ARD FOA Amend 000001 continuation pages - summary of changes.pdf

FOA DE-FOA-0002271, Amendment 000001

DE-FOA-0002271 Amendment 000001 Summary of Changes

June 22, 2020

The following changes to the Funding Opportunity Announcement DE-FOA-0002271 are incorporated with Amendment 0001; to assist the applicant, these changes are clearly marked on the applicable attached FOA documents using the Microsoft Word Track Changes function; all other FOA documents remain unchanged:

1. The FOA cover page is amended to correct the title of the CFDA (the Catalog of Federal Domestic Assistance or CFDA, has been renamed “Assistance Listings”), as follows:

(applicable to Demos, Risk Reduction and ARC-20)

FROM:

CFDA Number: 81.121

TO:

Assistance Listing Number: 81.121

2. The FOA cover page is amended to correct the date of Industry Day, as follows:

FROM:

Jun 03, 2020

Jun 02 - 03, 2020

3. The FOA cover page is amended to specify the time set for receipt of Applications, as follows:

FROM:

Application Due Date (for all applicants): Aug 12, 2020

Application Due Date/Time (for all applicants): Aug 12, 2020, 4:00 PM EDT

4. FOA paragraph 1.1.3 is amended to correct wording regarding the number of ARC-20 awards, as follows:

(applicable to ARC-20)

Advanced Reactor Concepts – 20 (ARC-20). This pathway provides funding for up to two awards to support advanced reactor concepts for further development in the areas of safety, operations, and economics with the potential of being demonstrated in the 2035 timeframe.

TO:

Advanced Reactor Concepts – 20 (ARC-20). This pathway provides funding for at least two awards to support advanced reactor concepts for further development in the areas of safety, operations, and economics with the potential of being demonstrated in the 2035 timeframe.

5. FOA paragraph 1.4 (second paragraph) is amended to correct wording regarding the number of ARC-20 awards, as follows:

(applicable to ARC-20)

FROM:

The goal of this pathway is to assist the progression of advanced reactor designs through engagement between DOE and industry in the development of advanced reactor concepts in their earliest phases of design. In support of that goal, DOE seeks to partner with industry to fund up to two cost-shared awards for advanced reactor concepts with the potential of being demonstrated in the 2035 timeframe. The awards resulting from this FOA shall support the overall design concept but include only those activities in the Applicant’s proposed work scope that can be completed within the next five years.

TO:

The goal of this pathway is to assist the progression of advanced reactor designs through engagement between DOE and industry in the development of advanced reactor concepts in their earliest phases of design. In support of that goal, DOE seeks to partner with industry to fund at least two cost-shared awards for advanced reactor concepts with the potential of being demonstrated in the 2035 timeframe. The awards resulting from this FOA shall support the overall design concept but include only those activities in the Applicant’s proposed work scope that can be completed within the next five years.

6. FOA paragraph 2.1 Type of Award Instrument. The following statement is added: DOE may also award/amend an interagency agreement as a result of selecting applications submitted in response to this FOA.

7. FOA paragraph 3.1 Eligible Applicants. The following statement is added: Federal, tribal, state, and municipal utilities are also eligible to apply for these awards.

8. Various FOA application submissions made reference to an “Application ID#”; the requirement to submit application documents referencing an Application ID# is deleted throughout the FOA.

9. FOA paragraph 4.4, Letter of Intent. Subparagraph e iii, between the first and second sentence, the word "them" appears by itself. This is a typographical error and is corrected/deleted. Also, in Subparagraph e iv, the reference to “§910.124(b) 2”, is corrected to read "§910.124(b)".

10. The FOA paragraph 4.10, Submission Dates and Times, is amended to change the time set for receipt of

Applications, as follows:

Requested Due Date for FOA Questions: May 29, 2020

Letter of Intent Due Date (required for all applicants): Jun 11, 2020

Application Due Date (required for all applicants) Aug 12, 2020

All submissions are due to 11:59 PM Eastern. The deadlines for Letters of Intent and Applications are the dates and times by which DOE must receive these submissions electronically. Failure to submit by this deadline will result in late submittals neither being reviewed nor considered, unless the Contracting Officer determines that accepting the late submission would not unduly delay the FOA process; and-

(i) If it was transmitted through an electronic commerce method authorized by the FOA, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of the submission; or

(ii) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of the submission and was under the Government’s control prior to the time set for receipt; or

(iii) It is the only submission received.

No separate acknowledgement of receipt of the submission will be provided by DOE; however, applicants can request DOE acknowledgement after submission by sending an email to Andrew Ford, Contract Specialist, e-mail:

fordaj@id.doe.gov

Requested Due Date for FOA Questions: May 29, 2020

Letter of Intent Due Date (required for all applicants): Jun 11, 2020

Application Due Date/Time (required for all applicants) Aug 12, 2020, 4:00 PM EDT

All submissions are due to 11:59 PM Eastern, unless otherwise specified. The deadlines for Letters of Intent and Applications are the dates and times by which DOE must receive these submissions electronically. Failure to submit by this deadline will result in late submittals neither being reviewed nor considered, unless the Contracting Officer determines that accepting the late submission would not unduly delay the FOA process; and-

(i) If it was transmitted through an electronic commerce method authorized by the FOA, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of the submission; or

(ii) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of the submission and was under the Government’s control prior to the time set for receipt; or

(iii) It is the only submission received.

