Advanced Reactor Demonstration Program FOA Amendment 000002 Summary of Changes.pdf

FOA DE-FOA-0002271, Amendment 000002

DE-FOA-0002271 Amendment 000002 Summary of Changes

July 21, 2020

The following changes to the Funding Opportunity Announcement DE-FOA-0002271 are incorporated with Amendment 000002; 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. FOA paragraph 2.5, Period of Performance, is amended for ARC-20 to clarify that projects may be less than 5 years, as follows:

(applicable to ARC-20)

FROM:

ARC-20 Up to 5 years

TO:

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

2. FOA Amendment 000001 deleted the requirement to submit application documents referencing an Application ID# throughout the FOA. This deletion was made in error and is reinstated throughout the FOA for application document submissions.

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

3. FOA paragraph 4.4, Letter of Intent, is amended to add the following clarifying note:

NOTE: Update of Letter of Intent Information Between the Time of Letter of Intent Submission and the Submission of Full Applications.

All information (including prime and sub information) submitted in the Letter of Intent items a through f – other than the project itself described in paragraph d above - may be updated with the submission of the full application. It is understood that the project description information in paragraph d above will be provided in full detail in the final application submittal. If any information in the Letter of Intent is changed or added to the Letter of Intent between the time the original Letter of Intent was submitted, and the time the full application is submitted, the applicant must clearly specify what has changed along with a brief explanation.

This will be submitted in a .pdf format; there will be a separate field on the ARD Website Application submission screen for this upload. This will not be counted towards page limitations or page counts of the full application document.

4. FOA paragraph 5.1.4 is amended to provide clarifying information regarding application document formatting, as follows:

All non-budget documentation (use templates where provided) is to be prepared using standard 8.5” by 11” paper with 1” margins (top, bottom, left, right), using a font size no smaller than Times New Roman 11 point, single spaced. Each submission must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced. If applicants exceed the maximum page lengths indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

TO:

All non-budget documentation (use templates where provided) is to be prepared using standard 8.5” by 11” paper with 1” margins (top, bottom, left, right), using a font size no smaller than Times New Roman 11 point, single spaced. Note that 11-point Times New Roman font in exhibits may prevent the ability to fully depict concept technical solutions as required by the FOA. Accordingly, a smaller than 11-point Times New Roman font and the use of a san serif font (e.g., Arial Narrow) for exhibits only (tables and figures), which will increase the legibility to depict complex concepts, may be used. Each submission must not exceed the specified maximum page limit, including cover page, charts, graphs, maps, and photographs when printed using the formatting requirements set forth above and single spaced. If applicants exceed the maximum page lengths indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

5. FOA paragraph 5.5, Content and Application Forms, Pages 27 – 33 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 FOA Amendment 000001 are marked):

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 Objectives (see paragraph 5.15 b)

• Project/Performance Site Location (see paragraph 5.815 c)

• Coordination and Management Plan (see paragraph 5.15 p)

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

PDF Lead Applicant

• 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, including

Business Plan (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; see 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

15.55.15 n) (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 424R&R Budget formA, 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 424R&R Budget formA, and another for the specific construction portion of

Form Collaborators*/ subrecipients the award using the SF 424C (note: a separate SF 424 C will be required for each budget year of the construction activity).

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 n, subparagraph ii).

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

Form Lead Applicant

12 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

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

PDF Lead Applicant

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

PDF Lead Applicant

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

PDF Lead Applicant and Collaborators

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

PDF Lead Applicant and Collaborators

17 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)

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 Objectives (see paragraph 5.15 b)

• Project/Performance Site Location (see paragraph 5.815 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, including

Business Plan (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; see also Appendix J)

• Risk Management Plan (see paragraph 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)

PDF Lead Applicant

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

15.55.15 n) (See Appendix M)

PDF All leads and collaborators

5 Budget (total Fed + Non-Fed) (see paragraph 5.14) Form Lead Applicant

(see Appendix G) 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 n, subparagraph ii).

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

Form Lead Applicant

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

Form Lead Applicant

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

PDF Lead Applicant

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

PDF Lead Applicant

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

PDF Lead Applicant and Collaborators

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

PDF Lead Applicant and Collaborators

17 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

• Relevance and Outcomes/Impacts

• Roles of Participants and Key Personnel

• Co-Project Manager (Co-PM) , Coordination and Management Plan

• Capabilities, Facilities and Other Resources

• Benefit of Collaborations

• Equipment

• Statement of Project Objectives

• Project/Performance Site Location

• Coordination and Management Plan

• Benefit of Collaboration

• Capabilities

• Equipment

• Statement of Project Objectives

• Risk Management Plan (see Appendix I)

• Data Management Plan (see Appendix X)

• Merit Review Discussion

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

15.55.16 b m) (See Appendix M)

PDF All leads and collaborators

5 R&R Budget (see paragraph 5.14) Form Lead Applicant 6 R&R 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 5.16 f5 n).

