Advanced Reactor Demonstration Program FOA Amendment 000002.pdf

FOA DE-FOA-0002271, Amendment 000002

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U. S. Department of Energy

Advanced Reactor Demonstration Funding Opportunity Number: DE-FOA-0002271, Amendment 000002

Announcement Type: Amended

FOA Issue Date: May 14, 2020

Amendment 000001 Issue Date: June 22, 2020

Amendment 000002 Issue Date: July 21, 2020

Assistance Listing Number: 81.121

Program Office: Office of Nuclear Energy, Reactor Fleet and Advanced Reactor Deployment

Procurement Office: Idaho Operations Office

Website for Additional Information Related to the FOA, click here

Questions Requested (for all applicants): May 29, 2020 Industry Day: Jun 02 - 03, 2020 Letter of Intent Due Date (for all applicants): Jun 11, 2020 Application Due Date/Time (for all applicants): Aug 12, 2020, 4:00 PM EDT https://www.id.energy.gov/NEWS/ARDFO/ARDFOOpportunities/ARDFO.htm

Contents Section 1 – PROGRAM/FUNDING OPPORTUNITY DESCRIPTION

1.1 Description

1.2 Demos Description

1.3 Risk Reduction Description

1.4 ARC-20 Description

1.5 Definitions

1.6 Authorizing Statutes and Other Applicable Statutes

2.1 Type of Award Instrument

2.2 Expected Number of Awards

2.3 Estimated Funding

2.4 Anticipated Award Size

2.5 Period of Performance

2.6 Type of Application

Section 3 – ELIGIBILITY INFORMATION

3.1 Eligible Applicants

3.2 Using a DOE FFRDC/NL

3.3 Cost Sharing

Section 4 – SUBMISSION AND REGISTRATION REQUIREMENTS

4.1 Address to Request Application Package

4.2 FOA Modifications

4.3 Industry Day

4.4 Letter of Intent

4.5 Registration Process for Submitting Applications

4.6 Where to Submit Applications

4.7 Indirect Rates

4.8 Foreign Disclosure

4.9 FOA Informational Website

4.10 Submission Dates and Times )

Section 5 OTHER APPLICATION AND SUBMISSION INFORMATION AND REQUIREMENTS

5.1 Application Process General Information

5.2 Application Validity Timeframe

5.3 Proprietary Application Information

5.4 Nondisclosure and Confidentiality Agreements Representations

5.5 Content and Application Forms

5.6 Application for Federal Assistance Form

5.7 Letter of Authorization from Cognizant Contracting Officer for DOE FFRDC/NL

5.8 Project/Performance Site Location

5.9 Past Performance Information

5.10 SF-LLL Disclosure of Lobbying Activities Form

5.11 Certifications and Assurances

5.12 Waiver Requests: Performance of Work in the United States

5.13 Project Summary/Abstract File

5.14 Application Preparation Instructions for Project Budget

5.15 Project Narrative File

5.16 ARC-20 Application Preparation Instructions

Section 6 – APPLICATION REVIEW INFORMATION

6.1 Criteria

6.2 Review and Selection Process

6.3 Selection and Other Program Policy Factors

Section 7 - AWARD ADMINISTRATION INFORMATION

7.1 Anticipated Notice of Selection And Award Dates

7.2 Award Notices

7.3 Administrative and National Policy Requirements

7.4 Special Terms and Conditions And National Policy Requirements (December 2014)

7.5 Reporting

7.6 Securing the United States Bulk-Power System…………………………………………………………………….………………………………58 Section 8 - QUESTIONS/AGENCY CONTACTS

8.1 Questions

8.2 Agency FOA Contact

Section 9 – POST SELECTION INFORMATION

9.1 Discussions and Award

9.2 Government Right to Reject or Negotiate

9.3 Post Selection Submissions From Successful Applicants

9.4 Intergovernmental Review

9.5 Information Required From Selected Applicants

9.6 Review of Risk Posed And Responsibility Determination

9.7 Commitment of Public Funds

9.8 Funding Restrictions (December 2014)

9.9 Treatment of Application Information

9.10 Evaluation and Administration By Non-Federal Personnel

9.11 Notice of Right To Request Patent Waiver

9.12 Reporting of Matters Related to Recipient Integrity and Performance

9.13 Notice of Right To Conduct a Review of Financial Capability

9.14 Notice of Potential Disclosure Under Freedom of Information Act

9.15 Requirement for Full and Complete Disclosure

9.16 Retention of Submissions

9.17 Protected Personally Identifiable Information

9.18 Annual Compliance Audits

9.19 Felony Conviction and Tax Liabilities

Section 10 – APPENDICES

APPENDIX A* – HALEU INFORMATIONAL ATTACHMENT (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX B* – STATEMENT OF SUBSTANTIAL INVOLEMENT (DRAFT) (applicable to Demos)

APPENDIX C* – STATEMENT OF SUBSTANTIAL INVOLEMENT (DRAFT) (applicable to Risk Reduction)

APPENDIX D* – STATEMENT OF SUBSTANTIAL INVOLEMENT (DRAFT) (applicable to ARC-20)