No separate acknowledgement of receipt of the submission will be provided by DOE; however, applicants can request DOE acknowledgement after submission by sending an email to Andrew Ford, Contract Specialist, e-mail:

fordaj@id.doe.gov

11. FOA paragraph 5.1.2, and FOA Appendix G, page 6, paragraph g, are amended to require MS Excel files using an .xlsx extension, or earlier MS Excel version.

12. FOA paragraph 5.5, Content and Application Forms, Pages 27 – 31 of the FOA, “Summary of Application documents” tables for Demos, Risk Reduction, and ARC-20 are amended to correct typographical errors and to clarify which documents must be submitted as part of the Project Narrative, as follows (changes from original FOA are marked):

mailto:fordaj@id.doe.gov mailto:fordaj@id.doe.gov

Demos

Name of Document

Format Required From

1 SF 424 (see paragraph 5.6) Form Lead Applicant 2 Project Summary/Abstract (1-page limit) (see paragraph 5.13) PDF Lead Applicant

3 Project Narrative File (included in 150-page and 170 page limits) (see paragraph 5.15)

Includes:

• Narrative Cover Page (see paragraph 5.15 a)

• Table of Contents (see paragraph 5.15)

• Project/Performance Site Location (see paragraph 5.15 c)

• Coordination and Management Plan (see paragraph 5.15 p)

• Maturity of Advanced Reactor Design (see paragraph 5.15 d)

• Advanced Reactor Technology Description

(see paragraph 5.15 e)

• Design Approach (see paragraph 5.15 f)

• Advanced Reactor Fuel and Fuel Cycle (see paragraph 5.15 g)

• Project Siting, Permitting, and Licensing

(see paragraph 5.15 h)

• Manufacturing and Construction (see paragraph 5.15 i)

• Start Up and Testing (see paragraph 5.15 j)

• Reactor End of Life (see paragraph 5.15 k)

• Project Cost Information (see paragraph

5.15 l)

• Commercialization Efforts (see paragraph

5.15 m)

• Team Identification and Expertise (see paragraph 5.15 n)

• Facilities and Resources (see paragraph 5.15 o)

• Project Management Plan (see paragraph

5.15 q; sSee also Appendix J)

• Risk Management Plan (see paragraph 5.15 r; see also Appendix I)

• Data Management Plan (see paragraph 5.15 s; see also Appendix X)

• Business Plan (see paragraph 5.15 t; see also Appendix L)

• Merit Review Discussion (see paragraph

PDF Lead Applicant

5.15 u) 4 Resume / Vitae – Technical Expertise and

Qualifications (2-page limit each) (see paragraph

15.5 nm) (See Appendix M)

PDF All leads and collaborators

5 Budget (total Fed + Non-Fed) (see paragraph 5.14) (see Appendix G) Applicants must submit two budget forms – one for the non-construction portions of the award using the SF 424A, and another for the specific construction portion of the award using the SF 424C.

Forms Lead Applicant

6 Subaward Budget (Total Fed + Non-Fed), if applicable (see paragraph 5.14.2)

Applicants must submit two budget forms, as applicable – one for the non-construction portions of the award using the SF 424A, and another for the specific construction portion of the award using the

SF 424C.

Form Collaborators*/ subrecipients

7 Budget for DOE National Laboratory Contractor or DOE FFRDC/NL (if applicable) (see paragraph 5.14.3)

PDF FFRDC/NL Subapplicants (including non-funded collaborators)

8 Budget Justification (see paragraph 5.14.4) PDF Lead Applicants and Collaborators

9 Current and Pending Support (see paragraph 5.15 nm).

PDF Lead Applicants and Collaborators

10 Letter of Authorization from Cognizant Contracting Officer for DOE FFRDC/NL (if applicable) (see paragraph 5.7)

PDF FFRDC/NL Subapplicants (including non-funded collaborators)

11 Project/Performance Site Location(s) (see paragraph 5.8)

PDF All sites performing work

112 SF-LLL Disclosure of Lobbying Activities (if applicable) (see paragraph 5.10)

Form Lead Applicant

123 Certifications and Assurances (see paragraph 5.11)

a. Assurances for Non-Construction Programs (SF-

424B) (for non-construction portion of work)

b. Assurances for Construction Programs (SF-

424D) (for construction portion of work)

Form Lead Applicant

134 Waiver Requests: Performance of Work in the U.S. (if applicable) (see paragraph 5.12) (See Appendix F)

PDF Lead Applicant

145 Funding Commitment Letters from Third Parties Contributing to Cost Sharing (if applicable) (submitted as part of Budget file - see Appendix G)

156 Past Performance (see paragraph 5.9) (See Appendix N)

PDF Lead Applicant and Collaborators

167 Foreign Government Ownership, Control, or Influence Disclosure (see paragraph 4.8) (see Appendix K)

PDF Lead Applicant and Collaborators

178 COI Acknowledgement (see paragraph 3.2) PDF FFRDC/NL Subapplicants (including non-funded collaborators)

Risk Reduction

1 SF 424 (see paragraph 5.6) Form Lead Applicant 2 Project Summary/Abstract (1-page limit) (see paragraph 5.13) PDF Lead Applicant

3 Project Narrative File (included in 150-page and 170 page limits) (see paragraph 5.15)

Includes:

• Narrative Cover Page (see paragraph 5.15 a)

• Table of Contents (see paragraph 5.15)

• Project/Performance Site Location (see paragraph 5.15 c)

• Coordination and Management Plan (see paragraph 5.15 p)

• Maturity of Advanced Reactor Design (see paragraph 5.15 d)

• Advanced Reactor Technology Description

(see paragraph 5.15 e)

• Design Approach (see paragraph 5.15 f)

• Advanced Reactor Fuel and Fuel Cycle (see paragraph 5.15 g)

• Project Siting, Permitting, and Licensing

(see paragraph 5.15 h)

• Manufacturing and Construction (see paragraph 5.15 i)

• Start Up and Testing (see paragraph 5.15 j)

• Reactor End of Life (see paragraph 5.15 k)

• Project Cost Information (see paragraph

5.15 l)

• Commercialization Efforts (see paragraph

5.15 m)

• Team Identification and Expertise (see paragraph 5.15 n)

• Facilities and Resources (see paragraph 5.15 o)

• Project Management Plan (see paragraph

5.15 q; sSee also Appendix J)

• Risk Management Plan (see paragraph 5.15 r; see also Appendix I)

• Data Management Plan (see paragraph 5.15 s; see also Appendix X)

• Business Plan (see paragraph 5.15 t; see also Appendix L)

• Merit Review Discussion (see paragraph

5.15 u)

4 Resume / Vitae – Technical Expertise and Qualifications (2-page limit each) (see paragraph

15.5 nm) (See Appendix M)

PDF All leads and collaborators

5 Budget (total Fed + Non-Fed) (see paragraph 5.14) (see Appendix G)

Form Lead Applicant

6 Subaward Budget (Total Fed + Non-Fed), if applicable (see paragraph 5.14.2)

Form Collaborators*/ subrecipients

7 Budget for DOE National Laboratory Contractor or DOE FFRDC/NL (if applicable) (see paragraph 5.14.3)

PDF FFRDC/NL Subapplicants (including non-funded collaborators)

8 Budget Justification (see paragraph 5.14.4) PDF Lead Applicants and Collaborators

9 Current and Pending Support (see paragraph 5.15 nm).

PDF Lead Applicants and Collaborators

10 Letter of Authorization from Cognizant Contracting Officer for DOE FFRDC/NL (if applicable) (see paragraph 5.7)

PDF FFRDC/NL Subapplicants (including non-funded collaborators)applicants

11 Project/Performance Site Location(s) (see paragraph 5.8)

PDF All sites performing work

SF-LLL Disclosure of Lobbying Activities (if applicable) (see paragraph 5.10)

Form Lead Applicant

123 Certifications and Assurances (see paragraph 5.11) Assurances for Non-Construction Programs (SF- 424B)

Form Lead Applicant

134 Waiver Requests: Performance of Work in the U.S. (if applicable) (see paragraph 5.12) (See Appendix F)

PDF Lead Applicant

145 Funding Commitment Letters from Third Parties Contributing to Cost Sharing (if applicable) (submitted as part of Budget file - see Appendix G)

156 Past Performance (see paragraph 5.9) (See Appendix N)

PDF Lead Applicant and Collaborators

167 Foreign Government Ownership, Control, or Influence Disclosure (see paragraph 4.8) (see Appendix K)

PDF Lead Applicant and Collaborators

178 COI Acknowledgement (see paragraph 3.2) PDF FFRDC/NL Subapplicants (including non-funded

ARC-20

1 SF 424 (R&R) (Application) (see paragraph 5.6) Form Lead Applicant 2 Project Summary/Abstract (1-page limit) (see paragraph 5.13) PDF Lead Applicant

3 Project Narrative File (50-page limit) (see paragraph 5.16). Includes:

• Cover Page

• Table of Contents

• Resumes

• Project/Performance Site Location

• Coordination and Management Plan

• Benefit of Collaboration

• Current and Pending Support

• Capabilities

• Equipment

• Statement of Project Objectives

• R&R Other Project Information Risk

Management Plan (see Appendix I)

• Data Management Plan (see Appendix X)

• Merit Review Discussion

PDF Lead Applicant

4 Resume / Vitae – Technical Expertise and Qualifications (2-page limit each) (see paragraph

15.5 m) (See Appendix M)

PDF All leads and collaborators

54 R&R Budget Form Lead Applicant 56 R&R Subaward Budget (Total Fed + Non-Fed), if applicable (see paragraph 5.14.2) Form Collaborators*/ subrecipients 76 Budget for DOE National Laboratory Contractor or

DOE FFRDC/NL (if applicable) (see paragraph 5.14.3) PDF FFRDC/NL Subapplicants

(including non-funded collaborators)

87 Budget Justification (see paragraph 5.14.4) PDF Lead Applicants and Collaborators

9 Current and Pending Support (see paragraph 5.15 n).

PDF Lead Applicants and Collaborators

108 Letter of Authorization from Cognizant Contracting Officer for DOE FFRDC/NL (if applicable) (see paragraph 5.7)

PDF FFRDC/NL Subapplicants (including non-funded collaborators)

9 Project/Performance Site Location(s) (see paragraph 5.8)

PDF All sites performing work

SF-LLL Disclosure of Lobbying Activities (if applicable) (see paragraph 5.10)