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

Form Lead Applicant

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

Form/PDF Lead Applicant

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

PDF Lead Applicant

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

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

PDF Lead Applicant and Collaborators

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

PDF Lead Applicant and Collaborators

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

18 R&R Other Project Information PDF Lead Applicant

6. FOA paragraph 5.8, Project/Performance Site Location, is amended to put information that was previously in paragraph 5.15 c, as follows:

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

FROM:

Reserved

TO:

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. Applicants should use the .pdf form provided in the document library on the FOA website for this submission and include it as part of the Project Narrative File.

7. FOA paragraph 5.12, Waiver Requests: Performance of Work in the United States, is amended to correct a paragraph reference, as follows:

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

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 5.815 c. For foreign equipment purchases or for labor over the thresholds specified in paragraph 5.815 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 [insert application ID#]

8. FOA paragraph 5.13, Project Summary/Abstract File, is amended to correct a nonapplicable reference on the form, as follows:

The project summary/abstract (Field 7 on the SF 424 Form) must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies the name of the Applicant, the project manager, the project title, the objectives of the project, a description of the project, including methods to be employed, the potential impact of the project (i.e., benefits, outcomes), and major participants (for collaborative projects). This document must not include any proprietary or sensitive business information as DOE may make it available to the public if an award is made. The project summary must not exceed one (1) page per application pathway.

Applications for Demos but that also desire consideration for Risk Reduction: the application must include two each one-page Project Summaries - one for Demos, and one for Risk Reduction.

Name File: Summary-Abstract

The project summary/abstract (Field 7 on the SF 424 Form) must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies the name of the Applicant, the project manager, the project title, the objectives of the project, a description of the project, including methods to be employed, the potential impact of the project (i.e., benefits, outcomes), and major participants (for collaborative projects). This document must not include any proprietary or sensitive business information as DOE may make it available to the public if an award is made. The project summary must not exceed one (1) page per application pathway.

Applications for Demos but that also desire consideration for Risk Reduction: the application must include two each one-page Project Summaries - one for Demos, and one for Risk Reduction.

Name File: Summary-Abstract [insert application ID#]

9. FOA paragraph 5.14.4, Budget Justification, is amended as follows:

See Appendix G for instructions.

Microsoft Excel Name File: Budget Justification

See Appendix G for instructions.

Microsoft Excel Name File: Budget Justification [insert application ID#]

10. FOA paragraph 5.15. Project Narrative File, is amended to clarify that the paragraph applies to Demos and Risk Reduction applications only and not to ARC-20; the FOA was previously not totally clear as to what in this paragraph applied to Demos, Risk Reductions and ARC-20.

(applicable to Demos, Risk Reduction)

11. FOA paragraph 5.15 c is deleted and made “Reserved”; the paragraph contents were moved to FOA paragraph

5.8.

12. FOA paragraph 5.15 m, Commercialization Efforts, is amended to add clarifying language regarding the Business Plan, as follows (note that Amendment 000001 mistakenly listed the Business Plan twice, and Amendment 000002 corrects this):

Commercialization Efforts.

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

Commercialization Efforts.

Provide a Business Plan (see Appendix L for specific instructions). The Business Plan explains your marketing strategy, including customers, to ensure successful commercialization of the Advanced Demonstration Reactor.

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

13. FOA paragraph 5.15 n, Team Identification and Experts, is amended to clarify application instructions regarding team and key personnel identification and expertise, as follows:

(applicable to Demos, Risk Reduction)

FROM:

Team Identification and Expertise. Identify key personnel and describe their roles and responsibilities in accomplishing project tasks, including:

i. The team assembled to accomplish the project including the lead PM as well as any co-PMs, subrecipients/collaborators (including key personnel) who will contribute in a substantial, measurable way to the project (including consultants). If other entities/collaborators will receive funding under the proposed project, a determination must be made if they will be a subrecipient or a contractor; submit your analysis as part of the application; reference 2 CFR § 200.330 Subrecipient and contractor determinations, for guidance on making the determination.

ii. Current and Pending Support: Provide a list of all current and pending support (both Federal and non- Federal) for senior/key persons, including subrecipients, for ongoing projects and pending applications – see FOA website forms library for template. For each organization providing support, show the total award amount for the entire award period (including indirect costs) and the number of person-months per year to be devoted to the project by the senior/key person. Concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review. This will be included as a separate attachment to the Project Narrative File; it is not included in the Project Narrative File page count.