APPENDIX E* – INFORMATIONAL DOCUMENT – UNDERSTANDING COST SHARING (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX F** – WAIVER REQUESTS: PERFORMANCE OF WORK IN THE UNITED STATES (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX G** – APPLICATION BUDGET PREPARATION INSTRUCTIONS (applicable to Demos, Risk Reduction and ARC- 20)

APPENDIX H** – TECHNOLOGY READINESS LEVELS (applicable to Demos, Risk Reduction, and ARC-20)

APPENDIX I** – RISK MANAGEMENT PLAN APPLICATION PREPARATION INSTRUCITONS (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX J** - PROJECT MANAGEMENT PLAN AND OBJECTIVES APPLICATION INSTRUCTIONS (applicable to Demos and Risk Reduction)

APPENDIX K** – FOREIGN OWNERSHIP, CONTROL OR INFLUENCE (FOCI) DISCLOSURE TEMPLATE APPLICATION INSTRUCTIONS (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX L** –BUSINESS PLAN TEMPLATE FOR APPLICATION SUBMISSION INFORMATION (applicable to Demos and Risk Reduction)

APPENDIX M** – KEY PERSONNEL RESUME TEMPLATE APPLICATION INSTRUCTIONS

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

APPENDIX N** – PAST PERFORMANCE TEMPLATE (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX O* – AWARD TERMS AND CONDITIONS (DRAFT) (applicable to Demos)

APPENDIX P* – AWARD TERMS AND CONDITIONS (DRAFT) (applicable to Risk Reduction)

APPENDIX Q* – AWARD TERMS AND CONDITIONS (DRAFT) (applicable to ARC-20)

APPENDIX R* – INTELLECTUAL PROPERTY PROVISIONS (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX S* – REPORTING REQUIREMENTS CHECKLIST (DRAFT) (applicable to Demos)

APPENDIX T* – REPORTING REQUIREMENTS CHECKLIST (DRAFT) (applicable to Risk Reduction)

APPENDIX U* – REPORTING REQUIREMENTS CHECKLIST (DRAFT) (applicable to ARC-20)

APPENDIX V* - COVID-19 OMB MEMO M-20-17 (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX W* – DOE COVID-19 FINANCIAL ASSISTANCE GUIDANCE (applicable to Demos, Risk Reduction and ARC-20)

APPENDIX X**-- DATA MANAGEMENT PLAN APPLICATION INSTRUCTIONS (applicable to Demos, Risk Reduction and

ARC-20) 69

IMPORTANT NOTE: See Section 4 for registration and submission information!

Section 1 – PROGRAM/FUNDING OPPORTUNITY DESCRIPTION

1.1 Description

This program is intended to facilitate the development of U.S. private industry advanced nuclear reactor demonstrations. It will provide funding for several advanced reactors that are reliable, cost effective, licensable, and commercially viable. These designs are expected to enable a market environment in which commercial reactor services are available that are safe and affordable to both construct and operate when compared to competing, alternative sources of energy in the near- and mid-term. These designs are expected to provide significant improvements in safety, security, economics, and environmental impacts over current nuclear power plant designs.

As a part of its mission, the United States (U.S.) Department of Energy (DOE), Office of Nuclear Energy (NE) has a long and successful history of working with the domestic nuclear industry, national laboratories, and academia to support the development of advanced reactor designs and capabilities over a continuum of technology maturity levels. DOE currently supports research and development (R&D) activities for a variety of advanced reactor technologies that are expected to improve on the safety, security, economics, and/or environmental impacts of current nuclear power plant designs. DOE undertakes these activities in support of the Administration’s objectives to maintain the Nation’s technological leadership position in the global nuclear industry and ensure national energy security. DOE recognizes that work remains to ensure continued U.S. leadership in the research, design, and development of advanced reactors and to ensure the successful deployment of these reactors in the U.S. and international marketplaces. As part of the FY2020 Further Consolidation Appropriations Act, (H.R. 1865), Congress has provided funding for NE to address advanced reactor development at various stages of the technology maturity continuum.

This Funding Opportunity Announcement (FOA) is comprised of three separate pathways. The Advanced Reactor Demonstration Program (ARDP) has a goal of focusing DOE and non-federal resources (through cost shared agreements with industry) on the actual construction of real demonstration reactors that are safe and affordable to build in the near- to mid-term. ARDP identifies two separate pathways to meet this goal: 1) Advanced Reactor Demonstrations, which supports two reactor designs to be operational in 5-7 years; and, 2) Risk Reduction for Future Demonstration awards which supports 2-5 additional diverse advanced reactor designs that have a commercialization horizon that is approximately 5 years longer than the Advanced Reactor Demonstrations. A third path, identified in H.R. 1865, Advanced Reactor Concepts – 20, will support development of at least two new public-private partnership awards focused on advancing reactor designs toward the demonstration phase; these have a commercialization horizon that is approximately 5 years longer than the Risk Reduction for Future Demonstration awards.