Form Lead Applicant

121 Certifications and Assurances for Non-Construction Programs (SF- 424B) (see paragraph 5.11)

Form/PDF Lead Applicant

132 Waiver Requests: Performance of Work in the U.S. (if applicable) (see paragraph 5.12) (See Appendix F)

PDF Lead Applicant

143 Funding Commitment Letters from Third Parties Contributing to Cost Sharing (if applicable) (submitted as part of Budget file - see Appendix G)

PDF Lead Applicant

154 Past Performance (see paragraph 5.9) (See Appendix N)

PDF Lead Applicant and Collaborators

165 Foreign Government Ownership, Control, or Influence Disclosure (see paragraph 4.8) (see Appendix K)

PDF Lead Applicant and Collaborators

176 COI Acknowledgement (see paragraph 3.2) PDF FFRDC/NL Subapplicants (including non-funded

18 R&R Other Project Information PDF Lead Applicant

13. The FOA paragraph 5.8 , Project/Performance Site Location, is relocated and amended from FOA paragraph 5.8, to FOA paragraph 5.15 c, to reflect that it is part of the Project Narrative File and is included in its page count.

The $250,000 threshold is also amended/raised. Paragraph 5.8 is now “Reserved”. These changes are made as follows:

5.8 Project/Performance Site Location

Indicate lead and collaborating site(s) where work will be performed. Note the Project/Performance Site Congressional District is entered in the format of the 2-digit state code, following by the 3-digit Congressional district code (e.g., AA-001).

Work performed under awards must be performed in the U.S., unless otherwise approved by DOE. This requirement does not apply to the purchase of supplies and equipment at or below $250,000; however, the Awardee should make reasonable efforts to purchase supplies and equipment within the U.S. The Awardee must flow down this requirement to its subrecipients. Applications proposing work outside the U.S. must clearly specify what work is to be done, by which entity, where the work is to be performed, the estimated time period for the work, the estimated dollar value of the work and the rationale for doing the work outside the U.S. This work will be evaluated as part of the selection of the applicants.

After award, for any work outside of the U.S. not already proposed by the Applicant during the FOA process and approved by DOE on any subsequent award, DOE Contracting Officer prior written approval must be given for work conducted outside the U.S. DOE may deny cost reimbursement for the work conducted outside the U.S. and such costs may not be recognized as allowable recipient cost share, if prior approval is not obtained. The Awardee is responsible should any work under this Award be performed outside the U.S., absent a waiver, regardless if the work is performed by the Awardee, subrecipients, contractors or other project partners. There may be limited circumstances where it is in the interest of the project to perform a portion of the work outside the U.S.

Demos. Indicate the primary site where the work will be done for pre-construction activities to be performed under the award. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided. Indicate the actual construction location (if different than the location for the pre-construction activities and if this information is available at this time).

Risk Reduction and ARC -20. Indicate the primary site where the work will be performed. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided.

Name File: Site Location_[Insert Application ID#]

5.8 Reserved

5.15 c Project/Performance Site Location. Indicate lead and collaborating site(s) where work will be performed. Note the Project/Performance Site Congressional District is entered in the format of the 2-digit state code, following by the 3-digit Congressional district code (e.g., AA-001).

Work performed (i.e., purchases and labor) under awards must be performed in the U.S., unless otherwise approved as part of the original application, or during performance, by DOE in accordance with the thresholds set forth in this clause.

• Below $1M: This requirement does not apply to the foreign purchase of supplies and equipment or for foreign labor (cumulative) performed below $1M; however, the Awardee should make reasonable efforts to perform labor and/or purchase supplies and equipment within the U.S. below this threshold.

• At $1M or above, up to $5M, the awardee must notify DOE at least 30 days prior to foreign purchase of supplies and equipment or for foreign labor (cumulative) performed, using the Special Status report specified in the award's Reporting Requirements checklist.

• Over $5M, the awardee must obtain prior written DOE approval using the Waiver Request for Non-US Work at Appendix F, at least 30 days prior to the foreign purchase of supplies and equipment or for foreign labor (cumulative) performed.

In adherence to the above thresholds, applications proposing foreign purchase of supplies and equipment or for foreign labor performed must clearly specify what work is to be done, by which entity, where the work is to be performed, the estimated time period for the work, the estimated dollar value of the work and the rationale for doing the work outside the U.S. This work will be evaluated as part of the selection of the applicants.

The Awardee must flow down these requirement to its subrecipients.

After award, for any work outside of the U.S. not already proposed by the Applicant during the FOA process and by DOE on any subsequent award, DOE Contracting Officer prior written approval must be given for work conducted outside the U.S. DOE may deny cost reimbursement for the work conducted outside the U.S. and such costs may not be recognized as allowable recipient cost share, if prior approval is not obtained. The Awardee is responsible should any work under this Award be performed outside the U.S., absent a waiver, regardless if the work is performed by the Awardee, subrecipients, contractors or other project partners. There may be limited circumstances where it is in the interest of the project to perform a portion of the work outside the U.S.

Demos. Indicate the primary site where the work will be done for pre-construction activities to be performed under the award. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided. Indicate the actual construction location (if different than the location for the pre-construction activities and if this information is available at this time).

Risk Reduction and ARC -20. Indicate the primary site where the work will be performed. If a portion of the project will be performed at any other site(s), identify the site location(s) in the blocks provided.

This file is submitted as part of the Project Narrative File, and is included as part of its page count limit.