Name File: Current and Pending Support

iii. Specify the team’s management experience and capability necessary for project success. Information on key personnel qualifications must be submitted as part of the application – see Appendix M (the resume template at Appendix M is optional for use – applicants may use their own resume formats; but, all information required by it must be submitted). In addition to the resumes provided, discuss the team’s management ability to manage the project consistent with the level of risk involved in the project. For key personnel identified who will contribute in a substantial, measurable way to the project (including for subrecipients and consultants), describe the team member’s overall role in the project

iv. Provide technical experience information on the qualifications, skills and capabilities of your organization that support achieving the described demonstration objectives including but not limited to the following areas:

A. Major development requirements including materials, testing, systems, etc.;

B. Capabilities to resolve development requirements;

C. Capabilities to secure NRC licensing;

D. Capabilities to build and test the advanced reactor; and E. Capabilities to operate the advanced reactors, including to achieve commercial operations and to address major risks to accomplishing commercial operation.

Team Identification and Expertise. Identify the team assembled to accomplish the project, as well as key personnel and describe their roles and responsibilities in accomplishing project tasks, including:

a. The team assembled to accomplish the project including the lead PM as well as any co-PMs, subrecipients/collaborators (including key personnel) who will contribute in a substantial, measurable way to the project (including consultants). If other entities/collaborators will receive funding under the proposed project, a determination must be made if they will be a subrecipient or a contractor; submit your analysis as part of the application; reference 2 CFR § 200.330 Subrecipient and contractor determinations, for guidance on making the determination.

b. Current and Pending Support: Provide a list of all current and pending support (both Federal and non- Federal) for senior/key persons, including subrecipients, for ongoing projects and pending applications – see FOA website forms library for template. For each organization providing support, show the total award amount for the entire award period (including indirect costs) and the number of person-months per year to be devoted to the project by the senior/key person. Concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review. This will be included as a separate attachment to the Project Narrative File; it is not included in the Project Narrative File page count.

Name File: Current and Pending Support [insert application ID#]

iii. Specify the team’s overall management experience and capability necessary for project success. Discuss the team’s management ability to manage the project consistent with the level of risk involved in the project. Information on key personnel qualifications must be submitted as part of the application – see Appendix M (the resume template at Appendix M is optional for use – applicants may use their own resume formats; but, all information required by it must be submitted). In addition to the resumes provided, discuss the team’s management ability to manage the project consistent with the level of risk involved in the project. For key personnel identified who will contribute in a substantial, measurable way to the project (including for subrecipients and consultants), describe the team member’s overall role in the project

iv. Provide technical experience information on the qualifications, skills and capabilities of your organization that support achieving the described demonstration objectives including but not limited to the following areas:

A. Major development requirements including materials, testing, systems, etc.;

B. Capabilities to resolve development requirements;

C. Capabilities to secure NRC licensing;

D. Capabilities to build and test the advanced reactor; and E. Capabilities to operate the advanced reactors, including to achieve commercial operations and to address major risks to accomplishing commercial operation.

v. Key Personnel Qualifications/Resume. In addition to describing the team’s qualifications, describe the qualifications of individual key personnel (including for subrecipients and consultants), who will contribute in a substantial, measurable way on the project. Specify individual key personnel relevant knowledge, skills and abilities; information on key personnel qualifications submitted as part of the application may use either the resume template at Appendix M, or applicants may use their own resume formats; but, all information required by Appendix M must be submitted). For key personnel identified describe their overall role in the project. Each resume has a 2-page limit. However, resume pages are not included in the overall Project Narrative File page count.

14. FOA paragraph 5.15 t is deleted and made “Reserved”; (note that Amendment 000001 mistakenly listed the Business Plan twice and Amendment 000002 corrects this with this change)

15. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph b, Roles of Participants and Key Personnel, is amended to clarify the resume page limits, as follows:

Describe the roles and the work to be performed by each organization (including estimates of percentages of total project effort to be accomplished by each participant), business agreements between the Applicant and participants, and how the various efforts will be integrated and managed. This includes identification of work to be accomplished by national laboratories and indication of which national laboratories would be used, as applicable. Information on key personnel qualifications must be submitted as part of the application – see Appendix M (the resume template at Appendix M is optional for use – applicants may use their own resume formats; but, all information required by it must be submitted).

