge any individual orotherwise 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 nationalorigin. However, Title VII, 42 U.S.C. § 2000e-1 (a), expressly exempts from the prohibitionagainst discrimination 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 Recipient makes certain budgetmodifications or undertakes particular activities. If NRC approval is required for changes in thegrant or cooperative agreement, it must be requested and obtained from the NRC Grants Officerin advance of the change or obligation of funds. All requests for NRC prior approval, includingrequests for extensions to the period of performance, should be made, in writing (which includessubmission by e-mail), to the designated Grants Officer30 days before the proposed change.The request should be signed by 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 Recipient will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1 501-1508 and 7324-7328) which limit the political activities of employees whose principalemployment activities are funded in whole or in part with Federal funds.

The Recipient will 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 Recipient receiving in excess of $100,000.00 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 Recipient must submit the SF-LLL,including those received from sub-recipients, contractors, and subcontractors, to the GrantsOfficer.

Debarment And Suspension - (See 2 CFR Part 180: 2 CFR § 200.205: 2 CFR § 200.113: and2 CFR Part 200. Apprendix II.)

The Recipient 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;

NRC-HQ-84-1 5-G-0024Page 12 of 23

(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); or

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

(5) The Recipient agrees that, unless authorized by the Grants Officer, it will not knowingly enterinto any subaward or contracts under this grant/cooperative agreement with a person or entitythat is not included on the System for Award Management (SAM) (https://www.sam..oov).

The Recipient further agrees to include the following provision in any subaward Or contractsentered into under this award:

'Debarment, Suspension, Ineligibility, and Voluntary Exclusion

The Recipient 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 2 CFR Part 180 and 2 CFR Part 200.

Drug-Free WorkplaceThe Recipient 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 U.S.C.

Implementation of E.O.13224 - Executive Order on Terrorist FinancinqThe Recipient 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 Recipient to ensure compliance with theseExecutive Orders and laws. This provision must be included in all contracts/sub-awards issuedunder this grant/cooperative agreement.

The Recipient must comply with E.O. 13224, Blocking Property and Prohibiting Transactionswith Persons who Commit, Threaten to Commit, or Support Terrorism. Information about thisExecutive Order can be found at:Implementation of Executive Order 13224 Blockinci Property and Prohibitingq Transactions WithPersons Who Commit. Threaten To Commit, or Support Terrorism, amended by E.O. 13268.13284. and 13372.

Procurement Standards - 2 CFR §§ 200.318-200.326Sections 200.318 - 200.326 set forth standards for use by Recipients in establishing proceduresfor the procurement of supplies and other expendable property, equipment, real property and

NRC-HQ-84-1 5-G-0024Page 13 of 23

other services with Federal funds. These standards are furnished to ensure that such materialsand services are obtained in an effective manner and in compliance with the provisions ofapplicable Federal statutes and executive orders. No additional procurement standards orrequirements will be imposed by the Federal awarding agencies upon Recipients, unlessspecifically required by Federal statute, executive order, or approved by 0MB.

Travel and TransportationTravel must be in accordance with the Recipient's Travel Regulations or the U.S. GovernmentTravel Policy and Regulations at: www..qsa..qov/federaltravelrepqulation and the per diem ratesset forth at: www.qsa..qov/perdiem, absent Recipient's travel regulations. Travel andtransportation costs for the grant must be consistent with provisions as established in 2 CFR §200.473-474.

All other travel, domestic or international, must not increase the total estimated award amountfor the grant.

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 Recipient'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 for the grant.

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 theRecipient's policies and practices. Travel by first-class travel is not authorized unlessprior approval is obtained, in writing, 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 Recipient will comply with the provisions of the Fly America Act (49 U.S.C 40118), asimplemented at 41 CFR §§ 301-10.131 through 301-10.143.

Property StandardsProperty standards of this award shall follow provisions as established 2 CFR .•. 200.310-200.316.

Intangible PropertyIntangible and intellectual property of this award shall generally follow provisions established in2 CFR § 200.31 5.

Inventions Report - The Bayh-Dole Act (P.L. 96-517) affords Recipients the right toelect and retain title to inventions they develop with funding under an NRC grant award("subject inventions"). In accepting an award, the Recipient agrees to comply withapplicable NRC policies, the Bayh-Dole Act, and its Government-wide implementingregulations found at Title 37, Code of Federal Regulations (CFR) Part 401. A significantpart of the regulations require that the Recipient report all subject inventions to theawarding agency (NRC) as well as include an acknowledgement of federal support inany patents.

NRC-HQ-84-1 5-G-0024Page 14 of 23

Patent Notification Procedures - If the NRC or its Recipients, without making a patentsearch, knows (or has demonstrable reasonable grounds to know) that technologycovered by a valid United States patent has been or will be used without a license fromthe owner, E.O.12889 requires NRC to notify the owner. If the Recipient uses or hasused patented technology under this award without license or permission from theowner, the Recipient must notify the Grants Officer. This notice does not imply that theGovernment authorizes and consents to any copyright or patent infringement occurringunder the financial assistance.