14. FOA paragraph 5.12, Waiver Requests: Performance of Work in the United States, is amended to remove the

$250,000 threshold, and align the thresholds with those specified in paragraph 5.15 c

As set forth in this FOA, all work under DOE funding agreements must be performed in the U.S., unless otherwise waived by DOE. This requirement does not apply to the purchase of services or equipment at or below $250,000.

However, the Awardee should make reasonable efforts to purchase services and equipment within the U.S. For foreign equipment purchases or for labor over this threshold to be done outside the U.S., a waiver is necessary.

Appendix F lists the necessary information that must be included in a request to waive the Performance of Work in the U.S. requirement. This waiver request process applies both pre-award as part of the application, and post-award during performance for foreign purchases or work that was not proposed/approved as part of the application process.

Name File: Waiver_[Insert Application ID#]

As set forth in this FOA, all work under DOE funding agreements must be performed in the U.S., unless otherwise waived by DOE. See paragraph 5.15 c. For foreign equipment purchases or for labor over the thresholds specified in paragraph 15 c to be done outside the U.S., a waiver is necessary. Appendix F lists the necessary information that must be included in a request to waive the Performance of Work in the U.S. requirement. This waiver request process applies both pre-award as part of the application, and post-award during performance for foreign purchases or work that was not proposed/approved as part of the application process.

Name File: US Waiver Request

15. FOA paragraph 5.14.4, Budget Justification, is amended to clarify that the budget justification shall be submitted using Microsoft Excel, as follows:

(applicable to Demos, Risk Reduction and ARC-20)

FROM:

Name File: Budget Justification_[Insert Application ID#]

Microsoft Excel Name File: Budget Justification

16. FOA paragraph 5.15, Project Narrative File, the following information is inserted for the file name: File Name:

Project Narrative .

(applicable to Demos, Risk Reduction)

13. FOA paragraph 5.15 e i. K., the following is deleted:

K. Anticipated operating basis - earthquake (ground acceleration)

17. FOA paragraph 5.15 m, Commercialization Efforts, is amended to remove the file name, meaning that this document is to be included in the overall Project Narrative, including its page count, as follows:

(applicable to Demos, Risk Reduction)

FROM:

Commercialization Efforts.

Provide a Business Plan (see Appendix L for specific instructions)

Name File: Business Plan [Insert Application ID#]

Commercialization Efforts.

Provide a Business Plan (see Appendix L for specific instructions)

14. Clarification is provided in the FOA that the application information for Current and Pending Support is to be included as a separate attachment and is neither part of the Project Narrative File nor included in the Project Narrative File page count. This change is applied to the following FOA sections:

a. Paragraph 5.5, Summary of Application documents, Tables for Demos, Risk Reduction, and ARC-20.

b. Demos and Risk Reduction Paragraph 5.15, Project Narrative File, Subparagraph n ii, Team Identification and Expertise, Current and Pending Support.

c. 5.16 ARC-20 Application Preparation Instructions, Project Narrative Plan, Subparagraph f, Current and

Pending Support.

15. FOA paragraph 5.15 o, is amended to clarify that the applicant need only identify major essential facilities, not all facilities; the paragraph is also amended to direct that the applicant must specify any needs from the Government that are necessary to accomplish the project, as follows:

Facilities and Resources. Identify the essential facilities (e.g., office, laboratory, computer, etc.) and other major resources to be used for the project and extent of their availability to the project. Describe only those resources that are directly applicable to the proposed work. For important items of equipment not yet available specify how they will be acquired in time to support the project.

Applications for Demos but that also desire consideration for Risk Reduction. Provide a statement to indicate which facilities and resources that were to be used in the Demo will NOT be used in the Risk Reduction activity.

Or, if more appropriate, provide a clear delineation of facilities and resources to be used for each scope.

TO:

Facilities and Resources. Identify the major essential facilities (as determined by the applicant) and other major resources to be used for the project and extent of their availability to the project. Describe only those resources that are directly applicable to the proposed work. For important items of equipment not yet available specify how they will be acquired in time to support the project.

Applications for Demos but that also desire consideration for Risk Reduction. Provide a statement to indicate which major facilities and resources that were to be used in the Demo will NOT be used in the Risk Reduction activity. Or, if more appropriate, provide a clear delineation of major facilities and resources to be used for each scope.

The applicant must clearly specify any equipment, materials, information or other services it requires from the Government to accomplish the project.

18. FOA paragraph 5.15, the following subparagraph p is added:

p. Coordination and Management Plan for Projects with Co-Project Manager (Co-PM): The Applicant, whether a single organization or team/partnership/consortium, must indicate the lead PM. While the DOE’s preference is to have only one PM specified, the Applicant may elect to have a lead PM with one or more co-PM(s); this decision is solely the responsibility of the Applicant. Having co-PMs specified will not affect the selection for award of applications submitted in response to this FOA.

If co-PMs will be designated, the application must provide a “Coordination and Management Plan” that describes the organization structure of the project as it pertains to the designation of co-PMs. This plan, at a minimum, will include:

i. process for making decisions on scientific/technical direction

ii. publications

iii. intellectual property issues

iv. communication plans

v. procedures for resolving conflicts

vi. PMs’ roles and administrative, technical, and scientific responsibilities for the project

The Coordination and Management Plan is included as part of the Project Narrative File, and is included in its page limits.

