. \ LSU PROPOSAL# lJ I.// J.J -) Page I of32 CHOOSE ONE: Grant and Cooperative Agreement D COOPERATIVE AGR.EEMENT lR] GRANT CHOOSE ONE: [fil EDUCATION D FACILITIES D RESEARCH D SDCR D TRAINING 1. GRANT/COOPERATIVE AGREEMENT NUMBER I: 2. SUPPLEMENT NUMBER 13. EFFECTIVE DATE 4. COMPLETION DATE NRC-HQ-84-15-G-0017 MOOOl 07/01/2016 5. ISSUED TO 6. ISSUED BY us NRC - HQ NAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip) MalllngAddress: ACQUISITION MAc"lAGEMENT DIVISION LOUISIANA STATE UNIVERSITY 202 HIMES HALL MAIL STOP 3WFN-iE'l-C64MP BATON ROUGE LA 70803-0100 WASHINGTON DC 20555-0001 17. TAXPAYER IDENTIFICATION NO. (TIN) 9. PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR PROGRAM MGR. (Name & Phone) 8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO. Program A: Dr. Wayne Newhauser, [email protected]Program B: Dr. Manus Gartia, [email protected]RESEARCH, PROJECT OR PROGRAM TITLE ')ee Schedule H1. PURPOSE !See Schedule H2. PERIOD OF PERFORMANCE (Approximately) throuqh 06/30/2020 13A. AWARD HISTORY 13B. FUNDING HISTORY PREVIOUS $400.000.00 PREVIOUS $400.000.00 THIS ACTION $400.000.00 THIS ACTION $400.000.00 CASH SHARE $0.00 TOTAL $800.000.00 NON-CASH SHARE $0.00 RECIPIENT SHARE $529,026.00 TOTAL $800.000.00 14. ACCOUNTING AND APPROPRIATION DATA l2016-X0200-IUPMRU-8 4-84 D002-52-S-164-'I'84 58-4110 'URCHASE REQUEST NO. JOB ORDER NO. AMOUNT STATUS JCHC0-16-0181 15. POINTS OF CONTACT NAME MAIL STOP TELEPHONE E-MAIL ADDRESS TECHNICAL OFFICER NANCY v. HEBRON-ISREAL 13WFN/3AF12 ao1-2s5-0718 [email protected]NEGOTIATOR ADMINISTRATOR M'LITA R. CARR (301) 415-6869 PAYMENTS 16. THIS AWARD IS MADE UNDER THE AUTHORITY OF: Pursuant to Section 3lb and 141b of the Atomic Energy Act of 1954, as amended. ! 17. APPLICABLE STATEMENT($), IF CHECKED: 16. APPLICABLE ENCLOSURE(S), IF CHECKED: D NO CHANGE IS MADE TO EXISTING PROVISIONS D PROVISIONS D SPECIAL CONDITIONS D FOP TERMS AND CONDITIONS AND THE AGENCY-SPECIFIC D REQUIRED PUBLICATIONS AND REPORTS REQUIREMENTS APPLY TO THIS GRANT UNITED STATES OF AMERICA COOPERATIVE AGREEMENT RECIPIENT CONTRACTING/GRANT OFFICER I DATE I DA":/ftit M'LITA R. CARR "" / 06/30/2016 no ..... l:ll ,..,,.., __ , .. _ - .... ·-- Executive Director, Sponsored Programs SUNSI REViEW ·SEP 1 6 2016
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LSU PROPOSAL# lJ I.// J.J - ) Page I of32
CHOOSE ONE:
Grant and Cooperative Agreement D COOPERATIVE AGR.EEMENT
lR] GRANT
CHOOSE ONE: [fil EDUCATION D FACILITIES D RESEARCH D SDCR D TRAINING
1. GRANT/COOPERATIVE AGREEMENT NUMBER I: 2. SUPPLEMENT NUMBER 13. EFFECTIVE DATE 4. COMPLETION DATE
NRC-HQ-84-15-G-0017 MOOOl 07/01/2016 5. ISSUED TO 6. ISSUED BY us NRC - HQ
NAME/ADDRESS OF RECIPIENT (No., Street, City/County, State, Zip) MalllngAddress: ACQUISITION MAc"lAGEMENT DIVISION LOUISIANA STATE UNIVERSITY 202 HIMES HALL MAIL STOP 3WFN-iE'l-C64MP
BATON ROUGE LA 70803-0100 WASHINGTON DC 20555-0001
17. TAXPAYER IDENTIFICATION NO. (TIN) 9. PRINCIPAL INVESTIGATOR/ORGANIZATION'S PROJECT OR
PROGRAM MGR. (Name & Phone)
8. COMMERCIAL & GOVERNMENT ENTITY (CAGE) NO. Program A: Dr. Wayne Newhauser, [email protected]
Program B: Dr. Manus Gartia, [email protected] ~O. RESEARCH, PROJECT OR PROGRAM TITLE
')ee Schedule
H1. PURPOSE
!See Schedule
H2. PERIOD OF PERFORMANCE (Approximately)
~9/30/2015 throuqh 06/30/2020 13A. AWARD HISTORY 13B. FUNDING HISTORY
PREVIOUS $400.000.00 PREVIOUS $400.000.00 THIS ACTION $400.000.00 THIS ACTION $400.000.00 CASH SHARE $0.00 TOTAL $800.000.00 NON-CASH SHARE $0.00 RECIPIENT SHARE $529,026.00
TOTAL $800.000.00 14. ACCOUNTING AND APPROPRIATION DATA
The purpose of this Grant is to provide support to two distinct programs with Louisiana State University and A&M College, as described in Attachment B entitled "Program Description."
1. Program A: LSU Fellowships Program in Health Physics. 2. Program B: LSU Fellowship Program 1.In Nuclear Science and Engineering.
A.2 PERIOD OF GRANT
The effective date of the grant programs is:
Program A: LSU Fellowships Program in Health Physics. The effective date of this program is September 30, 2015. The estimated completion date is September 29, 2019. Funds obligated hereunder are available for program expenditures for the estimated period: September 30, 2015 through September 29, 2019.
Program B: LSU Fellowship Program in Nuclear Science and Engineering. The effective date of this program is July 1, 2016. The estimated completion date of this program is June 30, 2020. Funds obligated hereunder are available for program expenditures for the estimated period: July 1, 2016 through June 30, 2020.
A.3 BUDGET Revisions to the budget shall be made in accordance with revisions of Grant Budget in accordance with 2 CFR § 200.308. All travel must be in accordance with Colorado State University travel regulations or the U.S. Government Travel Policy absent Recipient's travel regulations.
Program A: 1. Total Estimated NRG Amount: 2. Total Obligated Amount: 3. Cost-Sharing Amount: 4. Activity Title:
5. NRG Project Officer: 6. DUNS No.: 7. Principal Investigator:
1. Program A: The total estimated amount of this Award is $742,504.00, inclusive of cost sharing. NRG hereby obligates the amount of $400,000.00 expenditures during the period set forth above and in support of the Budget above. NRC is not obligated to reimburse the Grantee for the expenditure of amounts in excess of the total obligated amount.
2. Program B: The total estimated amount of this Award is $586,522.00, inclusive of cost sharing. NRG hereby obligates the amount of $400,000.00 expenditures during the period set forth above and in support of the Budget above. NRC is not obligated to reimburse the Grantee for the expenditure of amounts in excess of the total obligated amount.
3. Payment shall be made to the Grantee in accordance with procedures set forth in the Automated Standard Application for Payments (ASAP) Procedures set forth below.
Attachment B - Program Description
Program A: LSU Fellowships Program in Health Physics
Principal Investigator: Dr. Wayne Newhauser
PROGRAM DESCRIPTION
With a looming wave of retirements, additional radiation professionals are needed to meet the needs in the energy, medical, defense, and security sectors. Currently the National Council on Radiation Protection (NCRP), the Congressionally chartered
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organization charged to advise the U.S. government on radiation protection issues, is working with stakeholders to formulate a comprehensive, coordinated strategy to define the situation and propose solutions at the national level. Workforce issues in Louisiana are similar to elsewhere in the U.S., but with some unique challenges and opportunities. Challenges include a growing demand (mainly in the energy and medicine sectors), shrinking state funding for higher education; and difficulty in retaining young professionals to a state that lacks the amenities, affluence, and quality of life enjoyed in most other states. However, LSU has a small, high-quality Health Physics training program that is popular with students, university leaders, and local industries; this offers the opportunity to increase training capacity in a fast and cost effective manner.
Proposed Program The applicant institution has the ability and capacity to successfully complete the objectives of the proposed program. The proposed program will increase the number of students graduating with the Master of Science degree in Health Physics to 3 per year, or a 6-fold increase over the average rate from recent years. This growth in training capacity is achievable because our training program already has faculty, curricula, facilities and resources, research opportunities, administrative support structur~s. and experience.
The quality of students served by the proposed program is high. We draw from a diverse pool of well-qualified applicants with BS degrees in physics and engineering. Minimum admission standards of successful applicants typically include an undergraduate GPA 3.0 with good performance in science and math courses, GRE scores of 150 quantitative and 150 verbal, 3 strong letters of recommendation, a compelling written personal statement, and excellent communication skills as assessed in interviews with program faculty. International students must meet LSU's requirements regarding TOEFUIELTS exam scores. All admissions to this program will comply with the NRC's citizenship requirements, as specified in NRC-HQ-84-15-FOA-0001.