Accordingly, this FOA focuses on these three separate pathways:

1.1.1. Advanced Reactor Demonstrations (Demos). This pathway provides funding for two awards to build and achieve initial operations of Demos in the U.S. For the purposes of this FOA, a demonstration is defined as an advanced reactor operated as part of the power generation facilities of an electric utility system or in any other manner for the purpose of demonstrating the suitability for commercial application of the advanced nuclear reactor.

1.1.2. Risk Reduction for Future Demonstrations (Risk Reduction). This pathway provides funding for between two and five awards for a diverse set of advanced nuclear reactors to address technical risks challenging the development of these reactor designs to get them ready for future demonstration.

1.1.3. 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.

Further descriptions of these three pathway areas are provided in paragraphs 1.2, 1.3 and 1.4 below. Each applicant is requested to self-identify the maturity of its proposed technology based on technical, design and licensing maturity, as well as its manufacturing readiness, and to submit a single application in the appropriate area, avoiding duplication of submittals by the Applicant.

To facilitate applicant ability to reference these pathways, the different pathway sections of the FOA are color coded, with those in BLUE pertaining specifically to the Demos, those in RED pertaining specifically to the Risk Reductions, and those in GREEN pertaining specifically to the ARC-20.

All awards will be executed using financial assistance procedures in 2 Code of Federal Regulations (CFR) 200 and 2 CFR 910, and awarded as cooperative agreements. Applicants may apply for funding under either the Demos, or the Risk Reduction, or for both the Demos and Risk Reduction. Applications submitted for Demos, and not selected for one of the two demonstration project awards, will automatically be considered for Risk Reduction unless the Applicant specifically states in its application that it does NOT want to be considered for a Risk Reduction award. Accordingly, applicants need not submit multiple applications of the same concept/project for Demos and Risk Reduction, if they have submitted a Demos application. Applicants may also choose to submit a single application under the ARC-20.

However, as stated above, applicants may only submit a single application in the appropriate area for any specific reactor project.

1.2 Demos Description (i.e., technology in final design phases).

The primary objective of the new ARDP program is to focus DOE and non-federal resources on actual construction and initial operation of real demonstration reactors in the U.S. that are safe and affordable to both build and operate in the near and mid-term. To be successful, the advanced reactor must be designed, sited, licensed by the U.S. Nuclear Regulatory Commission (NRC), constructed and operational within 5 – 7 years from the date of award of the cooperative agreement.

Accordingly, the expectation is that Demos will be licensed by the NRC; if applicants wish to propose a different approach, a compelling justification must be provided in the application. DOE’s intent is for the Awardee to own the plant/reactor upon completion of the award.

Demos will be executed through cost-shared partnerships (at least 50% of costs from non-Federal sources) with DOE and be deployed either at a federal site or a non-federal site under a license with the NRC.

The Applicant must describe its approach to addressing the environmental requirements in 10 CFR 51, as well as the specific NRC licensing safety process selected, such as a construction permit and operating license under 10 CFR Part 50 or a combined license under 10 CFR Part 52.

Demos are expected to be the most technologically mature of the designs proposed, and closest to a final design (e.g., at a Technology Readiness Level (TRL) of TRL 6 or higher – see TRL scale from DOE Guide 413.3-4, U.S. Department of Energy Technology Readiness Assessment Guide in Appendix H). For the purposes of this FOA, being in a final design state indicates that the design is sufficiently mature to begin procurement or construction activities. For a Demo project, DOE expects that the Applicant will be able to clearly exhibit that in 5-7 years it would be able to complete the appropriate permitting, certification and licensing reviews/activities with the regulator, establish final design configurations, execute long-lead procurements, develop operational programs and complete operator training, demonstrate supply chain readiness, establish an engineering, procurement, and construction (EPC) contract , construct the reactor, and perform start-up and testing to assure the advanced reactor is operational and functioning (e.g., producing electricity, process heat, etc.). Demo applications must show a path to achieving commercial operation with a customer. With the aggressive 5-7-year deployment schedule, it is anticipated that a potentially successful Applicant would likely need to have commenced conducting these activities by the time of application.

1.3 Risk Reduction Description (i.e., technology in preliminary design phases or nearing final design).

The ARDP also provides funding to improve the commercial readiness for a set of diverse advanced nuclear reactor designs. These cost-shared awards will focus on technical, operational and regulatory risks challenging the development of proposed advanced reactor designs to prepare for future demonstration opportunities.

The primary objective of the Risk Reduction awards is to focus DOE and non-federal resources on preparing/maturing those reactor designs and technologies that are nearly, but not yet fully, ready for demonstration so that they can be demonstrated in the near- to mid-term (i.e., approximately five years later than the Demos), including completing any needed applied R&D activities. This pathway will provide funding to address and reduce/eliminate technical and regulatory risks for moving innovative advanced reactor designs into the marketplace on aggressive timelines, in leveraging DOE assets to support advanced reactor developers where gaps exist, and accelerating the path to demonstration, including final design, licensing, construction, testing, and operation.

Risk Reduction awards will be executed through cost-shared partnerships (at least 20% of costs from non-Federal sources) with DOE.