19. FOA paragraph 5.15 q, Project Management Plan (PMP), is amended to clarify that this document is not to be submitted as a separate, stand-alone document, but is part of the overall Project Narrative, as follows:

(applicable to Demos, Risk Reduction)

Project Management Plan (PMP). See Appendix J for instructions to complete the Project Management Plan.

File Name: Project Management Plan_[Insert Application ID#] Note: this document is included in the overall page count for the Project Narrative.

Project Management Plan (PMP). See Appendix J for instructions to complete the Project Management Plan.

20. Paragraph 15.15, Project Narrative File (Demos and Risk Reduction), is amended to add paragraph 5.15 r, Risk

Register and Risk Management Plan, and to clarify that the Risk Register and Risk Management Plan are part of the Project Narrative, as follows:

(applicable to Demos, Risk Reduction )

r. Risk Register And Risk Management Plan. See Appendix I for instructions to complete the Risk Register And Risk Management Plan.

21. FOA paragraph 5.15 s, Data Management Plan (DMP), is amended to clarify that this document is not to be submitted as a separate, stand-alone document, but is part of the overall Project Narrative, as follows:

(applicable to Demos, Risk Reduction)

FROM:

Data Management Plan (DMP). Provide a DMP that explains how data generated in the course of the work performed under the award will be shared and preserved or, when justified, explains why data sharing or preservation is not possible or scientifically appropriate. See Appendix X for specific application requirements regarding the DMP.

File Name: Data Management Plan_[Insert Application ID#]

Note: this document is included in the overall page count for the Project Narrative.

TO:

Data Management Plan (DMP). Provide a DMP that explains how data generated in the course of the work performed under the award will be shared and preserved or, when justified, explains why data sharing or preservation is not possible or scientifically appropriate. See Appendix X for specific application requirements regarding the DMP.

22. FOA paragraph 5.15 t, Business Plan, is added as follows:

Business Plan. Provide a Business Plan that explains your marketing strategy, including customers, to ensure successful commercialization of the Advanced Demonstration Reactor. See Appendix L for specific application requirements regarding the Business Plan.

23. FOA Paragraph 5.15 u, Merit Review Criterion Discussion, is amended to remove the File Name: Project

Narrative; this is moved to FOA paragraph 5.15, reflecting that the contents of application submissions in response to 5.15 and its subparagraphs are to be submitted under a single file called Project Narrative, unless otherwise specified in the FOA.

24. FOA paragraph 5.16 h, Statement of Project Objectives, subparagraph titled SCOPE OF WORK, is amended to clarify that the half page refers to only to a summary of the SOW, and that the rest of the SOPO will detail the SOW, as follows:

SCOPE OF WORK

This section must not exceed one-half page and should summarize the effort and approach to achieve the objective(s) of the work.

SCOPE OF WORK SUMMARY

This section must not exceed one-half page and should summarize the effort and approach to achieve the objective(s) of the work. To clarify, this refers only to a summary of the SOW. The rest of the Statement of Project Objectives sections will provide the details of the work scope.

25. FOA paragraph 5.16 h, Statement of Project Objectives, subparagraph titled TASKS TO BE PERFORMED, is amended to permit the ARC-20 applicant to use a payment for milestones approach, or to use a standard approach of being reimbursed as costs are incurred (e.g., via submission of a monthly invoice, etc.); the paragraph is also amended to direct that the applicant must specify any needs it has from the Government in order to accomplish its project, as follows:

TASKS TO BE PERFORMED

Tasks, concisely written, must be provided in a logical sequence and should be divided into the project phases, as appropriate. This section must provide a brief summary of the planned approach to this project.

TO:

TASKS TO BE PERFORMED

Tasks, concisely written, must be provided in a logical sequence and should be divided into the project phases, as appropriate. This section must provide a brief summary of the planned approach to this project. The applicant may propose tasks using milestones, including the use of a milestone payment approach, or may propose payments be made as project costs are incurred, e.g., monthly invoices. If the applicant elects to propose a milestone payment approach, the instructions in FOA Appendix G, pages 6 – 7, titled Milestone Payments, are to be followed.

The applicant must clearly specify any equipment, materials, information or other services it requires from the Government to accomplish the project.

26. Paragraph 5.16, ARC-20 Application Preparation Instructions, PROJECT NARRATIVE FILE, the following paragraphs are added:

PROJECT/PERFORMANCE SITE LOCATION

See application submission requirements under paragraph 5.15 c.

RISK REGISTER AND RISK MANAGEMENT PLAN.

See Appendix I for instructions to complete the Risk Register And Risk Management Plan.

DATA MANAGEMENT PLAN (DMP).

Provide a DMP that explains how data generated in the course of the work performed under the award will be and preserved or, when justified, explains why data sharing or preservation is not possible or scientifically appropriate. See Appendix X for specific application requirements regarding the DMP.

27. FOA paragraph 6.1.1 is amended to clarify that duplicate application submittals will not be evaluated, as follows:

FROM:

6.1.1 Initial Application Pass/Fail Review Criteria

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the Applicant is eligible for an award; (2) the information required by the announcement has been submitted; (3) all mandatory requirements are satisfied; and (4) the proposed project is relevant and responsive to the objectives of the FOA.