The proposed support for students includes a stipend, fringe benefits, tuition recovery, and travel to in-state training sites (see Budget). Each fellowship will provide a $17,500 stipend per year per student for one year. Other support includes academic advising, mentored research training, and administrative support. The academic advising will be performed by the Pl and co-Pl and the research mentoring will be performed by faculty listed as key personnel in this proposal. Academic administrative support will be provided by existing departmental and program staff. The training will be conducted mainly by LSU A&M College with participation of the following associated institutl~ms: Tulane Un_iversity, Southern University, Biomedical Research Foundation of Northwest Louisiana, and Mary Bird Perkins Cancer Center. The quality of the technical program, including fatuity and facilities, is excellent. The faculty are highly qualified to teach and supervise students in this program. The faculty includes 7 full-time LSU faculty members (Deibel, Dey, Guzik, Jia, Matthews, Newhauser, Wang) of which 1 holds ABHP certification (Wang) and another 3 are board certified medical physicists (Matthews, Jia, Newhauser). One of these is currently a radiation safety officer (Wang) and another previously was (Newhauser). Two faculty members (Deibel and Guzik) were hired under an 'NRC faculty development grant (Erno Sajo, Pl, Award NRC-38-10-933, 2010-2014). At least 4 additional instructors will participate (Day, Lokitz, Lansberry, Stam), of which all are radiation safety officers and 2 are ABR certified. The quality of the curriculum is high
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thanks to modernization and expansion that was funded by an NRC curriculum development grant (Erno Sajo, Pl, Award NRC-38-09-895, 2009-2010). The MS curriculum requires a minimum of 24 credit hours of core and elective courses and 6 credit hours of thesis research. Each student is required to write a research thesis based on an original research project. The research project is performed under the mentorship of a faculty member on topics in health physics, such as radiation measurement, radiation protection, and dose and risk assessment. The degree requires approximately three years of full-time effort to complete. The curriculum is described in detail at http://www.phys.lsu.edu/newwebsite/graduate/plan md healthphys.html. All of the key personnel already contribute to the health physics education program. Several institutions are associated with the program to provide a spectrum of instruction, research opportunities, and practical operational experience. For example, we offer a formal practicum course in which the student selects three modules. Each module comprises practical experience to reinforce and extend knowledge obtained from classroom learning. Examples of available modules include radiation safety at an academic university (LSU, Baton Rouge, LA),. radiation safety in a synchrotron accelerator research facility (LSU Center for Advanced Microstructures and Devices, Baton Rouge, LA), a cyclotron facility for medical isotope production (Biomedical Research Foundation, Shreveport, LA), a cancer radiation therapy center with electron accelerators and a wide variety of byproduct sealed sources (Mary Bird Perkins Cancer Center, Baton Rouge, LA), and a basic science and medical research institution (Tulane Medical School). Interestingly, LSU is the only provider of graduate training in Health Physics in the State of Louisiana.
The education outcomes have been excellent, as evidenced by the 100% placement rate of our trainees in the radiation professions. Our trainees and recent graduates have a high passing rate on the ABHP certification examination. Our students typically receive multiple job offers prior to graduation. Several of our former trainees hold RSO and other leadership positions, in government, academia, and industry. Other statistics on our Program suggest the feasibility for sustained growth of the program. Using only passive advertising via our web site, the number of seriously interested prospective graduate students averages about 12 per year. Nearly all of these prospective students require financial support, the lack of which has constrained admissions to our program. Active recruiting and marketing efforts, with announcement of a higher rate of planned admissions, will undoubtedly increase the application rate.
LSU and. Southern University (SU) have established an innovative cooperative agreement to facilitate student exchange, sharing of library privileges, and sharing of academic programs (http:l/catalog. lsu.edu/content.php?catoid= 12&navoid=835). This program allows students from SU, an HBCU institution, to take Health Physics courses at LSU without any additional fees. This augments the diversity of our applicant pool
· by allowing undergraduate students to learn about careers in the radiation sciences and the Health Physics Program ..
The Health Physics Program enjoys strong institutional support at all levels, as evidenced by increasing faculty lines to the program in recent years. Co-Pl Wang (LSU Radiation Safety Director) has provided instruction and committed resources to the Health Physics and Medical Physics Program since 2003. As the Director of the Medical Physics and Health Physics Education Program, Pl Newhauser has worked to increase the educational activities in Health Physics research and education. Since
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the Program Director arrived in 2011, we have recruited two new faculty members to the program, with one additional search for a junior tenure track faculty member currently in progress. During an era of economic hardship, the allocation of scarce faculty lines to our Program is perhaps the strongest indicator of institutional commitment for sustained long-term growth of the Program.
LSU's plan for sustaining the proposed gains from this project includes maintaining laboratory and office space for students and faculty, maintaining existing and seeking new partnerships in Health Physics education with public and private organizations, and seeking additional extramural funding for fellowships, scholarships, and faculty development.
The funding requested in this proposal is vitally and urgently needed because of chronic reductions in funding for higher education by the State of Louisiana since 2008. To attract and retain qualified graduate students to our Program, offers of admission need to include financial support, e.g., a fellowship and/or tuition waiver. Without this, many qualified prospective students will be lost to non-nuclear programs. Our proposal offers a good return on investment because it will increase the supply of radiation professionals and because it leverages significant fixed costs (e.g., faculty salaries) covered by the applicant university.
Recruitment Activities and Marketing Strategies
To attract a large and diverse pool of applicants, we will implement several recruitment activities and marketing strategies that include active and passive initiatives. Active efforts will include contacting program directors of undergraduate programs with announcements of fellowship opportunities, as well as site visits with presentations to undergraduate students in physics and engineering programs in the state and region. LSU hosts a variety of events to help STEM undergraduates learn more about career opportunities; our faculty will continue to participate in these annual events, such as "Women in Physics" conferences, which are designed to attract a high qualify and diverse pool of applicants. We will continue to actively recruit students from HBCUs, Hispanic-serving institutions, and other schools with the support of LSU's Office of Strategic Initiatives (see letter of support from Dr. Gloria Thomas). Another active recruitment method is promoting awareness of opportunities in our program via our alumni, which number more than 100. We will feature such opportuniti~s in our program's semi-annual newsletter, which is distributed electronically. We will also engage our department's recruitment specialist to utilize social media, such as Facebook and Twitter, to reach alumni and interested prospective students. We will also advertise our Program with oral and poster presentations at professional and scientific meetings (e.g., HPS, ANS, AAPM, -NCRP) regarding educational and fellowship opportunities.
Passive recruitment and marketing efforts will include enhancements to the scope and content of the program's web site. Specifically, we will add, update, or enhance the descriptions of fellowship opportunities, faculty research interests, student research opportunities, testimonials from former students, and tables of data on rates of application, admissions, offers, matriculation, completion, placement, and passing of the ABHP certification ·exam.
Applicant Selection. Process
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. The Selection Process is based on merit, with enhancement of diversity as a metric to differentiate equivalent candidates. Students apply to the LSU Health Physics Program using the LSU Graduate School's online application system. The application package~ includes transcripts, a personal statement, standardized exam scores, and letters of recommendation. Applications are evaluated by an Admissions Committee, which comprises active Program faculty. Applications are ranked by merit, with considerations for enhancement of diversity and in conformance with Title IX and all other applicable federal, state, and university rules.
Each member of the Admissions Committee independently ranks the merit of each applicant based on considerations of undergraduate preparation, prior graduate coursework when applicable, letters of recommendation, educational and career goals described in the personal statement, GRE scores, TOEFL scores for non-native speakers, and any relevant research and work experience. The Admissions Committee discusses 'each applicant; the discussion includes oral presentation by a primary and a secondary reviewer, followed by open discussion of the committee. Discussion may lnclude programmatic factors relevant to admission decisions, such as the availability of faculty to mentor specific applicants, the goodness of fit of an applicant's educational needs and interests to the program and prospective faculty mentor, and other factors. After the discussion of individual applications, the committee generates a final ranked list of applicants. Beginning with the highestranked applicant, offers of admission are extended to selected applicants; an on-hold list is maintained to allow additional offers in case any are declined.
Evaluation Pian to Quantify ._Effectiveness of Program
The Health Physics Program has a feasible and complete plan to evaluatJ and report on the impact and effectiveness of the proposed program in attracting, preparing, and retaining students in nuclear careers. The program utilizes faculty, support staff, information systems, and administrative processes to accomplish those tasks.
To evaluate the effectiveness in attracting students, we will analyze composited data on applications for each admission cycle. For example, we will tabulate the number of applicants to the program, their academic "quality" (using pre-defined criteria determined by the Admissions Committee) and goodness of fit to the program's opportunities. To assess the effectiveness of attracting applicants from underrepresented groups, we will review statistics on race and gender that are provided to us by the LSU Graduate School, which is based on information provided by the applicant (we note that applicants are not required to provide this information and consequently it is not always available to us). Similarly, each year we will analyze, tabulate, and report on the numbers and rates of offers of admission, acceptance, and matriculation.