Roles of Participants and Key Personnel: Describe the roles and the work to be performed by each organization (including estimates of percentages of total project effort to be accomplished by each participant), business agreements between the Applicant and participants, and how the various efforts will be integrated and managed. This includes identification of work to be accomplished by national laboratories and indication of which national laboratories would be used, as applicable. Information on key personnel qualifications must be submitted as part of the application – see Appendix M (the resume template at Appendix M is optional for use

– applicants may use their own resume formats; but, all information required by it must be submitted). Each resume has a 2-page limit. However, resume pages are not included in the overall Project Narrative File page count.

16. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph c, Co-Project Manager (Co-PM), is amended to clarify that the Coordination and Management Plan is submitted as part of the Project Narrative instead of as a separate file, as follows:

(applicable to ARC-20)

FROM:

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

Name File: Coordination and Management Plan

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

Name File: Coordination and Management Plan

17. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph d, Capabilities, Facilities and Other Resources, is amended to clarify the level of information required in the application, as follows:

(applicable to ARC-20)

FROM:

Identify the facilities (e.g., office, laboratory, computer, etc.) and other major resources to be used at each performance site listed and phase of the project and, if appropriate, indicate their capacities, pertinent capabilities, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing the other resources available to the project. List important items of equipment by phase for the project, including those items already available for this project and, if appropriate, note the location and pertinent capabilities of each. For important items of equipment not yet available specify how they will become timey available.

Name File: Capabilities

TO:

Identify the main facilities (e.g., office, laboratory, computer, etc.) and other major resources to be used at each performance site listed and phase of the project and, if appropriate, indicate their capacities, pertinent capabilities, and extent of availability to the project. Describe only those resources that are directly applicable to the proposed work. Provide any information describing the other resources available to the project. List important items of equipment by phase for the project, including those items already available for this project and, if appropriate, note the location and pertinent capabilities of each. For important items of equipment not yet available specify how they will become timey available.

Name File: Capabilities

18. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph e, Benefit of Collaborations, is amended to clarify instructions for the application, as follows:

(applicable to ARC-20)

FROM:

The Applicant shall provide a narrative that includes an explanation of the contribution that will be made by the collaborating organizations and/or facilities to be utilized. Please indicate within this section if the application has benefit or influence on other ongoing or proposed NE R&D projects.

Name File: Benefit of Collaboration

Benefit of Collaborations: Based on the roles and work to be done by key participating organizations identified in the paragraph above titled, “Roles of Participants and Key Personnel”, The Applicant shall provide a narrative that includes an explanation of the contribution that will be made by the collaborating organizations and/or facilities to be utilized. Please indicate within this section if the application has benefit or influence on other ongoing or proposed NE R&D projects, and provide a brief explanation of those benefits.

Name File: Benefit of Collaboration

19. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph h, Statement of Project Objectives, is amended to correct a paragraph reference, as follows:

PROJECT/PERFORMANCE SITE LOCATION

See application submission requirements under paragraph 5.15 c.

TO:

PROJECT/PERFORMANCE SITE LOCATION

See application submission requirements under paragraph 5.815 c.

20. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph h, Statement of Project Objectives, is amended to make the Research and Related Other Project Information part of the Project Narrative and not a separate submission, as follows:

RESEARCH AND RELATED OTHER PROJECT INFORMATION

shall complete items 1–6 on the R&R Other Project Information form available at the library and upload a completed PDF copy of the form. Items 7-12 will be completed in the application form and does not need to be completed here.

Name File: R&R Other Project Information

RESEARCH AND RELATED OTHER PROJECT INFORMATION

Applicants shall complete items 1–6 on the R&R Other Project Information form available at the library and upload a completed PDF copy of the form. Items 7-12 will be completed in the application form and does not need to be completed here.

Name File: R&R Other Project Information

21. FOA paragraph 5.16, ARC-20 Application Preparation Instructions, subparagraph h, Statement of Project Objectives, is amended to add the following submission information regarding the Merit Review Discussion:

MERIT REVIEW CRITERION DISCUSSION

i. This section of the project narrative must be formatted to address each of the merit review criterion and sub-criterion listed in Section 6, as well as each Other Selection Factors. In addressing the merit review criterion and sub-criterion, applicants are encouraged to reference any correlation between the responses provided under this item and the responses provided for other information requests.

ii. Applicants must submit the discussion of merit review criteria in the form of a table with a summary level discussion of each merit review criterion, including cross references back to any responses provided under the project narrative. Applicants shall provide sufficient information so that reviewers will be able to evaluate the application in accordance with the merit review criteria and Other Selection Factors. Provide sufficient information so that reviewers will be able to evaluate the application in accordance with these merit review criteria. DOE WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS SEPARATELY EACH OF

THE MERIT REVIEW CRITERION AND SUB-CRITERION.