The above are pass/fail evaluation factors; applicants that fail to pass all of these may be rejected without further evaluation. For rejected applications, the Applicant will be notified in writing by the Contracting Officer along with a brief explanation as to why.

6.1.1 Initial Application Pass/Fail Review Criteria

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the Applicant is eligible for an award; (2) the information required by the announcement has been submitted; (3) all mandatory requirements are satisfied; and (4) the proposed project is relevant and responsive to the objectives of the FOA, and (5) that the application from a specific applicant for the same/essentially the same technology/project has not been submitted more than once in response to the FOA (except see NOTE under paragraph 6.1.2 regarding Demos and Risk Reduction applications); applications from the same applicant for the same/essentially the same technology/project submitted under multiple pathways will be rejected.

The above are pass/fail evaluation factors; applicants that fail to pass all of these may be rejected without further evaluation. For rejected applications, the Applicant will be notified in writing by the Contracting Officer along with a brief explanation as to why.

28. FOA Section 6.1.2, Merit Review Criterion 1, is amended to add clarification, as follows:

• a comprehensive technology development program, including all research, development, analysis, engineering, and testing leading to a final reactor design product.

• a comprehensive technology development program, including all research, development, analysis, engineering, start up and testing leading to a final reactor design product.

29. FOA Section 6.1.2, Merit Review Criterion 1, is amended to add clarification, as follows:

• if applicable, the extent to which the reactor design incorporates features that address improved capabilities

(compared to the current generation of operational reactors) for energy resiliency, load following, non-electric power applications and/or suitability for connection to the grid.

• if applicable, the extent to which the reactor design incorporates features that address significant improvements compared to the current generation of operational reactors in the U.S. fleet, including but not limited to:

o inherent safety features, o lower waste yields, o greater fuel utilization, o superior reliability, o resistance to proliferation, o increased thermal efficiency, o the ability to integrate with electric and nonelectric applications, o energy resiliency, o load following, and/or o suitability for connection to the grid.

30. FOA Section 6.1.2, Merit Review Criterion 2, is amended to add clarification, as follows:

• quality and completeness of plans to address site permitting, environmental requirements and reporting, safeguards and securities, and other requirements for licensing reactor operations at the selected site(s).

• quality and completeness of plans to address site permitting, environmental requirements and reporting, safeguards and securities, and other requirements for licensing reactor operations, including reactor end-of-life, at the selected site(s).

31. FOA Section 6.1.2, Merit Review Criterion 5, is amended to add clarification, as follows:

FROM:

Technical abilities and qualifications of key personnel, organizations and teams to successfully accomplish the project, as well as to meet the cost share requirements, will be evaluated. The application will be evaluated on the team’s capabilities, experience, financial solvency, and other factors, including:

• demonstrated management capability necessary for project success, consistent with the complexity and level of risk involved in the project.

TO:

Technical abilities, qualifications and commitment of key personnel, organizations and teams to successfully accomplish the project, as well as to meet the cost share requirements, will be evaluated. The application will be evaluated on the team’s capabilities, experience, financial solvency, and other factors, including:

• demonstrated management capability and commitment necessary for project success, consistent with the complexity and level of risk involved in the project; key personnel commitment will be evaluated to determine the extent to which this commitment is likely to help ensure the project’s success.

32. FOA paragraph 6.1.2, ARC-20 Merit Review Criterion is replaced with the following:

The review criteria are listed in descending order of relative importance; sub-criteria under each criterion are not necessarily listed in descending order of importance. All applications will be evaluated, using an adjectival rating, against these criteria. Applications must be fully responsive to each of the following criteria.

Criterion 1 – Technical Merit of the Reactor Concept

DOE will evaluate the technical merit of the proposed ARC-20 applications with respect to safety, operations, and economics. Advantages of the proposed advanced reactor concept relative to the current reactor technology will also be evaluated. This criterion will consider the following:

a. Safety - Design features that address defense-in-depth, accident prevention and accident mitigation

b. Operations - Operational features that simplify operation, minimize radioactive waste, reduce maintenance and staffing requirements, provide for improved reliability, and enhance safeguards and security

c. Economics - Design features that provide for enhanced or improved economics

Criterion 2 – Furtherance of the Reactor Concept

The application will be evaluated as to the extent to which the proposed project answers feasibility questions, solves technical issues, addresses licensing challenges or demonstrate technical viability of concept features. Specifically, DOE will consider the following:

a. The degree to which the proposed project activities provide significant furtherance of the reactor concept

b. The proposed activities represent a realistic approach which demonstrates the Applicant understands the technical, regulatory, and market requirements influencing the progression of the reactor concept to demonstration

c. The Applicant’s program plan is viable and significantly progresses commercial demonstration of the reactor concept and provides feasible schedule, cost, and roles and responsibilities for project activities

Criterion 3 - Applicant Team Capabilities and Experience, Including Management Capability as well as Approach

Applicant Team Capabilities and Experience will be evaluated as to the extent to which the Applicant provides objective evidence that it has the resources and abilities to complete successfully the proposed scope of the project and progress the proposed concept.