The preparation of our students is evaluated in several ways. The Program Director reviews each student's progress and performance at least twice per year. The student is matched to a n:iajor professor, after which the student's progress is monitored by a Supervisory Committee, typically comprising 5 faculty members, including the major professor. The Supervisory Committee convenes at intervals of 6 months or less. The major professor submits meeting reports to the Program Director. Prior to graduation, ithe student defends the research project before an Examination Committee, typically comprised of the same members as the Supervisory Committee. Other examples of
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performance monitoring include reporting of completion rates, placement rates, progress toward board certification, and other factors. We seek feedback from employers to ensure that our curriculum prepares students for successful careers. To evaluate the effectiveness of our program in retaining former trainees in nuclear careers, we maintain contact with them to collect information about their professional status, such as the nature of their job, their board certification status, geographic location, and so forth. We collect, analyze, and tabulate this data to look for programrelated factors that correlate with long term retention in nuclear careers. We will amplify aspects of the Program that positively correlate with retention and attenuate features that correlate with attrition.
We will also seek to evaluate the overall effectiveness of program, taking into account the evaluations above and additional factors. We will compare the effectiveness data from our program with similar programs and/or composited data from programs in the United States~ The results of our analyses will be reported to the sponsor.
Schedule of Tuition, Fees, and Other Pertinent Costs for Students
Per the FOA, we list tuition and required fees per semester in dollars for full-time (9 credit hours or more} graduate students enrolled at LSU. However, graduate assistants appointed on research assistantships will receive a tuition exemption from LSU. LSU will assess tuition remission at 33% of the recipient's annual stipend, or 33% x $17,500/y = $5,775/y, which includes the fall, spring, ~nd summer semesters. Please see Budget and Budget Justification for details. Students are responsible for fees, which are subject to change. ·
Cred Tuitio Requir Acade Technol Buildi Oper- Res id Nonresi Nonresi it n ed mic ogy Fee ng ational ent dent dent Hour Fees Excelle Use Fee Total Fee . Total s " nee Fee
Alignment and Integration of Proposal with LSU System's Strategic Plan
The goals of the proposed project are closely aligned with the "LSU A&M College 2014-2015 through 2018-2019 Strategic Plan", which may be obtain.ed at the following location (www.lsu.edu/flagshioagenda/pdfs/LSU AM StratPlanLSU2014 2015through2018 20 19 June28 2013 Final. pdf). Specifically, it is relevant to Strategy 1.1.1: Enhance recruiting efforts for high-achieving undergraduate and graduate students and Strategy 1.1.2: Expand outreach progr~ms to recruit minority students. The project goals are also aligned with those of the LSU "Flagship 2020 Agenda''. (http://www.lsu.edu/flagshipagenda/goals2020.shtml).
NRC-HQ-84-15-G-0017
Arrangerruents '111/ith Non-federal Agencies That Provide Support to the Goals of this Gran~
LSU and Mary Bird Perkins Cancer Center (MBPCC) have a partnership agreement governing thair graduate educational programs in Medical and Health Physics. The Program includes two accredited degree programs: an MS in Medical Physics and Health Physics, and a PhD in Physics (Concentration in Medical. Physics). We also run _an accredited post-doctoral training certificate program in Medical Physics. The program also has made arrangements with Tulane University for students to train in operational health physics in a research university setting, LSU's Center for Advanced Microstructures and Devices (a synchrotron accelerator research laboratory) for radiation protection in an accelerator laboratory, and the Biomedical Research Foundat~on for training in radiation safety of accelerator produced medical isotopes.
Student Fellowship Recipients to Accept Terms of FOA
LSU requires students to agree to terms set by NRC-HQ-84-15-FOA-001 if Fellowship is accepted. LSU agrees to provide compliance monitoring of recipients' academic performc:mce.
Program B:
Principal Investigator:
LSU Fellowship Program in Nuclear Science and Engineering
Dr. Manus Gartia
PROGRAM DESCRIPTION ,
BACKGROUND AND INTRODUCTION
This proposal for Graduate Fellowship support builds on two recent grants from NRG for (1) Curriculum Development, and (2) Faculty Development in the Department of Mechanical and Industrial Engineering (MIE) at LSU. Existing nuclear science courses and dual-level courses were developed under the NRC curriculum development grant which established a Nuclear Power Engineering (NPE) Minor in Mechanical Engineering (ME), which is also open to other engineering disciplines (e.g. Chemical, Electrical and Civil). Two new tenure-track faculty members (Gartia, Lu) have been hired through an NRG Faculty Development grant to sustain the NPE program and develop nuclear science and engineering research. The proposed fellowship program will enable these faculty members to recruit high quality graduate students, which is very important for their research and career development in the nuclear field and in general.
Nuclear Science and Engineering education at LSU dates b_ack to 1_958. For more than 40 years, LSU offered graduate degrees in Nuclear Engineering (NE), Health Physics (HP), and Medical Physics (MEDP), with -200 graduates in NE and HP alone. In 1999, low enrollment led to suspension of the NE component and the HP program refocused to medical radiation safety as part of the Medical Physics Program in Physics & Astronomy. Since then a regional void has developed with respect to nuclear education in the Gulf Coast area. The closestrelated program is at Texas A & M. All others are based well to the north and east. The anticipated resurgence of nuclear power have motivated LSU, Southern University in Baton Rouge (SUBR), Entergy, and the nuclear division of then The Shaw Group (now owned by Westinghouse), to strongly support renewed academic programs in both NE and HP with emphasis on nuclear power at LSU (see Entergy Letter
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of support). The vision at LSU is to establish and sustain an· interdisciplinary nuclear education and research program that will supply graduates immediately marketable to industry and academia, satisfying the need for highly trained nuclear professionals.
Building a foundational structure to train the next generation of nuclear engineers is one of the prime and high priority objectives identified by LSU. In order to realize this goal, it is important to attract good students with sound technical backgrounds into the NE graduate research program and to cultivate an associated ecosystem. The LSU Fellowships Program in Nuclear Science and Engineering will help meet this goal by providing assistantship and benefits to deserving students. The fellowship will be awarded to U.S. citizens or permanent residents, and selection will be based on past academic performance, interest in Nuclear Science & Engineering (NSE), background and enrollment in nuclear courses, and motivation to conduct research in NSE. The. Nuclear Science and Engineering Fellows will be expected to take NSE courses acquiring knowledge of reactor physics, thermal hydraulics, nuclear materials, and numerical simulation principles in order to pursue careers in the nuclear field.
The interest among students in the nuclear power engineering minor program in the MIE department is growing. In 2012, Nuclear Reactor System Engineering had 10 students, and in Spring 2016, the same course has already 25 students registered for it, that is a growth of 250%. Several courses have been developed and are being offered through MIE towards the NPE minor. These are complemented by course offerings from . the Department of Physics & Astronomy. The core NPE courses include Nuclear Reactor Engineering Design (ME 4953), Nuclear Reactor Systems Engineering (ME 4963), Renewable and Nuclear Power Plant Engineering (ME 4663), and Nuclear Facility Safety (NS 4570). Courses on Thermal Hydraulics and Nuclear Materials are under development by the NE faculty (Gartia, Lu) as potential core courses for the NPE. Technical electives include the nuclear science course Fundamentals of Nuclear Radiation Science (NS 4411) and a suite of welding and non-destructive evaluation courses that address issues specific to the manufacturing of modular components for nuclear reactors (e.g., the CB&I Modular Solutions plant in Lake Charles, LA): Welding Engineering I (ME 4213), Welding Engineering II (ME 4223), and Friction Stir Welding (ME 4933). All welding courses include a hands-on laboratory component. In addition to these, several courses on topics instrumental to NE design (e.g. Stress Analysis & FEA, CFO, Turbomachinery, Pressure Vessels, etc.) complete the NPE minor·electives. The proposed program will provide the opportunity to transition interested undergraduate (UG) students into g:racluate studies in nuclear areas and thus increase the number of MS/PhD students graduating with NE related research experience at LSU. Furthermore, and through a partnership with SUBR (largest HBCU in LA), the proposed fellowship program will provide opportunities to minority students to pursue nuclear research, thus expanding the diversity or the program and the profession. LSU already has the faculty, curricula, facilities and resources, research opportunities, administrativ,e support structures, and experience to successfully complete the objectives of the proposed program. '
The faculty are highly qualified and .have the required resourc•3S to teach and supervise students in this program. The Pl and co-Pis are from t:vvo departments at LSU such as MIE and the Department of Geology ancl Geophysics. The Pl, Dr. Manas R. Gartia, was hired under the NRG faculty developmemt grant. Dr. Gartia has over 12 years of experience in academic and industrial research related to nuclear reactor thermalhydraulics, passive safety systems, and sensor dev~lopment. The second co-Pi is Dr. Fengyuan Lu (also hired under the NRG faculty development grant). Dr. Lu's current research focuses on nuclear materials, radioactive waste management, and radiation
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effects. The third co-P! is Dr. Jianwei Wang. His research 'focuses on advanced nuclear waBle forms and their long-term performance, computational methods and atomistic simulations of nuclear waste and nuclear fuel materials. Co-Pl, Dr. Dimitris E. Nikitopouios, is ~he fv11E Department chair, with over 30 years of experience in experimental/ numerical tiuid d~mamics, multiphase flow, and laser diagnostics. He initiated t!1e re-bir!ll of tf1e f\IE program at LSU in 2009 introducing it for the first time into the College of Engineering. His participation in the proposed program ensures a strong ch~mptc•n 2n::1 contiibutor.
2. OElJ:::CT!VES The LSU Nuclear Science and Engineell'ing Fellowship Program will be used
to recruit and train at least three Ph.D. students at LSU in nuclear science and engineering related research activities. These Fellows will be supervised by faculty in the areas of reactor physics, thermal hydraulics, nuclear materials, computational methods and atomistic simulations of materials. The laboratories have modern computational and experimental tools to conduct research with funding provided by the state of Louisiana. Fellows w!!I be able to participate in collaborative projects at the national and international level, and will acquire skills needed for the design, regulation, construction and operation of advanced r:uciear facilities and related activities.