The end state of a Risk Reduction project is expected to position the proposed reactor design to achieve a demonstration reactor state approximately 5 years beyond the Demo project window of 5-7 years. Projects would include any and all efforts intended to mature the design/technology toward commercialization. Projects to reduce risk on the proposed designs could include, but would not be limited to:

• development of a thermal hydraulic test facility, and conduct of experiments;

• modeling and simulation of the design to address operational and safety issues;

• development of innovative plant safety systems;

• development and submittal of a design certification application, construction permit, and/or site license application, depending on the preferred licensing pathway;

• major component or system prototyping and/or manufacture, proving the ability to design and operate innovative capabilities;

• development of plant control and protection systems, including plant simulators and operator training programs; and

• demonstrating a prototype, sub-scale reactor, or a portion of the reactor as part of an overall reactor system.

For Risk Reduction projects, DOE expects that the proposed design would be somewhere between the preliminary design phase and the final design phase (e.g., at a TRL 4 or higher – see TRL scale from DOE Guide 413.3-4, U.S.

Department of Energy Technology Readiness Assessment Guide in Appendix H). For the purposes of this FOA, preliminary design refers to the period where the designer is in the process of converting concepts to a more detailed design, and more detailed and reliable cost and schedule estimates can be developed. Activities that would occur in the preliminary design stage could include, but are not limited to:

• initiation of license application development (e.g., a design certification application), pre-application engagement with the regulator, and/or submittal of a license application to the regulator, design of plant safety-related structures, systems, and components (SSCs),

• development of schematics, diagrams, and layouts of the plant configuration,

• identification of quality assurance requirements,

• executing first-of-a-kind engineering efforts,

• developing plant protection systems and simulators,

• early development of plant operations and maintenance programs,

• developing intermediate confidence level plant cost estimates,

• interfacing with supply chain entities and further developing them, and

• efforts to establish overall confidence in the reactor design development, licensing and commercialization schedule.

1.4 ARC-20 Description (i.e., technology in the early/conceptual design phase).

ARC-20 is a new R&D funding opportunity pathway to support further development of innovative and diverse advanced reactor concepts that are lower in the TRL scale (e.g., at a TRL 3 or higher – see TRL scale from DOE Guide 413.3-4, U.S.

Department of Energy Technology Readiness Assessment Guide in Appendix H) than Demos or Risk Reduction projects, and that have a commercialization horizon that may be 5-10 years beyond Risk Reduction projects.

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.

This pathway will focus on an industry-led competition that will include both industry and DOE’s Federally Funded Research and Development Centers/National Laboratories (FFRDCs/NLs) participants in the development of two advanced reactor projects. This FOA pathway allows use of business arrangements among reactor designers, vendors and suppliers that have the potential to license and build an advanced reactor concept in the U.S.

ARC-20 awards will be executed through cost-shared partnerships (at least 20% of costs from non-Federal sources) with

DOE.

The end state for an ARC-20 project is expected to mature innovative advanced reactor concepts and technologies out of the conceptual design phase toward eventual demonstration and construction.

For ARC-20 awards, DOE is seeking technologies that are entering or already in the conceptual design phase. For the purposes of the FOA, conceptual design is defined as the period when essential functions and capabilities of the technology are being identified, design specifications are being solidified, and early licensing requirements are being established. Activities anticipated to be addressed in this phase could include, but not be limited to:

• development of a conceptual design report,

• modeling and simulation,

• design analysis,

• selection and testing of materials and fuel forms to be used in the reactor,

• identification of key SSCs,

• design and execution of scaled experiments, and

• development of early licensing topical reports to address regulatory treatment of novel design concepts that are intended to be incorporated in the technology, or on smaller, higher output reactors features that support a wide variety of industry and commercial needs.

Pre-application engagement with the regulator would be a positive consideration for an ARC-20 project, but not required.

Although there may be some overlap in activities conducted in these design phases (particularly between the ARC-20 and Risk Reduction areas), applicants must carefully evaluate each, determine the funding opportunity or pathway to which their design is most suited, and apply for funding accordingly.

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

For purposes of this FOA

1.5.1 A demonstration is defined as an advanced reactor operated as part of the power generation facilities of an electric utility system or in any other manner for the purpose of demonstrating the suitability for commercial application of the advanced nuclear reactor.

1.5.2 Advanced reactors are defined as any light water or non-light water fission reactor with significant improvements compared to the current generation of operational reactors in the U.S. fleet. Examples of significant improvements that may be proposed include, but are not limited to:

• inherent safety features,

• lower waste yields,

• greater fuel utilization,

• superior reliability,

• resistance to proliferation,

• increased thermal efficiency, and

• the ability to integrate with electric and nonelectric applications.

This FOA is intended to be “technology neutral’, meaning that any advanced fission nuclear power reactor that is licensable and commercially viable may be proposed for award consideration.

NOTES:

1. Applying for but not being selected for a Demos award does not guarantee the Applicant will be selected for a Risk Reduction award. Also, being selected for a Risk Reduction or for an ARC-20 award does not guarantee or imply future funding or award for a future Demos award, if future similar funding opportunities are issued.

2. Awardees will be required to establish a plan by which they would obtain the fuel/special nuclear material needed for their projects. Appendix A is an informational attachment to this FOA and describes current considerations for High-Assay Low-Enriched Uranium (HALEU) supply in the United States and provides links to information about DOE’s efforts to address HALEU supply challenges.