Data. Databases, and Software - The rights to any work produced or purchased undera NRC federal financial assistance award, such as data, databases or software aredetermined by Subpart D of 2 CFR Part 200. The Recipient owns any work produced orpurchased under a NRC federal financial assistance award subject to NRC's right toobtain, reproduce, publish or otherwise use the work or authorize others to receive,reproduce, publish or otherwise use the data for Government purposes.

Copvright - The Recipient may copyright any work produced under a NRC federalfinancial assistance award subject to NRC's royalty-free nonexclusive and irrevocableright to reproduce, publish or otherwise use the work or authorize others to do so forGovernment purposes. Works jointly authored by NRC and Recipient employees maybe copyrighted, but only the part authored by the Recipient is protected because, under17 U.S.C. § 105, works produced by Government employees are not copyrightable inthe United States. On occasion, NRC may ask the Recipient to transfer to NRC itscopyright in a particular work when NRC is undertaking the primary dissemination of thework. Ownership of copyright by the Government through assignment is permitted under17 U.S.C. § 105.

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

Conflict Of InterestConflict of Interest standards for this award will follow the Organizational Conflict of Interest(OCOI) requirements set forth in Section 170A of the Atomic Energy Act of 1954, as amended,and provisions set forth at 2 CFR § 200.112, Conflict of interest.

Dispute Review Proceduresa. Any request for review of a notice of termination or other adverse decision 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 Recipient'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 Acquisition Management Division, unless otherwisedelegated, who shall appoint an intra-agency Appeal Board to review a recipient appeal of anagency action, if required, which will consist of the program office director, the Deputy Directorof Office of Administration, and the Office of General Counsel.

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

N RC-HQ-84-1 5-G-0024Page 15 of 23

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 Recipient andthe NRC program office to discuss pertinent issues and to submit such additional information asit deems appropriate. The chairman of the review committee will insure that all review activitiesor proceedings 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.

Remedies for NoncomplianceTermination of this award will follow provisions as established and described above in "DisputeReview Process" in 2 CFR §§ 200.338-342.

Performance and Financial Monitoring and Reporting 2 CFR 200.327-200.329Recipient Financial Management systems must comply with the provisions in 2 CFR §200.302

* Payment - 2 CFR §200.305* Cost Share or Matching - 2 CFR.§200.306* Program Income - 2 CFR §200.307

o Earned program income, if any, will be added to funds committed to the projectby the NRC and Recipient 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.

*Revision of Budget and Program Plans - 2 CFR §200.308o The Recipient is required to report deviations from the approved budget and

program descriptions in accordance with 2 CER §200.308 (b) and request priorwritten approval from the Program Officer and the Grants Officer.

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

o The Recipient is authorized to transfer funds among direct cost categories up to*a cumulative 10 percent of the total approved budget. The Recipient is not

allowed to transfer funds if the transfer would cause any Federal appropriation tobe used for purposes other than those consistent with the original intent of theappropriation.

a Allowable Costs - 2 CFR §200.40 1- §200.403

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

Federal Financial Reports - The Recipient is required to submit a "Federal FinancialReport" (SF-425) on a semi-annual basis for the periods ending March 31, andSeptember 30, or any portion thereof, unless otherwise specified in a special awardcondition. Reports are due no later than 30 days following the end of each reportingperiod. A final SF-425 is due within 90 days after expiration of the award. The reportshould be submitted electronically to: Grants FFR.Resource•,NRC.GOV. (NOTE:There is an underscore between Grants and FFR).

Performance Progress Reports - In accordance with 2 CFR § 200.328, the Recipient willsubmit Performance Progress Reports (SF-PPR, SF-PPR-B,. and the SF-PPR-E) on ansemi-annual basis for the period ending September 30, or any portion thereof, unlessotherwise authorized by the Grants Officer. Reports are due no later than 30 days

NRC-HQ-84-1 5-G-0024Page 16 of 23

following the end of the reporting period. Performance reports are sent to the ProgramOfficer at the email address indicated in the Notice of Award, and to Grants Officer at:Grants PPR.Resource@~NRC.GOV. (NOTE: There is an underscore between Grantsand PPR).

Final Reports - The Recipient is required to submit final reports, both Financial (SF-425)and Performance (SF-PPR, SF-PPR-B, SF-PPR-E) within 90 days of the grantexpiration. In addition to these reports, a final SF-428, Tangible property report, is alsorequired, if applicable.

Period of Performance - 2 CFR § 200.309The recipient may charge to the Federal award only allowable costs incurred during the periodof performance and any costs incurred before the NRC or pass-through entity made the Federalaward that was authorized by the NRC or pass through entity.