3. INVOLVEME!'lT OF DIVERSE GROUPS LSU and SUBR have established a cooperative agreement facilitating student
exchange (http:i/catalog.lsu.edu/content.php?catoid=12&navo'id=835), sharing of resources and academic programs. This allows students from SUBR to take courses at LSU without any additional fees. This augments the diversity o·f our applicant pool by allowing minority students to leam about careers in the nuclear science and engineering program. Indeed several minority students have been successfully recruited into the ME gr~duate program over the last ten years under this plan.
4. PROPOSED FIELLOWSHIP PROGRAM Three Ph.D. students initially will be selected to receive Nuclear Science and
Engineering r-ellowships w~th an annual stipend of at least $17,667 each. It is anticipated that one or more of these Fellows will transition to research on a funded project within a year or two, at which time a fourth and eventually perhaps more Ph.D. students will be selected for Fellowships. The selected students will receive tuition exemption by the Universit~'· The current semester fees for a full-time (9 hour) residential graduate student are $1, 156 and $9, 764 for non-resident.
4.1 Educational Program and Graduation Curriculum All Fellows will complete their PhD in three stages: course work, qualifying &
general exams, and final (oral) exam. Within 2-3 years, Fellows are expected to complete basic course requirements (48 hours) in their field and are assigned an advisory committee. The departmental Graduate Studies Committee administers qualifying exams. Passing the qualifying exams in a minimum of 3 areas is required to qualify. The exami.nations are on mathematics and any 2 of the areas listed below: (a) Mechanical Systems (two exams): i) statics/strength/failure, and ii) dynamics/control{yibrations; (b} Design (oral}; (c) Fluid Mechanicsrrhermal Science; (d) Material Science/Materials Engineering. The areas for examination are selected in conjunction with the student's major professor and advisory committee. The students then become doctoral candidates and work towards the presentation of a research proposal (general exam), the completion of a dissertation embodying original research, and its successful defense-in a final exam.
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The qualifying exam is typically taken during the 2nd year, while research begins before it is passed. Students must also present their research results in an annual Graduate Student Conference. The average expected time for completing a doctoral program at LSU is 4-5 years.
4.2 Research Projects Fellows will conduct research using facilities and research labs available at LSU.
They will select research topics from the experimental and numerical investigations directly relevant to the nuclear industry with an aim to improve the design, operation and safety of existing and next generation NPPs. The research projects focus on nuclear materials, nuclear waste management, reactor thermal-hydraulics, nuclear forensics, and
'· multi-physics computational methods. As such, these projects will enable Fellows to participate in.national conferences and workshops. Fellows will also be able to interact with researchers at national laboratories. This will be facilitated through established contacts and partnership with Argonne National Labs, Oak Ridge National Lab. Fellows will also have the opportunity of internships with industry (e.g. see Entergy support letter').
5. RESOURCES TO SUPPORT NUCLEAR RESEARCH AND TEACHING The LS.U Nuclear Science Center maintains substantial infrastructure for
supporting Nuclear Science and Engineering instruction, including numerous laboratories rated for nuclear and chemical work, radia~ion measurement labs, and a subcritical assembly. NSE faculty will have access to over 100 teraflops of computational capacity within Louisiana, and significantly more through the TeraGrid's nationa! resources via Louisiana Optical Network Initiative (LONI), which provides Louisiana researchers with one of the most advanced optical networks in the country and the most powerful distributed supercomputer resources available, by connecting Louisiana and Mississippi research universities to the National LambdaRail, the TeraGrid community, and one another. Stateof-the-art materials characterization infrastructure is available in the Shared Instrumentation Facility (SIF) and its Materials Characterization Center {MCC) at LSU, which is managed and underwritten by several Departments at LSU including MIE and the LSU Office of Research and Economic Development. The SIF serves the entire l.SU and SUBR research communities. Major instruments available under this center are TEMs, SEMs, an Auger Electron and X-ray Photoelectron Spectroscopy system, a Focused Ion Beam (FIB) system integrated with a dedicated SEM, an X-Ray Diffraction instrument and an Atomic Force. Microscope (AFM). Additional instrumentation is available at the LSU Center for Microstructures and Devices (CAMD), a 1.6 GeV synchrotron facility. MIE also has considerable infrastructure for state-of-the-art research in Thermal Science, including two phase flows, suitable to support Thermal Hydraulics research. Examples of other resources available to NSE faculty and students are a cyclotron facility for medical isotope produdion (Biomedical Research Foundation, Shreveport, LA), a cancer radiation therapy center with electron accelerators and a wide variety of by-product sealed sources (M=iry Bird Perkins Cancer Center, Baton Rouge, LA), and a basic science and medical research institution (Tulane Medical School). LSU is the only provider of graduate training in Nuclear Science and Engineering as well as Health Physics in Louisiana.
6. POSSIBLE PH.D. RESEARCH TOPIC.S The research projects for the fellowship students will be focussed on enhancing
nuclear safety, security and evaluating realistic safety envelopes.
Raman Spectroscopy for Nuclear Materials: Characterization of nuclear materials, especially under operating conditions, is difficult due to intense radiation
NRC-HQ-84-15-G-OO 17
field associated with it. Optical spectroscopy, for example Raman spectroscopy, wrn be us~fui in identifying minerals and chemical compounds remotely in nuclear materials. In this projeGt, Raman· spectroscopy will be used to probe the changes in vinration2J spElctrurn of nuclear materials under e"treme conditions such as external ~trains, ~r~mp•3rnture, pressure, irradiation or others. For example, Raman analysis will bH 1:ierformr:Ki on actinide oxides (U02, Pu02 etc.) sarnp!es exposed to irradiation, corrosion, leaching, s1nd radiolysis. This study will provide knowledge fcif' better understanding of nucl,ear fuel ageihg during normal and possible incident scenario conditions. ·
Radiation Effects in Nuclear Fuels, and Reactor Structural Components: Understanding of radiation damage processes and mechanisms in nuclear materials at mlcrostructural !eve! is clitica! for the design and development of radiation tolerant materials to withstand the extreme radiation conditions in advanced nuclear energy syst.:m1s. Ths focus cf this research is the investigation of the complex interplay among microstructun::-, thic1rmodynamics, temperature, and radiation conditions on the radiation damr.ige of nuclaa; materials, using advanced experimental techniques such as positron annihilatiori lifetime spectroscopy (PALS) and transmission electron microscopy. Furthermore,· these critical experimental data will be utilized for the development and valtdailon of physics models that predict the performance of nuclear materials under harsh radiations to advance ·the research and development of advanced nuclear energy systems.
Radioactive Waste Management: Long-term mechanistic based leaching behaviors of the elements and dissolution of the waste forms are of central imponan-i for nuclear waste management, and is essential for reliable evaluation of sustainable fuei cycle system options. Among those volatile radionuclides, iodine is particular challenging in designing its waste. forms and evaluating its performance. This project will focus on iodine leaching and dissolution mechanism of baseline and alternative iodine waste forms (e.g., glass or glass composite, zeolite, and apatite) under accelerated and environmental conditions. Further, computational modeling will be conducted to obtain waste property data based on mechanism of diffusion, reaction, and dissolution. The goal is to understand the behaviors of iodine releaise process(s) from the waste forms over long time period.
7. 1'1.ECRUiTMENT ACTIVITIES AND MARKETING STRATEGIES To attract a large and diverse pool of applicants, we will implement both active and
passive methods and marketing strategies. Active efforts will include notifying program directors of UG programs of fellowship opportunities, as well as site visit presentations to UG students in engineering and physics programs in the State and region. Other initiatives include travel to college fairs and high schools, hosting Engineering U days at LSU, coordinating individual visits/tours, and participating in the Women Impacting Style in Engineering (WISE), eXploration Camp for Inspiring Tomorrow's Engineers (XCITE), REHAMS, FIRST IMPRESSIONS diversity programs at LSU geared towards cosponsorship on recruitment, retention and .advancement of outstanding underrepresented women and minority students in nuclear science and engineering careers. These existing programs will be leveraged to· attract a high qualify and diverse applicant pool. We will actively recruit students from HBCUs, Hispanic-serving institutions, and other schools with the support of LSU's Office of Strategic Initiatives and SUBR (see letters of support). Awareness of opportunities in our program will also be promoted via our several thousand
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alumni. Opportunities will be featured in electronic newsletters and social media will be used to reach alumni and interested prospective students. Our fellowship program will be advertised with oral and poster presentations and printed materials at professional and scientific meetings (e.g., HPS, ANS, AAPM, NCRP). Other recruitment and marketing efforts will include listing the fellowship opportunity on Departmental websites, by sending advertisements to Nuclear/Radiological, Chemical and Mechanical Engineering, Geology, Geophysics, and Physics departments at LSU and other colleges and universities.
8. MANAGEMENTSTRUCTURE The applicant Selection Process will be based on merit, with enhancement of
diversity as a metric to differentiate equivalent candidates. Students will apply to the LSU Graduate Program using the LSU Graduate School's online application system. The application package will include transcripts, a personal statement, standardized exam scores, and letters of recommendation. Applications to NSE fellowship program will be evaluated by an Admissions Committee, which comprises active Program faculty. Applications will be ranked by merit, with considerations for enhancement of diversity and in conformance with NRG eligibility criteria and all other applicable federal, state, and university rules. The Committee will be responsible for reviewing fellowship applications, selecting and advising Fellows, and evaluating the effectiveness of the Program. The Committee will regularly monitor the progress of the Fellows by examining their course work and research and provide constructive advice. Fellows will be required to present their research to the Committee at least once per year. Fellows will also be encouraged to approach Committee members for guidance related to their studies and research as needed.