1.6 Authorizing Statutes and Other Applicable Statutes (applicable to Demos, Risk Reduction and ARC-20)

The activities to be supported under this FOA are authorized under § 951 (a) of the Energy Policy Act of 2005, as codified at 42 U.S.C. § 16271(a). Congress appropriated $230 M for NE to develop the Advanced Reactor Demonstration Program and an additional $20 M for Advanced Reactor Technologies in the Further Consolidation Appropriations Act, 2020 (H.R.

1865). Energy Policy Act of 1992, 42 U.S.C. 13525, also applies to this action. Energy Policy Act of 1992 (EPAct 92) is (Pub.

L. 102-486 (Oct. 24, 1992) 106 STAT 2951)

Further Consolidated Appropriations Act of 2020, Pub. L. 116-94 (Dec. 2019), Division C, Nuclear Energy.

Section 4 of the Act incorporates the Explanatory Statement, which is published in the Congressional Record. Citation:

165 Cong. Rec. H11246 (daily ed. Dec. 17, 2019) (Explanatory Statement regarding H.R. 1865, Further Consolidated Appropriations Act 2020).

Section 2 – FEDERAL AWARD INFORMATION

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

2.1 Type of Award Instrument

DOE intends to issue financial assistance cooperative agreements as a result of selecting applications submitted in response to this FOA. Cooperative agreements have substantial Federal involvement in the projects awarded. DOE may also award/amend an interagency agreement as a result of selecting applications submitted in response to this FOA.

Demos See Appendix B for a draft Statement of Substantial Involvement intended for use on Demos awards

Risk Reduction See Appendix C for a draft Statement of Substantial Involvement intended for use on Risk

Reduction awards

ARC-20 See Appendix D for a draft Statement of Substantial Involvement intended for use on ARC-20 awards

2.2 Expected Number of Awards (applicable to Demos, Risk Reduction and ARC-20)

2.2.1 DOE anticipates making awards from this FOA as follows:

PATHWAY # Awards Demos 2

Risk Reduction 2 – 5

ARC-20 2

2.2.2 Additional Possible Awards

Should an awarded project not be completed for any reason prior to the end of the award’s project period of performance, DOE may make additional award(s) from applications submitted under this FOA. These new awards will be considered as competitively reviewed and awarded under this FOA, so long as the new awards from applications submitted in response to this competitive FOA remain within the programmatic boundaries of the FOA and were otherwise considered meritorious under the merit review criteria of the FOA.

2.3 Estimated Funding

Total funding over the entire project period will be dependent on the needs of each project selected.

Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future year budget authority. The amounts below are FY 2020 funds appropriated to initiate projects under each pathway.

Demos $160 Million; DOE will use this between the two awards, with $80 Million to initiate each award

Risk Reduction $30 Million; DOE will use this to initiate the 2 to 5 awards selected

ARC-20 Approximately $20 Million; DOE will use this to initiate at least two ARC-20 awards

2.4 Anticipated Award Size

The below amounts include both Federal and non-Federal cost share for each award. These are the anticipated individual award sizes, but individual awards may be higher or lower, as proposed by the Applicant. Total project funding is contingent on availability of funding of additional future appropriations.

Demos Between $400 Million to $4 Billion

Risk Reduction Between $40 Million - $400 Million

ARC-20 Between $10 Million - $40 Million

2.5 Period of Performance

The anticipated period of performance (project period) from the time of award, by pathway, is specified below.

Performance beyond the near-term is contingent on additional future appropriations, an evaluation of satisfactory progress, and DOE’s approval of a continuation application.

Demos 5 - 7 years*, but may be shorter depending on how soon the reactor/technology can be demonstrated

Risk Reduction Up to 5 – 7 years, but may be shorter depending on how soon the reactor/technology is ready to be demonstrated

ARC-20 Up to 5 years, but may be shorter depending on how soon the proposed project objectives can be attained

* Demos awards are for 5 – 7 years, as proposed by the Applicant and approved by DOE. Demos awards may be extended during performance (see Award Terms and Conditions, Appendix O, provision entitled Award Period Duration and Extension. However, the objective of the Demos awards is to have the Demos reactors designed, sited, NRC licensed, constructed and operational within 5 – 7 years; accordingly, applicants should neither propose nor plan for project durations longer than 5 – 7 years.

2.6 Type of Application

Applicants who have applied for and/or received prior awards under other FOAs or programs desiring to be considered for awards under this FOA (DE-FOA-0002271) must submit applications for consideration as follows:

Demos DOE will only accept new applications under this announcement

Risk Reduction Except as stated below, DOE will only accept new applications under this announcement

Applicants who have applied for the Demos but are not selected for a Demos award will be considered for a Risk Reduction award; the application as originally submitted for the Demos will automatically be considered for a Risk Reduction award, unless the Applicant specifically states it does not want to be considered for a Risk Reduction award in its Letter of Intent (see paragraph 4.4 of this FOA).