Current activities, relevance and depth of the organization’s experience and capabilities, together with that of key personnel, will be evaluated as it relates to the likely successful completion of the project activities. In evaluating this criterion, DOE will consider the extent to which the application demonstrates the following:

a. The capabilities and qualifications of engineering and technical personnel, project managers, other key contributors (including FFRDC), and subcontractors are such that it can successfully accomplish the technical and regulatory scope of this project

b. The Applicant team has demonstrated successful experience/past performance, knowledge and understanding of the business and regulatory requirements for projects of similar size, scope and complexity in achieving project technical success within budget and on time with no significant safety and quality issues

c. An acceptable and clear/convincing assessment of how the experience and capabilities described above will translate into progressing the proposed advanced reactor concept

d. The proposed approach to accomplish the project will be evaluated to determine the likelihood of project success, including the proposed facilities and other resources, equipment, and Statement of Project Objectives

The applications will be evaluated in accordance with the following three criteria:

1. Significance/Technical Merit: The extent to which the project proposed for the advanced reactor concepts, if successfully carried out, will make important advancements to advanced reactor technologies, including but not limited to safety, operations, and economics, and to advance the concept towards a successful future commercial demonstration.

2. Approach: The extent to which the advanced reactor concepts, designs, methods, analyses, and technologies are properly developed, well-integrated, and appropriate to the aims of the project. This includes the extent to which the proposed project/activities:

i. Solve technical issues, address licensing challenges or demonstrate technical viability of concept features;

ii. Demonstrate the Applicant understands the technical, regulatory, and market requirements influencing the progression of the reactor concept to a future successful commercial demonstration;

iii. Have the potential to significantly progress the commercial demonstration of the reactor concept.

3. Feasibility: The likelihood that the proposed work can be accomplished within the time and budget proposed by the Applicant, given its experience and expertise, past performance and progress, available resources, institutional/organizational commitment, and access to technologies. The extent to which activities proposed activities can be accomplished while addressing project risks to schedule (including any milestones and milestone-based payments proposed, as applicable), cost, and performance.

33. FOA paragraph 6.3, the following Program Policy Factor is added to Demos, Risk Reduction, and ARC-20:

Extent, reasonableness, availability. impacts and feasibility of any equipment, materials, information or other services specified by the applicant that it requires from the Government to accomplish the project.

34. FOA Appendix G, on page 2, there is a reference to attaching the budget justification file for the entire project period in Field L that will automatically carry over to each budget year. The reference to “Field L” is a typographical error, and is corrected as follows:

Provide the required supporting information for proposed recipients and subreipients for the following costs:

equipment; domestic and foreign travel; participant/trainees; material and supplies; publication; consultant services; ADP/computer services; subaward/ consortium/contractual; equipment or facility rental/user fees;

alterations and renovations; and indirect cost type. Provide any other information you wish to submit to justify your budget request. Attach a single budget justification file for the entire project period in Field L. The file automatically carries over to each budget year. Therefore, only attach one budget justification document to cover all award budget periods.

TO:

Provide the required supporting information for proposed recipients and subreipients for the following costs:

equipment; domestic and foreign travel; participant/trainees; material and supplies; publication; consultant services; ADP/computer services; subaward/ consortium/contractual; equipment or facility rental/user fees;

alterations and renovations; and indirect cost type. Provide any other information you wish to submit to justify your budget request. Attach a single budget justification file for the entire project period; in Field L. The file automatically carries over to each budget year. Therefore, only attach one budget justification document to cover all award budget periods.

35. FOA Appendix G, on pages 4 and 5, there are several formatting errors that are corrected. See revised Appendix G attached to this FOA Amendment for details. Also, paragraph (3) i, is amended to clarify that the Travel spreadsheet is to be part of the Budget Justification file, using the single file named "Budget.pdf".

36. FOA Appendix G, Application Budget Information. Page 1, paragraph b, is amended to permit Budget Periods shorter or longer than one year, as follows:

(applicable to Demos, Risk Reduction and ARC-20)

FROM:

A separate budget for each year of support requested must be completed. The form will generate a cumulative budget for the total project period. Complete all the mandatory information on the form before the ‘next period’ button is activated. Funds may be requested under any of the categories listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement.

TO:

A separate budget for each budget period of support requested must be completed; budget periods are typically one year in length, but may be proposed by the applicant to be shorter or longer, depending on project work and milestones; budget periods for other than one year must be explained/justified. The form will generate a cumulative budget for the total project period. Complete all the mandatory information on the form before the ‘next period’ button is activated. Funds may be requested under any of the categories listed as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement.

37. FOA Appendix G, page 7 Milestone Payments. This paragraph is amended to clarify that it is optional for ARC- 20 projects, as well as to clarify that milestones must be identified by title and description, as follows. A corresponding change is also made to FOA Appendix J Project Management Plan And Objectives, page 2, item 3, Milestone Log.

MILESTONE PAYMENTS (applicable to Demos and Risk Reduction only)

For the milestones provided in the Business Plan and Project Management Plan, specify milestones by each budget period (or phase) of the project, along with planned completion date, verification period, and the proposed milestone payment amount.

TO:

MILESTONE PAYMENTS (applicable to Demos and Risk Reduction only; optional for ARC-20)

For the milestones provided in the Business Plan and Project Management Plan, specify milestones (title and description) by each budget period (or phase) of the project, along with planned completion date, verification period, and the proposed milestone payment amount.

38. FOA Appendix H. The title of this appendix is amended to reflect that it applies to Demos, Risk Reduction, and ARC-20. A corresponding change is made to the FOA Section 10 for the Appendix H.

39. FOA Appendix J, page 1, paragraph 1 d, is amended…