9. EVALUATION OF PROGRAM EFFECTIVENESS AND SUCCESS The effectiveness and success of the Nuclear Science and Engineering Fellowship
Program at LSU will be evaluated using the following criteria. (1) /\lumber and quality of Fellowship applicants and the level of interest in conducting NE research. If more than three, high-calibre students with GPA > 3.3 who are passionate about entering and conducting research in the nuclear field successfully apply to this Fellowship, the Fellowship program will be deemed successful in attracting the student interest. (2) Number and quality of Fellows completing their doctoral degree programs. This Fellowship program will be considered successful if at least three Ph.D. students successfully complete their doctoral programs. (3) Number of publications and conference presentations arising from the research conducted by the Fellows. Each Fellow will be expected to write at least one paper every two years and have it publist1ed in peerreviewed journals. (4) Success in providing additional research experience in national laboratories and obtaining jobs in nuclear industry, government .agencies or academia. If at least three Fellows spend one summer at a national laboratory during their doctoral study, the Fellowship program will be deemed successful in providing additional research experience. If at least three Fellows find permanent jobs in the nuclear industry (including laboratories and agencies), the Fellowship Program will pe ·deemed successful in providing job opportunities.
10. INSTITUTIONAL SUPPORT The graduate fellows will also have opportunities for industry internships through
regional industry partners such as Entergy, who supported the development of the NPE program, as well as ILD Inc., NRG Energy Inc., Zachary Nuclear Engineering, who have hired graduates of the program and with whom the M!E Department has close relationships. The proposed fellowship program is directly :aligned with l.SU's strategic areas of Energy and Materials. A recent Battelle report also identified nuclear energy as
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a growfr: se(for for Louisiana's economy. The NE program benefits from leveraging 1) pas:l investment 1rorn Entergy ($1001<); 2) $1 million past investment by the Office of Hesearch and Economic Development at LSU to renovate the Nuclear Science Building in support oi' new faculty needs. Our industrial partners contribute to the NPE minor through personnel expertise and educational materials. Industrial guest instructors and speakers, such as the Director of Engineering and several NEs of Entergy's River Bend Nuclear Power Station have oarticipated in the teaching activities of the NPE minor. Tours to the River Bend Nuclear Station are organized every year to promote awareness of the standards and operation of the nuclear power industry among the students in nuclear courses. The MIE Department pioneered the rebirth of the NE program at LSU and indeed has it as a priority area in its philanthropic endeavors. The first result is the contribution of $:30K {with ~·dditional $151-< pledged) by an alumnus of NuclearScience & Engineering to support both UG and graduate students interested in pursuing careers in the nuclear energy sector.
AQt.=..1cutr(ifHilt C. ~Standard Terms and Conditions
The Nuclear Regulatory Commission's Standard 'Terms and Conditions for U.S. Nongovernmental Recipients
Preface
This award is based on the application submitted to, and as approved by, the Nuclear Regulatory Corn mission (NRC) under the authorization 42 U.S.C. § 2051 (b), pursuant to section 31 b and 14 'II) of the Atomic Energy Act of 1954, as amended, and is subject to the terms and conditions incorporated either directly or by reference in the grant or
. cooperative Cigi·eenK:mt.. The following also apply:
e Restrictions on the expenditure of Federal funds in appropriation acts, to the extent tl1ose restrictions are pertinent to the award .
., Code of Federal Regulations/Regulatory Requirements - 2 CFR Part 20Q Uni·form Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
Any inconsistency or conflict in terms and conditions specified in the award will be resolved according l:o the following order of precedence: public laws, regulations, applicable notices published in the Federal Register, Executive Orders (E.O.), Office of Management e;1d Budget (OMB) Circulars, the NRC's Mandatory Standard Provisions, special award conditions, and standard award conditions.
Certifications and Representations: These terms incorporate the certifications and representations required by statute, executive order, or regulation that were submitted with the SF424B application through GRANTS.GOV.
I. Mandatory Genell'al Requirements The order of these requirements does not make one requirement more important than any other requirement.
~J2.!t~~1mk2f 2 CFR Part 200 All provisions. of 2 CFR Part 200 and all Standard Provisions attached 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 section specifically
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excludes a sub-recipient from coverage. The Recipient and any sub-recipients must, in addition to the assurances 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 D of 2 CFR Part 200 and include this term in lower-tier (sub-award) covered transactions.
Recipients must comply with monitoring procedures and audit requirements in accordance with 2 CFR Part 200. Subpart F-AUDIT REQUIREMENTS.
2. Award Package The Recipient is obligated to conduct project oversight as may be appropriatE~. to manage the funds with prudence, and to comply with the provisions outlined in 2 CFR Part 200. Within this framework, the Principal Investigator (Pl) named on the award face page, is responsible for the scientific or technical direction of the project and for 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, and is subject to a refund of unexpended grant funds to the NRG. The non-Federal entity alone must be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements related to its grant award. These issues include, but are not limited to, source evaluation, protests, disputes, and claims. These standards do not relieve the non-FederaJ entity of any financial or fiduciary responsibilities or obligations arising under its grant, including subcontracts 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 entity unless the matter is primarily a Federal concern. Violations of law will be referred to the local, State, or Federal authority having proper jurisdiction. See LQ.FR § 200.31.§.(k), General Procurement Standards.
Subawards Appendix II to Part 200 Contract Provisions for Non-Federal Entity Contracts Under Federal Awards
Sub-recipients, sub-awardees, and contractors have no relationship with NHC under the terms of this grant/cooperative agreement. All required NRC approvals must be directed through the Recipient to NRC. See 2 CFR § 200.318.
Nondiscrimination Tl1is provision is applicable when work under the grant/cooperative agreement is performed in the U.S. or when employees are recruited in the U.S.
The Recipient agrees to comply with the non-discrimination requirements below:
e Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.), which 'prohibits discrimination on the grounds of race, color, or national origin in any program or activity receiving federal financial assistance.
o 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 receiving federal financial assistance.
o Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § "194), which prohibits discrimination on the basis of disability in any program or activity receiving federal financial assistance.
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o The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), wh1d1 prchibi"ls discrimination on the basis of age in any program receiving ;'ed1s:rai fin.mi.::la~ assistance .
., Tho Americans with Dlsc:ibilities Act of 1990 (42 U.S.C. §§ 12101 et seq.), which prohibits reGipients 1rom discriminating on the basis of disability in employment (l"itk:: l); Stall,; and ~ocal government services (Title II); and places of public accorr.modation and commercial ·facilities (Title Ill).
() Parts II and Ill of E.O. 11246, as amended by E.0.11375, 11478, 12086, 12107, i 3279, ~i 3665, and 'i 3672, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in c;oveiTaTu::nt ()usiness in one year, from discriminating in employment decisions Gn the basis of race, color, religion, sex, or national origin and requires that gover;m1ent contractors take affirmative action to ensure that equal opportunity is pr-Dvid1~cl in ;;ii aspects of their employment.
., E.0.1::Vi6f.i, "Improving Access to Services for Persons with Limited English Prcfidancy," which clarifies that national origin discrimination under Title VI inch.11:l!:;s discrimination on tr1Ei basis of limited English proficiency (LEP) and re1~uires that the recipient take reasonable steps to ensure that LEP persons have meaningful access to programs and activities.
o Any other applicable non-discrimination law(s).
G~mer;;i!!y, Title VI! of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq, provides that it sha!i be an uniawfui employment practice for an employer to discharge any individual or otrierwise to discriminate against an individual with respect to compensation, terms, ca:mditions, or privileges of employment because of such individual's race, c:olor, religion, sex, or national origin. However, Title VII, 42 U.S.C. § 2000e- ·1 (a), expressly exempts from the prohibition against discr!mination on the basis of religion, a religious corporation, association, educational institution, or society with respect to the employment of individuals of a particular religion to perform work connected with the carrying on by such corporation, association, educational institution, or society of its activities.
jVlogificatio_ns/PriQr Approval hlRC's prior writter1 approval may be required before a Recipient makes certain budget rnodificalions or undertakes particular activities. if NRC approval is required for changes in tile grant or cooperative agreement, it must be requested and obtained from the NRC Grants Officer in advance of the change or obligation of funds. All requests for NRC prior approval, including requests for extensions to the period of performance, must be rnade, in wficing (which includes submission by e-mail), to the designated Grants Officer at least :30 days before the proposed change. The request must be signed by the authorized organizational official. Failure to obtain prior approval, when required, from the NRC Grants Officer, may result in the disallowance of costs, or other enforcement action within NRC's authority.
LobbyinfLRestrictions The Recipient will comply, as applicable, with provisions of the Hatch-Act (5 U.S.C. §§ 1501-'1508 and 7324-7328) which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.
The Recipient will comply with provisions of 31 U.S.C § 1352. This provision generally prohibits the use of Federaf funds for lobbying in the Executive or Legislative Branches
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I
of the Federal Government in connection with the award, and requires disclosure of the use of non-Federal funds for lobbying.
The Recipient shall submit a completed "Certification Regarding Lobbying" form, regardless of dollar value.