ARC-20 DOE will accept only new applications under this announcement. For applicants wanting to be considered under both ARC-20 and Risk Reduction, applicants must submit their separate applicable project ideas under the applicable pathway.

Section 3 – ELIGIBILITY INFORMATION (Applicable to Demos, Risk Reduction and ARC-20)

3.1 Eligible Applicants

Applications are requested from all interested U.S. sources (other than individuals), including nuclear industry entities (e.g., reactor vendors, fuel manufacturers, utilities and power producers, supply chain vendors, engineering, procurement, and construction contractors, etc.), companies using non-electric power from reactors, universities, and/or teams/consortia capable of designing, building, and operating an advanced nuclear reactor demonstration.

Federal, tribal, state, and municipal utilities are also eligible to apply for these awards. Direct beneficiaries or program participants, i.e., prime recipients must be located and/or based in the U.S. DOE encourages interested parties to join in teams/joint ventures to ensure the successful commercial deployment for the Demo awards. In keeping with the Administration’s priorities, DOE only plans to consider awards with prime awardees/recipients that are owned, organized, and operated within the U.S. Applicants must submit information in their submitted Letter of Intent (see paragraph 4.4 of this FOA) to show that they meet the eligibility requirements set forth in 2 CFR 910.124. Foreign sub-recipients and vendors may be proposed as part of an applicant team; however, see Appendix F.

Certain NRC requirements apply to the Demos pathway of this FOA since NRC is the licensing agency for domestic reactor operation. Applicants must submit information to show that they are not owned, controlled, or dominated by an alien, a foreign corporation, or a foreign government as set forth in the NRC’s regulations at 10 CFR 50.38, and that their application would not be inimical to the common defense and security or public health and safety as required by 10 CFR 50.40.

DOE and non-DOE FFRDC/NLs are not eligible to participate as a lead or prime recipient. These entities are eligible to participate as subrecipients, subawards, vendors, or team members of the prime/lead Applicant.

Eligible entities at all pathways may apply as participants in multiple applications and under multiple pathways under this FOA.

Demos and Risk Reduction Any prime applicant that receives fiscal year 2020 funds of more than $200,000 under the DOE’s Advanced Small Modular Reactor R&D program is not eligible to receive fiscal year 2020 funds from the ARDP. By applying for this FOA, applicants are certifying they comply with this requirement.

Risk Reduction Any entity selected as one of the two Demos is not eligible to receive funding for a Risk

Reductions project associated with the same advanced reactor design as selected for the Demos.

Applicants must meet eligibility criteria to apply for funding under this FOA. An Applicant's failure to meet any eligibility criterion by the time of an application deadline will result in DOE returning the application without review or, even though an application may be reviewed, will preclude DOE from making a Federal award.

3.2 Using a DOE FFRDC/NL

An applicant may propose a DOE FFRDC/NL contractor as a subrecipient or team member to an entity's application subject to the following guidelines:

3.2.1 Authorization for DOE FFRDC/NL. As allowed per the Energy Policy Act of 2005, Sections 2 and 989, the cognizant Contracting Officer for the DOE FFRDC/NL must authorize in writing the use of a DOE FFRDC/NL contractor on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the DOE assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

3.2.2 Conflicts of interest may exist due to previous efforts performed by the DOE FFRDC/NL or assistance provided in program direction and other mission related activities. Indicate whether a potential COI exists. If a COI has been identified (for the lead Project Manager [PM] or a collaborator), explain the conflict and include a statement on how the potential conflict will be avoided, neutralized, or mitigated. This document must be attached even if the conflict appears to be insignificant. If no COI exists, check the box and proceed.

For each subapplicant that is a DOE FFRDC/NL or non-DOE FFRDC, identify any potential conflicts of interest, fully explain the conflict, whether you feel it is significant or not, along with your rationale and, if significant, how you will avoid, neutralize, or mitigate the potential conflict.

Name File: COI Acknowledgment [insert application ID#] .pdf

3.2.3 Value/Funding. The value of, and funding for, the DOE FFRDC/NL contractor portion of the work is considered to be Government cost share, and will not normally be included as awardee cost share in the award to a successful applicant.

DOE will fund a DOE FFRDC/NL contractor through the DOE field work application system.

3.2.4 Cost Share. The Applicant's cost share requirement will be based on the total cost of the project, including the Applicant's and the DOE FFRDC/NL contractor's portions of the effort, as well as the nature of the work being proposed (this is discussed below).

3.2.5 Scope. The scope of work to be performed by the DOE FFRDC/NL contractor may not be more significant (e.g.

funding ratio) than the scope of work to be performed by the Applicant.

3.2.6 Responsibility. The Applicant, if successful, will be the responsible authority (Awardee) regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the Applicant and the DOE FFRDC/NL contractor.