Unless otherwise authorized in 2 cFR Part 200 or by special award condition, any extension ofthe award period can only be authorized by the Grants Officer in writing. Assurances of fundingfrom other than the Grants Officer shall not constitute authority to obligate funds forprogrammatic activities beyond the expiration date.

The NRC Grant Officer may authorize a no cost extension of the period of performance.However, the NRC has no obligation to provide any additional prospective or incrementalfunding. Any modification of the award to increase funding and to extend the period ofperformance is at the sole discretion of the NRC.

Automated Standard Application For Payments (ASAP) ProceduresUnless otherwise stated, Recipient payments are made using the Department of Treasury'sAutomated Standard Application for Payment (ASAP) system, ASAP..qov, throughpreauthorized electronic funds transfers. To receive payments, Recipients are required to enrollwith the Department of Treasury, Financial Management Service, and Regional FinancialCenters, which allows them to use the on-line method of withdrawing funds from their ASAPestablished accounts. The following information is required to make ASAP withdrawals: (1)ASAP account number - the award number found on the cover sheet of the award; (2) AgencyLocation Code (ALC) - 31.000001; and Region Code. Recipients enrolled in the ASAP systemdo not need to submit a "Request for Advance or Reimbursement" (SF-270).

II. Audit Requirements

AuditsOrganization-wide or program-specific audits are performed in accordance with the Single AuditAct of 1996, as amended, and as implemented by 2 CFR Part 200, Subpart F-AUDITREQUIREMENTS. Recipients are subject to the provisions of this subpart if they expend$750,000 or more in a year in Federal awards. See 2 CFR 2 CFR § 200.501.

The Form SF-SAC and the Single Audit Reporting packages for fiscal periods ending on or afterJanuary 1, 2008 are submitted online, as follows:

1. Create your online report ID at: http://harvester.census.,qov/fac/collect/ddeindex.html;2. Complete the Form SF-SAC;3. Upload the Single Audit;4. Certify the Submission; and5. Click "Submit."

NRC-HQ-84-1 5-G-0024Page 17 of 23

Organizations expending less than $750,000 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.

IIl. Programmatic Requirements

Grant Performance MetricsThe 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.

The performance (technical) reports will contain brief information as prescribed in the applicableuniform administrative requirements 2 CFR §200.328. In addition to the customary performanceprogress report requested on the SF-PPR, SF-PPR-B, and SF-PPR-E forms, OCHCO requiresthe following metrics to be reported on by the awardees as follows:

Faculty Development Metrics:

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

cumulative to the grant.

2. How many items have the sponsored faculty produced, for example, ProfessionalJournal articles, publications, patents, or conference reports?

a. Response is the type and number of items, for this reporting period andcumulative to the grant.

Unsatisfactory PerformanceFailure to perform the work in accordance with the terms of the award and maintain at least asatisfactory performance rating may result in designation of the Recipient as high risk and theassignment of special award conditions. Further action may be required as specified in thestandard term and condition entitled "Remedies for Noncompliance."

Failure to comply with the award provisions may result in a negative impact on future NRCfunding. In addition, the Grants Officer may withhold payments; change the method of paymentfrom advance to reimbursement; impose special award conditions; suspend or terminate thegrant.

Other Federal Awards With Similar Programmatic ActivitiesThe Recipient will immediately notify the Project Officer and the Grants Officer in writing if afteraward, other financial assistance is received to support or fund any portion of the programdescription stated in the NRC award. NRC will not pay for costs that are funded by othersources.

Prohibition Against Assignment By The RecipientThe Recipient will not transfer, pledge, mortgage, or otherwise assign the award, or any interestto the award, or any claim arising under the award, to any party, banks, trust companies, orother financing or financial institutions without the written approval of the Grants Officer.

NRC-HQ-84-1 5-G-0024Page 18 of 23

Site VisitsThe NRC, through authorized representatives, has the right to make site visits to review projectaccomplishments and management control systems and to provide technical assistance asrequired. If any site visit is made by the NRC on the premises of the Recipient or contractorunder an award, the Recipient shall provide and shall require his/her contractors to providereasonable access to all facilities and provide necessary assistance for the safety andconvenience of the Government representative in the performance of his/her official duties.

IV. Miscellaneous Requirements.

Criminal and Prohibited ActivitiesThe Program Fraud CivilIRemedies Act (31 U.S.C. §§ 3801-3812), provides for the imposition ofcivil penalties against persons who make false, fictitious, or fraudulent claims to the Federalgovernment for money (including money representing grant/cooperative agreements, loans, orother benefits).

False statements (18 U.S.C. § 287), provides that whoever makes or presents any false,fictitious, or fraudulent statements, representations, or claims against the United States shall besubject to imprisonment of not more than five years and shall be subject to a fine in the amountprovided by 18 USC §287.