I (::,
If applicable, the Recipient receiving in excess of $100,000.00 in Federal funding shall submit a completed Standard Form (SF-LLL), "Disclosure of Lobbying Activities" for any persons engaged in lobbyin9 activities, as discussed at 31 U.S. Code§ 1352 -Limitation on use of appropriated funds to influence certain Federal contracting and financial transactions. The form concerns the use of non-Federal funds for lobbying within 30 days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed. If the Recipient must submit the SFLLL, including those received from sub-recipients, contractors, and subcontractors, to the Grants Officer.
Debarment And Suspension - (See 2 CFR Part 180; 2 CF~_§ 200.205;_~_QEB_§ 200.113; and 2 CFR Part 200. Appendix II.)
The Recipient agrees to notify the Grants Officer immediately upon learninr; that it or any of its principals:
(1) Are presently excluded or disqualified from covered transactions by any Federal department or agency;
(2) Have been convicted within the preceding three-year period preceding tr1is proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, -0r performing a public (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, tax evasion, receiving stolen property, making false claims, or obstruction of justice; commission of any other offense indicating a lack of business integrity or business honesty that seriously and directly affects the recipient's present responsibility;
(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 enum.:irated in paragraph (1)(b); or
(4) Have had one or more public transactions (Federal, State, or local) terminatt:id for cause or default within the preceding three years.
(5) The Recipient agrees that, unless authorized by the Grants Officer, it wm not knowingly enter into any subaward or contracts under this grant/cooperative agreement with a person or entity that is not included on the System for Award Management (SAM) (https://www.sam.gov).
The Recipient further agrees to include the following provision in any subawerd or contracts entered into under this award:
Debarment, Suspension, Ineligibility, and Voluntary Exclusion
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The Rec:;p;1:;11t certifies that neither it nor its principals is presently excluded or disqualifiad from participation in this transaction by any Federal department or agency. Th,a poJ;(;i<:~~; dr.d prnce.:Jures applicable to debarment, suspension, and ineligibility under NRG-financed transai.:;tions are set forth 2 CFR Part WO and 2 CFR Part 200.
;.::_~
Q!:Y9:fJ~9_\Y.QI!m1S!££ , The Recipient must be in compliance with The Federal Drug Free Workplace Act of ·i 888. The policias aa~d procedures applicable to violations of these requirements are set fo1tr1 in ±1J.J:.S.C. _§§.]1.0J-8106.
~~J;.0.13224 - Executive Order on Terrorist Financing The Recipier:t is rem:nded that U.S. Executive Orders and U.S. law prohibits transactions witt\ and the provision of resources and support to, individuals and organizations :::ssodS:!!;d with terrorism. It is the legal responsibility of the Recipient to ensure cc;mpliance ·.v~lh these Executive Orders and laws. This provision must be included in all contract;/sub-awards issued under this grant/cooperative agreement.
The Recipient must comply with E.O. 13224, Blocking Property and Prohibiting Transactions with Persons who Commit, Threaten to Commit, or Suppo1i Terrorism. Information about this Executive Order can be found at: Implementation ui Exacutive Order 13224 Blocking Property and Prohibiting TransactiQD§.V\~h..Persons Who Commit. Threaten To Commit. or Support Terrorism §mended by_E.Q.J.:2.f.§§.. 13284. and 13372.
Procuren1~!JJ.§tq,U£!ar9.§. - 2 CFR §§ 200.318-200.326 Sections 200.3'18- 200.326 set forth standards for use by Recipients in establishing procedures for the procurement of supplies and other expendable property, equipment, real property and other services with Federal funds. These standards are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable Federal statutes and executive orders. No additional procurement standards or requirements will be imposed by the Federal awarding agencies upon Recipients, unless specifically required by Federal statute, executive order, or approved by OMB.
Travel and 'fransgortatiori ·Travel must be in accordance with the Recipient's Travel Regulations or the U.S. Government Travel Policy and Regulations at: http://www.gsa.gov/portal/cateqory/21222 and the per diem rates set forth at: http://www.gsa.gov/portal/content/104877, absent Recipient's travel regulations. Travel and transportation costs for the grant must be consistent with provisions as established in 2 CFR § 200.473-474.
All other travel, domestic or international, ml(_St not increase the total estimated award amount for the grant.
!Domestic Trcivel: Domestic travel is an appropriate charge to this award and prior authorization for specific trips are not required, if the trip is identified in the Recipient's approved program description and approved budget. Domestic trips not stated in the approved budget require the written prior approval of the Grants Officer, and must not increase the total estimated award amount for the grant.
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' All common carrier travel reimbursable hereunder shall be via the least expensive· class rates consistent with achieving the objective of the travel and in accordance with the Recipient's policies and practices. Travel by first-class travel is not authorized unless prior approval is obtained, in writing, from the Grants Officer.
International Travel: International travel requires PRIOR written approval by the Project Officer and the Grants Officer, even if the international travel is stated in the approved program description and the approv~d budget.
T~e Recipient will comply with the provisions of the Fly America Act (49 U.S.C 40118), as implemented at 41 CFR §§ 301-10.131 through 301-10.143.
Property Standards Property standards of this award shall follow provisions as established 2 CFR §§ 2'00.310-200.316.
Intangible Property Intangible and intellectual property of this award shall generally follow provisions established in 2 CFR § 200.315.
Inventions Report -The Bayh-Dole Act (P.L. 96-517) affords Recipients the right to elect 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 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 require that the Recipient report all subject inventions to the awarding agency (NRC) as well as include an acknowledgement of federal support in any patents.
Patent Notification Procedures - If the NRC or its Recipients, without making a patent search, knows (or has demonstrable reasonable grounds to know) that technology covered by a valid United States patent has been or will be used without a license from the owner, E.0.12889 requires NRC to notify th1:? owner. If the Recipient uses or has used patented technology under this award without license or permission from the owner, the Recipient must notify the Grants Officer. This notice does not imply that the Governmer.t authorizes and consents to any copyright or patent infringement occurring under the financial assistance.
Qi!.Yl.1. Database.§....and Software - The rights to any work produced or purchased under a NRC federal financial assistance award, such as data, databases or software are determined by Subpart D of 2 CFR Part 200c The Recipi<:mt owns any work produced or purchased under a NRC federal financial assistance award subject to NRC's right to obtain, reproduce, publish or otherwise use the work or authorize others to receive, reproduce, publish or otherwise use the data for Government purposes.
Copy_righ! - The Recipient may copyright any work produced lmder a NRG federal financial assistance award subject to NRC's royalty-free nonexclusive and irrevocable right to reproduce, publish or otherwise use the worl< or authorize others to do so for Government purposes. Works jointly authored by NRG and
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~~,::1dpiant emp!Dyees may be copyrighted, but only the part authored by the F:0cipt1:m{ is pn)tei;ted because, under 17 U..:.S.C. § 105, works produced by Government employees are not copyrightable in the United States. On occasion, NRG may ask the Recipient to transfer to NRC its copyright in a particular work w:-:1;!;·, NF~C is undertaking the primary dissemination of the work. Ownership of copyright by the Government through assignment is permitted under 17 U.S.C. § 1_05.
RBcorqJ551,!g;ntion a_D_d Access Recipient shall follow established provisions in 2 CFR §§ 200.333-337. Coi1fiict':!Lt!J..ter·est: Conflict of lnten~st standards for this award will follow the Organizational Conflict of Interest (OCOI) requirements set forth in Section 170A of the Atomic Energy Act of i 954, as amended, and provisions set forth at 2 CFR § 200.112, Conflict of Interest.
Dl§ill.1Jte .8~yj~w ProJ:.!'~e~ a. Any request for review of a notice of termination or other adverse decision should be ciddressed to the Grants Officer. It must be postmarked or transmitted electronically no later than 30 days after the postmarked date of such termination or adverse decision from the Grants Officer. b. The request for review must contain a full statement of the Recipient's position and the pertinent facts and reasons in support of such position.
c. The Grants Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director, Office of Acquisition Management Division, unless othe1wise delegated, who shall appoint, an intra-agency Appeal Board to review a recipient appeal of an agency action, if required, which will consist of the program office director, tile Deputy Director of Office of Administration, and the Office of General Counsel.
d. Pending resolu'iion of the request for review, the NRC may withhold or defer payments under the award during the review proceedings.
e. The review committee will request the Grants Officer who issued the notice of tem1inaHon 01 adverse action to provide copies of all relevant background materials and documents. The committee may, at its discretion, invite representatives of the Recipient and the l\IRC program office to discuss pertinent issues and to submit such additional informailon as it deems appropriate. The chairman of the review committee will insure that all review activities or 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.
i
Remedies for Noncompliance Termination of this award will follow provisions as established and described above in "Dispute Review Process" in 2 CFR §§ 200.338-342.
Performance and Financial Monitoring and Reporting - 2 CFR §§ 200.327-329
Recipient Financial Management systems must comply with the provisions in 2 CFR § 200.302.
o Recipients are to be careful with providing excessive cost"share or match since at the end of the grant, if the identified match has not been provided, then a portion of the federal share may be required to be returned to the Government.
• Program Income- 2 CFR § 200.307 a Earned program income, if any, will be added to funds committed to the
project by the NRC and Recipient and used to further eligible project or program objectives or be deducted from the total project cost for the grant, as directed by the Grants Officer or indicated in the terms and conditions of the award.