3.2.7 National Reactor Innovation Center (NRIC)

a. NRIC assists technology developers with access to the strategic infrastructures and assets of the DOE national laboratories and with assistance in accessing other federally-owned or federally-accepted private sites to use these resources for commercial nuclear energy research, development, demonstration, and deployment activities. These capabilities will ultimately support a path to the licensing and commercialization of new nuclear energy systems. NRIC’s role under the ARDP is to support testing, demonstration, and performance assessment to accelerate deployment of advanced reactors, including with assistance accessing DOE FFRDC/NL resources and capabilities. NRIC has developed a generically-applicable Memorandum of Understanding (MOU) for applicants to this FOA;

this MOU indicates that NRIC will cooperate on facilitating applicant/recipient access to sites, facilities, expertise, etc., as described above.

b. Applicants to this FOA are not required to use NRIC in support of their proposed work but may do so if desired by contacting NRIC directly to access its support for their projects. For the purposes of this FOA, any support from NRIC must adhere to the requirements of DOE FFRDC/NLs as specified in this FOA, unless the entity establishes a separate direct agreement or support from NRIC outside of the FOA.

c. NRIC is led by DOE’s Idaho National Laboratory (INL), 2525 Fremont Ave, Idaho Falls, ID 83415. For more information please click here or email nric@inl.gov

3.3 Cost Sharing

Awards under this FOA are subject to cost sharing requirements of Section 988 of the Energy Policy Act of 2005. The below information regarding Cost Sharing is applicable to all applicants under all three pathways; specific cost sharing percentage requirements for each pathway are specified within each specific pathway section of the FOA.

If during award performance, the Awardee discovers that it may be unable to provide the required cost sharing, the Awardee will be required to immediately provide written notification to the DOE Contracting Officer indicating whether it will continue or phase out the project. If the Awardee plans to continue the project, the notification must describe how replacement cost sharing will be secured.

The Awardee will be required to maintain records of all project costs claimed as cost sharing, including in-kind costs, as well as records of costs to be paid by DOE. Such records are subject to audit.

Total Estimated Project Cost is the sum of the Government share, including FFRDC contractor costs, and Awardee share of the estimated project costs. DOE FFRDC contractor costs will not be included in the total approved budget for the award because DOE will pay the DOE FFRDC contractor portion of the effort under an existing DOE contract. The Awardee will not be responsible for reporting on that portion of the total estimated cost that is paid directly to the DOE FFRDC contractor.

3.3.1 Legal Responsibility of Cost Share Requirements. Applicants will be bound by the cost share proposed in their applications and the cost sharing requirements incorporated into the award.

The cost share requirements apply to the project as a whole, including work performed by members of the project team in addition to the Awardee, who is legally responsible for paying the cost share. The Awardee’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the Awardee is required to contribute at least the required minimum cost share percentage of total expenditures incurred through the date of termination.

The Awardee is solely responsible for managing cost share contributions by the Project Team and for enforcing cost share obligation(s) assumed by Project Team members in subawards or related agreements.

3.3.1.1 Cost Share Allocation. Each Project Team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual Project Team members may vary, as long as the cost share requirement for the project as a whole is met.

Cost Share Types and Allowability. Every cost share contribution must be allowable under the applicable Federal cost principles (e.g., 2 CFR 200 Subpart E; 2 CFR 910 Subpart 3; 48 CFR 31.2). In addition, cost share must be verifiable upon submission of the Application. Project Teams may provide cost share in the form of cash, personnel costs, value of service or other in-kind contributions, indirect costs, or facilities and administrative costs, and any funds received under https://www.energy.gov/sites/prod/files/2019/08/f65/NRIC_Fact_Sheet.pdf mailto:nric@inl.gov the power program of the Tennessee Valley Authority (except to the extent that such funds are made available under Federal appropriations or property (e.g., Federal grants or other federal monies, equipment owned by the Federal Government).

Cash contributions may be provided by the Awardee or subrecipients. Allowable in-kind contributions are set forth in 2 CFR 200.306 and the Cost Principles of 2 CFR 200, Subpart E. Project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as the funding was not provided to the state or local government by the Federal Government. The Awardee may not use the following sources to meet its cost share obligations including, but not limited to:

• revenues or royalties from the prospective operation of an activity beyond the project period;

• proceeds from the prospective sale of an asset of an activity;

• Federal funding or property (e.g., Federal grants, equipment owned by the Federal Government).

Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for multiple projects or programs. Cost share contributions must be specified in the project budget, verifiable from the Awardee’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same Federal regulations as Federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Contracting Officer and incorporated into the project budget before the expenditures are incurred.

3.3.1.3 Cost Share Contributions by DOE FFRDC/NL. Because DOE FFRDC/NL are funded by the Federal Government, costs incurred by DOE FFRDC/NL may not be used to meet the cost share requirement and are instead included as part of the DOE’s cost share. DOE FFRDC/NL may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source.

3.3.1.4 Cost Share Verification. Applicants are required to provide written assurance of their proposed cost share contributions for the total project in their applications, to the extent possible. Upon selection for award negotiations, applicants may be required to provide additional information and documentation regarding their cost share contributions.

3.3.1.5 Cost Share Payment. DOE requires recipients to contribute the required cost share amount incrementally over the life of the award, as described below.