False Claims Act (31 U.S.C. § 3729 et seq.), provides that suits under this Act can be broughtby the government, or a person on behalf of the government, for false claims under federalassistance programs.

Copeland "Anti-Kickback" Act (18 U.S.C. § 874), prohibits a person or organization engaged in afederally supported project from enticing an employee working on the project from giving up apart of his compensation under an employment contract.

American-Made Eguipment And ProductsRecipients are encouraged to purchase American-made equipment and products with fundingprovided under this award.

Increasing Seat Belt Use in the United StatesE.O. 13043, amended by E.O. 13652, requires Recipients to encourage employees andcontractors to enforce on-the-job seat belt policies and programs when operating company-owned, rented or personally-owned vehicle.

Federal Leadership of Reducing Text Messaging While DrivingE.O. 13513 requires Recipients to encourage employees, sub-awardees, and contractors toadopt 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.

Federal Employee ExpensesFederal agencies are barred from accepting funds from a Recipient to pay transportation, travel,or other expenses for any Federal employee unless specifically approved in the terms of theaward. Use of award funds (Federal or non-Federal) or the Recipient's provision of in-kindgoods or services, for the purposes of transportation, travel, or any other expenses for anyFederal employee may raise appropriation augmentation issues. In addition, NRC policy

NRC-HQ-84-1 5-G-0024Page 19 of 23

prohibits the acceptance of gifts, including travel payments for Federal employees, fromRecipients or applicants regardless of the source.

Minority Serving Institutions (MSls) InitiativePursuant to E.O.s 13230 and 13270, amended by E.O. 13316 and 13385, 13532, 13592,13555, 13515, and 13621, NRC is strongly committed to broadening the participation of MSIs inits financial assistance program. NRC's goals include achieving full participation of MSIs inorder to advance the development of human potential, strengthen the Nation's capacity toprovide high-quality education, and increase opportunities for MSls to participate in and benefitfrom Federal financial assistance programs. NRC encourages all applicants and Recipients toinclude meaningful participations of MSIs. Institutions eligible to be considered MSls are listedon the Department of Education website: http:llwww.ed..qov/about/officesflist/ocrledlite-minoritvinst. html

Research MisconductScientific or research misconduct refers to the fabrication, falsification, or plagiarism inproposing, performing, or reviewing research, or in reporting research results. It does notinclude honest errors or differences of opinions. The Recipient 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 Recipient organizationshall investigate the allegation and submit its findings to the Grants Officer. The NRC mayaccept the Recipient's findings or proceed with its own investigation. The Grants Officer shallinform the Recipient of the NRC's final determination.

Publications, Videos, and Acknowledgment of SponsorshipPublication of the results or findings of a research project in appropriate 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 Recipient 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 Recipient 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/iv,'d~e] was prepared by [Recipi•ent nam'e-] under award [number] from [n~ameofopera•ptin~g~unt], Nuclear Regulatory Commission.• The statements, fi~nding's, conclusions,and recommendations are those of the author(s) and do not necessarily reflect the view ofthe [nameo~f operat~ing ni] or the US Nuclear Regulatory Commission."

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 as amended,directs on a government-wide basis that:

NRC-HQ-84-1 5-G-0024Page 20 of 23

"..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 recipient or anysubrecipient, 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." (See 22 U.S.C.§7104(g).)

EXECUTIVE COMPENSATION REPORTING2 CFR § 170.220 directs agencies to include the following text to each grant award to a non-federal entity if the total funding is $25,000 or more in Federal funding.

Reporting Subawards and Executive Compensation.

a. Reporting of first-tier suba wards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you mustreport each action that obligates $25,000.00 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

h ttp ://wwvw. fsrs. qov.

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 http://www.fsrs.,qov specify.

b. Reporting Total Compensation of Recipient Executives.

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

most highly compensated executives for the preceding completed fiscal year, if--

i. the total Federal funding authorized to date under this award is $25,000.00 or more;

ii. in the preceding fiscal year, you received--

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (andsubcontracts) and Federal financial assistance subject to the Transparency Act, as defined at2 CFR § 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, as defined at2 CFR § 170.320 (and subawards); and

N RC-HQ-84-1 5-G-0024Page 21 of 23

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. 78re(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 htti://www. sec.gcov/answe rs/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:/Iwww.sam.qzov.

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://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. Forexample, if a subaward is obligated on any date during the month of October of a given year(iLe., 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 $300,000.00, you areexempt from the requirements to report:

,~ :~

NRC-HQ-84-1 5-G-0024Page 22 of 23

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 0MB 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:

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 in

NRC-HQ-84-1 5-G-0024Page 23 of 23

accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)(FAS 1 23R), 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 $10,000.00.