• Revision of Budget and Program Plans - 2 CFR § 200.30~ o. The Recipient is required to report deviations from the approved budget
and program descriptions in accordance with - 2·QFR & f.OCl..?&lYm and request prior written approval from the Project Officer and the Grants Officer.
o The Recipient is not authorized to re-budget between direct costs and indirect costs without written prior 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 to be used for purposes other than those consistent with the original intent of the appropriation.
o Allowable Costs - 2 'CFR §§ 200.40~
" See section 2 CFR §§ 200.330-332 for Subrecipient Monitoring an9 Management.
FEDERAL FINANCIAL REPORTS
Federal Financial Reports (SF-425) are semi-annually, for the periods ending March 31 and September 30. Reports are due within 30 calendar days following the end of the reporting period and must be emailed to the Project Officer at the email addressed indicated in the Notice of Award, and to the Grants Officer at: Grants [email protected]. (NOTE: There is an underscore between Grants and FFR in the email address.) The SF-425 form and instructions are ·available at the following URL: http:l/www.whitehouse._ggyjomt8;u:?..nts iorms/.
PERFORMANCE PROGRESS REPORTS
The performance (technical) reports indicated below are subject to 2 CH~ §200.328.
Scholarshi11t~_f9~'1J.Q..~fil!l.! Performance Progress reports must be submitted annually, for the period ending September 30, or any portion thereof, regardless of the award date. Reports are due within 30 days following the end of each reporting period and must be emailed to the Project Officer at the email addressed indicated in the Notice of Award, and to the Grants Officer at: Grant~_EPBJ~.~~9UCR~@J:1I~c92.Y· (NOTE: There is an underscore between Grants and PPR in the email address.)
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fi1J~Us.?d1211.1ts - The Recipient is required to submit final reports, both Financial [Sf-.!:.2S) and Pr:!rforman~e (Sf'-PF1R, SF-PPR-B, SF-PPR-E} within 90 days of ·ir1~ ~F·ant (~xpir:-ition. !n addition to these reports, a final SF-4128, Tangibie property repor'i:, is also required, if applicable. The final PPR (for Scholarship, F;:-:ilowship, and Trade School and Community College Schoiarsllip awards) must include tl1e names of all students with up to date contact information (mailing
· addn:ss, telephone/cell phone, emaii address). The reports must be emailed to foo P! o}::ct Officl?:r at the emaii addressed indicated in the Notice of Award, and ttJ the Grants Officer at: Grants FFR.Resource(@.nrc.gov and §J:.?l'lts [email protected]. (NOTE: There is an underscore between Grants B:nd FFR and Grants and PPR in the ,email addresses.)
Pf?I.tQ!:f.f•Lf:i~rt9.ffil<i'1}.t::~ - fSJ=R § 200.3.92 Tlv-;; r1:ictri·:mt may charne ·f.o 'Che Ff;deral award only allowable costs incurred during the period of pe1forrnance and <:my costs incurred before the i'JRC or pass-through entity made th2 Federal award that was authorized by the NRC or pass through entity.
Unless otherwise authorized in ~ CFR Part 200 or by special award condition, any extensron :::f tht~ award period can only be authorized by the Grants Officer in writing. Assurances of funding from other than the Grants Officer shall not constitute authority to obligate funds for programmatic activities beyond the expiration date.
The NRC Grant Officer may authorize a no cost extension of the period of periormance. The recipient must submit a no cost extension request no less than 30 days prior to the awanl end.date. Any request for a no cost extension after the grant has expired will not be approved. Howevei", the NRC has no obligation to provide any additional prospective or incremental funding. Any modification of the award to increase funding and/or to extend \:he period of performance is at the sole discretion of the NRC.
8illQ.m1l!~c! Standard Application For Payments (ASAP) Procedures Uniess otherwise stated, Recipient payments are made using the Department .of Treasury's Automated Standard Application for Payment (ASAP) system, ASAP.gov, thwugh pn:;authorized electronic funds transfers. To receive payments, Recipients are requirecl to enroll with the Department ot Treasury, Financial Management Service, and Regional Financial Centers, which allows them to use the on-line method of withdrawing funds from H1eir ASAP established 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) Agency Location Code (ALC)- 31000001; and Region Code. F;;.ecipients enrolled in the ASAP system do not need to submit a "Request for Advance or Reimbursement" (SF-270).
!1..Audit R§tQ1!lrements
Audits Organization-wide or program-specific audits are performed in accordance with the Single Audit Act of 1996, as amended, and as implemented by 2 CFR Part 200, Subpart F-AUDIT REQUIREMENTS. 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-
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The Form SF-SAC and the Single Audit Reporting packages for fiscal periods endipg on or after January 1, 2008 are submitted online, as follows:
1. Create the recipient's online report ID at: http://harvester.census.gov/fac/collect/ddeindex.html;
2. Complete the Form SF-SAC; 3. Upload the Single Audit; 4. Certify the Submission; and 5. Click "Submit."
Organizations expending less than $750,000 a year are not required to have an annual audit for that year but must make their grant-related records available to NRC or other designated officials for review or audit.
Ill. Programmatic Reguiremen~ The recipient is responsible for providing documentation to the NRG that tracks each student's progress in achievement of the academic program for which federal funds were provided. This includes: (1) ensuring the service agreement is signed by the student prior to providing support; (2) providing the NRG with student contact information upon student entry into the program, upon completion or withdrawal from the program, and upon request by the NRC; and (3) monitoring the student's fulfillment of the service agreement for the duration of the award. The NRG shall be notified immediately if a student is not fulfilling the academic program or the service agreement.
Grant Peirformance Metrics The Office of Management and Budget requires all Federal Agencies providing funding for educational scholarships and fellowships as well as other educational related funding to report on specific metrics. These metrics are part of the Academic Competitiveness Council's (AGC) 2007 report and specifically relates to Science, Technology, Engineering, and Mathematics (STEM) curricula. ,
As part of the OMB requirements indicated above (for metric reporting), the recipient shall address the following questions and submit responses with tile required progress reports:
Fellowship Metrics:
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.
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4. Hov• many students, supported by NRG funding, have accepted a job and are empk:iyed in thG nuclear industry?
a. Response is the number of students, for this reporting period and c:umuia'dve to the grant.
5. How me.my items h&ve students produced, for example, Professional Journal artict~1s, publications, patents, or conference reports?
a. Response is the type and number of items, 1'or this reporting period and curnu1a1ive to ths grant.
As part of the PFi~. ir1ciude tha following information for each student suppo1t under this award:
·1. Student Name 2. Y •~ars of Support 3. Cumu!~rtive faipport in Dollars .:~. E'.t>timale!d Graduation Date _:.,,. Staru::; 6. Up to dote student contact information (mailing address, telephone/cell
phone, email address) for students no longer participating in the program, [.El. trff1s!erred programs, graduated, withdrew, etc.
7 Up to date student contract information, for all students at time of grant . expiration, i.e. Final PPR.
Examples of status could be: "Employed in Nuclear !ndustry", if so, where; "Looi'~in~J for •:!rnpioymenf, if so, how long; "Deferr1~d d1.;e to continuing education", if so, what degree; "Employed by Non-Nuclear", if so, where; and "Droppt:d out of program"
Uus~tl::<~1£Dl£elj'ormt;J,!1£.~ Failur..:: to perform the work in accordance with the terms of the award and maintain at least a satisfactory performance rating may result in designation of the Recipient as high risk ancl the as~•ignment 01< special award conditions. Further action may be required as specified in the standard term and condition entitled "Remedies for Noncompliance."
Failure to comply with the award provisions may result in a negative impact on future NRC funding. in addition, U1e Grants Officer may withhold payments; change the · method of payment 'from advance to reimbursement; impose special award conditions; suspend or terminate the grant.
Other Fi~der.fil.Awards With Similar Programmatic Activities . Tl1e Recipient will immediately notify the Project Officer and the Grants Officer in writing if after awat"d, other financial assistance is received to support or fund any portion of the program description stated in the NRG award. NRC will not pay for costs that are funded by other sources.
Prohibition Against Assignment By The Recipient The Recipien~ will not transfer, pledge, mortgage, or otherwise assign the award, or any interest °i:•.) the award, or any claim arising under the award, to any party, banks, trust
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companies, or other financing or financial institutions without the written approval of the Grants Officer.
Site Visits The NRC, through authorized representatives, has the right to make site visits to review project accomplishments and management control systems and to provide technical assistance as required. If any site visit is made by the NRC on the premises of the Recipient or contractor under an award, the Recipient shall provide and shall require his/her contractors to provide reasonable access to all facilities and provide necessary assistance for the safety and convenience of the Government representative in the performance of his/her official duties.
IV. Additional Requirements
Criminal and Prohibited Activities The Program Fraud Civil Remedies Act(31 U.S.C. §§ 3801-3812), provides for the imposition of civil penalties against persons who make false, fictitious, or fraudulent claims to the Federal government for money (including money representing grant/cooperative agreements, loans, or other benefits).
False statements (18 U.S.C. § 287), provides that whoever makes or presen~s c'!n'f faise, fictitious, or fraudulent statements, representations, or claims against the Unit~d States shall be subject to imprisonment of not more than five years and shall be subject to a fine in the amount provided by 18 USC §287.
False Claims Act (31 U.S.C. § 3729 et seq.), provides that suits under this Act can be brought by the government, or a person on behalf of the government, for false c!aims under federal assistance programs.