Note: The Merit Review Criterion discussion is included in the overall page count for the Project Narrative.

22. FOA paragraph 6.1.1, Initial Application Pass/Fail Review Criteria, is amended to address how changes made in the Letter of Intent from its original submission to the time of full application submissions will be addressed, as

Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the is eligible for an award; (2) the information required by the announcement has been submitted; (3) all mandatory requirements are satisfied; 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.

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; 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.

Included in the eligibility determination of 6.1.1 (1) above, per FOA paragraph 4.4, a Letter of Intent was required for each project; the Letter of Intent specified the prime applicant and known team members.

However, all information submitted in the letter of intent – other than the project itself - may be updated with the submission of the full application. See FOA paragraph 4.4 for details.

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.

23. FOA paragraph 6.1.2, Merit Review Criteria, subparagraph 1), is amended to delete a repetitive bullet, as

Technical feasibility that the demonstration reactor can be operational within five to seven years from completion of award, and for Risk Reduction, to achieve a demonstration reactor in approximately 10-14 years, will be evaluated. The application will be evaluated on the feasibility and likelihood of success in the described approach to addressing the following elements:

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

• appropriate identification of the TRL of the reactor and TRLs of key systems and components, including fuel, with adequate rationale for the TRL claimed.

• a compelling basis for the viability and feasibility of a nuclear fuel supply, addressing: procurement strategy, fabrication, transportation, availability, handling, and used fuel management. Any assumed reliance on DOE for access to enriched uranium for the initial core load is identified and reasonable/achievable based on plans, subject to appropriations.

• the quality and completeness of the Applicant’s plans to address site specific engineering requirements at the selected deployment location.

• 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.

RELATIVE WEIGHT OF CRITERION 1:

Demos 30% Risk Reduction 40%

Technical feasibility that the demonstration reactor can be operational within five to seven years from completion of award, and for Risk Reduction, to achieve a demonstration reactor in approximately 10-14 years, will be evaluated. The application will be evaluated on the feasibility and likelihood of success in the described approach to addressing the following elements:

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

• appropriate identification of the TRL of the reactor and TRLs of key systems and components, including fuel, with adequate rationale for the TRL claimed.

• a compelling basis for the viability and feasibility of a nuclear fuel supply, addressing: procurement strategy, fabrication, transportation, availability, handling, and used fuel management. Any assumed reliance on DOE for access to enriched uranium for the initial core load is identified and reasonable/achievable based on plans, subject to appropriations.

• the quality and completeness of the Applicant’s plans to address site specific engineering requirements at the selected deployment location.

• 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.

RELATIVE WEIGHT OF CRITERION 1:

Demos 30% Risk Reduction 40%

24. FOA paragraph 6.1.2, Merit Review Criteria (ARC-20), is amended as follows:

FROM:

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.

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 and plant technologiesconcepts, if successfully carried out, will make important advancements to advanced reactor technologies, including in areas such as, but not limited to, safety, operations, used fuel disposition and economics, and to advance the concept towards a successful future commercial demonstration.

2. Approach: The extent to which the proposed approach advanced reactor concepts, designs, methods, analyses, and technologies areis 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 ability 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, if proposed, if proposedas applicable), cost, and performance.

25. FOA paragraph 7.6, Securing the United States Bulk-Power System is added, as follows:

Executive Order (EO) 13920, "Securing the United States Bulk-Power System” prohibits Federal agencies and U.S.

persons from acquiring, transferring, or installing Bulk-Power System (BPS) equipment in which any foreign country or foreign national has any interest and the transaction poses an unacceptable risk to national security or the security and safety of American citizens. Applications must comply with this EO; execution of the ARD cooperative agreement awards will comply with the BPS EO, as applicable.

26. FOA Appendix B, Statement Of Substantial Involvement (Draft) Advanced Reactor Demonstration Program, is amended to add the following to the DOE Substantial Federal Involvement:

(applicable to Demos)

As part of its substantial involvement, DOE may engage a private, independent engineering (IE) firm, or other consultants, to assist with project monitoring and oversight of the construction aspects of this project. In order to adequately monitor project progress and provide technical direction and/or redirection to the Recipient, DOE must be provided an adequate level of insight into various Recipient activities.

Government Insight activities by DOE may include attendance at Recipient meetings, reviews and tests, as well as adequate and timely access for DOE’s consultants to perform independent evaluations of Recipient’s…