Standard Form 270, Request for Advance or Reimbursement (hereafter “Invoice”): The Recipient’s cost share amount listed for each invoice billing period must always reflect at least the overall cost share ratio negotiated by the parties for the current Budget Period, i.e., the amount of cost sharing included on each Invoice – and the cumulative amount of cost sharing listed relative to the total costs billed - must always be at least equal to the figure calculated by multiplying the total costs of the project incurred to date (including costs incurred by the DOE FFRDC/NL) by the cost sharing percentage negotiated. If the Recipient has incurred a greater amount of cost sharing than is required at that point in the Budget Period, the higher amount of cost sharing may be reflected on the Invoice - but in no case may the Invoice ever reflect a lower amount of cost share than is required.

Demos. The cost share for the Demos shall be up to 50 percent from the DOE and not less than 50 percent from non-federal sources for the total estimated project cost. The recipient cost sharing minimum obligation is to be met throughout the life of the project, with every invoice submitted having at least the 50 percent minimum cost sharing of total project costs incurred to date by the Recipient.

Applications for Demos but that also desire consideration for Risk Reduction. These applications must provide not less than 50 percent from non-federal sources for the total estimated Demo project cost; the applicant may also propose a separate cost share of not less than 20 percent from non-federal sources for the total estimated Risk Reduction project cost based on the scope and costs proposed for the Risk Reduction project proposed should the applicant not be selected for a Demos award.

Risk Reduction and ARC-20. The cost share required shall be up to 80 percent from DOE and no less than 20 percent from non-federal sources. The minimum 20 percent level of non-Federal cost sharing must be maintained throughout the entire project, with every invoice submitted having at least the 20 percent minimum cost sharing of total project costs incurred to date by the Recipient.

Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR 910.130 for additional guidance on cost sharing. Additionally, Appendix E of the FOA is an informational document that provides further information and guidance to help applicants understand cost sharing.

3.4 Other Eligibility Requirements

There is no limit on the number of applications an applicant may submit under the FOA; this applies to the submitting organization and the individual program manager. DOE will only consider applications for projects related to different advanced reactor designs from the same applicant. However, applicants are strongly encouraged to submit only their best project for consideration.

Applicants may apply under more than one pathway. Applicants can submit more than one application as long as each application is a unique technology solution.

Subapplicants, subcontractors and vendors may participate in applications submitted by multiple prime organizations.

Section 4 – SUBMISSION AND REGISTRATION REQUIREMENTS (applicable to Demos, Risk Reduction, and ARC-20)

4.1 Address to Request Application Package

Application forms and information can be found on the FOA website here.

If the potential applicant does not have access to the internet, potential applicants may request a paper copy of the FOA, and associated appendices and application forms, by sending a post card making the request, including the FOA title and number and address to which the FOA should be mailed to: US Department of Energy, Idaho Operations Office, Contracts Management Division, Attn: Andrew Ford, MS 1221, 1955 Freemont Ave, Idaho Falls ID 83402.

4.2 FOA Modifications

Notices of any modifications to this FOA will be posted on Grants.gov, the FedConnect portal, and the application website. You can receive an email when a modification or an announcement message is posted by registering with FedConnect as an interested party for this FOA. It is recommended that you register as soon after release of the FOA as possible to ensure you receive timely notice of any modifications or other announcements.

4.3 Industry Day

DOE will conduct an Industry Day for this FOA. The purpose of the Industry Day will be to review program and FOA requirements with applicants, as well as for both DOE and interested parties to share information, and for DOE to answer questions posed by interested parties. DOE’s intent is to also permit limited “one-on-one” meetings with interested parties. DOE anticipates that the industry day will not be held in person but will be held via video teleconference due to the Coronavirus (COVID-19) outbreak. Should circumstances change, DOE will attempt to schedule an in-person industry day.

Attendance at Industry Day is optional but recommended. There is no charge to attend Industry Day, but pre-registration will be required.

Plenary Industry Day proceedings will be available via live Webinar for those who cannot attend in person. Additionally, plenary Industry Day presentations, questions and answers will be published for public access soon after the event at the same website indicated above.

Please see additional information, including registration requirements, at the FOA website.

4.4 Letter of Intent

Submission of a Letter of Intent is mandatory for each applicant (not applicable for subapplicants) desiring to submit an application for consideration by DOE. Failure to submit a Letter of Intent by the due date will preclude the Applicant from further consideration for award.

Although Letters of Intent are required from applicants that wish to submit applications for consideration by DOE, by submitting a Letter of Intent the applicant is neither committed nor required to proceed and submit a full application.

Letters of Intent must include the following:

a. Prime or lead Applicant name, address, point of contact information (name, title, telephone and email address).

b. Team member(s) and/or subapplicant(s) name, address, point of contact information (name, title, telephone and email address), for as many team members and subapplicants as are known at this stage

c. Specification of the pathway you intend to apply under (i.e., Demos only; Demos with additional consideration for Risk Reduction; Risk Reduction only; or ARC-20). Applicants submitting for Demos do not need to submit a separate application for a Risk Reduction project associated with the same advanced reactor design, since if an application submitted for a Demo is not selected, it will be automatically considered for a Risk Reduction (unless the Applicant specifically states it does not want to be considered for a Risk Reduction award). If an applicant intends to submit under different pathways or for a different unique technology solution, a separate Letter of Intent is required.

d. A brief project/technology description.

e. This FOA provides…