Copeland "Anti-Kickback" A.ct (18 U.S.C. § 874), prohibits a person or organization engaged in a federally supported project from enticing an employee working on the project from giving up a part of his compensation under an employment contract
American-Made Equipment and Products Recipients are encouraged to purchase American-made equipment and products v1itll funding provided under this award.
ln™-;!ng_§eat Be!! Use in the United State§. E.O. 13043, amended by E.O. 13652, requires Recipients to encourage empioyees and contractors to enforce on-the-job seat belt policies and programs when operating company-owned, rented or personally-owned vehicle.
Federal Lead~rshjR of ReducinJL~lC!.Messafiirrg Whilf. D..r1Y.if!H E.O. 13513 requires Recipients to encourage employees; sub-awa1det:s, a;''\cl contractors to adopt and enforce policies that ban te>..1 messaging while driving company-owned, rented vehicies or privately owned vehicles when on official Government business or when performing any work for or on behalf of the Federal Government.
Federail .Empio,:\!!1§' Ex~~ Federal agencies are barred from accepting funds from a Recipient to pay transportation, travel, or other expenses for c:my Federal employee un!.ess specifically
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apprn1Jed in (ht=J t.errns of tile award. Use o1' award funds (Federal or non-Federal) or the Recipient'8 provision of in-kind goods or services, for the purposes of transportation, tn·Nel, 01 <.my '"Jther eJ:pensf~S for any Federal ernploy~~e may raise appropriation au::irnt::nlation rssues. ir1 addition, NRG policy prohibits tile acceptance of gifts, including trw1el payments for Faderal t:~mployees, 'from Recipients or applicants regardless of the source.
Nlil1ori.!x §.~~XY.!nu.!P..f1.mut12,ris (IV!fils l initiative PLi~.su:1r(: ~c· i:.:.O.:; ·it~:.;;o and 13270, amended by E.O. 13316 and 13385, 13532, 13582, '13555, ·1351 f.i, and 13621, NRC is strongiy committed to broadening the particip<.'ltlon of MSls ln 1\:s financial assistance program. NRC's goals include achieving full participe1tion ot MS ls in order to advance the development of human potential, st;engtht}ll lh~ Nation's capacity to provide high-quality education, and increase opportur•ities for l\!1Sls to participate in and benefit from Federal financial assistance programs. i·H~G encourage~; all appiicarrf.s and Recipients to include meaningful participation3 of l\J'iSh-,. lnsiitutions eligible to be considered MSls are listed on the Department of Educatl:in website: http://www.ed.gov/about/offices/list/ocr/edlitemiIJQ!j_tvio_~t htr.nJ
8gr~.r.1t!]J~iL'?£Qru!!lf!: Scientific or research misconduct refers to the fabrication, falsification, or plagiarism in proposing, performin~J, or reviewing research, or in reporting research results. It does not include honest errors or differences of opinions. The Recipient organization has the primary responsibility to investigate allegations and provide reports to the Federal Government. Funds expended on an activity that is determined to be invalid or unreliab!~ beca1.me of sGientific misconduct may result in a disallowance of costs for which the ins~itution may be liable for repayment to the awarding agency. The Office of Science and Technology Policy at the White House published in the Federal Register on December 6, 2000, a finai policy that addressed research misconduct. The policy was developed b)r iht:! Naliona! Science and Technology Council (65 FR 76260). The NRC requires that any aile~1ation be submitted to the Grants Officer, who will also notify the OIG of such allegation. Generally, the Recipient organization shall investigate the allegation and submit its findings to the Grants Officer. The NRC may accept the Recipient's findings or proceed with its own investigation. The Grants Oi'ficer shall inform the Recipient of the NRC's final determination.
Publicatior1~,j[~and Acknowle<!g_ment of Sponsorship Publication cl the results or findings of a research project in appropriate professional journals and production of video or other media is encouraged as an important method of recording and repmting scientific information. it is also a constructive means to expand accEiss to federally funded research. The Recipient is.required to submit a copy to the NHC and when releasing information related to a funded project include a statement Uiat tile project or effort undertaken was or is sponsored by the NRC. The Recipient is also responsible for assuring that every publication of material (including Internet sites and videos) based on or developed under an award, except scientific articles or papers appearing in scientific, technical or professional journals, contains the following disclaimer:
"This [report/video] was prepared by [Recipient name] under award [number] from [iname of operating unit], Nuclear Regulatory Commission. The statements, findings, conclusions, and recommendations are those of the author(s) and do not
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necessarily reflect the view of the [name of operating unit] or the US Nuclear Regulatory Commission."
Trafficking In Victims Protection Act Of 2000 Cas amended by the Trafficking Victims Protection 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:
" ... any grant, contract, or cooperative agreement provided or entered into by a Federal department or agency under which funds are to be provided to a private entity, in whole or in part, shall include a condition that authorizes the department or agency to terminate the grant, contract, or cooperative agreement, without penalty, if the recipient or any subrecipient, or the contractor or any subcontractor (i) engages in severe forms of trafficking in persons or has procured a commercial sex act during the period of time that the grant, contract, or cooperative agreement is in effect, or (ii) uses forced labor in the peliormance of the grant, contract, or cooperative agreement." (See 22 U.S.C. §7104(g).)
EXECUTIVE COMPENSATION REPORTING 2 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 Federnl funding.
Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000.00 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act o'f 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a. 1. of this award term to http://www.fsrs.gov.
ii. For subaward information, report no later than t11e end of Um month foliowing the month in which the obligation was nrnde. (For ex;m1ple, if the obligation wa~ 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 obtinating action that the submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for e2.ch of your five mos!: highly compensated executives for th·~ precec!ing GCiT1fh~l"-Kl fisr::::i! y~mr, if---
i. the total Federal funding authorized to date undar this aw.s!id is $25,0JO.OO or more;
NR C-HQ-84-15-G-0017
(A) GO ;.:r:::rcl:!i'.l er mor2 of your annual gross revenues 1rom Federal procurernent cun'\J;ic.\:~~ (~lr.cJ 3L:i.·,co:·rt:«3ct5) and Fedetai financial assistance subject to the Trnnsparency Act, as defined at 2 CFR § 170.320 (and subawards); and
(B) $25,000,GOJ ur n-.Oi\3 in annual gross revenues from Federal procumrnent contracts (2n<i ::.ubcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CfR § 170.320 (and subawards); and
iii. The pubtG doi~s 11ut have access to information about the compensation of the ex,s.cuUves 1:!'~rough pt:lriodic mports filed under section 13(a) or 15(d) of ttie Securities E;;1::hangt:i Aet of 192A (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal. Rev1:inu~: Co<.:i& of 198f.i. (To determine lf the public has access to the compensation infunm:itk1n, ~•1:,e 'thr:;, U.S. f3ecurity and Excr1ange Commission total compensation filings at http://wwvv. sec. govlanswers/execomp. htm.)
2. : .. VheffJ and 1Nhen to report. You must report execut!VE! total compensation described in par::igra;ih h.1. of thrs award term:
i. As part of your ragi::;t1·ation profile at http://www.sam.gov.
ii. By tl1e encl of the month following the month Jn which this award is made, and annually th :::recift.sr.
c. i-:reporimg o{ Total Compensation of Subrecipient Executives.
1. Applicability and wl7at to repoli. Unless you are exempt as provided in paragraph d. of ihis award term, for each first-tier subredpient under tl1is award, you shall report the name:::. and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's pr~ceding completed fiscal year, if-
i. in l:irv:: submdp:~:nt't; preceding flsca! year, the.subrecipieni r·eceived-
(P.) 80 percent or more of its annual gross revenues from Federal procurement contracts (and suDcont:·c;cts) and Federal ·financial a~sistance subject to the Transparency Act, as defined at 2 Cf=R § HrJ.3~~0 (and subc.wards); 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 suba.wards); and
ii. The public does not have access to information about the compensation of the executives throU£!1l periodic reports filed under section 13(a) or i 5(d) of the Securities Exchange Act of 1934 ("15 U.S.C. 7,8m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at /1ttp:1/www.sec.g.m1/answers/execomp.htm.) ·
2. Wl1ere and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: ·
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i. To the recipient.
ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information 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 $300,000.00, you are exempt from the requirements to report:
i. Subawards,
and
ii. The total compensation of the five most highly compensated executives of any sub recipient. ·
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 fo1·eign 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 nonFederal entity.
2. Executive means officers, managing partners, or any other employees in management positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and servjces needed to carry out the project or program (for further explanation, see Sec._ .210 of the attachment to OMB Circular A-~33, "Audits of States, Local Governments, and Non-Profit Organizations)
iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.
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4. Subrecipient means an entity that:
i. R.3c;;.ive~· .:; :;;ulJswcird from you (the recipient) under this award; and
ii. Ir:; c:.:ccou11t;;1bl~; to you for tl1e use oJ the Federal funds provided by the subaward.
5. Total ccmµ1~risation nwans t!1e cash and noncash dollar value earned by the e)(ecuUve during :he n~·::ipient's or subrecipient's preceding fiscal year and inc!ud,es the foilowlrig {for mor·s information see ·17 CFR § 229.402(c)(2)):
i. Sata1y nnci tionus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognizej for i'insncie.! statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 1,23 (Revised 2004) (FAS 123R), Share:d Based Payments.
iii. Earnlrigs tot sen;fce.s uno'er non-equity incentive plans. This does not include group life, hea!th, hospitalization or medical reimbursement plans that do not discriminate in favor 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 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 or property) for the executive exceeds $10,000.00.
